HomeMy WebLinkAbout5.225 Original ContractAUTHENTICATED COPY
COMMERCIAL RESOURCE ACQUISITION AGREEMENT
ENERGY SMART DESIGN PROGRAM
executed by the
UNITED STATES OF AMERICA
DEPARTMENT OF ENERGY
acting by and through the
BONNEVILLE POWER ADMINISTRATION
and
CITY OF PORT ANGELES
Index to Sections
Contract No. DE- MS79- 92BP93843
Procurement No. 56606
09/10/92
E as
Section Page
1. Purpose of Agreement 2
2. Term of Agreement 2
3. Definitions 3
4. Exhibits 3
5.` Entire Agreement 3
6. Transition 3
7. Interpretation 5
8. Termination 5
9. Amendment of Agreement 6
10. Contractor's Duties 6
11. Bonneville's Duties 7
12. Budget, Obligation and Payment Provisions 8
13. Quality Assurance 10
14. Nonperformance 10
15. Program Records 10
16. Program Reports 11
17. Program Evaluation 1
18. Modification of Operating Area 11
19. Disposal of Nonexpendable Property 11
20. Notices and Other Communications 11
21. Dispute Resolution and Arbitration 12
22. Severability 12
23. Signature Clause 12
Exhibit A (General Conservation Contract Provisions dated 4/01/92) 3
Exhibit B (Program Overview) 3
Exhibit C (Work Plan Criteria) 3
Section Page
Exhibit D (Budget, Obligation and Payment Provisions) 3
Exhibit E (Definitions) 3
Exhibit F (Program Evaluation) 3
Exhibit G (Referenced Documents) 3
This COMMERCIAL RESOURCE ACQUISITION AGREEMENT is executed between the
UNITED STATES OF AMERICA, Department of Energy, acting by and through the
BONNEVILLE POWER ADMINISTRATION (Bonneville) and CITY OF PORT ANGELES, a
municipal corporation organized and existing under the laws of the State of
Washington (Contractor).
W I T N E S S E T H:
WHEREAS Bonneville is required by the Pacific Northwest Electric Power
Planning and Conservation Act, Public Law 96 -501 "Northwest Power Act to
meet the actual or planned load growth of its customers in significant part
through the acquisition of cost effective Conservation; and
WHEREAS Bonneville is directed by the Northwest Power Act to make maximum
practicable use of its customers and local entities when implementing
Conservation Measures which require direct arrangement with consumers; and
WHEREAS Bonneville, pursuant to its 1992 Resource Plan, intends to acquire
significant amounts of cost effective Conservation in the commercial end -use
sector through a regionwide program called "Energy Smart Design;" and
WHEREAS Contractor shall implement the Energy Smart Design Program within
its Operating Area;
NOW, THEREFORE, the parties hereto mutually agree as follows:
1. Purpose of Agreement.
(a) The purpose of this Agreement is to acquire cost effective, reliable
Conservation Resources from newly constructed and existing Commercial
Buildings.
(b) To accomplish this, Contractor will implement Energy Smart Design in
a manner that meets or exceeds criteria established by Bonneville,
and Bonneville will provide incentive payments and reimbursement of
Contractor's costs, as described in this Agreement.
2. Term of Agreement.
(a) This Agreement shall become effective at 2400 hours on September 30,
1992, or on the date the Contractor signs thereafter. It shall
remain effective until 2400 hours on June 30, 2001, unless terminated
earlier as provided in section 8 below.
(b) Bonneville accepts no responsibility for costs incurred or
commitments made by the Contractor until Bonneville has approved
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Contractor's Work Plan and Budget in writing except as described in
section 6 of this Agreement.
(c) All obligations arising from this Agreement shall be preserved until
satisfied.
3. Definitions.
(a) All terms in this Agreement which begin with initial capital letters,
such as "Program Activities," have defined meanings.
(b) The meanings of all defined terms can be found in Exhibit E.
(c) Some of these definitions appear, in exactly the same form, in
Exhibit A, The General Conservation Contract Provisions. They are
repeated in Exhibit E (Definitions), for the convenience of Energy
Smart Design participants.
4. Exhibits.
The following documents are made a part of this Agreement by reference:
Exhibit A (General Conservation Contract Provisions dated 4/01/92)
(GCCP's), Exhibit B (Program Overview), Exhibit C (Work Plan Criteria),
Exhibit D (Budget, Obligation, and Payment Provisions), Exhibit E
(Definitions), Exhibit F (Program Evaluation), and Exhibit G (Referenced
Documents).
5. Entire Agreement.
The rights and obligations of Bonneville and the Contractor are subject to
and governed by this Agreement. This executed document is the entire
agreement between Bonneville and the Contractor on this subject, and
supersedes any and all prior agreements with respect to its subject
matter. The headings used in the Agreement are for convenient reference
only, and shall not affect its interpretation.
6. Transition.
The transition is the period from the effective date of this Agreement,
until the Contractor's Work Plan and Budget for this Agreement are
approved as described in section 9 of this Agreement.
(a) Eligibility.
Contractors who were implementing the Bonneville Energy Smart Design
Assistance Program as a recipient under a Financial Assistance
Agreement, hereby incorporated by reference into this Agreement as
Exhibit G (Referenced Documents, Item 7), are eligible to operate
under transition procedures providing:
(1) They are listed by name and Cooperative Agreement number in this
section 6;
(2) They have submitted a signed copy of this Agreement and any
required Board or Council Resolution or minutes to Bonneville;
and
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(3) They have submitted a completed Transition Funding Worksheet
(Exhibit G, Item 3, Financial Reporting) which has been approved
by Bonneville.
Benton County PUD
Chelan County PUD
City of Richland
Clallam County PUD
Clark Public Utilities
Eugene Water Electric Board
Grant County PUD
Inland Power and Light
Port Angeles City Light
Seattle City Light
Springfield Utility Board
Tacoma Public Utilities
Contract Number
OE- FC79- 88BP93023
DE- FC79- 88BP93026
DE- FC79- 88BP93024
DE- FC79- 88BP93021 1/
DE- FC79- 88BP93031
DE- FC79- 88BP93020
DE- FC79- 8 •8BP93018
OE- FC79- 88BP93022
DE- FC79- 88BP93021 1/
DE- FC79- 88BP39138
DE- FC79- 916P24366
DE- FC79- 88BP93027
(b) Transition Work Plan.
Eligible Contractors may operate under their most recent Work Plan
approved under the Financial Assistance Agreement during the
transition.
(c) Transition Funding.
Bonneville will authorize funding for the Contractor to operate the
Energy Smart Design Program during the transition. This Transition
Funding will be approved upon receipt of a signed Energy Smart Design
Long -Term Contract and a Transition Funding worksheet. This
Transition Funding will consist of an allowance for administration
and funding ceilings for subcontracted design assistance and optional
services as described below.
(1) Administration.
A one -time administrative payment of $10,000 for each full time
employee (FTE) or a prorated amount for employees working less
than full time on Energy Smart Design during the transition
period. Payment is to be applied for program management
activities (i.e., program administration, training, and
marketing). See Exhibit D for payment schedule.
Administrative per building reimbursement described under the
Financial Assistance Agreement will not be authorized under this
Agreement.
1/ Clallam County PUD's Work Plan for the transition will be the same as Port
Angeles City Light.
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(2) Subcontracted Design Assistance. 2/
An amount up to 20 percent of the Contractor's Fiscal Year
(FY) 1991 -1992 Design Assistance Budget approved for the
Bonneville's Energy Smart Design Assistance Program will be
provided to the Contractor to perform in accordance with the
approved Work Plan.
(3) Optional Services. 2/
An amount up to 20 percent of the Contractor's FY 1991 -1992
Optional Services Budget approved for Bonneville's Energy Smart
Design Assistance Program will be provided to the Contractor to
perform in accordance with their approved Work Plan except for
peer matching and account executive activities, which will not
be reimbursed as separate activities during this transition.
(d) Payment.
All payments shall be made pursuant to section 12 of this Agreement.
(e) Reporting Requirements.
Contractor shall submit the reports required by Item 3 (Financial
Reporting) and Item 4 (Project Reporting) of Exhibit 6 (Referenced
Documents), during the transition.
7. Interpretation.
(a) In the event of a conflict, Exhibit A (GCCP's) is subordinate to all
other parts of this Agreement, including the other Exhibits.
(b) Except as provided in section 18 of Exhibit A (GCCP's), nothing in
this Agreement shall in any manner abridge, limit, or deprive either
Bonneville or the Contractor of any remedy, in law or in equity, for
the breach of this Agreement.
8. Termination.
(a) Contractor may terminate this Agreement by giving Bonneville 30 days'
prior written notice. Upon giving such notice, Contractor shall use
its best efforts to minimize Program Activities for which
compensation is payable by Bonneville.
(b) Bonneville may terminate this Agreement at any time and without cause
by giving Contractor thirty (30) days' prior written notice. Upon
receipt of such notice, Contractor shall cease all new activities
related to this Agreement on the date specified in the notice.
Bonneville will allow Contractor one (1) year from the date specified
in the notice to ramp down and close out its Energy Smart Design
Program Activities. Bonneville will not be liable for any additional
2/ Port Angeles City Light and Clallam County PUD Transition Funding for
these two categories will be based on Port Angeles' Approved Budget under
the Financial Assistance Agreement. The sum of both utilities will not
exceed 20 percent under sections 6(b)(2) and (3) above.
5
costs that Contractor incurs for Energy Smart Design Program
Activities after the end of the one (1) -year period.
(c) Bonneville may terminate or suspend this Agreement for cause, in
accordance with sections 8(a) and 8(b) of Exhibit A (GCCP's).
9. Amendment of Agreement.
(a) Except as provided in the following subsections this Agreement may be
amended by written agreement of the parties.
(b) Bonneville may unilaterally change the documents referenced in
Exhibit G (Referenced Documents), except for Item 2, in order to
incorporate new or updated information. Any such change will be
incorporated into this Agreement at the next modification. Any such
changes made by Bonneville shall only be made after reasonable
consultation with Contractor.
(c) Bonneville may unilaterally amend this Agreement with respect to
cost sharing principles, pursuant to section 27(b)(7) of Exhibit A
(GCCP's).
10. Contractor's Duties.
(a) Contractor shall submit its signed copy of the Agreement to
Bonneville. Contractor will also provide:
(1) A certified copy with original signatures of the resolution or
council minutes of its Board authorizing Contractor to
participate in Energy Smart Design;
(2) A Work Plan, describing how it will perform the Energy Smart
Design Program Activities, within 90 days of the signed
Agreement. The Work Plan, which must meet or exceed the Work
Plan Criteria contained in Exhibit C, must be approved by
Bonneville before Contractor can obtain an Approved Budget. If
the Contractor fails to submit a Work Plan within the 90 days,
the Model Work Plan will become the Contractor's Work Plan;
(3) Contractor's preferred method of payment, selected from the
alternatives contained in Exhibit 0 (Budget, Obligation and
Payment Provisions); and
(4) Initial budget request within 30 days after approval of
Contractor's Work Plan. Failure to submit the initial budget
request within the 30 days will mean the Contractor is
requesting a zero budget.
(b) Contractor will promote and implement Energy Smart Design as
described in its approved Work Plan, which is Exhibit G (Referenced
Documents, Item 1 -Model Work Plan or Item 2- Contractors Designed Work
Plan) to this Agreement.
6
(c) Contractor will make Resource Acquisition payments to Building Owners
pursuant to Implementation Agreements. Such agreements must provide
for the review and inspection of each project by Contractor. Such
agreements shall also provide Bonneville the option to:
(1) make site visits to each project, arranged by Contractor;
(2) evaluate each project, as provided in Exhibit F (Program
Evaluation);
(3) make public any nonproprietary information regarding the
project; and
(4) contact appropriate Federal, State, or local jurisdictions
regarding environmental, health or safety matters related to the
project, if any.
(d) Contractor will request addition or deletion of Program Activities by
submitting a revised Work Plan for approval by Bonneville.
(e) Contractors who are eligible to implement this Agreement during the
transition shall notify Bonneville in writing if they intend to
operate the Work Plan approved under Bonneville's Energy Smart Design
Assistance Program during the transition.
(f) Contractor shall provide a completed Transition Funding Work Sheet
(see Exhibit G, Item 3, Financial Reporting) identifying the number
of FTE and funding levels for subcontracted design assistance and
optional services according to section 6(b)(2) and (3), Transition
Funding.
(g) Contractor shall identify the preferred method of payment contained
in Exhibit D (Budget, Obligation and Payment Provisions), during the
transition.
11. Bonneville's Duties.
(a) Bonneville shall promote the Program throughout the Region, and shall
integrate its promotional efforts with those conducted by Contractor.
(b) Bonneville shall adopt standards and criteria intended to assure that
the Program acquires regionally cost effective, reliable, Resources
from Commercial Buildings.
(c) Bonneville shall provide, for Contractor's optional use, a Model Work
Plan which is deemed to meet the criteria discussed in section 10(b)
above.
(d) Bonneville shall pay Contractor for implementing the Program, and
provide Resource Acquisition payments to the Contractor for
pass- through to the Project's Building Owners, in accordance with
Exhibit G (Referenced Documents, Item 1 -Model Work Plan or
Item 2- Contractor Designed Work Plan).
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(e) Bonneville shall monitor implementation of the Program by Contractor
and others to assure that Resources are being acquired in the
quantities, and at the costs assumed in the design of the Program.
(f) Bonneville shall provide Contractor with services and materials in
accordance with Exhibit G (Referenced Documents, Item 7- Materials and
Services Provided by Bonneville).
(g) Bonneville shall approve or reject Contractor Designed Work Plan
within 30 working days from receipt. If Bonneville rejects the Work
Plan, Bonneville and Contractor shall negotiate an acceptable plan.
(h) Bonneville shall pay eligible Contractors during the transition
pursuant to section 12 of this Agreement.
12 Budget. Obligation and Payment Provisions.
(a) Contractor and Bonneville will comply with the budget, obligation,
and payment provisions contained in Exhibit 0 (Budget, Obligation and
Payment Provisions).
(b) Budget.
Bonneville may require the Contractor's budget be reduced based on
external regional conditions beyond Bonneville's control. Any
reduction to the budget shall only be made after reasonable
consultation with the contractor. Such reductions shall not affect
the term of this Agreement or termination procedures in sections 2
and 8 of this Agreement.
(c) Obligation.
(1) Bonneville shall maintain all obligations incurred under this
Agreement for projects contracted during the current Fiscal Year
which have not been invoiced, if an Implementation Agreement was
executed between the Contractor and the Building Owner in the
current Fiscal Year.
(2) Under this Agreement Bonneville will maintain all obligations
for projects contracted under the Energy Smart Design Assistance
Program Option 1 and 2 Cooperative Agreements prior to
October 1, 1992, until invoiced and a Resource Acquisition
(Incentive) Payment is made. This obligation will be recognized
if an Implementation Agreement was executed between the
Contractor and the Building Owner for which the costs were not
invoiced to Bonneville prior to October 1, 1992, and an
Implementation Agreement Report is submitted in accordance with
section 12(c)(4) below.
(3) Under this Agreement Bonneville will maintain all obligations
for projects contracted under the Energy Smart Design Program
Option 3 Commercial Resource Acquisition Agreement prior to
October 1, 1993, until invoiced and a Resource Acquisition
(Incentive) Payment is made. This obligation will be recognized
if an Implementation Agreement was executed between the
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(4) The Contractor shall submit an Implementation Agreement Report
at least annually in accordance with Exhibit D, (Budget,
Obligation and Payment Provisions). The Contractor will list
all projects for which they have signed Implementation
Agreements with Building Owners which will not be invoiced
during the current Fiscal Year.
(5) Contractor shall provide an Implementation Agreement Report
(Exhibit G, Item 3, Financial Reporting), for all projects
contracted prior to October 1, 1992, no later than October 30,
1992, if an Implementation Agreement was executed between the
Contractor and the Building Owner for which the costs were not
invoiced to Bonneville prior to October 1, 1992.
(d) Payment.
Contractor and the Building Owner for which the costs were not
invoiced to Bonneville prior to October 1, 1993, and an
Implementation Agreement Report is submitted in accordance with
section 12(c)(4) below.
(1) Bonneville shall pay the Contractor no later than 30 days after
Bonneville's Receipt and Acceptance of a proper invoice.
Bonneville shall make payment no more frequently than monthly.
(2) Bonneville shall pay the Contractor in accordance with the
schedules contained in the Contractor's Work Plan, Exhibit G
(Referenced Documents, Item 1 —Model Work Plan or
Item 2— Contractor Designed Work Plan). Contractors operating
under the terms of section 6, Transition, shall be paid
according to the Payment Schedules in Exhibit D (Budget,
Payment, and Obligation Provisions) during the Transition.
(3) On the first Activity Report submitted by Contractor following
approval of the Contractor's initial Budget to this Agreement,
the Contractor shall request payment for program management
activities from the effective date of this Agreement. An
adjustment shall be made to the payment requested under
administrative reimbursement on the activity report to reflect
all administrative payments made during the transition.
(e) Cost Sharing Principles.
The Bonneville cost sharing principles apply to this Program. The
Bonneville cost share percentage for the Contractor shall be
determined in accordance with section 27 of Exhibit A GCCP's) and
shall be applied to any payment that Bonneville pays under this
Agreement.
(f) Single Audit.
If Contractor is required to have a single audit as identified in
section 11 of Exhibit A (GCCP's), Bonneville will, with appropriate
prior approval of the Contracting Officer's Technical Representative,
reimburse Contractor for the incremental cost pertaining to the audit
of this program.
9
(g) Duplicate Payments.
Bonneville will not pay for the same portion of the installation or
material cost of a Measure under this Agreement which has been or
will be paid for under any other agreement or financial assistance
instrument.
13. Quality Assurance.
(a) Contractor is responsible for building quality assurance into all
aspects of their program including analysis, recommendation,
inspection, installation, operations and maintenance plans and
services, building commissioning, followup site visits, etc., in
accordance with the Work Plan.
(b) Bonneville may conduct periodic onsite reviews to assess Contractor's
implementation and recordkeeping under Energy Smart Design, and may
make field inspections of Measures installed at Commercial Buildings
for which incentives have been paid. All such inspections shall be
at reasonable times and upon reasonable notice.
(c) If Bonneville concludes that Contractor is not performing its
implementation duties under this Agreement satisfactorily, Bonneville
may require Contractor to develop a quality assurance plan. The plan
may require Contractor to remedy deficiencies discovered during
Bonneville's review.
(d) If necessary due to continued or repeated noncompliance by Contractor
with its quality assurance obligations, Bonneville may exercise its
right to suspend or terminate this Agreement pursuant to section 7
above and section 8 of Exhibit A (GCCP's).
14. Nonperformance.
If Contractor's performance does not meet the standards of this Agreement
or conform to its Work Bonneville may revise and reallocate
Contractor's budget, as provided in Exhibit D (Budget, Obligation and
Payment Provisions) or Exhibit G (Referenced Documents, Item 1 -Model
Work Plan).
15. Program Records.
(a) Contractor shall maintain, in accordance with Exhibit A (GCCP's)
section 10, all records it establishes in fulfilling this Agreement
including, but not limited to:
(1) All data necessary to support the reports listed in Exhibit G
(Referenced Documents, Item 3- Financial Reporting and
Item 4- Project Reporting).
