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Grant Compliance Training for Sub-Recipients of ARRA Funds PowerPoint Presentation
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Grant Compliance Training for Sub-Recipients of ARRA Funds. October 5, 2010. American Recovery & Reinvestment Act (ARRA). ARRA has goals to stimulate the economy, create jobs State Energy Plan (SEP) program - $42.1 million

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Presentation Transcript
slide2

American Recovery & Reinvestment Act (ARRA)

  • ARRA has goals to stimulate the economy, create jobs
  • State Energy Plan (SEP) program - $42.1 million
  • Energy Efficiency & Conservation Block Grant (EECBG)$9.5 million
slide3

ARRA

  • Important:
    • Federal funds come with federal requirements
    • You must be transparent in all activities
    • You must document EVERYTHING
slide4

ARRA

  • Requirements continue to evolve. You are responsible for current and future requirements
  • Read your contract
  • Read your e-mails
  • Keep your project manager informed on problems and progress. All change orders must be approved by your project manager.
  • Your project manager’s name was provided in the e-mail
  • that included your contract.
slide5

ARRA

  • To date:
    • 228 SEP award recipients for $36.4 million
    • 64 EECBG award recipients for $8.7 million
    • Projects range from $699 to $2 million
slide6

What will we cover?

  • General requirements
  • Bidding/contracting
  • Labor standards
  • Getting started
  • Reimbursement process
  • Reporting
  • Project Closeout requirements
  • Post-project follow-up
slide7

General requirements

  • Active DUNS/Central Contractor Registration (CCR)
  • Oregon WorkSource
  • Reimbursement basis only for Exhibit A-eligible expenses
  • Whistle blower
  • Signage – more information in Tool Kit
slide8

General requirements

  • Photos – before and after
  • Tool Kit – sent to you, recently updated
  • Publicity – e-mail draft to Ann Grim atann.grim@state.or.us before you send out a press release so we can help you ensure information and wording is accurate.

Huntington Elementary School

Huntington

slide9

Prior to committing or expending grant funds, take care of:

    • NEPA – National Environmental Policy Act
    • SHPO – State Historic Preservation Office
    • Final commitment of other funds needed:
      • Business Energy Tax Credit?
      • Utility assistance?
      • Energy Trust funding?

Getting started

slide10

NEPA

  • Oregon Dept. of Energy has a NEPA categorical exclusion for most public school, public facility and industrial projects
  • If your specific project does not fall under the NEPA categorical exclusion, your project manager will call you
  • If NEPA clearance form is required, it must be approved by US DOE before you start your project
slide11

SHPO

  • If building is on the National Register of Historical PlacesOR is 50 years or older:
  • SHPO has issued a Programmatic Agreement (PA) to exempt SHPO-eligible buildings for a number of energy project activities
  • If your activities do not fall under the PA, you must get SHPO clearance approval
  • Oregon SHPO Clearance Form is available at http://www.oregon.gov/ENERGY/Recovery/docs/SHPOClearanceForm.pdf
slide12

SHPO

  • SHPO clearance form will require:
  • Photos of building
  • History of all past changes to structure
  • Description of proposed work including materials to be used
  • How materials will be installed
  • What historic materials will be retained, restored, replaced, or covered
slide13

BETC

  • Business Energy Tax Credit (BETC):
  • Apply before you sign with a contractor.
  • Discuss with your project manager ASAP
  • Remember your ARRA award funds must be deducted from your eligible project costs because it is a federal grant (BETC rules)
  • Your tax credit is a percentage of your eligible costs
slide14

Other incentives

  • Bottom line – A project owner can not receive
  • more than 100% of the project costs fromcombination of ARRA award and other incentives
slide15

Eligible expenses appear in contract scope-of-work

  • Contract does not allow administrative costs
  • Project management costs are allowed if part of your scope-of-work and budget

General requirements

City of Klamath FallsGeothermal

slide16

Getting started

  • Your project manager will set you up on database
  • You will complete past 12-months of energy usage. (See Section 5 of Tool Kit.)
  • Project owner must mail in copies of all required federal, state, and/or local permits

Jackson County FairgroundsCentral Point

slide17

Acknowledge US DOE and Oregon Dept. of Energy involvement on all contracts and any plans. Wording is in Tool Kit.

Bidding/contracting

Hatfield Marine Science CenterOregon State UniversityNewport

slide18

Requires that all the iron, steel, and manufactured goods used in a public building or public work projects are produced in the United States.

  • There is no requirement with regard to the origin of components or subcomponents in manufactured goods used in a project, as long as the manufacturing occurs in the United States.

Buy American requirement

slide19

Buy American certification required during project closeout (Form 6-1a).

  • Review with your contractor early so all requirements are met.

Buy American requirement

slide20

Buy American requirement

  • US DOE has issued multiple waivers.
  • Current list is in the Tool Kit
  • International trade agreements are not applicable.
slide21

Buy American requirement

If equipment does not meet Buy American Act

  • Project owner and contractor will complete Buy American waiver form with information on prices and availability (or non-availability) of specific item. Waiver form available on US DOE website.
  • www.eere.energy.gov/recovery/buy_american_provision.html
  • Waiver form must be approved by US DOE before you make a purchase or start your project.
slide22

Labor standards

  • Any project of $2,000 or more employing laborers and/or mechanics is subject to Davis-Bacon Act
  • Public projects over $50,000 are subject to BOLI
  • Must pay higher of Davis-Bacon or BOLI
  • Do not use the combined rate book from BOLI
  • Project owner must ensure all appropriate documents are attached to bid documents and contracts and are posted at job sites
slide23

All contractors and sub-contractors must receive copy of Exhibit 4-E. Attach to contracts. Document!