(2) Electrical billing records of buildings which receive the
Program's services, to the extent permitted by law. Billing
records for one (1) year before installation of Measures for
Retrofit buildings, and two (2) years following occupancy or
installation for all buildings are required.
10
(3) All information developed for this Agreement which is not
transmitted to Bonneville, such as specific analysis
calculations, Building Design Assistance Reports, and
correspondence concerning projects, including invoices for
equipment and installation cost (labor if applicable).
(b) The Contractor shall keep all records required by this Agreement for
three (3) years after termination of this Agreement unless otherwise
notified by Bonneville in writing.
16. Program Reports.
Contractor shall submit the reports required by Item 3 (Financial Reporting)
and Item 4 (Project Reporting) of Exhibit G (Referenced Documents).
17. Program Evaluation.
Bonneville will conduct impact and process evaluations of this Program.
Contractors agree to cooperate in accomplishing these evaluations. Details
are given in Exhibit F (Program Evaluations).
18. Modification of Operating Area.
Contractor may conduct Program Activities outside of its own Operating
Area, with the written approval of Bonneville and the utility or utilities
in whose Operating Area(s) Contractor desires to conduct business. Cost
sharing will apply to those areas in which the Project is located or
Program Activity are conducted.
19. Disposal of Nonexoendable Property.
Property purchased by Contractor under this Agreement shall be considered
as owned by Contractor. Contractor retains unrestricted title to such
property upon termination of this Agreement.
20. Notices and Other Communications.
(a) Written communication between the parties, including invoices, shall
be delivered in person or mailed to the address and to the attention
of the person specified below:
If to Bonneville:
If to the Contractor:
Bonneville Power Administration
Puget Sound Area Office
201 Queen Anne Avenue North
P.O. Box C -19030
Seattle, WA 98109 -1030
Attn: Dulce Setterfield TBA
Contracting Officer's
Technical Representative
(206) 553 -1366
City of Port Angeles
Department of Light
321 E. 5th Ave.
P.O. Box 1150
Port Angeles, WA 98362 -0217
Attn: Ken Maike
Conservation Manager
(206) 457 -0411
11
(b) Either party may change or supplement such address or specified
persons by written notice to the other party.
21. Dispute Resolution and Arbitration.
Disputes hereunder shall be resolved in accordance with section 18 of
Exhibit A (GCCP's).
22. Severability.
If any provision of this Agreement is finally adjudicated to be invalid or
unenforceable, Bonneville and Contractor intend that, to the extent
practical, the remainder of this Agreement continues in full force and
effect.
23. Signature Clause.
Bonneville and Contractor each represents that it has been duly authorized
to enter into this Agreement.
IN WITNESS WHEREOF, the parties have executed this Agreement.
/s/ TERENCE G. ESVELT By
Puget Sound Area Manager Puget Sound Area Manager
By
September 8, 1992
CITY OF PORT ANGELES
Date
Name Robert J Titus
(Print /lype)
9 -23 -92
(VS10 -PMCE- +1717 +1719/ +1685)
12
UNITED STATES OF AMERICA
Department of Energy
Bonneville Power Administration
‘ote,,dei
Name Terence G. Esvelt
(Print /type)
Date September 8, 1992
/s/ ROBERT J. TITUS
Title Director Port Angeles City Light Director Port Angeles City Light
September 23, 1992
U.S. DEPARTMENT OF ENERGY BOANEV1LLE POWER ADIONISTR. ,TION
BPAF482001 NOTICE OF FINANCIAL ASSISTANCE AWARD
(08-89)
(Previously BPA 1813) (See instructions on reverse.)
Under the authority of Public Law 96 -501 Pacific NW. Electric Power Planning and Conservation Act
and subject to legislation, regulations and policies applicable to (cite legislative program tale):
41 U.S.C. 501 et seq. Federal Grants and Cooperative Aareement Act of 1977
1. PROJECT TITLE 2. INSTRUMENT TYPE
Energy Smart Design Assistance Program GRANT X COOPERATIVE AGREEMENT
Option 1 Utility Agreement I 4. INSTRUMENT NO. 5. AMENDMENT NO.
3. R IPI NT (Name, addreA$, zip code area code and telephone no.) DE-FC79-88BP93021 1 A006
P ort Angeles laity Light 6. BUDGET PERIOD (From Thru) 7. PROJECT PERIOD (From Thru)
P.O. Box 1150 07/01/91- 09/30/92 09/26/88 09/30/98
Port Angeles, WA 98362 1 9. PURCHASE REQUISITION NO.
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.) 79- 91BP20499
K en Maitre
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Ken Maike
(206) 457 -0411
13. BPA PTR (Name, address, zip code, telephone no.)
Dulce Setterfield TBA (2 06) 442 -1366
BPA Puget Sound Area; Suite 400
A ft201 Queen Anne Ave., North; Seattle, WA 9849
ECIPIENT TYPE
STATE GOVT INSTITUTION OF HIGHER EDUCATION FOR PROFIT ORGANIZATION C P SP
LOCAL GOV'T HOSPITAL INDIVIDUAL
INDIAN TRIBAL GOV'T OTHER NONPROFIT ORGANIZATION X OTHER (Specify) Utility
15. ACCOUNTING AND APPROPRIATIONS DATA 16. EMPLOYER I.D. NO. /SSN
a. ORGANIZATION b. OBJ NUMBER c ACTIVITY d PL -6 NUMBER
RMCC 27 GNL T12201 91- 6001266
17. BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION b. CUMULATIVE BPA OBLIGATIONS
(1) SPA Funds Obligated This Action 373.440.00 373,440.00
(2) Carry Estim 378, 500.00 (1) This Budget Period
2 BPA Funds Authorized for Car Over (Total of lines a and a.(3)J
(3) BPA Funds Previously Obligated in this Budget Period —0— 774, 431.00
(4) BPA Share of Total Approved Budget
751.940.00 (2) Prior Budget Periods
(5) Recipient Share of Total Approved Budget —0— 1,147,871 .00 41 751 940.00 (3) Project Period to Date
(6) Total Approved Budget (Total of lines b.(1) and b.(2))
TOTAL ESTIMATED COST OF PROJECT
1 10. TYPE OF AWARD NEW X CONTINUATION
RENEWAL REVISION SUPPLEMENT
12. ADMINISTERED BY (Name, address, zip code, telephone no.)
Bonneville Power Administration
Attn: Meri Gordon SRPA
P.O. Box 3621 FTS 429- 5321
Portland, OR 97208 (503)230- 5321
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount).
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following:
a. Budget, dated March 27, 1991
b. Adjustment to Port Angeles City Light's Budget
c Revised Program Description
d. Revised Terms and Conditions
e.
f.
2Q REMARKS
This Modification is issued to: (1) initiate a new budget period; -and
(2) incorporate a revised Program Description and Terms and Conditions, which supersede all
previous editions. This budget period will be incrementally funded; reference
Clause 15.0202 -18, Availability of Funds. ALL OTHER TFRMS AND rf1NnTTTfNS REMAIN THE SAMF.
21. EVIDENCE OF RECIPIENT ACCEPTANCE 22. AWARDED BY
74s-/9 L-khoree 6/c 0 1
(Sighature o1 Authonzed(crprent Official) (Date) (Signature) (Dare)
POEEQT c 7 US
(Name)
(,c'_cpoo_n1 /r7ml
i lit(48 Rbbert W. Gable
Contracting Officer
SPA F 4620 01 (Reverse ade)
(This form shall be completed in accordance with the following instructions. For any clarification or additional information that might be needed,
consult the appropriate section of the Bonneville Power Assistance Instructions (BPAI)
Insert in the space provided, in the line which begins, ''Under the
Authority of Public Law. the number and the name of the Public
Law which authorizes this award On the line below, enter the title
of the pertinent program
Block 1 Enter the project title as it appears in the SF-424 or
equivalent application/proposal face sheet.
Block 2 Place an 'X" in the box beside the appropriate financial
assistance instrument
Block 3 Enter the name, address and telephone number of the ap-
plicant/proposer as it appears in the SF-424 or equivalent applica-
tion/proposal face sheet
Block 4- Enter the instrument number (See BPAI
Block 5- Enter the appropriate amendment number (See BPAI for
guidance.)
Block 6- Enter the starting date and expiration date for the current
budget period. If a budget period is being changed. enter the start-
ing date and expiration date for the budget period, as changed.
Block 7- Enter the starting date and anticipated completion date for
the project. If a project period is being changed. enter the starting
date and anticipated completion date for the project period, as
changed.
Block 9 Ente,r referenced purchase
Block 8 Enter the name and telephone number of the individual
designated by the applicant/proposer as the diicior el the project
Block 10 Place an 'X fl he opposita the term which iden-
tifies the type of action being taken (BPAI
Block 11 Enter the name and telephone ourrie,c of the individual
designated by the applicant/proposer as the contat,t or ail business
matters
Block 12 Enter tne name, address ane ieleprione number of the
individuallorganizaticn wino viilt aaminister the agreement for BPA.
Block 13 Enter the name, address and telephone number of the
individual designated by the BPA program office as the Project
Technical Representative (PIA).
Block 14 Place an "X" in the box beside the applicable recip-
ient type. If the recipient is a for-profit organization also check one
of the lower boxes as follows: "C" for Corporation, "P" for Partner-
ship and "SP" for Sole Proprietorship. If the recipient is of a type
not indicated place a checkmark in the box beside "Other," and iden-
tify the recipient type in the space provided.
Block 15 When obligating funds. enter appropriate organization,
object number, activity number, and PL-6 number If no funds are in-
volved, enter NO CHANGE"
Block 16 Enter the applicant's/proposers Federal Employer Iden-
tification No, from the SF-424 or equivalent application/proposal face
sheet, or if the applicant/proposer is an individual, enter his/her social
security number.
Block 17 Entries should be made as follows (If no dollar entry is
appropriate a zero should be entered to indicate there was no error
of omission.)
Line a.(1) Enter the amount of BPA funds obligated by this
action
Line a.(2) Enter tne amount of BPA funds not expended in prior
budget period(s), if any authorized ay BPA for expenditure in
the current budget period
Line a.(3) Enter the amount of BPA funds previously obligated
in the current budget period
Line a.(4) Enter BPA's share of the total approved budget shown
on Line a (6)
Line a.(5) Enter the recipient s share of the total approved
budget shown on Line a (6).
Line a.(6) Enter the total approved budget for the current budget
period (Add the amounts in lines a.(4) and a (5).)
Line b.(1) Enter the amount of BPA funds obligated in the cur-
rent budget period. (Add the amounts in lines a.(1) and a (3)
Line b.(2) Enter the amount obligated by BPA in prior budget
1111
Line b.(3) Enter the amount obligated by BPA in the project
period to date (Add the amounts in lines b.(1) and b (2)
periods
Block 18 This may be completed at the discretion of the CO. If block
18 is cornpieted, enter in the blank provided the amount which
represents the current estimate of total funds and dollar value of in-
kind centributions (both BPA and recipient shares) needed to carry
out the entire pra;ect Include all lunds and contributions previously
provided, those. being provided by this action, and ail .:Ititicipated
future r;a:igatioi is and contributions of both parties. If block 18 is not
to be comp!etcd. enter "NA".
Block 19 identifies the eiements other than the NFAA which make
up the award These elements may be physicey attached to the
NFAA or inoorcaratod by reference, Block 19 should be canwieted
as toticissi
(A) The Statement nt Work and the Terms and Condition
the award must oe physically attached to the NFAA
(8) Enter the date of the original application and the date(s)
of any amendments to the application. When the SF-424 is used
as the application face sheen the date in block 23c on page 1
of he SF-424 should be used Otherwise use the date of the
application transmittal letter All negotiated changes which were
not stated in a referenced amendment to the application must
be stated in the Special Terms and Conditions.
(C) Enter the numbers of the OMB circulars which apply to the
award.
Other appropriate documents may be entered as needed.
Block 20 Enter any explanation or advisory comments which are
required for, or applicable to, this action.
Block 21 Will be completed by the recipient.
Block 22 The Contracting Officer shall sign and date the top line.
His/her name should be entered on the next line. This box must be
signed prior to forwarding to recipient.
1
(1)
APPROVED BY:
RECIPIENT: City of Pnrt BngAipc
(3) Optional Services
(a) Daylighting
(b) Equipment Rebate
(c) Site -Based Payments
(d) Building Commissioning
(e) Account Executive
(f) Operations and Maintenance
(g) Peer Matching
(h) Design Team Incentives
(Signature of R)
Administrative Allovpc}
(a) Base $20,000
(b) Total Number of !Wilding; (Prescriptive) X $1000
(c) Total Number of pulidinas (Bin, Hourly, and
Hand Calculation;)-1 woo
(d) Total Number of 1111d140; (Rebate) X $500
(2) Analysis
(a) Number of Hand Calculation Buildings:
(b) Number of Bin Buildings:
(c) Number of Hourly Buildings:
(d) Number of Large /Complex Buildings:
Budget requested and prepared by d
4
A
S gnature of Recipient)
20, rum
Infirm
45,000
15,000
ill DATE PREPARED: 3 -27 -91
ENERGY SMART DESIGN
OPTION 1 UTILITIES
APPLICATION FOR FEDERAL ASSISTANCE BUDGET FORK
REVISED BUDGET FOR PERIOD JULY 1, 1991 TO SEPTEMBER 30. 1992
AWARD NUMBER: DE- FC79 -88BP -93021 AePLICAOLE CAST SHARE (AS OF JULY 1, 1991) 100
1
TOTAL Haulm g fCIPIENT S14* g pECIPIE!(T RARE
07/01/91- 09/30/91 10/01/91 -09/30/92
$__20,000
30,Q00
45,000
15,000
$-.0
o
0
_2n_ X $2500 5n,nnn 5n,nnQ
X $2500 12 5M 12.5011 $__1111
5 X $5000 2' nQQ '5,OOD M/
X ,I/A
"0 750.000 75 000
150.000
1.127.500+'$ 0 0
0
0
SUBTOTAL FOR CATEGORIES 1, 2, 3 $1
$_..1116
150,000
N/A
10,0n0 X0,000 $—_NLA
$__Ma
(4) Total Unliquidated Obligations Estimated as of 6/30/91 200.000 ?.QQ,000+ $,,Q
BUDGET FOR PERIOD 7/1/91 THRU 9/30/92 TOTALS 1 327 0
Recipient requests payment via (mark one) Advance (includes Letter of Credit) X Reimbursement
(See Bonneville Pour Assistance Instructions (BPAI] Par .09 for definitions)
0_
o
0
.lee a aelural c .4 -.wrud e
VS5 -3127c 03/13/91
1. Item No. 3(b), Optional Services
Total Budget for Item No. 3(b)
2. Item No. 3(b), Optional Services
BPA's Share
(0162m:2)
City of Port Angeles
DE- FC79- 88BP93021 A006
Due to limited funding availability, Bonneville Power Administration (BPA) has
reduced their commitment for Item No. 3(b), Optional Services. The following
changes have been made to City of Port Angeles' March 27, 1991, budget:
3. Budget for Period July 1, 1991, through
September 30, 1992
Budget Total
4. Budget for Period July 1, 1991, through
September 30, 1992
BPA's Total Budget
From To
$750,000 $700,000
$750,000 $700,000
$1,327,500 $1,277,500
$1,327,500 $1,277,500
SECTION A. PROGRAM DESCRIPTION
Part 1. General
Part 2. Tasks
Part 3. Budget
ENERGY SMART DESIGN PROGRAM
OPTION 1 AND 2 UTILITY AGREEMENTS
INDEX
TERMS AND CONDITIONS
EXHIBITS
Exhibit 1 Definitions
Exhibit 2 Services Summary
Exhibit 3 Activity Report
Exhibit 4 Sample Consultation Worksheet
Exhibit 5 Promotion
Exhibit 6 Technical Requirements
Exhibit 7 Energy Conservation Measure (ECM) Code List
Exhibit 8 Standard Industrial Classification (SIC) Code List
Exhibit 9 Cost Share Percentages
PART 1 GENERAL
1.1 Scope
SECTION A
PROGRAM DESCRIPTION
ENERGY SMART DESIGN ASSISTANCE PROGRAM
UTILITY AGREEMENT
To improve the energy efficiency of commercial buildings in the
Pacific Northwest.
1.2 Objectives
1.2.1 General
A. To improve energy efficiency in new and existing commercial
buildings by working through the region's utilities to provide
energy design assistance, payments, and related services to
commercial building designers, developers, and owners.
B. To effect changes in the region's energy codes by demonstrating
the economic benefits of energy efficiency improvements.
C. To educate commercial building designers, developers,
professional educators, financial institutions, property
managers, building operators, and others on the benefits of
including energy efficiency measures in commercial buildings.
D. To support the use of energy- efficient electric products as a
means of promoting electric energy conservation and prudent
electric load growth in the commercial sector.
E. To give participating utilities the opportunity to design and
test program components, and participate in program evaluation in
order to: (1) provide experience for utilities to operate their
own programs in the future; (2) provide experience that
Bonneville Power Administration (BPA) can use to design a
regional, long -term program; and (3) continue to build the
infrastructure to deliver the new service.
1
1.2.2 Specific
F. To coordinate with commercial building designers, developers,
property managers, and building owners so that buildings are
brought into the program at the most opportune time to capture
"best opportunity" resources. "Lost opportunities" will be
avoided as new construction and major remodel projects receive
focused effort.
A. To attain efficiency levels exceeding the 1987 Modell Conservation
Standards (MCS) Code through installation of conservation
measures in 90 percent of the new or remodeled commercial
buildings receiving whole building design assistance in the
period from July 1991 through September 1992.
B. To substantially penetrate the new construction market by
providing design assistance to 35 percent of the new commercial
building starts within a participating utility service territory
in the period from July 1991 to September 1992 and, with the
transition to the long -term program activities, to increase that
penetration to 75 percent of the new commercial building starts
during the period following September 1992.
C. To substantially contribute to the goal of acquiring from the
commercial sector at least 65 MW of energy savings by the
year 1997 by acquiring between 3 and 4 MW during each of the
years following July 1, 1991.
1.3 Background
SECTION A
PROGRAM DESCRIPTION
BPA, a power marketing agency within the United States Department of
Energy (DOE), sells electricity to 115 publicly -owned and eight
investor -owned utilities in the Pacific Northwest. In addition, BPA
provides direct electrical sales to certain industrial customers and
conducts out -of- region power sales.
Under the provisions of the Pacific Northwest Electric Power Planning
and Conservation Act of 1980 (the Act), BPA is authorized to acquire
electric power resources as required to meet the needs of its
customers. These resources include both conservation and
generation. Preference is given to conservation, or energy
efficiency, because in most cases it is the least -cost electric power
resource available to the region.
The Act created a Regional Power Planning Council (Council)
responsible for developing and adopting 20 -year power plans, which
provide guidance for BPA's resource activity within the region. In
1983, the Council adopted its first Northwest Conservation and
Electric Power Plan (Plan). Efficient use of energy is an important
focus of the Plan.
2
SECTION A
PROGRAM DESCRIPTION
The Plan identifies MCS for commercial buildings as the most
cost effective means for BPA to achieve energy efficiency in the
commercial sector. While the MCS for commercial buildings is roughly
equal to current construction practice, BPA has established that
cost effective energy savings (beyond the MCS) can be achieved by
including efficiency strategies in new building designs. Also, BPA
has identified new commercial buildings as a lost opportunity
resource.
The Energy Smart Design Assistance Program (Smart Design Program)
evolved from the Energy Edge design competition, which began in the
fall of 1985. A working group consisting of representatives of
public and private utilities, state and local governments,
architectural and engineering firms, private contractors, and the
Council has assisted BPA with the development of the Smart Design
Program.
A draft strategy was developed and made available to the public for
comment during December 1986 and January 1987. The comments were
evaluated and included within the final strategy, which was approved
by the BPA Conservation Manager in March 1987 and summarized in a
Decision Document. A draft program description was written to
implement those strategies. It was available for public comment
during August 1987. The comments were evaluated and summarized in a
Decision Document in September 1987 and signed on October 8, 1987.
The Final Description of the Smart Design Program, dated
September 1987, reflects the decisions made.
1.3.1 References
"Energy Smart Design Assistance Program, Final
September 1987.
"Decision Document For The Energy Smart Design
dated October 8, 1987.
"Energy Smart Design Optional Services Workplan Guideline," dated
August 8, 1990-
1.3.2 Environment
This program was originally reviewed for compliance with the National
Environmental Policy Act (NEPA) and was found to be the type of
action normally excluded from further environmental review (Federal
Register, Vol. 47, No. 36, dated February 23, 1982, Page 7977). The
original program offered design assistance and information to program
participants and had no financial incentives for the installation of
energy conservation measures. In order to offer the Site -Based
Payments and Equipment Rebates as optional services, BPA has received
3
Description," dated
Assistance Program,"
concurrence from DOE that, in recommending efficiency improvements
and by paying incremental cost or less than a significant portion of
the cost (which BPA defines as not to exceed 50 percent of the total
cost), the program continues to have no significant adverse impact on
the environment.
To help the program participants avoid areas of potential
environmental effects, BPA has developed requirements based on past
experience in the commercial building sector. These Commercial
Environmental Requirements are included in this Agreement as
Appendix 1 to Exhibit 6 (Technical Requirements). These Commercial
Environmental Requirements must be complied with for all buildings
receiving Equipment Rebates, Site -Based Payments, Building
Commissioning, Operations and Maintenance, and /or Design Payment.
1.3.3 Program Evaluation
BPA will conduct impact and process evaluations of this program. The
evaluations will assess the successes and shortcomings of the program
design and delivery structure. It will also look at the number of
buildings provided design services and the efficiency levels that
were attained. The Recipient will provide the following information
to BPA with the Quarterly Activity Report: (1) building address;
(2) account and /or meter number(s); and (3) dates of service
connection or change for each new electric service connect or change
which has occurred during the previous quarter.
The Recipient and BPA will cooperatively develop a means by which
information on all commercial buildings, newly constructed or
remodeled, will be provided to BPA by the Recipient in order to
establish a comparison group for the evaluation and determine market
penetration. This information will consist of: (1) the conditioned
square footage; (2) building function and /or SIC code; (3) primary
space heating fuel; and (4) primary cooling fuel. When the system is
designed and implemented, utilities will submit this building
information to BPA with the Quarterly Activity Report, or on other
schedules as mutually agreed to by the Recipient and the PTR.
1.4 Government- Furnished Propertv /Service
BPA will provide the following:
SECTION A
PROGRAM DESCRIPTION
A. Formal classroom training for utility personnel. This training
will be conducted by a contractor selected by BPA and will be
optional for utility personnel involved in the operation of the
Smart Design Program. Training will be conducted at various
times and places throughout the BPA service area.
4
SECTION A
PROGRAM DESCRIPTION
B. Program Notebook(s) providing technical and nontechnical
information and guidance for utility program operators. These
documents will be provided at the formal classroom training
sessions listed above. The notebooks will include:
1. Technical Subiects
Basic information on building plans, energy modeling, energy
efficient products, energy management systems, lighting,
building envelope, windows, fans, pumps, space heating
systems, water heating, and ancillary systems.
2. Nontechnical Subiects
Basic information on program objectives, program description,
the commercial development and design process, local program
promotion, sales and basic communications skills, program
management, program administrative procedures, and procedures
to follow when providing program services.
C. Indoor Air Quality information booklets and ballast disposal
guidelines (i.e., EPA Fact Sheet: PCB's in fluorescent light
fixtures, or other literature), as furnished by BPA.
D. A regional promotion program, operated by a contractor selected
by BPA, will include:
1. Promotional materials to mail or hand to commercial building
designers and developers describing the program services.
2. Presentation folders for use by program operators when
presenting program services and when presenting the technical
recommendations once the program services are provided.
3. Ad slicks for insertion by the participating utility in local
newspapers, local trade association newsletters, and utility
publications.
4. Site signs to be used during the construction phase for each
participant building in the Smart Design Program whose
building owner or designated representative signs a letter of
intent to achieve the Energy Smart or Energy Edge Award
efficiency levels. Signs may be ordered by participating
utilities as needed.
5. Architectural plaques which may be ordered by the utility to
recognize buildings which participate in the program and
construct buildings that achieve the Energy Edge Award
efficiency levels.
5
6. Certificates which may be ordered by the utility to recognize
designers and developers whose buildings have achieved the
Energy Smart or Energy Edge Award level of efficiency.
E. Energy Smart Design Prescriptive Path Manual, as furnished by
BPA, and including future updates.
F. Conservation Audit workbook, October 31, 1986; revised
November 15, 1989.
1.5 Awardee Furnished Prooerty /Service
The utility Awardee) shall furnish all other property and services
required to complete the tasks and deliverables identified in this
Statement of Work.
1.6 Relationship with the MCS Surcharge
SECTION A
PROGRAM DESCRIPTION
The Smart'Design Program serves as the commercial BPA /Utility MCS
Program which the Council identified in their Power Plan. This
program will serve as an option for utilities to avoid a surcharge
for their commercial loads. The Surcharge Policy lists reporting
requirements in addition to subscribing to this program. See the
"Model Conservation Surcharge Policy Extension," dated February 28,
1989, for additional information.
1.7 Definitions
See Exhibit 1 and Exhibit 6 for a list of applicable definitions.
1.8 Performance Period
The period of performance for financial assistance awards under this
Grant is from the date of award through September 30, L998.
Utilities may continue to offer design assistance and optional
services to their customers and initiate contracts for payments to
building owners (or representatives) from the period of award through
September 30, 1992. The period between October 1, 1992, and
September 30, 1998, allows for completion of commercial buildings and
distribution, of Basic Service (BDAR) and optional services payments
for which contracts between the utility and its customer are awarded
on or before September 30, 1992.
6
PART 2 TASKS
2.1 General Requirements
2.1.2 All utilities shall:
SECTION A
PROGRAM DESCRIPTION
2.1.1 Prior to award, the Awardee selected either Option 1 or Option 2 for
program delivery. All work must be performed in accordance with the
Smart Design Program Technical Requirements (TR) found at Exhibit 6.
As an Option 1 Awardee, the utility must have or establish the
capability to deliver all of the tasks identified in Part 2 and may
not request service from a BPA Alternative Service Provider (ASP).
A. Provide personnel and facilities to offer the services selected
in the budget worksheet.
IP B. Attend BPA- sponsored training sessions, as needed, for program
orientation and operation.
C. Attend program operator meetings called by BPA no more than
four times per year and at least once each year.
D. Provide the services identified for the selected option.
Specific services to be offered under each option are found in
Paragraph 2.2.
E. Maintain, for a minimum of 3 years following the budget period,
accurate and reliable records required by this program for
reporting and evaluation.
F. Report to BPA in accordance with the requirements in
Paragraph 2.2.10.
G. Agree to make program records (including photocopies of such
records) available to BPA or its contractors as needed for
evaluation and provide personnel to assist with interpreting
utility records.
H. Ensure that BPA or its contractors, for each project where design
assistance is performed, has access to the building, design
documentation, design team members, developers, and owners for
evaluation purposes.
I. Promote the program services to local designers and /or developers.
2.1.3 Changes to a different option will be allowed only at the beginning
of a new budget period, even though the actual number of buildings
served in the current budget period may differ from the number of
buildings listed as guidance for that option.
7
2.2 Specific Requirements
C. A local promotion plan (see Paragraph 2.2.3).
D. Identification of computer software tools to be used.
SECTION' A
PROGRAM DESCRIPTION
2.1.4 The Technical Requirements (Exhibit 6) will not be changed during the
budget period without a bilateral modification to the Agreement.
However, BPA's Headquarters Conservation staff may, throughout the
budget period, issue "Interim Guidance" which provides BPA's current
intent. The Recipient has the option of following the "Interim
Guidance" or adhering to the Technical Requirements as shown in the
Agreement.
The Awardee will fulfill the following specific requirements:
2.2.1 Operating Plan
For initial Awardees, the final operating plan will be submitted
within 45 days following award by BPA of the Agreement. The plan
will include:
A. Description of the approach to be used for providing services.
B. A list of modelers, other assigned personnel and retained
contractors who will support program activities; their
experience, qualifications, and role in the program.
Specifically, describe how the lead modeler meets each of the
minimum experience requirements as shown in Exhibit 6, Technical
Requirements, Paragraphs 3 and 3.1.
E. Description of optional services per the "Energy Smart Design
Optional Services Workplan Guidelines."
2.2.2 Key Personnel
The utility will notify the BPA Project Technical Representative
(PTR) if the lead modeler changes.
2.2.3 P romo t ion
Each utility will promote the program services within their service
territory. Exhibit 5 lists sample activities which will meet the
intent of this requirement. The Awardee has the option of performing
the activities listed on the Exhibit, performing others of a similar
nature, or a combination. A separate regional marketing /promotion
effort will be operated by a BPA contractor to support this program.
8
2.2.5 Consultation
9
SECTION A
PROGRAM DESCRIPTION
2.2.4 Screen Inquiries
2.2.4.1 Inquiries concerning the availability of design assistance will be
screened to determine that:
A. The building is to be served by an eligible utility.
B. The building design and construction schedule has sufficient
flexibility and is at a stage where design assistance can result
in efficiency recommendations that can be incorporated into the
design.
C. The owner, developer, and design team have an interest in
receiving design assistance.
2.2.4.2 If the project is part of a chain or franchise operation, the PTR
will be notified prior to providing design assistance services. If
another building in this chain or franchise has previously been
provided design assistance through the program, it will be determined
whether the project will have the same specifications. If so, the
results of the work accomplished on the previous project will be
provided in lieu of further design assistance.
A. A meeting will be conducted with the building owner and /or the
design team to review building design schematics and determine
the needs and capabilities of the design team. The requirement
for this meeting will be waived if the Recipient has an approved
workplan which takes a more streamlined approach for offering
specific optional services.
B. When identical buildings (or buildings of sufficient similarity
so as to produce nearly identical modeling results and
ECM recommendations) have previously been modeled, those modeling
results will be provided to the design team after consultation in
lieu of further design assistance.
C. The utility, as appropriate, will:
1. Determine which design assistance analysis or optional
service approach is appropriate (prescriptive, bin or hourly
simulation modeling, rebate or hand calculations, etc.),
using Sections 4 and 5 of the Program Technical Requirements
(Exhibit 6).
2. Determine needs of owner, scope of service and capabilities
of design team.
SECTION A
PROGRAM DESCRIPTION
3. Identify the specific tasks that will be carried, out,
consistent with basic and optional service requirements
(Paragraph 2.2.6) and establish reimbursement levels.
4. Determine who will perform the identified tasks. To the
extent the building owner's design team meets the experience
qualifications in the Technical Requirements and has the
desire to complete any or all of the tasks identified in
Paragraph 2.2.6, the utility is encouraged to subcontract
with the building owner or design team lead to accomplish the
work.
5. Prepare and execute a written agreement with the building
developer, owner, or their representative which describes the
work to be performed, the estimated cost for each task, who
will perform the task(s), and a schedule for completing the
work. This signed Agreement will include a release allowing
BPA access to information on the project's design
specifications and the results of design assistance
services. The utility agrees to request monthly utility
billing information from the building owner and subsequent
tenants to use for evaluation and case studies.
If the building owner or their representative is not willing
to sign the Agreement, but agrees to comply with the intent
of the Agreement, the utility is not required to execute a
written agreement.
2.2.6 Design Assistance (including Basic (Energy Analysis) and Optional
Services)
Design assistance and optional services will be conducted in
accordance with the Program Technical Requirements. An energy
analysis of the building, a system within the building, or the design
documents thereof shall be conducted to identify the energy
efficiency improvements that are appropriate and feasible. Optional
services as approved by BPA and specified on the cover sheet of this
Agreement may also be conducted (see Paragraph 2.2.6.B). The costs
associated with performing the design assistance services will be
tracked and reported to BPA. See Page 3 of the Smart Design Activity
Report, Exhibit 3, and Part II of the Smart Design Program Services
Summary, Exhibit 2. The Awardee may use the formats shown on the
samples or design their own format. Also see Exhibit 7, ECM Code
List, for designations of Energy Conservation Measures.
A. Basic Services
1. Prescriptive Path Manual Assisted Buildings
Those buildings which meet the requirements of a
"prescriptive path building" (Figure 1 and Paragraph 5.1 of
the Program Technical Requirements) shall be assisted, in
10
1. General
accordance with the Technical Requirements. In lieu of
Services Summary Forms, the utility may submit a completed
set of copies of Project Information Worksheets and a Final
Design Strategy Worksheet for each project, as found in the
Energy Smart Design Prescriptive Path Manual.
2. Energy Modeled Buildings
a. Preliminary design plans, building specifications, and
historical billing history, if applicable, will be
reviewed to:
B. Optional Services
SECTION A
PROGRAM DESCRIPTION
(1) Gather data necessary to perform the basic energy
analysis services;
(2) Determine the baseline energy consumption of the
[proposed] building, using methods specified in the
Technical Requirements;
(3) Identify architectural and engineering strategies
(including computer analysis for daylighting) for
improving the energy efficiency of the baseline
building, using methods specified in the Technical
Requirements.
3. Hand Calculation
Single measure analysis (hand calculation) is allowed in lieu
of whole building energy analysis in certain cases where the
utility's lead technical staff determines there is little (or
straightforward) interaction among electrical energy systems,
or if energy analysis may be accurately performed without
whole building computer simulation. See Technical
Requirements, Section 5.4.
Optional services, limited to those specified in the
Technical Requirements, may be provided at the discretion of
the utility after a workplan prepared by the Recipient is
received and approved by BPA, and incorporated into this
Agreement.
a. Basic services must also be offered if Site -Based
Payment, Building Commissioning, Operations and
Maintenance, or Design Payment is provided. However, the
specific project or commercial building need not accept
the basic services to be eligible to participate in the
'optional services.
11
C. Building Design Assistance Report
The building owner or their designated representative shall be
provided with a Building Design Assistance Report, as specified
in the Technical Requirements, for all basic and site -based
optional services provided. Any resulting primary benefits, such
as equipment downsizing, and any secondary benefits, such as
improved marketability, should be identified and described. This
report will be presented in person, if practical, and the
efficiency options will be explained. Electric products and
technologies may be promoted, when prudent.
See Terms and Conditions, Clause 15.0202 -1, for Basis of Payment
provisions.
2.2.7 Verification
SECTION A
PROGRAM DESCRIPTION
b. The utility must comply with the payment levels and
quality control procedures designated in their Optional
Services Workplan, with the following exceptions: 1) it
is allowable to decrease payment levels; or 2) increase
them up to 15 percent above the original approved payment
level. If the utility is offering Equipment Rebates,
they may add measures within the measure categories
already defined and approved in their Optional Services
Workplan (e.g., if motors have already been approved,
other motors or sizes may be added).
c. Other details in the Optional Services Workplan may be
modified with prior approval of the PTR, with the
exception of adding new optional services per
Paragraph 2.2.6.B above.
A. After delivery of the Building Design Assistance Report,
utilities will perform a followup interview(s) in person or by
telephone to verify whether the design assistance or optional
service recommendations will be implemented. If the intent is to
implement, the utility may provide a site sign. If the ASP
provides the design assistance services, either the ASP or the
utility may perform this followup interview at the utility's
discretion. Such interviews shall be initiated within 2 weeks of
report delivery. If the decision is not made within the initial
2 -week period, the utility or ASP shall check periodically until
the decision on implementation is made.
B. Upon completion of a project, utilities shall conduct an
interview(s) with the design team, owner, or developer to
determine whether or not the building incorporated the design
assistance or optional service recommendations. A verification
12
2.2.8 Awards
site inspection will be performed if ECMs were installed, unless
otherwise specified in the Recipient's approved Optional Services
Workplan. Information listing installed measures and updated
estimated costs shall be included in a completed Energy Smart
Design Services Summary, Part III, for award verification
described in Paragraphs 2.1 and 2.2 of the Technical
Requirements. Although not required, specific measure
information, such as make, model, nameplate rating, and actual
costs, is desirable. A statement of this verification must be
made in writing and maintained with utility records prior to
granting of an award. Other Smart Design Program Services
Summaries, Part III or Part IV, shown at Exhibit 2, should be
used for verifying and reporting all basic and optional services.
The Energy Smart and Energy Edge Awards shall be available for offer
by the Awardee. The awards shall be available to the design team,
owner, and /or developer when the building meets or exceeds the
requirements for these awards specified in Paragraphs 2.1 and 2.2 of
the Technical Requirements. The Awardee shall notify the PTR at
least two weeks prior to the presentation of any award. Discretion
may be used by the Awardee in establishing an internal policy
regarding which individual buildings shall receive recognition
awards. Two types of Smart Design Awards are available.
A. Energy Smart Awards For those who have constructed the
electrical portion of their buildings at levels at least
10 percent more energy efficient than if constructed to the MCS.
Publicity will include certificates for the design team and
owner /developer recognizing the energy efficiency of their
building.
B. Energy Edge Award For those who have constructed the
electrical portion of their buildings at levels at least
30 percent more energy efficient than if constructed to the MCS.
Recognition will include:
1. Certificates of recognition for the design team and
owner /developer.
2. Architectural plaques that are to be permanently attached to
the buildings, recognizing their energy efficient design.
Installation will be at the owner's expense.
3. Publicity, on a selective basis to be determined by the
utility, for the design team and the owner and /or developer.
This publicity may include announcements or notice in
regional or national publications.
13
SECTION A
PROGRAM DESCRIPTION
2.2.9 Records
A. All data necessary to support the reports listed in
Paragraph 2.2.10.
SECTION A
PROGRAM DESCRIPTION
4. A press event, on a selective basis to be determined by the
utility, to publicize the opening of the building.
Prescriptive Path Awards Energy Smart or Energy Edge Awards are
available for those who have constructed their buildings to meet the
applicable Energy Smart or Energy Edge Strategy Set appropriate for
their building type and climate zone. The appropriate Energy Smart
or Energy Edge Strategy Set will be selected from the Prescribed
Design Strategies contained in the Energy Smart Design Prescriptive
Path Manual.
Projects will not be eligible for the Energy Smart or Energy Edge
Award which are not addressed by a whole building analysis, or when a
percent improvement over the MCS as defined in Paragraph 2.2.8,
Awards, A and B, above, cannot be demonstrated. This may be the case
where efficiency recommendations are determined using hand
calculations (single measure method) or_equipment rebate lists, or
where analysis of an existing building is conducted and a whole
building comparison with MCS is not accomplished.