  • All contractors and sub-contractors must be apprised of appropriate sections in Exhibit B (federal requirements) and Exhibit D (ARRA requirements). Attach to contracts. Document!
  • All contractors and sub-contractors must complete and sign Form 4-1 (A-C) before construction begins. Forward a copy to your project manager.

Labor standards

slide24

Labor standards

  • Project owner must:
  • Designate an individual responsible for labor compliance
  • Apply Davis-Bacon requirements properly
  • For help – call your project manager
slide25

If using a formal competitive bid process, the appropriate Davis-Bacon wage determination and BOLI reference must be part of bid documents and final contract documents.

  • You must “lock in” Davis-Bacon final wage determination 10 days before end of bid period and document in your files.
  • If not using a formal competitive bid process, you need to document how you informed your contractor of the requirements and ensure wage determination is a component of your contract with them.

Labor standards

slide26

All contractors and sub-contractors must complete and sign Form 4-1 (A-C) before construction begins.

  • Forward a copy to your project manager.

Labor standards

slide27

All project owners must complete and sign Form 4-5 before construction begins.

  • Forward a copy to your project manager.

Labor standards

slide28

Verify contractors are not on State Ineligible Contractor List:

  • http://www.oregon.gov/BOLI/WHD/PWR/Jan10/PWR_Jan10Index2.shtml
  • Verify that contractors are not on the “Federal Excluded Party List”
  • http://epls.arnet.gov
  • Document verifications on contractors on Form 4-5

Labor standards

slide29

Labor standards

  • Verify Oregon Construction Contractors Board (CCB) registration for the prime contractor and ensure prime contractor is checking all the sub-contractors. See Web site:
  • https://ccbed.ccb.state.or.us/ccb_frames/consumer_info/ccb_index.htm
  • Verify contractor can work on public projects. See Web site: http://www.oregon.gov/CCB/public_works.shtml#Not_Qualified_to_Hold_Public_Contracts
slide30

Project owner is responsible for:

  • Informing, advising and supporting contractor compliance
  • Monitoring for violations, perform confidential interviews and document to files (Form 4-10)
  • Investigating probable violations and complaints of underpayment
  • We recommend pre-construction meeting to ensure all vendors understand requirements

Labor standards

slide31

Contractor must pay laborers/mechanics weekly and forward copy of certified payroll to project owner within 7 to 10 days.

  • Project owner must review and begin working with contractor to make corrections if necessary.
  • Project owner must send certified payroll to project manager on aweeklybasis within 2 days of receipt.
  • Tool Kit includes certified payroll form.

Labor standards

slide32

Laborer/mechanic pay is subject to both federal and state over-time requirement

  • Tool Kit has more information

Labor standards

slide33

This area of project management is very important because failure to comply and/or inattention to details can result in failure to comply with federal requirements.

  • Failure to comply can and does result in recipients having to pay for mistakes with their OWN funds.

Labor standards

slide34

Oregon Dept. of Energy will randomly select sub-recipients to provide copies of contracting documents

  • Call your project manager if you have questions
  • Don’t jeopardize your project!

Oregon Dept. of Energy due diligence

slide35

Reimbursement process

  • You request reimbursement in Web-based database.
  • Your project manager will assist you.

South Albany High School Albany

slide36

Reimbursement process

  • Project owners need to ensure that information is accurate.
  • Third party project managers or consultants may enter information into database, but they may not “submit” it.
  • Reimbursement requests must be made monthly, but no more than 2 reimbursement requests per month.
slide37

Invoices from vendors should include:

    • Date
    • Invoice number
    • Company name and address
    • Phone number or e-mail
    • Date of service
    • Units billed for (hours)
    • Description of item including make, model number
    • Rate per item
    • Subtotal of charges
    • Grand total of charges
    • Indication that invoice has been paid-in-full (proof of payment)

Reimbursement process

slide38

Project owners should scan and e-mail copies of all checks to vendors in addition to the vendor invoice when requesting reimbursement

Reimbursement process

slide39

Monthly reporting in database is required

  • Reporting must be completed during the last 5 business days of each month, even if no activity
  • Maximum of 650 characters

Reporting

slide41

Enter final reimbursement request into database

  • Request final closeout by e-mail to project manager
  • Project manager will sent you a final report form and requirements including request for
  • - Before and after pictures
  • - Original certified payroll
  • - Proof of all other expenditures
  • Enter final total costs and jobs created in database and complete and send in all final reporting requirements

Final draw requirements

slide42

25% of award funding is held until: - Project is complete and operating;

        • - Project manager has received all final report requirements; and - Project manager has issued final approval
  • Oregon Dept. of Energy will randomly monitor (inspect) projects

Post-project follow up

slide43

You must report energy usage on database for 24 months after project completion

  • Records retention is for three years after project completion or conclusion of any audit, controversy and/or litigation

Post-project follow up

slide44

Resources

Team Members:

Paul Egbert – Acting Program Manager

Jonathon Belmont – Project manager

Ann Grim – Communications

Ashley Horvat – Policy analyst

Rebecca Sherman – Project manager

Shanda Shribbs – Project manager

Patricia Sougstad – Administrative assistant

Rebecca Sweetland – Project manager

Tom Vohs – Technical lead

Lee Willeman – Project manager

slide45

Resources

Oregon Department of Energy625 Marion St. N.E.Salem, OR 97301-3737Phone: 1-800-221-8035