Utilities shall maintain the following records for a minimum of
3 years, unless other time periods are specified within this
section. The 3 -year period will begin on the date the Grantee
submits to BPA its last expenditure report for the annual budget
period.
B. List of those contacts made and /or maintained as part of the
Smart Design Program, including name, address and telephone
number of each.
C. A description of buildings served through the program, including
the name, address and telephone number of each owner /developer
and design team member.
D. Electrical billing records of completed buildings which receive
the Program's services, to the extent permitted by legal and
regulatory requirements, for a period of 2 years following
occupancy.
E. Level of assistance information and costs incurred for basic
services and for each optional service.
F. Copies of the full Building Design Assistance Report, including
computer runs, where appropriate, and other data used in the
process.
14
2.2.10 forting
PART 3 BUDGET
3.0.1 General
SECTION A
PROGRAM DESCRIPTION
G. Copies of the information required by the reports listed in
Paragraphs 2.2.5, 2.2.6, and 2.2.7.
Utilities shall submit monthly, quarterly, and final financial and
technical reports. See Terms and Conditions, Clauses 15.0202 -16 and
15.0202 -17, for the specific requirements.
Program administrative and design assistance funding levels will be
evaluated prior to each new budget period. BPA will notify utilities
of any changes in the criteria for funding prior to the start of each
new budget period.
Utilities shall submit a new budget worksheet, prior to the start of
the new budget period. A new budget allocation for each utility will
then be determined. The utility's past experience (i.e., their
ability to complete service to a maximum number of buildings within
the budget provided) in the Smart Design Program will be reviewed
when new budget levels are considered.
BPA will reimburse recipients for payment of financial incentives for
Energy Smart Design buildings offered under the Energy Smart Design
Optional Services in their service territory. Buildings may
participate in the program even if they participated in other BPA
programs, provided that they are not receiving funding for the same
energy conservation measures (e.g., lighting improvements paid for
under the Energy Savings Plan are not eligible for the Energy Smart
Design incentive payment).
3.0.2 Budget Period
BPA will provide payments to recipients through September 30, 1998,
to pay for projects begun on or before September 30, 1992.
Recipients should reflect their unliquidated obligations on
Form 269A, Line f Federal Share of Unliquidated Obligations. This
allows utilities to identify designated funds which they have
obligated to customers through a formal contract but which will not
be claimed or requested from BPA before September 30, 1992, but no
later than September 30, 1998.
15
3.0.3 Supplemental Funding
Supplemental funding may be requested if a showing of need is made by
the utility in its request to BPA. The justification shall show the
completion of a majority of budgeted buildings (i.e., submitted
Building Design Assistance Reports) and evidence of sufficient
commercial starts to warrant additional effort.
A. Administrative Funding
B. Design Assistance Funding
SECTION A
PROGRAM DESCRIPTION
Any supplemental funding is subject to the availability of funds
and BPA's program needs. The only basis for changing the
administrative allocation will be an increase in the number of
buildings to be provided services. Such additional
administrative funds will be reduced by the current cost share
percentages in effect at the time of supplemental funding.
Any supplemental funding is subject to the availability of funds
and BPA's program needs. The design assistance al :location may be
changed only if:
1. More building projects are expected to be provided design
assistance services than were projected on the budget
worksheet; or
2. Optional services are provided per Paragraph 2.2.6.B, and
there are insufficient funds from other budget items to
offset the extra costs of such services.
3.1 Transfers Between Budget Items
Transfer of funds between Budget Line Items (see Terms and
Conditions, 15.0202 -32, for description of this process).
3.1.1 Administrative Allowance
A. Actual costs will not be paid for items covered by the
administrative allowance. Instead, a flat amount will be paid in
accordance with Paragraph C, below. Administrative funding is
intended to cover a portion of a utility's costs for providing:
1. Consultations which do not result in an agreement to perform
design assistance (Paragraph 2.2.5, Consultation).
2. Design assistance in those instances where a prescriptive
approach is used (Paragraph 2.2.6.A.1).
16
3. Verification (Paragraph 2.2.7).
4. Travel not specifically incurred in performing design
assistance.
5. Record keeping and reporting (Paragraphs 2.2.9 and 2.2.10).
6. Equipment, computer charges, and software programs.
7. Any other tasks not specifically covered by Paragraph 3.1.2,
Design Assistance Allowance.
B. This administrative payment will be subject to further reduction
for partial requirements customers by the current cost share
amount.
C. The amount of administrative funding will depend upon the option
selected and the number of buildings which are provided design
assistance or optional services.
1. Base Administrative Funding
The utility will be provided a base funding amount according
to the service option it selects. The following schedule
will be used to determine the administrative funding base
amount for each utility.
Base Administrative Funding Chart
PROGRAM OPTION BASE
AMOUNT
1
More Than
20 Buildings
Served per Year
2
Serve 20 or
Fewer Buildings
per Year
2. Per Building Administrative Funding
$20,000
$10,000
SECTION A
PROGRAM DESCRIPTION
a. Administrative funding will be available for each of the
activities listed on Chart 1, Per Building Administrative
Reimbursement on the following page. Payinent'will be
available following completion of each program stage
noted and at the submission of the listed product. There
will be no separate administrative reimbursement for
optional services not listed in the chart for the period
SECTION A
PROGRAM DESCRIPTION
July 1, 1991, through September 30, 1991. Additional
administrative reimbursement categories may be added,
effective October 1, 1991.
b. If an analysis method such as hand calculations is used
initially, but results only in a rebate payment, the
administrative payment at the verification stage
(Services Summary, Part III) will be limited to the
rebate amount.
Stage of Activity
in Program
Design Assistance
(Basic Service) Completed
Construction Verification
and Payment
All amounts subject to cost share.
CHART 1
Energy Smart Design
Option 1 and 2 Utilities
Per Building Administrative Reimbursement
Point of
Payment
Services Summary
Part II Submitted
Services Summary
Part III
Submitted
Rebate
NA
$500
Prescriptive
Path
$500
Site Based Incentives
Hand
Calculation
$800
$700
Bin
Model
$800
$700
Hourly
Model
$800
700
SECTION A
PROGRAM DESCRIPTION
3.1.2 Design Assistance Allowance (except prescriptive path services and
rebates which are covered by the Administrative Allowance)
A. Only projects which are to be constructed in the service
territories of utilities which are current BPA firm energy
customers will qualify for design assistance services funds by
BPA.
B. The purpose of this allowance is to cover costs incurred by the
design team or utility in performing energy analysis and modeling
of buildings, and for reporting recommended efficiency strategies
to the building owner or representative. It is recommended that:
1. The design team perform and be paid for performing the design
assistance services for which it is qualified, per the
Technical Requirements (TR), and for which it has the desire
to do the work.
2. The design team be reimbursed for data gathering required for
the basic services when the utility performs design
assistance.
C. BPA will provide payments for design assistance according to the
following:
1. All costs for the performance of design services (i.e.,
modeling, etc.) will be determined and specified in
agreements between the design team and /or developer /owner
(see Paragraph 2.2.5). Reimbursement to a design team for
providing the information necessary to accomplish energy
modeling or other design services shall be paid from the
design assistance allowance. The utility will certify that
the Building Design Assistance Report has been delivered in
person to the building owner, or their designated
representative, and that all design assistance work has been
performed in accordance with the Technical Requirements.
2. Allowable costs for design assistance services are limited to
costs incurred in directly performing the design assistance
tasks (Paragraph 2.2.6), either by utility staff or by
contract. Costs specifically covered by the base or per
building administrative allowance shall not be reimbursed
under design assistance, whether they are performed by
utility staff or by contract.
If the utility performed basic analysis services (Tasks 1, 2,
and 3) under Paragraph 2.2.6.A.2.a and, subsequently, the
building owner declined to continue participating in the
program, the utility may be reimbursed for the actual cost
incurred to do those tasks and to complete Exhibit 2. The
administrative allowance may not be claimed for these
projects.
20
SECTION A
PROGRAM DESCRIPTION
D. Awardees who are operating other commercial building programs, or
which have other commercial building programs operating within
their service territories, will screen Smart Design Program
participant buildings to insure that duplicate payment from other
sources is not being received for tasks completed under Smart
Design.
3.2 Expiration of Funds
The funds provided by this Award or Modification are valid only for
the budget period identified in Block 6 of the face page of the
Notice of Financial Assistance Award. They may not be expended by
the Recipient after the expiration of the Budget Period. However,
the Contracting Officer may authorize expenditure of such funds in
subsequent budget periods by written modification of the Award.
3.3 Cost Sharing
(VS2- SRPA- 0019m)
All administration reimbursement categories have been cost shared
effective at the beginning of the program. The categories of
Equipment Rebates, Site -Based Payments, and Account Executive have
been cost shared effective January 1, 1991.
Effective January 2, 1992, cost share will be applied to all
categories of activities in this program. At that time, the
utility's level of the reimbursement for all budget categories will
be reduced by the current BPA cost share percentage (see Exhibit 9,
1991 Cost Share Percentages). Changes to a utility's cost share
percentage will reflect that in effect at the time the budget is
approved. For Equipment Rebates and Site -Based Payments, the utility
is required to pay the difference to the customer. For example, if a
utility's cost share is 25 percent (BPA's share being 75 percent),
and the utility proposes to offer a rebate of $5.00 for a particular
measure, BPA will reimburse only 75 percent of that amount, or
$3.75. The utility must then make up the difference to provide the
$5.00 rebate to the customer.
All financial reports submitted for which the period covered by the
report begins on or after January 2, 1992, will be subject to cost
share for all categories of activities.
3.4 Disposition of Nonexpendable Property
Property purchased by the utility with funds from this Agreement will
be considered the property of the utility upon acquisition. The
utility will retain unrestricted title to the property at the
conclusion of the project.
21
DEFINITIONS
EXHIBIT 1
Revised 11/90
A. "Building Owner" means the individual who makes the final
energy related decisions and financial commitments for a building.
B. "Commercial Building" means any structure used for commercial
occupancy. It cannot be a residence unless it is a multi- family
dwelling at least four levels above grade. Included in this
definition is any occupied portion of a building which is separated
by partition walls and has discrete control of its heating,
ventilating, or cooling system and /or lighting system. Included in
this definition are office buildings, wholesale and retail outlets,
hotels, and motels, large multi family dwellings, restaurants,
schools, hospitals, government buildings, andsmall businesses. Also
included in this definition are heating, ventilating, and air
conditioning (HVAC), lighting, and building envelope Measures for
buildings which contain manufacturing or industrial processes, or
agricultural businesses. Buildings eligible for Energy Smart Design
include new construction that is in the planning, design, or
construction stage, and building renovations or remodels if they
result in a change to a building that offers an opportunity to
improve the energy efficiency of the building, such as equipment
replacement, tenant improvements, additions, etc.
C. "Design Assistance" means all services described in Section A, Part
2, Paragraph 2.2.6 of this Solicitation.
D. "Technical Assistance" means the services provided under this Program
that are described in,Section A, Part 2 of this Solicitation.
E. "Design Team" means the architect, engineer, or other individuals who
are part of the team hired by the commercial building owner or
developer to design a commercial building.
F. "Firm Energy Customer" means any utility which places firm loads upon
Bonneville during the current year (the year in which funds will be
applied.)
G. "Service Provider" means the individual or organization who provides
assistance to prescriptive buildings, performs the actual bin or
hourly simulation modeling or performs any optional services.
(Generally a utility, ASP, or the building's design team.)
H. "Alternative Service Provider (ASP)" means organizations (other than
electric utilities) under separate contract with Bonneville who will
assist utilities who select Option 2 or Option 3 by offering portions
of the design assistance when the local utility is unable to do so.
EXHIBIT 1
DEFINITIONS
I. "Prescriptive Approach Building" means those buildings depicted on
Figure 1 of the Technical Requirements (Exhibit 6) as 'PRESCRIPTIVE'.
J. "As -Built Building" means the building after construction has been
completed such that design measures will not change.
K. "Architectural Plaques" means high quality, durable plaques which
recognize the building as meeting the energy efficiency levels for the
Energy Edge Award.
L. "Basic Services" means the services described in the Statement of
Work, Section A, Part 2, Paragraph 2.2.6.A.
M. "Technical Requirements" means the requirements which must be followed
when providing services for the Smart Design Program. These are found
at Exhibit 6.
N. "Regional Costs are the total costs for the Region, including those
for Bonneville, the utilities, and the utility consumers. Program
costs include incremental energy conservation measures (ECM)
installation costs, reimbursed and unreimbursed utility costs, and
direct and indirect Bonneville administration costs.
0. "Regional Cost Effectiveness The total regional cost of the long
term commercial program is expected to be 35 mills /kWh. Therefore
this program should use 35 mills as its target. Based on experience
with the Commercial Incentives Pilot Program, Bonneville direct and
indirect overhead costs were approximately 20 For the utility's use
in designing their optional services a value of 28 mills /kWh (the
remaining 80% of 35) should be used, including utility reimbursed and
unreimbursed administrative costs (including design assistance costs),
and all regional costs for measure payments and other optional
services. However, the regional installed incremental cost of any
measure or package of measures (including incremental cost of
materials, labor, and design) may be up to 50 mills /kWh as long as the
Program regional cost remains under the 35 mills /kWh target.
P. "Incremental Cost The difference between the total installed cost
of the baseline configuration and the total installed costs for the
recommended configuration which includes the proposed energy
conservation measures.
Q. "Incremental Savings The difference between the energy use of the
baseline configuration and the energy use of the recommended
configuration which includes the proposed energy conservation measures
EXHIBIT 1
DEFINITIONS
R. "Baseline For new construction, the baseline which shall be used
for determining savings and incentive levels is at a minimum the 1987
Model Conservation Standards Equivalent Code (MCS) or local code where
it meets or exceeds the MCS. If the measure being recommended is not
addressed by the MCS or local code where it meets or exceeds the MCS,
then standard practice shall be used as the baseline. For existing
buildings, the baseline may be the existing condition if a methodology
was proposed and approved in the Optional Services Workplan. In the
case of major remodels where code would obviously apply, the baseline
will be the same as for new construction. The baseline upon which
recommendations are made to the building owner remains as described
within the Energy Smart Design Technical Requirements.
(VS5- RMCC- 3519c) 11/90
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
Part I. Consultation (Complete for each building provided consultation)
A. Identification
Project Reference No.: I
1 1 1 1
Contract Number Building Number C. Y.
Project Type: NEW EXISTING REMODEL ADD -ON
1. Building Name:
Address:
City /State /Zip:
2. Primary Contact:
Address:
Phone:
3 Developer's Name:
Telephone Number:
4 Architect's Name:
Telephone Number:
5 Engineer's Name:
Telephone Number:
S A M P L E
EST. YEAR BUILT
B. General
1. Servicing Utility:
2. Status: Owner occupied Lease Chain Franchise
3. Project Schedule: Consultation
Est. Begin Construction
Est. End Construction
Person Completing Form:
Date: Telephone:
EXHIBIT 2
Part I
Effective May 1, 1991 rev 4/15/91)
S A M P L E
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
Part II. Desion Assistance (Complete for each design assistance service)
Project Reference No.: I I I 1 1
Contract Number Building Number C. Y.
Building Name:
Address:
City /State /Zip:
A. Building Use and Size Total Gross Sauare Footaae
SIC Conditioned Square Footage
Buildina Use Description Code Square Footaae Affected by Proiect
B. Comprehensiveness of Analysis:
Whole Bldg. (Annual Energy Use Calculated)
Specific Measures /End Use (e.g. refrigeration only)
C. Enerav Analysis Approach Used:
Hourly Bin Hand Calculations Rebate
Computer Software Name Prescriptive Path
D. Support Services.
Did you use the services listed below for this project?
1. Lighting Design Lab: Yes No
2. Clearinghouse: Yes
E. Proiect Costs:
1. Design Assistance Service Costs:
2. Administrative Costs:
F. Buildina Energy Consumption Baseline
1. Baseline: MCS Code Equiv. (1987)
Proposed Bldg.
No
1990 MCS
Historical Billing Data
2. Estimated Baseline Annual Electric Energy Consumption:
G. Recommended Energy Conlervation Measures (ECM's)
Complete the chart on the next page, Part II, Page 2.
Ef fective May 1, 1991
EXHIBIT 2
Part II, Page 1
(rev. 3/25/91)
SAMPLE
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
Egrt II. Design Assistance (Cont.) Project Reference No.: 1 1 1 1 1
Contract Number Building Number C. Y.
G. RECOMMENDED ENERGY CONSERVATION MEASURES (ECM'gl: List all recommended measures.
EXHIBIT 2
Part II, Page 2
MEASURES RECOMMENDED Estimated Savires Quantity Est. Cost Est. Level. kWh Savings
ECM Description Connected Electric .Other Fuels of Incremental Measure Cost Essis ner ECM
CODE (Unit of Measure) Load (kW) kWh/yr. MMBTU /vr. Units)._ Total Life (mills) (C,P,H,E) 1/
Person Completing Form:
1/ C 1990 MCS H Historical Data
P Proposed Bldg. E MCS Code Equiv. (1987)
Effective May 1, 1991
TOTALS
Phone: Date:
(rev. 4/15/91)
Part II. Desian Assistance (Continued)
Project Reference No.: 1 1 1 I 1
Contract Number Building Number C. Y.
H. Baseline Buildina Characteristics:
Fuel Types (Complete MMBTU Baseline Energy Estimates for
Whole Buildinas Analysis only)
Space Heating
Space Cooling
HVAC Auxiliary
Water Heating
Int. Lighting
Ext. Lighting
Refrigeration
Misc. Others
Fuel Type Codes
Electric (01) Natural Gas (02) Oil (04) Heat Pump (05) Other (07)
Other (please specify):
I. Award Oualification (optional)
Determine which awards the building will be eligible for based on
recommended measures. Calculate the percentage of electrical improvement
over projected MCS (or code equivalent):
MCS kWh Use Estimated Use
Formula: 100 X Improvement
MCS kWh Use
Show Values: 100 X
J. Comment(s):
SAMPLE
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
Primary MMBTU Secondary MMBTU
Improvement
EXHIBIT 2
Part II, Page 3
Effective May 1, 1991 (rev. 4/15/91)
Part III. Verification
Project Reference No.: 1 1 1 1 1
Contract Number Building Number C. Y.
Building Name:
Address:
City /State /Zip:
Utility Meter(s) /Account Number(s):
A. Actual Construction Process Dates:
Begin Construction 1. Partial Building Completion:
End Construction Partial
Verification 2. Is this Final?
Yes No
B. Installed Enerav Conservation Measures (ECM's)
Complete the chart appropriate for Verification of Services Provided
and attach.
C. Award Eliaibilitv (Optional)
1. Determine the percentage of electrical improvement over MCS that the
as —built building is projected to attain using the formula below:
MCS kWh Use Estimated Use
Formula: 100 X 9 Improvement
MCS kWh Use
Show Work: 100 X
2. Building is eligible for the following award:
Energy Edge
S A M P L E
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
Energy Smart None
9. Improvement
3. The utility will offer /has offered the award indicated above to the
builder /owner and design team for this building.
Yes No
Comments:
D. Proiect Cosh:
1. Additional Modeling Services Costs (if applicable):
2. Verification Administrative Costs:
EXHIBIT 2
Part III, Page 1
Effective May 1, 1991 (rev 4/15/91)
Part III. Award Verification
Person Completing Form:
Effective May 1, 1991
TOTALS
S A 11 P L E
If Building Baseline varies significantly, redo Part II.
1/ C 1990 MCS E Historical Data
P Proposed Bldg. E MCS Code Equiv. (1987)
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
AWARDS ONLY
Project.Reference No.:
B. INSTALLED ENERGY CONSERVATION MEASURES (ECM's): List all installed and verified measures.
MEASURES_INSTALLED AND VERIFIED Estimated Sav_.nes Quantity Actual Installed Cost kWh Savings
ECM Description Connected Electric Other Fuels (it of Total Basis per ECM.
CODE (Units of Measure) Load (kW) kWh /year MMBTU /year UnitsL Measure Cost Incremental (C,P.H.E) 1/
Phone: Date:
EXHIBIT 2
Part III -A, Page 2
Contract Number Building Number C. Y.
(rev. 4/15/91)
Person Completing Form:
TOTALS
1/ C 1990 MCS H Historical Data
P Proposed Bldg. E MCS Code Equiv. (1987)
S•P LE
Part III. Rite Payment Verification
Project Reference No.:
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
REBATE ONLY
EXHIBIT 2
Part III -R, Page 2
I I I I I
Contract Number Building Number C. Y.
B. INSTALLED ENERGY CONSERVATION MEASURES (ECM'al: List all installed and verified measures.
MEASURES INSTALLED Quantity Estimated Savings Actual Installed kWh Savings
AND VERIFIED of Electric Cost Rebate Basis ner ECM
REBATE ECM CODE Units) kWh /vear (Total Measure Cost) Payment (C.P.H,E) 1/
Phone: Date:
Effective May 1, 1991 (rev. 4/15/91)
SAMPLE
kart W. Site Based Payment Verific to ion
TATAT C
Person Completing Form:
1/ S 1990 MCS H Historical Data
P Proposed Bldg. E MCS Code Equiv. (1987)
Effective May 1, 1991
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
SITE BASED INCENTIVE
Project Reference No.: 1
B. INSTALLED ENERGY CONSERVATION MEASUREL(ECM'sj: List all installed and verified measures.
If Building Baseline varies significantly, redo Part II.
Phone: Date:
EXHIBIT 2
Part III -SB, Page 2
Contract Number Building Number C. Y.
MEASURES INSTALLED Rebate
AND VERIFIED Estimated Savings Quantity Actual Installed Est. Level. Customer or kWh Savings
ECM Description Connected Elect. of Measure Cost Measure Cost Payment Site Based Basis_per ECh1
CODE (Unit of Meas) Load (kW) kWh /yr Units) Total Cost Incremental Life (mills) Payment (C.P.H.E) 1/
(rev. 4/15/91)
A. Identification
SAMPLE
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
BUILDING COMMISSIONING (Complete for each building provided consultation)
Project Reference No.: I I 1 1 1
Contract Number Building Number C. Y.
Project Type: NEW REMODEL EXISTING ADD -ON
1. Building Name:
Address:
City /State /Zip:
2. Primary Contact:
Address /Phone:
3. Commissioning Authority:
Address /Phone:
B. General
1. Serving Utility:
2. Status: Owner occupied Lease Chain Franchise
3. Phases which included commissioning process:
Predesign Acceptance
Design Post Acceptance
Construction Facility Evaluation
4. Extent of Commissioning
a. Whole Building
b. Systems Only:
HVAC System
Lighting System
Envelope System
Other System (specify)
c. Specific ECM's Only
EXHIBIT 2
Part IV -BC, Page 1
5. Commissioning Authority Hired By: Utility Owner
(rev. 2/91)
BUILDING COMMISSIONING (Continued)
B. General
6. Commissioning Authority Was:
Independent
Design Team
Contractor
Utility Representative
Owner
7. Project Costs:
Total Design Cost:
Total Construction Cost:
S A M P L E
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
Project Reference No.: 1 Contract Number Building Number C. Y.
8. Maintenance Performed By:
On Site Building Manager Yes
On Site Energy Manager Yes
Person Completing Form:
Date: Telephone:
No
No
EXHIBIT 2
Part IV -BC, Page 2
(rev. 2/91)
C. Award Verification
Project Reference No.:
TOTALS
$AMPL•
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
BUILDING COMMISSIONING
Contract Number
1 I. 1 1
Building Number C. Y.
B. COMMISSIONED ENERGY CONSERVATION f1E URES (ECM'sJ: List all measures which were commissioned.
EXHIBIT 2
Part IV -BC, Page 3
MEASURES INSTALLED OPERATION
AND VERIFIED Design (Check all that apply)
ECM Intent Met? Design Construction Operation No Actual Utility
CODE_ Descrintion YLI1 Flaws Flaws Flaws Flaws Cost Payment
Person Completing Form: Phone: Date:
(rev. 2/91)
S A M P L E
Project Reference No.: I 1 1 1 1
Contract Number Building Number C. Y.
Measures Installed and Verified:
Strategy Set Id:
Buildina Shell
ENERGY SMART DESIGN PROGRAM
PRESCRIPTIVE PATH VERIFICATION
Building Type Strategy Set Id Climate Zone
Roof /Ceiling Insulation
9. of Skylights
Wall Insulation Above Grade
Wall Insulation Below Grade
Maximum Window /Door Area
Windows /Doors
Floor Insulation, Slab Perimeter
Floor Insulation, Under Floor
HVAC
Heating System Fuel: Elec: Other:
Cooling System None:
HVAC Controls /Auxiliaries
arm=========________===== a
Liahtina Interior Lighting Budget
Lighting Controls
Miscellaneous Water Heating Fuel: Elec:_ Other:
==s a=====================___
Actual Square Footage Prescriptive Path Payment
PROJECT COSTS Administrative Costs
Prepared By: Date:
Part III -P
Effective May 1,1991 (rev. 3/25/91)
S A M P L E
ENERGY SMART DESIGN PROGRAM
SERVICES SUMMARY
B. Tvpe of Service (Code):
C. Service Provision Date(s):
D. Service Contract Length (if applicable):
E. Estimated Annual KWH Savinas (if applicable):
F. Cost:
G. Description of Service(s):
Person Completing Form Date
EXHIBIT 2
Part IV OS
PART IV: OPTIONAL SERVICES (Complete for each building provided optional
service listed below)
Optional Services Codes: Operations Maintenance (OM), Daylighting
(0), Design Payment (DP), Account Executive (AE), Peer Matching (PM).
A. Identification
Project Reference No.:
Contract Number Building Number C. Y.
Effective May 1, 1991 (rev. 4/22/91)
Utility Name:
Utility Identification Number:
TOTAL DESIGN ASSISTANCE
THIS QUARTER
S A M P L E
ENERGY SMART DESIGN
QUARTERLY ACTIVITY REPORT
Smart Design Contract (last 5 digits)
Ouarter (Please indicate the year and which quarter this report is for):
January 1 March 31, 199_ July 1 September 30, 199_
April 1 June 30, 199 October 1 December 31, 199_
Summary of Activity Summary of all forms submitted for activity through
end of quarter.
A. Base Administration Reauested:
B. Proaram Services:
I. Consultations Performed This Ouarter
II. Desian Assistance How many BDARs were completed?
Types of Service: H (Hourly) B (Bin) P (Prescriptive Path);
HC (Hand Calculations) R (Rebate)
Type of Services Admin. BPA's Utility's
Proiect 5ervice Cost Reimb. Share Share
Effective Mav 1.1991 (rev. 3/25/91)
EXHIBIT 3
Page 1
Utility Name:
Utility Identification Number:
Proiect
S A M P L E
ENERGY SMART DESIGN
QUARTERLY ACTIVITY REPORT
Smart Design Contract (last 5 digits)
III. Verifications Performed
Types of Service: A (Awards) SB (Site- Based)
P (Prescriptive Path) R (Rebate)
EXHIBIT 3
Page 2
Additional
Type of Modeling Customer Admin. BPA's Utility's
Service Cost Payments Reimb. Share Shari,
TOTAL VERIFICATION
ACTIVITY THIS QUARTER
Effective May 1 (rev. 3/25/91)
Utility Name:
Utility Identification Number:
Proiect
TOTAL PROJECT- SPECIFIC OPTIONAL
SERVICES THIS QUARTER
S A M P L E
ENERGY SMART DESIGN
QUARTERLY ACTIVITY REPORT
Smart Design Contract (last 5 digits)
IV. Additional Proiect Specific Optional Services
Types of Service: D (Daylighting) DP (Design Payment);
DC (Building Commissioning) OM (O &M)
Additional
Type of Services Customer BPA's Utility's
Service Cost Payments Share Share
V. Additional Non Specific Optional Services
Types of Service: a (Account Executive) PM (Peer Matching)
TOTAL NON- SPECIFIC OPTIONAL
SERVICES THIS QUARTER
TOTAL ACTIVITY /EXPENDITURES
THIS OUARTER
(Total of Sections II, III, IV, V)
Ti 4'f'anF:vn M.,., 1 1 Go 1
(rot, d /1c /Q1)
EXHIBIT 3
Page 3
Utility Name:
Utility Identification Number:
VI. Anecdotal Information
S A M P L E
ENERGY SMART DESIGN
QUARTERLY ACTIVITY REPORT
Smart Design Contract (last 5 digits)
EXHIBIT 3
Page 4
A. Identify chain stores or franchises which requested or received services
durina the auarter beina reoorted. (Include project numbers if available)
Chain or Franchise Location of Project Contact Telephone
Name (Street /Citv /State /Zio) Name Number
Check if no services were requested or supplied
B. Case Studies:
Identify buildings recommended for case studies and publicity by project
numbers.
Protect Reference
C. Issues /Hiahlicthts
Use this section to identify issues, solutions and opportunities for
enhancing the Smart Design Program. Include with this narrative any
special events which have occurred during the reporting period or are
scheduled to occur during the next reporting period.
VII. Number of Service Connects or Chanaes in Commercial Buildings This
portina Period:
New Commercial
Total Square Footage
Effective May 1, 1991
Major Remodel
(rev. 3/25/91)
Building Identification No.:
Building Name (Optional):
CONSULTATION WORKSHEET
Design Assistance Task(s) Estimated Costs
TOTAL ESTIMATED DESIGN
ASSISTANCE COSTS
VS5- RMCC -3519c
:4
It is agreed that the tasks listed above will be performed by those indicated
and on the schedule shown. Information on the building's design
specifications and the design process followed will be made available to
Bonneville or their representative, subject to considerations of the Privacy
Act of 1974, for purposes of evaluation and preparing case studies. The
building owner agrees to allow the servicing utility to provide monthly
electrical billing information to Bonneville or its contractors for evaluation
purposes for a period of two years following occupancy of the building.
Should this information on billing information not be releasable without
tenant approval following occupancy, the building owner further agrees to
allow the servicing utility to request from those tenants that the monthly
electrical billing information for their spaces to be supplied to Bonneville
or its contractor for the same consecutive time period.
Signature of:
Building Owner /Developer:
or representative
Utility Name:
Utility Representative:
(SAMPLE)
EXHIBIT 4
Who Performs Schedule
PROMOTION
EXHIBIT 5
This section identifies sample activities which each utility may perform
within their service territories to promote the services available through the
Smart Design Program. The actual activities utilities pursue may vary from
this list.
A. Identify local building designers, developers and other parties
interested in commercial building efficiency and develop a local
marketing strategy which reflects methods to be used to reach the
target groups.
B. Develop and maintain a mailing list, including telephone numbers, of
those identified in (A) and make this available to Bonneville upon
request.
C. Conduct personal briefings with local building designers and
developers on the purpose and availability of the services.
D. Maintain contact with these groups to assist in program promotion and
to receive feedback on how well the program is functioning.
VS5- RMCC -3519c
PARAGRAPH TITLE
1 PURPOSE
1.1 DEFINITIONS
ENERGY SMART DESIGN
TECHNICAL REQUIREMENTS INDEX
2 AWARDS
2.1 ENERGY SMART AWARDS
2.2 ENERGY EDGE AWARDS
2.3 PRESCRIPTIVE PATH AWARDS
3 LEAD MODELER QUALIFICATIONS
3.1 SPECIFIC EXPERIENCE
4 TECHNICAL APPROACH
0 4.1 PURPOSE
4.2 INITIAL SCREENING
4.3 SERVICE SELECTION
4.4 LATITUDE IN MODEL SELECTION
4.5 SELECTION OF MODELING TOOLS
5 MODELING /DESIGN SERVICES
5.1 PRESCRIPTIVE APPROACH
5.2 HOURLY METHOD
5.3 BIN. METHOD
5.4 SINGLE MEASURE METHOD
5.5 OPTIONAL SERVICES
6 USE OF MODELS
6.1 BASELINE DEFINED
6.2 ANALYSIS OF MEASURES
7 MEASURE ELIGIBILITY CRITERIA
8 ACCEPTABLE SOFTWARE
TABLE 1 SERVICE LIVES OF ENERGY CONSERVATION MEASURES
TABLE 2 EQUIPMENT SERVICE LIFE
10 REFERENCES
10.1 POSSIBLE REFERENCES FOR INCLUSION
APPENDIX 1 ENVIRONMENTAL REQUIREMENTS
APPENDIX 2 COMMON PRACTICE MATRIX
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised May 1, 1991
9 BUILDING DESIGN ASSISTANCE REPORT
9.1 GENERAL
9.2 SPECIFIC ELEMENTS OF THE REPORT
9.3 SPECIFIC ELEMENTS OF THE REPORTLUSING PRESCRIPTIVE PATH APPROACH
FIGURE 1 BASIS FOR SELECTION OF APPROPRIATE MEANS OF TECHNICAL ASSISTANCE
1. Purpose
1.1 Definitions
TECHNICAL REQUIREMENTS
ENERGY SMART DESIGN ASSISTANCE PROGRAM
This document describes technical requirements for utility providers of
the Energy Smart Design Assistance Program (Smart Design Program)
services under contract to Bonneville. Specific methods for providing
appropriate types of design assistance and for execution of this design
assistance are defined herein.
"Alternative Service Provider (ASP)" means organizations other than
electric utilities under separate contract with Bonneville who will
assist utilities who select Option 2 or Option 3 by offering portions of
the design assistance when the local utility is unable to do so.
"Commercial Building" means any structure used for commercial occupancy.
It cannot be a residence unless it is a multi family dwelling at least
four levels above grade. Included in this definition is any occupied
portion of a building which is separated by partition walls and has
discrete control of its heating, ventilating, or cooling system and /or
lighting system. Included in this definition are office buildings,
wholesale and retail outlets, hotels, and motels, large multi family
dwellings, restaurants, schools, hospitals, government buildings, and
small businesses. Also included in this definition are heating,
ventilating, and air conditioning (HVAC), lighting, and building envelope
Measures for buildings which contain manufacturing or industrial
processes, or agricultural businesses. Buildings eligible for Energy
Smart Design include new construction that is in the planning, design, or
construction stage, and building renovations or remodels if they result
in a change to a building that offers an opportunity to improve the
energy efficiency of the building, such as equipment replacement, tenant
improvements, additions, etc.
"Design Team" means the architect, engineer, or other individuals who are
part of the team hired by the commercial building owner or developer to
design a commercial building.
"Incremental Cost The difference between the total installed cost of
the baseline configuration and the total installed costs for the
recommended configuration which includes the proposed energy conservation
measures.
"Incremental Energy Savings The difference between the energy use of
the baseline configuration and the energy use of the recommended
configuration which includes the proposed energy conservation measures.
"Levelized Cost" means (cost /annual kWh savings) x life factor. Refer to
Section 7 for table of life factors.
1
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
"MCS- equivalent code" means a building energy code which produces
buildings with energy use equal to that of buildings built under a
codified version of the 1986 Model Conservation Standards (MCS)."
"Measure" means an individual item or a grouping of like items (i.e.
ballasts and lamps) which can reduce the electric energy used by a
building.
"Modeler's Guidance" means that the information in that section is
provided for the benefit of the service provider as a suggestion and is
not required.
"Regionally Cost effective Measure" means levelized cost less than or
equal to 50 mills /kWh. Measure costs include incremental cost of
materials, labor, and design.
"Regionally Cost effective Program" means levelized cost less than or
equal to 35 mills /kWh. Program costs include program administration and
measure cost to Bonneville, the utility, and the consumer.
"Service Provider" means the individual or organization who provides
assistance to prescriptive buildings, performs the actual bin or hourly
simulation modeling or performs any optional services. (Generally a
utility, ASP, or the building's design team.)
2. Awards
Awards will be available to buildings which are constructed to improve on
baseline performance such that they meet the requirements shown in
paragraphs 2.1 and 2.2. If used in conjunction with shell, HVAC, and /or
lighting conservation measures, energy management systems (EMS's) may be
used to qualify for awards.
2.1 Energy Smart Award
With the exception of Prescriptive Path buildings, a project qualifies
for an Energy Smart Award when the estimated electrical energy use of the
building is at least 10 percent below that for the same building
constructed to meet the MCS or to an MCS- equivalent code. If local codes
define buildings which exceed the estimated MCS performance levels by X
percent as determined by Bonneville's Code Equivalency Determination
Procedure, then the estimated electrical energy use reduction, R,
necessary to qualify for this award shall be:
R s 10 X
If X is greater than 10 percent, then a project which meets local code
automatically is eligible for this award.
Prior to granting of the award, an inspection, performed by utility
personnel or by other Bonneville- approved personnel, shall verify that
the completed building contains all energy- efficiency measures necessary
for the attainment of the performance level defined above.
2
2.2 Eneray Edae Awards
With the exception of Prescriptive Path buildings, a project qualifies
for the Energy Edge Award when the estimated electrical energy use of the
building is at least 30 percent below that for the same building
constructed to meet the MCS or to an MCS equivalent code. If local codes
define buildings which exceed the estimated MCS performance levels by X
percent as determined by Bonneville's Code Equivalency Determination
Procedure, then the estimated electrical energy use reduction, R,
necessary to qualify for this award shall be:
2.3 Prescriptive Path Awards
3. Lead Modeler Oualifications.
R 30 X
If X is greater than 30 percent, then a project which meets local code
automatically is eligible for this award. Prior to granting of the
award, an inspection, performed by utility personnel or by other
Bonneville approved personnel, shall verify that the completed building
contains all energy- efficiency Measures necessary for the attainment of
the performance level defined above.
The Design Team and Developer /Owner shall agree to provide additional
information on the building in order to write a case study for promotion
of the building.
A project qualifies for an Energy Smart Award when the building meets one
of the Energy Smart Strategy Sets appropriate for the building type and
climate zone. A project qualifies for an Energy Edge Award when the
building meets one of the Energy Edge Strategy Sets appropriate for the
building type and climate zone. An appropriate Energy Smart or Energy
Edge Strategy Set will be selected from the Prescribed Design Strategies
contained in the Energy Smart Design Prescriptive Path Manual.
Prior to granting of the award, an inspection, performed by utility
personnel or by other Bonneville- approved personnel, shall verify that
the completed building contains all energy- efficiency measures necessary
for the attainment of the performance level required by the appropriate
Prescribed Design Strategy Set.
The lead modeler responsible for energy consumption estimates shall have
broad experience including the variety and breadth of situations modeled,
familiarity with modeling tools, references, and exposure to building
design. The specific qualifications may be satisfied by several people
possessing different skills and experiences which, when taken together,
meet the intent of the "lead" requirements. The requirement is for an
experienced person to assume responsibility for the direction and content
of modeling. Tasks may be performed by a less experienced person, a
novice modeler, under the direct guidance of, and subject to review by, a
lead modeler.
3
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Should a building configuration, feature, or conservation measure be
encountered, with which the modeler has no previous experience, the work
shall be reviewed by a modeler whose experience does include modeling of
this configuration, feature, or conservation measure.
3.1 Specific Experience
Minimum qualifications for the lead modeler shall include each of the
following (or its equivalent):
A.
OPTION 2 UTILITIES
Required of
those who would support design
services at the Option 2
service level
Demonstrated capability in the modeling of:
Basic commercial
features, such as
internal gains,
multiple zones
central HVAC,
envelope Measures
which affect thermal
transmission and window
shading coefficients.
B. Breadth of Modelina Experience:
2 Years of Practice and
5 buildings Modeled
C. Model Familiarity.:
Competent use of
one or more acceptable bin
type models (See Paragraph 8)
such that results are
readily accepted
by peers in design field
and resulting designs
have led to satisfactory
buildings
QPTION 2 UTILITIES OPTION 1 UTILITIES /ASP MODELERS
D. Desian Background
Direct involvement in
the design of at least
two constructed
commercial or institu-
tional buildings.*
4
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
OPTION 1 UTILITIES /ASP MODELERS
Required of those who would
support design services at
the Option 1 service level
and of ASP modelers
The basic commercial
features listed under
"minimal" as well as
more complex items, i.e.,
refrigeration system heat
recovery, heat pumps,
building mass, or daylighting
4 or more Years of Practice and
12 buildings modeled
Facility with two or more
acceptable bin -type models
and two or more acceptable
hourly models such that
situations not addressed
by one model of a type
are largely addressed by
another of that type.
Direct involvement in
the design of at least
four constructed
commercial or institu-
tional buildings.*
4. Technical ADDroach
4.1 Purpose
4.2 Initial Screenina
Note: Figure 1 is based on the following rationale.
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
*Since modelers will play a significant role in measure selection, the
lead modeler shall have participated directly in an engineering or
architectural role and shall have demonstrated, at minimum, a journeyman
level of skill during this participation. Such direct participation in
design requires that the person have actively assisted in the definition
of building configuration and /or the selection of building features and
sizing of building equipment.
References and work products shall be available at the place of business
for examination by Bonneville to verify each of the experience
requirements.
A building complexity screening process is intended to minimize the use
of hourly simulation models in favor of bin -type modeling, single measure
method or a prescriptive approach unless the building or the measure(s)
warrant the higher level of effort. Screening of buildings for
assignment of appropriate levels of design assistance allows the best use
of program funds. It is important to insure sufficient accuracy without
excessive and costly level of detail, consumption of time, and modeling
complexity.
During initial screening, buildings need to be categorized according to
features readily apparent for all projects at or before the schematic
design stage. Thus, floor area, building purpose, and planned "special"
design features shall determine the type and extent of design services
available, because little other definitive information is likely to be
available at the concept stage, when design assistance can be most
effective.
4.3 Service Selection
The extent of technical assistance varies depending on building size and
complexity as defined in Figure 1. This figure is a guide for selection
of the method of building energy use analysis and of the method of
selection and evaluation of Energy Conserving Measures for the building.
The different analytical approaches correspond to size ranges for the
various types of buildings listed on the figure. As the size of each
building type increases, the complexity of the analytical approach also
increases. The simplest buildings are placed on the left side of the
figure; building complexity increases with distance from the left -most
entry. Thus buildings near the left of the figure may be addressed using
simple (prescriptive, single measure or bin -type analysis), or complex
(hourly simulation) methods depending upon the square footage of the
building. As building complexity increases, simple options in the range
of available services are progressively eliminated until only the most
complex analytical methods are suggested for the most complex building
types, regardless of size.
5
4.4 Latitude in Model Selection
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
A. (Available only to Option 1 Utilities and ASP's) A "tolerance band"
between zones on Figure 1, which correspond to the various
approaches, may replace rigid zone boundaries shown on the Figure at
the option of qualifying service providers. Rather than separating
prescriptive and bin —type approaches at the specific square footage
value indicated, the separation may be defined by that specific value
±15 percent. The selection of modeling tool complexity shall be left
to the discretion of the modeler, who must be capable of comparing
the advantages of the more complex analysis option to the cost
savings of the simpler analysis option.
B. Given the circumstances of a specific building, a modeler may use a
model different than that specified in Figure 1. Such a decision
shall consider the specific circumstances of the building and the
qualifications of the modeler and shall not only be for convenience.
Exceptions to the guidance of Figure 1 must be documented in the
Building Design Assistance Report (BDAR) or the Smart Design Program
Services Summary along with the reasons for the exception.
4.5 Selection of Modeling Tools
Selection of modeling tools funded by the Program shall be based solely
on provisions of Paragraphs 4.2 and 4.3 and 4.4. Preference of the
design team for modeling tools which do not meet these provisions will
not be considered in their selection.
The selection of a modeling tool shall be based on the requirements for
proper simulation of the building and of the Measures proposed to be
included. A model which cannot properly address features or
characteristics of a particular building shall not be selected for use on
the model of that building in favor of more suitable software for the
convenience of the model operator.
The model selected must also be one with which the modeler is already
familiar (i.e., one which the modeler has used sufficient times to fully
understand its operation and results). Experience gained in the
operation of one modeling tool will not always apply to the operation of
other software with differing data input characteristics, calculation
methods and assumptions, and building feature applicability. For this
reason, unfamiliar models shall not be used.
5. Modelina /Design Services.
5.1 Prescriptive Approach
Measures for small, simple buildings may be selected following the
procedures described in the Energy Smart Design Prescriptive Path Manual
rather than by individual modeling of each building. Individual modeling
will be acceptable in some cases: small buildings which include complex
systems (such as refrigeration or process loads) or other special
features (such as daylighting) may need bin or hourly modeling. Also,
building types not explicitly specified or buildings larger than sizes
6
indicated in Figure 1 will be acceptable for the Prescriptive Path Approach in
some cases. It will be at the discretion of the Project Technical
Representative to determine the appropriate technical approach for such
buildings.
5.2 Hourly Method
As indicated on Figure 1, the largest (40,000 ft or larger) and most
complex buildings shall be modeled using approved hourly simulation
models. Such extensive modeling must account for complex HVAC systems,
unusual occupancy characteristics, architectural features such as
structural mass or daylighting, and unusual internal gains or process
loads.
5.3 Bin Method
5.5 Ontional Services
7
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Remaining buildings which are neither small and simple nor large and
complex shall be simulated using bin —type software, as indicated on
Figure 1.
5.4 Sinale Measure (or Hand Calculation) Method: For buildings in which
there is little (or straight forward) interaction among interior
lighting, shell and HVAC systems, or in which energy analysis may be
accurately performed without the need for thorough computer simulation,
single measure analysis is allowed. This may be accomplished by hand
calculations or end —use specific computer programs. Interaction among
particular ECM's and other building energy systems must be accounted for
when using these methods. Opportunities for HVAC equipment downsizing
should also be noted. Certain hand calculation methods are included in
the BPA Conservation Audit Workbook. Documentation of other methods for
single measure analysis used in estimating energy savings is required for
PTR review.
Some optional services may be appropriate for particular buildings.
However, such services may only be performed if approved by the Project
Techinical Representative (PTR). These services include:
A Daylighting Studies
If, a) The building model indicates that lighting loads will exceed
50% of the entire electrical load of the building,
or b) this load is sufficiently large for potential cost savings to
justify the expense of scale modeling of the building,
and c) the owner /developer is willing to consider extensive
alterations to the building "footprint" and to the size,
placement, and configuration of windows,
then
daylighting analysis involving scale modeling can be pursued.
Costs will be subject to the analysis cost limits in Section
3.1.A.
The following optional services may be offered by utilities only after a
workplan has been submitted and approved by Bonneville.
6. Use of Models
6.1 Baseline Defined
8
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
B. Equipment Rebates: Payments for particular cost effective energy
efficient Measures. Installation incentives for entire Strategy Sets
under the Prescriptive Path approach may best be included under this
optional service category.
C. Site -based payments: Payments for Measures that are analyzed and
identified to be Regionally Cost Effective for a particular building.
D. Building Commissioning: Work related to systematic testing,
balancing, and correction of building systems and controls in their
operational mode following building construction for the purpose of
insuring Measures are operating as designed or intended.
E. Operations and Maintenance: Contract or services which provide
continuing service to insure Measures are functioning properly.
F. Account Executive: A utility employee dedicated to working with
major accounts, large customers, key developers, etc. to increase
their awareness of energy efficiency and promote Energy Smart Design
services.
G. Peer Matching: Utility staff providing training to employees from
other utilities to enhance their effectiveness in offering Energy
Smart Design.
H. Design Payment: A payment made to the design team to account for
additional time spent designing the building due to incorporation of
the recommended Measures.
When computer modeling is used, initial MCS and "redesigned"
configurations of the building must be modeled. Various intermediate
configurations must be modeled as well during the course of measure
selection. (See Paragraph 6.2) The initial MCS model is necessary to
estimate the baseline building energy consumption for comparison to that
of the final building design for award purposes (See Paragraph 2).
Subsequent models are then used to compare measure levelized costs and
savings to establish the value of various Measures, in terms of payback
or life cycle cost.
For new construction, the baseline which shall be used for determining
savings and incentive levels is at a minimum the 1987 Model Conservation
Standards Equivalent Code (MCS) or local code where it meets or exceeds
the MCS. If the measure being recommended is not addressed by the MCS or
local code where it meets or exceeds the MCS, then standard practice
shall be used as the baseline. For existing buildings, the baseline may
be the existing condition if a methodology was proposed and approved in
the Optional Services Workplan. In the case of major remodels where code
would obviously apply, the baseline will be the same as for new
construction. The baseline upon which recommendations are made to the
building owner remains as described within the Energy Smart Design
Technical Requirements.
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Note: (Modeler's Guidance): Note that MCS Building ventilation
rates in most cases correspond to the non smoking levels from ASHRAE
Standard 62 -81. These rates shall be used unless the building owner
or representative specifies that the building or a portion of the
building be supplied with higher ventilation rates or an MCS
equivalent code allows a different ventilation rate.
A proposed building which appears not to meet local codes and /or which
does not meet MCS (or equivalent) shall be modeled using inputs which
reflect these standards. Evaluation of energy savings for the final
configuration shall proceed from the MCS baseline of the initially
proposed building. The building owner and design team shall be informed
if assumptions used for the MCS baseline differ from the initially
proposed building configuration. Savings information in kW or kWh will
be determined for the baseline MCS building to the recommended building
configuration. Energy savings information showing operating costs in
dollars may also be presented for the baseline MCS building or the
proposed building (if different from the MCS baseline configuration) to
the recommended configuration.
Note (Modeler's Guidance): Where not addressed by MCS (see tables in
chapter 53 of the Northwest Energy Code, June 1987) or specified by
local code, Bonneville recommends that the base case HVAC systems be
"standard" versions of efficient systems proposed as Measures. These
may be selected from the common practice matrix in Appendix 2. For
mixed use buildings Bonneville recommends zoning by use and serving
each user /occupancy with its appropriate respective HVAC system. It
is also recommended that when the proposed system is a heat pump, the
base case should contain a heat pump as well, though not necessarily
of the same efficiency or type.
Note (Modeler's Guidance): The MCS requires installation of certain
equipment, e.g. night setback thermostat, which becomes part of the
MCS baseline. The intent of the code is that this equipment is in
place and functional. Therefore, the baseline should model this
equipment as in place and operating correctly.
Performance comparisons between an appropriate baseline and the proposed
redesigned building, to define eligibility for performance awards, are
discussed in Paragraphs 2, 2.1, and 2.2.
6.2 Analysis of Measures
Building load components shall define opportunities for energy savings.
Proposed Measures or combinations of Measures shall at minimum address
the largest of these load components. Energy modeling of various
conservation strategies will be accompanied by sufficient cost
information to allow estimation of the cost of conserved energy.
The analysis procedure shall include these steps:
a. A baseline model shall be assembled and operated. Individual loads
shall be identified in order of size.
9
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
b. It is preferred that Measures be selected which address each of the
largest loads. If a load is not addressed (e.g., a conservation
measure is not examined) the reason for this omission shall be
documented in the Smart Design Program Services Summary, Part II.
c. Interactive effects of energy conservation Measures (Measures) may be
analyzed by either of the two preferred methods rolling baseline or
with all Measures in place -or a third method described by the utility
in the Building Design Assistance Report (BDAR).
The process of analysis for the two preferred methods are as follows:
Both methods
(a) Begin by performing a separate energy analysis for each measure
and determining its "non— interactive" energy savings. Sum the
"non— interactive" energy savings. Determine each Measures
impact by dividing the Measures energy savings by the total
"non— interactive" energy savings.
(b) Determine average cost per annual estimated kwh saved of each
measure by using the following formula:
Method #1
Method
Measure Cost
Annual Kwh Saved* X Measure Life
This is admittedly a crude prioritization method. Bonneville would
prefer use of levelized cost or life cycle cost in order to
accommodate financial and operating cost considerations. However,
this information allows Measures to be considered in order of
relative cost effectiveness; Measures which can provide the greatest
savings for the least cost shall receive highest priority for further
analysis.
Perform a "rolling baseline" analysis. The analysis of each measure
establishes a new baseline for the analysis of the next measure.
This procedure shall begin with the measure having the lowest average
cost per annual kwh saved when modeled individually. This process
shall continue until all Measures have been added to the baseline and
a final model configuration, reflecting the interaction of all
Measures, shall have been reached.
—OR—
Perform an energy analysis for the building with all Measures in
place. Call this energy savings E. The interactive savings of each
measure shall be determined by applying the proportional contribution
of the measure in the non interactive savings package total to the
interactive package total for each measure. That is, for each
measure, multiply E by its respective percentage impact as determined
in (a) above. This number is then the interactive energy savings for
each measure.
10
Method #3
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
A method different from either #1 or #2 may be used. However, it
must be described in the Building Design Assistance Report (BDAR) the
method which was used and why it was selected rather than the two
preferred methods.
Should the developer select some, but not all of the Measures simulated
in step c, above, an additional interactive model which includes only
selected Measures shall form the basis for the final assessment of
building energy consumption which is included in the BDAR.
Note: If demand charges are in effect or other fuels are to be
analyzed, it may be preferable to use the "appropriate unit of fuel"
or the saved" for the information presented to the developer and
the design team.
Note: (Modeler's Guidance): If a fossil fueled HVAC system is
initially considered for installation, an alternative electric HVAC
system may be identified and included in an alternative version of
the final interactive model configuration. If such a comparison
(analysis) is presented, costs for both equipment and system
installation shall be estimated. Thus, fuel use and capital costs of
the fossil fueled system can be compared to corresponding energy use
and capital costs of the electric HVAC system. The
cost effectiveness of various other types of HVAC systems (i.e. heat
pumps, resistance heating, fossil fueled boilers, absorption
chillers, etc.) can also be compared once measure selection is
complete.
Any hand calculations used in defining the value of Measures and the
energy use of the building must be included in the process and presented
in the Building Design Assistance Report referenced in Paragraph 8 in the
same manner as computer calculations are presented. Discuss relevant
simplifying assumptions, such as assumed infiltration rates, assumed
component efficiencies, selection of weather file location, treatment of
building mass, etc.
Discuss the extent to which the model had to be adapted to the building,
if this was necessary. Identify which assumptions served to compensate
for model limitations but which may also adversely affect model accuracy.
Energy use or energy savings estimates based `on "experience operating
history, test results, or statistics, rather than on mathematical
modeling, shall also be presented, with supporting documentation which
clearly demonstrates their relevance to the project.
Data output sheets from computer analysis shall be filed with the service
provider for later reference. Copies may be included with this report if
it is of interest to the owner or designer.
11
where:
C Installed Cost
7. Measure Eligibility Criteria
Test results, or other past experience used to establish the value of an
energy conservation measure (measure), or to estimate the energy
consumption of a building configuration, must be included in this
analysis process and presented in the report referenced in Paragraph
8.2(C). The relevance of tests or other performance demonstrations to
the building design must be clearly documented. This requirement is
particularly applicable to Measures which do not lend themselves to
software simulation, such as energy management control systems.
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
All Measures with a levelized actual Installed Cost, r, when calculated
as follows at or below approximately 5.0 /kWh (the actual value will be
provided by Bonneville in the work plan guidelines) are eligible for
Bonneville reimbursement if a utility workplan has been prepared by the
utility and accepted by Bonneville.
r C/E x Life Factor x 100
E Annual electric energy savings associated with Measures (kWh /yr)
as determined in accordance with these requirements.
Life factor a composite multiplier. It includes a Bonneville
financing factor, a nominal discount factor and a real levelizing
factor. Life factors are listed in Table 1, below:
Measure Life Measure Life
Life Factor Life Factor
1 1.041969 24 0.065352
2 0.531620 25 0.063708
3 0.361564 26 0.062195
4 0.276581 27 0.060797
5 0.225626 28 0.059502
6 0.191683 29 0.058300
7 0.167461 30 0.057180
8 0.149314 31 0.056135
9 0.135216 32 0.055159
10 0.123953 33 0.054243
11 0.114750 34 0.053385
12 0.107092 35 0.052577
13 0.100622 36 0.051817
14 0.095086 37 0.051100
15 0.090296 38 0.050424
16 0.086112 39 0.049783
17 0.082427 40 0.049177
18 0.079157 41 0.048603
19 0.076237 42 0.048058
20 0.073615 43 0.047540
21 0.071247 44 0.047048
22 0.069009 45 0.046580
23 0.067142 46 0.046133
12
8. Acceptable Software
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
The following modeling programs are acceptable. However, other programs
or other versions of the listed programs may be used with approval from
the Bonneville technical representative (PTR). Only commercially
available software specifically created for building simulation, as
opposed to "home grown" programs or spreadsheet adaptations will be
considered. The marketed software tends to be more widely used and
therefore exposed to more situations and more extensively "de- bugged
It also is usually better supported and more thoroughly documented.
Results are more easily compared to the work of others and analysis
methods are more readily transferable to other similar projects.
Software which is not on the following list of acceptable software will
not be allowable as the basis for analysis for Optional Services
payments. The noted versions, or later ones are acceptable.
For Bin-tvDe analysis:
Simplified Energy Analysis (version VI)
ASEAM II (version 2.1)
Carrier HAP (version 2)
BESA (version "Design
Trakload (version 3.1 or 4.0)
VCACS (Version 9)
Building Energy Analysis (Elite)
Load Shaper
For Hourly simulation:
Trace 500
ESP -II
Blast (version Level 130)
ADM -2 (version 4)
DOE 2.1 (several versions)
PC -DOE
AXCESS or Micro Axcess
ESAS
MICRO -DOE 2
Trace Ultra 600
13
9. Buildina Desian Assistance Report (BDAR)
9.1 General
In its most basic form, the Building Design Assistance Report (BDAR) is a
record of an energy system analysis for the building owner, developer,
design professional and facility personnel associated with the project.
It summarizes the baseline building energy systems, energy conservation
opportunities, recommended energy efficient systems and conservation
measures. Major conservation opportunities should be noted, even if some
energy systems are not analyzed in detail or conservation measures
proposed. The report should include discussions of technical
feasibility, durability, estimates of energy use, savings and measure
costs.
Relevant sections of the Environmental Requirements (Appendix 1 of these
Technical Requirements) will be provided to the building owner /developer
or their agent. The Environmental Requirements may be considered as
"Recommendations" when only Design Assistance is provided. Should
incentives be offered through the program, these "Requirements" will be
implemented.
The report may include, in more detail, sketches of the building and
description of its surroundings when available, a description of the
impact of Measures on affected building systems, an economic analysis,
with a fuel -use comparison if appropriate, a summary table for the
results of software modeling, additional details on modeling methods, and
supplemental information on proposed Measures.
9.2 Specific Elements of the Report
Each Report may include the following topic elements:
14
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
A. Sketches of the Project
A site sketch of the building will show building shape, orientation
and relevant aspects of the internal layout. Characteristics of the
area surrounding the building, if appropriate, may be shown along
with a description of how the surroundings effect energy usage.
These characteristics include features such as; relative position of
other buildings, adjacent bodies of water or other topographic or
geologic features.
B. Building System Description and Measure Information
Describe the affected building system(s), such as lighting, HVAC, or
envelope, before and after installation of the measure(s). Describe
materials and /or equipment proposed to save energy, including
applicable performance specifications. Include a brief narration, in
lavman's terms, of how the measure is expected to save energy.
Sketches with temperatures, flows, etc. would be ideal.
C. Uniform Economic Analysis
For an economic analysis, Bonneville recommends that a present value
and annual life cycle cost of the baseline and final redesigned
building configurations be presented using the ASTM /NBS or the ASHRAE
Life Cycle Cost method. Other methods which provide information
describing simple payback, internal rate of return, etc. may be
presented. Ideally, this analysis will be run for each individual
measure considered in the course of building redesign.
This life -cycle cost method (ASTM /NBS), described in the
"Comprehensive Guide for Least -Cost Energy Decisions is available
at a cost of eleven dollars, from:
The Superintendent of Documents
U.S. Government Printing Office,
Washington, D.C. 20402
Ask for stock #003 003 02790 -7. The publication is the National
Bureau of Standards Special Publication 709. The Library of Congress
Catalog number is 86- 600605.
A PC- compatible diskette, containing software described in the
booklet, can be purchased at a cost of six dollars from:
PC Software Interest Group
1030D East Duane Avenue
Sunnyvale, CA 94086
Telephone (408)730 -9291
Disk #983
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Check with the nearest U.S. Government Bookstore for copies or
ordering.
The analysis, based on input from building savings estimates and
measure cost quotes, may be performed by the design team, the service
provider, or the local utility.
A fuel use comparison may be included in this analysis which compares
estimated installation, operation and maintenance costs associated
with electric and fossil fueled HVAC systems.
Factors for levelization of costs shall reflect measure life values
not to exceed those shown on Table 1 or Table 2 unless approval of
the Bonneville Project Technical Representative (PTR) is obtained.
D. Summary of Energy Analysis Results
Present, in a table, estimates of initial energy use, energy use
estimates for the various configurations of the building examined,
and the final energy use estimate, accounting for measure interactive
effects, for the proposed building configuration.
15
E. Analysis Methods The Estimate of Energy Savings
Discuss relevant simplifying assumptions. Data output sheets from
computer analysis or back up sheets from hand calculations may be
included with this report if it is of interest to the owner or
designer.
F. Environmental Requirements /Recommendations
If any of the Measures recommended for incentive payments have
potentially harmful environmental impacts (as described in Appendix
1, Environmental Requirements), relevant information regarding those
measures shall be supplied to the building owner /developer.
9.3 Specific Elements of the Report using Prescriptive Path Approach
Each report may address each of the following topic elements:
A. Project Information Worksheets
Complete copies of the Project Information Worksheets from the
Prescriptive Path Manual.
B. Final Design Strategy Worksheet
Complete copy of the Final Design Strategy Worksheet from the
Prescriptive_Path Manual. This should describe what exactly the
final recommended Measures are, not just repeat the Prescribed Design
Strategy. Specify what type of fuel is used for heating or potable
hot water. Specify whether cooling system is planned.
C. Technical Description Sheets
Include copies of at least one Technical Description Sheet for each
recommended Measure in the appropriate Prescribed Design Strategy Set
selected from the Prescriptive Path Manual.
D. Environmental Recommendations
16
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
If any of the Measures recommended have potentially harmful
environmental impacts (as described in Appendix 1, Environmental
Requirements), information regarding those measures must be supplied
to the building owner.
10. References,
Service providers may wish to maintain a "library" of references which
can provide background information on energy conserving Measures and
techniques. The "library" shall not be used by clients as a sole means
of measure selection. This library may include any sources of
information which the provider of services understands sufficiently to
discuss with developers and Architectural Engineering firms. It should
be noted that, since selection of Measures may depend upon the
developer's understanding of these Measures, this background material may
have some impact on which Measures are actually installed.
17
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Thus, references should consist of clear descriptions of Measures,
preferably written in layman's terms. Paragraph 9.1 lists the references
of which Bonneville is aware.
10.1 Possible References for Inclusion:
The Desian of Enerav Responsive Commercial Buildings by the Solar Energy
Research Institute
Enerav Graohics Booz -Allen Hamilton, Inc.
TVA Enerav Design Guidelines may need to be adapted to the Northwest
Commercial Building Design: Intearatina Climate. Comfort. and Cost Van
Nostrand Reinhold, 1987
How to Reduce Enerav Costs in Your Building Center for Information
Sharing Publication
4110 "Lighting Energy Management for Offices and Office Buildings" and
"Lighting Energy Management in Retailing both publications of the
National Lighting Bureau
Small Office Buildina Handbook, Burt, Hill, Kosar, Rittleman Associates
Enerav Guide for Oreaon Grocers, by the Oregon Department of Energy
Electrical Design Library, from the National Electrical Contractors
Association
Food Services Checklist, from Oregon State University
Total Eneray Manaaement, from the National Electrical Manufacturers'
Association
1111 California Enerav Conservation Standards, from "Title 24"
Mechanical and Electrical EaulDment for Buildings, 7th edition, B. Stein,
Reynolds, McGuinness
Sun, Wind, and Light: Architectural Design Strategies, G.Z. Brown.
Inside Out: Design Procedures for Passive Environmental Technologies,
G.Z. Brown, Reynolds, Ubbelohde
Climatic Design, D. Waton, Labs
Sources of Daylighting information include:
QAylightinq, Fuller Moore
vlightingLin Architecture, B. Evans
yliahtinq, C. Robbins
Building Area
(Square Feel)
Building Type Non-refrig. Assembly, office Hotel, Restaurant, Nursing Schools Grocery Fast Food Enclosed Nursing Hospital Buildings
Warehouse, Church, Strip Full Service Home- Restaurant Retail Mall Home with w/More
Non-grocery Theater, Basic or Other Extensive
Malls Cafeteria Than One
Retail, Auditorium Services Multi-use Health Care Special
Shop, Residential Facilities Feature
Motel Only (see below)
5,000
10,000
15,000
20,000
25,000
30,000
35,000
40,000
A c nnn
t 4 ,60
50,000
Figure 1 Basis for Selection of Appropriate Means of Technical Assistance
HOURLY
Special features include Interior Structural Mass, Water Loop Heat Pump Systems, Simultaneous Heating and Cooling, Non-Structural Active Thermal
Storage Systems, Dayiighting, Building Structures above Five Stories in Height, Complex Zoning, Complex HVAC Systems
EXHIBIT 6
Technical Requirements
Revised 5-3-91
Enerav Conservation Measure
LIGHTING b:
HVAC:
b
Table la
SERVICE LIVES OF ENERGY CONSERVATION MEASURES
Energy Efficient Fluorescent Lamp
Efficient Fluorescent Lamp with built -in ballast
Energy Efficient Ballast
Electronic Ballast
Metal Halide Lamp
Low Pressure Sodium Lamp
High Pressure Sodium Lamp
Parabolic Fixture
Dimming Systems
On -off Switching
Motion Sensor
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Operational
Service Life
(years)
5
2
12
10
3
5
5
20
20
7
10
Economizer 11
Chiller Strainer Cycle System 15
Air -to -Air Packaged Heat Pump 10
Water -to -Air Packaged Heat Pump 15
Ice Thermal Energy Storage 19
Water Thermal Energy Storage 20
Plate Type /Heat Pipe Recovery System 14
Rotary Type Heat Recovery System 11
Heat Recovery from Refrigeration Condensers 11
Low Leakage Damper 9
Variable Inlet Vane Variable Air Volume System 11
Variable Pitch Fan for Cooling Tower 13
Make -up Air Unit for Exhaust Hood 10
Air Destratification Fan:
paddle type 10
high inlet /low discharge type 15
Air Curtain 10
Deadband Thermostat 13
Spot Radiant Heat 10
a "Service Life Of Energy Conservation Measures Bonneville Power
Administration (July 14, 1987); prepared by Xenergy, Inc., and Ecotope,
Inc.
Lighting service lives initially reported in hours were converted to
years using a factor of 4,000 hours /year. This was done for convenience
in summarizing the lifetimes of all Measures and does not reflect any
assumed usage pattern of the equipment.
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
TABLE 1
SERVICE LIVES OF ENERGY CONSERVATION MEASURES
(continued)
Enerav Conservation Measure Service Life (years)
CONTROLS
Computer Logic EMS
Electronic Controls
Time Clocks
MOTORS, DRIVES, AND TRANSFORMERS
Standard Electric Motor
High Efficiency Electric Motor
Variable Speed DC Motor
Variable Speed Drive -Solid State
Variable Speed Drive -Belt Type
Efficient AC Electric Transformer
DOMESTIC HOT WATER
Heat Pump Water Heater
Point -of Use Water Heater
Solar Water Heater
REFRIGERATION
13
11
10
15
17
18
15
10
1.5
10
12
15
Unequal Parallel Refrigeration 14
Condenser Floating Head Pressure Control 10
Automatic Cleaning System for Condenser Tubes 15
Hot Gas Bypass Defrost 10
Polyethylene Strip Curtain 3
Refrigeration Case Cover 11
BUILDING ENVELOPE
Double Glazing 20
Heat Mirror 18
Low Emissivity Coating 14
Solar Shade Film 7
Tinted and Reflective Coating 14
Eauipment Item
AIR CONDITIONERS:
Window Unit
Residential single or split package
Commercial through- the -wall
Water cooled package
Computer Room
HEAT PUMPS:
Residential air -to -air b
Commercial air -to -air 15
Commercial water -to -air 19
ROOF -TOP AIR CONDITIONERS:
Single -zone
Multizone
BOILERS, HOT WATER (STEAM):
Steel water -tube
Steel fire -tube
Cast iron
Electric
BURNERS
FURNACES:
Gas- or oil -fired 18
S UNIT HEATERS:
Gas or electric 13
Hot water or steam 20
RADIANT HEATERS:
Electric 10
Hot water or steam 25
AIR TERMINALS:
Diffusers, grilles, and registers 27
Induction and fan -coil units 20
VAV and double -duct boxes 20
a
b
Table 2
EQUIPMENT SERVICE LIFE a
Obtained from a nationwide survey conducted in 1977 by ASHRAE TC 1.8
(RP 186).
Data removed by TC 1.8 because of changing technology
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Median
Years
10
15
15
15
15
15
15
24(30)
25(25)
35(30)
15
21
Table 2
EQUIPMENT SERVICE LIFE
(Continued)
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Median
Eauioment Item Years
AIR WASHERS 17
DUCT WORK 30
DAMPERS 20
FANS:
Centrifugal 25
Axial 20
Propeller 15
Ventilating roof mounted 20
COILS:
DX, water, or steam 20
Electric 15
HEAT EXCHANGERS:
Shell- and -tube 24
RECIPROCATING COMPRESSORS 20
PACKAGE CHILLERS:
Reciprocating 20
Centrifugal 23
Absorption 23
COOLING TOWERS:
Galvanized metal 20
Wood 20
Ceramic 34
AIR COOLED CONDENSERS 20
EVAPORATIVE CONDENSERS 20
INSULATION:
Molded 20
Blanket 24
PUMPS:
Base mounted 20
Pipe- mounted 10
Sump and well 10
Condensate 15
Median
Eauipment Item Years
RECIPROCATING ENGINES 20
STEAM TURBINES 30
ELECTRIC MOTORS 18
MOTOR STARTERS 17
ELECTRIC TRANSFORMERS 30
i CONTROLS:
Pneumatic 20
Electric 16
Electronic 15
VALVE ACTUATORS
Hydraulic 15
Pneumatic 20
Self contained 10
Table-2
EQUIPMENT SERVICE LIFE
(Continued)
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Retail
Warehouses
APPENDIX 2
COMMON PRACTICE MATRIX
BUILDING TYPES
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Offices
Small office, less than 5,000 SF, usually residential conversions.
Medium office, 5,000 square feet to 30,000 square feet.
Large high -rise office, greater than 30,000 SF, more than three stories.
Large low -rise office, greater than 30,000 SF, less than or equal to
three stories.
Groceries
One of a kind grocery, small local "Mom- and Pop," neighborhood grocery,
Convenience grocery, 24 -hour (extended hours), franchises.
Large grocery store.
Small detached retail, single use,
Small integrated retail, part of a large multi -use office or retail
building.
Large -low retail, single use (Examples K -Mart, Bi -Mart, etc.).
Large -high retail, single use (Examples Meier &Frank, Sears, etc.).
Enclosed Shopping Center -low, suburban shopping mall, multi- tenant, with
open mall area.
Shopping Center -high, 3 stories or more, multi- tenant.
Restaurants
Full service restaurant, Fast food restaurant, Cafeteria, Bar /Lounge
Medical
Medical office, medical, dental, chiropractic, examination rooms, X -ray.
Residential
Hotel, greater than three stories, laundry, restaurant, lounge facilities.
Motel, less than or equal to three stories, detached structure and
facilities.
Assembly- Reaular usg, movie theatres, sports, etc., facilities which are used
on a constant basis.
Assemblv- Sporadic usg, facilities such as coliseums, churches, etc., which
have frequent vacancies.
Laundries,, full service commercial laundries
Schools West of Cjcades
Schools East of Cascades,
BUILDING TYPE
1. Small office
2. Medium office
3. Large high -rise office
4. Large low -rise office
5. One of a kind grocery
6. Convenience grocery
7. Large grocery store
8. Small detached retail
9. Small integrated retail
10. Large -low retail
11. Large -high retail
12. Enclosed shopping center -low
APPENDIX 2
COMMON PRACTICE MATRIX
BUILDING TYPES
(Continued)
EQUIPMENT 1
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Forced air electric furnace, ducted
single zone, direct expansion cooling
Constant volume roof -top unit with
direct expansion cooling
Vane controlled variable air volume
with electric reheat and chiller (COP
as in MCS, Table 53.6)
Packaged variable air volume with
electric reheat and direct expansion
cooling
Packaged unit with direct expansion
cooling
Packaged unit with heat recovery from
freezer cases and direct expansion
cooling
Custom packaged unit with heat recovery
from freezer cases and direct expansion
cooling
Packaged roof -top unit single zone with
direct expansion cooling and electric
forced air furnace
Packaged roof -top unit constant volume
single zone with direct expansion
cooling and electric heat
Packaged roof -top unit single zone with
direct expansion cooling
Vane controlled variable air volume
with electric terminal reheat and
direct expansion cooling
Packaged roof -top unit constant volume
single zone with direct expansion
cooling
19. Hotel
20. Motel
1
13. Open shopping center -low
14. Shopping center -high
15. Full service restaurant
16. Fast food restaurant
17. Bar /Lounge
18. Medical office
VS5- RMCC -4576c (5/01/91)
APPENDIX 2
COMMON PRACTICE MATRIX
BUILDING TYPES
(Continued)
EXHIBIT 6
TECHNICAL REQUIREMENTS
Revised: May 1, 1991
Packaged roof -top unit constant volume
single zone with direct expansion
cooling
Hydronic heat pump for zone heating and
cooling. Electric boiler and cooling
tower for primary water loop.
Packaged roof -top unit with direct
expansion cooling
Packaged roof -top unit with direct
expansion cooling
Packaged roof -top unit with direct
expansion cooling
Packaged roof -top unit constant volume
with electric terminal reheat and
direct expansion cooling
Four -pipe fan coil, electric boiler and
central chiller
Thru- the -wall units with direct
expansion cooling and electric
resistance heating
21. Warehouses Unit heaters, no space cooling
Central electric resistance heating is assumed unless otherwise
specified. If no cooling is to be provided in the proposed building,
then it is not to be modeled. All baseline building equipment is to be
modeled with the efficiencies described in the MCS Equivalent Code. Air
supply systems are assumed to be constant volume unless otherwise
specified.
ENERGY SMART PROGRAM
ENERGY CONSERVATION MEASURE (ECM) CODE LIST
ENERGY CONSERVATION MEASURE CODES
EXHIBIT 7
ECM CODE LIST
Revised May 1,1991
The following is a list of energy conservation measures to be considered for
analysis by auditors and analysts when conducting on —site Energy Audits and
Energy Studies. Section A describes energy conservation measures pertaining
to building shell and equipment (ECMs) and Section B describes energy
conservation measures pertaining to operations and maintenance procedures
(O &Ms). Detailed descriptions of these energy conservation measures are
contained in the Conservation Audit Workbook.
TABLE OF CONTENTS
Section Page
A. Enerav Conservation Measures (Building and Eauipment)
1. Envelope and General Building Measures 1
2. Lighting Measures 3
3. HVAC System Measures 4
4. Domestic Water Heating Measures 8
5. Power Related Measures 9
6. Refrigeration Measures 9
7. Miscellaneous Measures 10
Notes 11
B. Operations and Maintenance Measures
1. Envelope and General Building 12
2. Lighting 12
3. HVAC 13
4110 4. Water Heating 13
5. Power 14
6. Refrigeration 14
7. Miscellaneous 14
i
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
ENERGY CONSERVATION MEASURE (ECM) CODE LIST
A. ENERGY CONSERVATION MEASURES (ECM's)
1. ENVELOPE AND GENERAL BUILDING MEASURES
ECM CODE ECM TITLE
Ceilina /Roof Insulation
Floor Insulation
Wall Insulatim
1
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
E -la Additional Blown -in insulation in attic space (above code).
Specify initial and final R- values
E -lb Additional Batt insulation between rafters or ceiling joists
(above code). Specify initial and final R- values
E -lc Ril to R19 Batt insulation between rafters or ceiling joists
E -ld Ril to R30 Batt insulation between rafters or ceiling joists
E -le Ril to R38 Batt insulation between rafters or ceiling joists
E -lf R19 to R30 Batt insulation between rafters or ceiling joists
E -lg R19 to R38 Batt insulation between rafters or ceiling joists
E -lh Rigid Foam insulation (above code). Specify initial and final
R- values.
*E -li Spray -On Foam insulation (above code)
*E -lx Other ENERGY SAVING Ceiling /Roof Insulation measures
E -2a Additional Batt /Board insulation above code (vented crawl
space). Specify initial and final R- values.
E -2b R19 to R30 Batt insulation between floor joists
E -2c Additional Batt /Board perimeter insulation (above code).
Specify initial and final R- values.
E -2d RO to R7 Batt /Board perimeter insulation
E -2e Additional Slab Insulation (above code). Specify R- values.
E -2x Other ENERGY SAVING Floor Insulation measures
*E -3a R11 to R19 Batt insulation in wall cavities.
*E -3b Additional Blown -in insulation in wall cavities (above code).
Specify initial and final R- values.
*E -3c Additional Rigid Foam insulation in wall cavities (above code).
Specify initial and final R- values.
*E -3d Rigid insulation on exterior wall surfaces. Specify R- value.
*E -3e Rigid insulation on interior wall surfaces. Specify R- value.
*E -3f Rigid Styrene insert panels in concrete /cinder block walls
*E -3x Other ENERGY SAVING Wall Insulation measures
1. ENVELOPE AND GENERAL BUILDING MEASURES: (continued)
ECM CODE ECM TITLE
�lazina.
*E -4a Add single glazing (storm windows)
E -4b Double glazed window units (from single glazed)
E -4c Triple glazed window units (from single or double glazed)
E -4d Low -E double glazed window units
E -4e Insulation within glazing air spaces (clear gels, argon gas)
*E -4x Other ENERGY SAVING glazing measures
Doors
E -5a Double glazed sliding glass doors
E -5b Insulated entry /exit doors
E -5c Insulated garage doors
*E -5x Other ENERGY SAVING door measures
Reduce Infiltration
*E -6a Caulk or insulation to cracks around door and window frames and
in other construction joints.
*E -6b Weatherstripping around operable doors and windows.
*E -6c Vestibule
*E -6d Air curtain blower.
*E -6x Other ENERGY SAVING Infiltration Reduction measures
Movable Insulation
E -7a Multi -layer reflective roller shade device.
E -7b Operable insulating slats.
E -7c Quilted insulating draperies.
E -7d Operable pool covers
E -7x Other ENERGY SAVING Moveable Insulation measures
Shading
E -8a Exterior shading devices such as overhangs, fins, and fixed or
movable solar screens.
E -8b Interior shading devices including reflective /insulating drapes
and blinds.
E -8c Reflective films applied directly to glass surfaces.
E -8x Other ENERGY SAVING shading measures
Dock Shelters /Seals
*E -9a Dock seals
*E -9b Dock shelters
*E -9c Strip doors
*E -9x Other ENERGY SAVING Dock Shelters /Seals measures
2
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
1. ENVELOPE AND GENERAL BUILDING MEASURES: (continued)
ECM CODE ECM TITLE
Roof SDrinklina /SDrav System
E -l0a Roof sprinkling /spray system.
E -50 Combination of related E measures (specify individual
component codes)
E -99 Other E measures not listed above: (Describe Briefly).
2. LIGHTING MEASURES:
Efficient Interior Liahtina Fixtures
III1 -la Efficient Incandescent Halogen
L -lb Efficient Incandescent Quartz
L -lc Efficient Incandescent Tungsten
L -ld Efficient Fluorescent
L -le Efficient Compact Fluorescent
L -lf Metal halide
L -lg High pressure sodium
L -lx Other Efficient Fixture measures
Enerav Efficient Interior Lamps
L -2a Low- wattage energy conserving T -12 fluorescent lamps.
L -2b High output (energy efficient) fluorescent lamps (T -12 larger)
L -2c Self ballasted compact fluorescent lamps.
L -2d Other compact fluorescent lamps.
L -2e Low wattage T -8 flourescent lamps
4110 L -2f Low wattage T -10 flourescent lamps
L -2g Low wattage 8 -foot F96 flourescent lamps
L -2x Other Energy Efficient Lamp measures
Eneray Efficient Ballasts
L -3a Energy efficient magnetic ballasts
L -3b Electronic ballasts
L -3c Hybrid (high efficiency) ballasts
lightina Control
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
L -4a Photocell control of exterior lighting.
L -4b Timeclock control of exterior lighting.
L -4c Photocell control of interior lighting.
L -4d Timeclock control of interior lighting
L -4e Ultrasonic or infrared motion detectors for interior lighting.
2. LIGHTING MEASURES: (continued)
ECM CODE ECM TITLE
Exterior Lighting
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
L -5a Energy Efficient Incandescent Halogen fixtures and bulbs
L -5b Energy Efficient Incandescent Quartz fixtures and bulbs
L -5c Energy Efficient Incandescent Tungsten fixtures and bulbs
L -5d Metal halide fixtures and bulbs
L -5e Fluorescent fixtures and bulbs
L -5f High pressure sodium fixtures and bulbs
L -5g Low pressure sodium fixtures and bulbs
L -5x Other exterior lighting measures
Manual Selective Switching
L -6a Install switches so that lights can be turned off in individual
rooms or sections of the building when not in use.
Automatic Davliahtina Controls
L -7a Light.sensors and dimmable ballast or banking controls.
L -7b Provide shading where skylights are used and install proper
solar control devices.
Efficient Exit Sians
L -8a Compact fluorescent exit sign (i.e. PL -7 watts)
L -8b Light Emitting Diode (LED)
L -8c Self luminous exit signs
L -50 Combination of Related L Measures (Specify individual
component codes)
L -60 Aggregation of Lighting Measures (Specify individual
component codes)
L -99 Other L Measures: (Describe briefly)
3. HVAC SYSTEM MEASURES:
ECM CODE ECM TITLE
HVAC Pining Insulation
H -la
H -lb
H -lc
H -ld
Cellular glass or mineral wool insulation
Calcium silicate
High density elastomeric or phenolic foam.
Duct insulation.
3. HVAC SYSTEM MEASURES: (continued)
ECM CODE ECM TITLE
Automatic Niaht Setback
*H -2a Programmable night setback thermostat.
*H -2b Programmable heat pump night setback thermostat.
*H -2c Lockout resistance heat
Automatic Economizer Cooling
*H -3a Air -side cooling economizer controls and hardware.
*H -3b Water -side cooling economizer controls and hardware.
Heat Pump Systems
*H -4a Air source heat pump system.
*H -4b Water- source heat pump system.
*H -4c Ground source heat pump system.
*H -4d Closed loop (California heat pump system)
*H -4e High Efficiency heat pump system (scroll compressor etc)
*H -4x Other Heat Pump systems
Outside Air Control
Hot and Cold Deck Automatic Reset
Reheat Sv_,Stem Primary Air Optimization
Heat Recovery HVAC Systems
H -8a Rotary heat exchanger
H -8b Condensing coil heat exchanger
H -8c Air -to -Air heat exchanger
H -8d Heat pipe
H -8e Run around system
H -8f Heat recovery chiller
H -8g Heat pump dehumidification
H -8h Preheat electric boiler feedwater with flue gas
H -8x Other HVAC Heat Recovery measures
5
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
*H -5a Twist timers or occupancy sensors for exhaust fans
*H -5b Controls to reduce outside air to minimum acceptable IAQ levels.
*H -5c Low leakage dampers.
*H -5d Controls which close outside air dampers when the building is
unoccupied.
4110 H -6a Controls and hardware to optimize hot and cold deck air temps.
H -6b Controls and hardware to optimize hot and cold deck hydronic
system temperatures.
H -7a Primary air temperature optimizing controls on terminal reheat
systems.
3. HVAC SYSTEM MEASURES: (continued)
ECM CODE ECM TITLE
Deadband Thermostat
H -9a Deadband thermostat
Time Clocks On Circulatina Pumps
H -l0a 7 -day time clock to control heating or cooling system hydronic
pumps.
Chiller System
H -11a Controls to optimize chiller and condenser water temperatures.
H -llb High efficiency chiller
Increase Condensina Unit Efficiency
H -12a Tube brush cleaning system
H -12b Chemical washing system
Separate Make -Up Air for Exhaust Hoods
*H -13a Provide separate make -up air unit.
*H -13b Replace hood with short circuit hood.
Variable Air Volume
*H -14a
*H -14b
*H -14c
*H -14d
*H -14x
Variable speed drive (hydraulic)
Variable inlet vanes
Discharge or scroll dampers
Variable fan wheel width
Other Variable Air Volume measures
Direct Tower Coolina (Chiller Strainer Cycle)
H -15a Controls for chiller water and cooling tower piping to allow
cooling of chilled water without chiller operation„
H -15b High efficiency Cooling Tower
Thermal Storage Systems
H -16a Hot water tanks
H -16b Chilled water tanks
H -16c Ice storage systems
H -16d Rock bins
H -16x Other Thermal Storage measures
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
3. HVAC SYSTEM MEASURES: (continued)
ECM CODE ECM TITLE
Multiple Chiller Control
H -17a Add differential pressure bypass, substitute three -way coil
valves with two -way valves, and add controls to stage chillers
off as cooling loads decrease.
H -17b Convert a primary distribution system to a primary /secondary
system.
H -17c Enhance existing primary /secondary system by adding variable
speed, two speed, or parallel secondary pumps.
H -17d Add tertiary coil pumps to a primary /secondary system to improve
heat transfer through the cooling coils.
H -17e Add a central control system which analyzes and optimizes the
operation of all chillers and pumps simultaneously.
H -17x Other Chiller Control measures
Radiant Heatina
H -18a High intensity (spot) radiant heating system Electric.
H -18b Underfloor radiant heating system Electric.
H -18c Under /above floor radiant heating system Water.
H -18x Other radiant heating systems.
Coolina Tower Flow Control
H -19a Constant speed fan cycling control with water bypass.
H -19b Two -speed fan cycling control.
H -19c Pitch blade fan or discharge dampers.
H -19d Variable speed fan motor.
H -19x Other Cooling Tower Flow Control measures
Air Destratification
H -20a Ductwork system with centrifugal or vaneaxial fans.
H -20b Open propeller fans.
H -20c Enclosed high velocity fans.
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
Evaporative Cooling
H -21a Evaporative cooling (where appropriate)
Direct Expansion Coolina System COP
H -22a High efficiency Cooling system COP (scroll compressor etc)
H -50 Combination of related H measures (Specify codes)
H -99 Other H Measures: (describe briefly)
4. DOMESTIC WATER HEATING MEASURES:
ECM CODE ECM TITLE
Hot Water Tank Insulation
W -la Additional Insulation on domestic hot water tanks. (above code)
Domestic Hot Water Pioina Insulation
W -2a Cellular glass or mineral wool insulation
W -2b Calcium silicate
W -2c High density elastomeric or phenolic foam
Unoccupied Period Control of Water Heaters
W -3a Time clock to turn off domestic hot water heater during
unoccupied hours.
W -3b Radio controlled domestic hot water heater
Heat Pumn Water Heater
W -4a Tankless heat pump water heater (Supplements DHW system)
W -4b Tank mounted heat pump water heater (Self contained)
W -4c Heat pump water heater for a pool
Solar Water Heater
W -5a Solar water heating system including collectors, storage tank,
pump, heat exchangers, piping, and controls.
Circulating Pump Control
W -6a Timeclock to turn off domestic hot water (DHW) recirculating
pumps when building is unoccupied.
Point -of -Use Water Heater
W -7a Point -of -use water heaters and associated piping. Electric
Heat Recovery DHW systems
W -8a Water -to -water heat exchangers
W -8b Condensing coil heat exchangers
W -8c Air -to -water heat exchangers
W -8d Desuperheaters
W -8e Heat recovery chillers or cooling tower water heat exchangers
W -8x Other Heat Recovery DHW measures
Chemical Dishwashing System
*W -9a Low temperature chemical dishwashing system
W -50 Combination of related W measures (Specify codes)
W -99 Other W Measures,: (Describe Briefly)
8
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
5. POWER- RELATED MEASURES:
ECM CODE ECM TITLE
Motors and Motor Controls
P -la
P -lb
P -lc
*P -id
*P -le
*P -lf
*P -1g
*P -lx
Transformer
P -2a Efficient transformer
P -50 Combination of related P Measures (Specify codes)
P -99 Other P Measures: (Describe Briefly)
6. REFRIGERATION MEASURES:
ECM CODE ECM TITLE
Reduce Heat Gains to Refrigerated Space
R -la
R -1 b
R -lc
R -lx
Appropriately downsized "Energy Efficient Motors"
High efficiency motors
Power Factor correction
Multiple speed motor
Multiple motor drives
Variable frequency controller (Pulse Width Modulated)
Eddy current drive /controller
OTHER motor or motor control measures
Clear plastic strips
Night curtains
Case doors
Other heat gain reduction measures
Optimize Defrost Control
R -2a Defrost cycle optimizing control
Refriaeration Pressure Optimization Control
R -3a Floating head pressure control
R -3b Liquid pressure amplification
high Efficiency Compressors.
R -4a Reciprocating compressor
R -4b Screw compressor
R -4c Rotary compressor
R -4d Parallel unequal reciprocating compressors
R -4e Scroll compressor
R -50 Combination of related R measures (Specify codes)
R -99 Other R Measures_ (Describe Briefly)
9
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
7. MISCELLANEOUS MEASURES:
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
ECM CODE ECM TITLE
Enerav Manaaement Control System
*M —la Computerized control for building energy system. Options include:
Time scheduled operation of fans, pumps, chillers,
boilers, lights, and other energy consuming equipment
Duty cycling of fans or pumps
Warmup cycle
HVAC deck temperature reset
Chilled water temperature reset
Economizer control
Optimized start /stop
M -50 Combination of related measures (Specify codes)
M -60 Aggregation of measures (Specify Codes)
M -99 Other M Measures: (Describe Briefly)
NOTES
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
1. This list of measures will be added to the list provided in the
Conservation Audit Workbook. Within ECM categories, different materials
and /or methods are listed for purposes of tracking costs and energy
savings more closely.
2. This measure, while not meeting the definition of ECM, is still
considered to be an ECM. Costs for this ECM are labor related.
3. Combinations are measures grouped because they are structurally or
functionally interrelated such that savings or cost are not discretely
separable or if standard code or design and construction practices
prescribe the affiliation of the measure.
4. Aggregations are like measures grouped to streamline analysis or to
accommodate diverse elements of a redesign.
Measures which, if implemented, may cause adverse indoor air quality
effects. See Environmental Requirements in Technical Requirements.
2. LIGHTING
EXHIB:[T 7
ECM CODE LIST
Revised May 1, 1991
B. OPERATIONS AND MAINTENANCE MEASURES (Recommend all appropriate measures):
O &M CODE O &M TITLE
1. ENVELOPE AND GENERAL BUILDING
OM -la Optimize occupancy schedules
OM -lb Optimize use of building areas
OM -lc Replace broken windows
OM -ld Assure that boundary doors between conditioned and unconditioned
spaces have automatic door closing devices
OM -le Vapor barrier on soil in crawl spaces
OM -lx Other
OM -2a Mark all switches to identify lighting that should be off when
not needed
OM -2b Remove fixture lenses if not required for glare control
OM -2c Maintain Clean fixtures, lamps, and diffusers
OM -2d Maintain Clean windows and skylights
OM -2e Maintain photocell and occupancy sensor controls
OM -2f Maintain timeclock on /off times to track seasonal daylight
variations
OM -2g Delamp and disconnect ballasts in existing fixtures
OM -2h Add reflectors to existing fixtures that have also been delamped
OM -21 Daylighting design (passive Solar)
OM -2j Reduce proposed lighting levels to acceptable standards.
OM.2k Use of task lighting to reduce overall light levels.
OM -21 Maintain surface reflectance in order to allow for lower
lighting levels.
OM -2x Other
O &M CODE O &M TITLE
3. HVAC
OM -4a Reduce hot water supply temperature
OM -4b Install low flow devices on showers, faucets, etc.
OM -4c Repair damaged or missing pipe or tank insulation
OM -4d Stop water leaks
OM -4e Clean heat pump water heater evaporator coil
OM -4f Maintain water circulation pump controls.
OM -4x Other
4. WATER HEATING
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
OM -3a Maintain air filters, coils, and air distribution inlets and
outlets
OM -3b Repair damaged or missing duct or pipe insulation
OM -3c Replace worn belts, maintain correct belt tensions
OM -3d Repair leaks in ducts or plenums
OM -3e Separate heating and cooling set points on combination
heating /cooling controls (Deadband Thermostat)
OM -3f Increase /Decrease thermostat set point to match season
OM -3g Clean air cooled condenser coils
OM -3h Maintain dampers and linkages
OM -31 Maintain night set -back morning set -up times to closely track
building occupancy schedules and seasonal temperature variations.
OM -3j Maintain economizer temperature set points
OM -3k Maintain boiler controls for proper sequencing and operation
OM -3x Other
O &M CODE
5. .POWER
6. REFRIGERATION
7. MISCELLANEOUS
O &M TITLE
OM -5a Turn off vending machines during unoccupied periods if practical
OM -5b Turn off refrigerated drinking fountains when practical
OM -5c Turn off office machines when not in use
OM -5d Repair compressed air system leaks
OM -5e Maintain proper lubrication in motors and drive -train
OM -5x Other
OM -6a Clean condensing unit coils
OM -6b Defrost refrigerators and freezers when ice builds up
OM -6c Shut -off ice makers when unneeded
OM -6d Repair or replace damaged system insulation and /or vapor barriers
OM -6e Maintain refrigerator case door gaskets, piping, and wiring
penetration seals
OM -6x Other
OM -7a Maintain building staff knowledge of energy management controls.
OM -7b Maintain control point sensor condition and proper set points.
OM -7x Other
(VS5- RMCC- 3220c) Revised May 1,1991
EXHIBIT 7
ECM CODE LIST
Revised May 1, 1991
USE -CODE
A. AGRICULTURAL
074
B. CONSTRUCTION
C. MANUFACTURING
D. TRANSPORTATION,
E. WHOLESALE TRADE
STANDARD INDUSTRIAL CLASSIFICATION (SIC)
CODE LIST
BLDG USE DESCRIPTION
VETERINARIAN CLINICS AND HOSPITALS
176 ROOFING WORK CONTRACTORS
179 MISCELLANEOUS SPECIAL TRADE CONTRACTORS
204 GRAIN MILL PRODUCTS
209 FOOD PREPARATION
223 BROADWOVEN FABRIC MILLS, WOOL
224 COTTON, WOOL, SILK, MANMADE FIBER MILLS
243 MILLWORK, VENEER, PLYWOOD, STRUCT WOOD
249 WOOD PRODUCT
306 ELECTIVE SERVICES INC.
341 METAL CANS SHIPPING CONTAINERS
356 GENERAL INDUSTRIAL MACHINERY
359 INDUSTRIAL /COMMERCIAL MACHINERY AND EQUIPMENT
COMMUNICATIONS, ELECTRIC, GAS, AND SANITARY SERVICES
422 PUBLIC WAREHOUSE
440 WATER TRANSPORTATION
442 DEEP SEA DOMESTIC TRANSPORT OF FREIGHT
449 SERVICES RELATING TO WATER TRANSPORT
483 RADIO AND TELEVISION BROADCASTING
495 SANITARY SERVICES
EXHIBIT 8
Page 1 of 4
506 ELECTRICAL GOODS
508 MACHINERY, EQUIPMENT SUPPLIES
516 MISCELLANEOUS NONDURABLE GOODS (FARM SUPPLIES,
ETC.)
USE -CODE BLDG USE DESCRIPTION
F. RETAIL STORES
521 LUMBER AND OTHER BUILDING MATERIALS
523 PAINT, GLASS, AND WALLPAPER STORE
525 HARDWARE STORE
526 RETAIL NURSERIES AND GARDEN STORE
531 DEPARTMENT STORE
533 VARIETY STORE
539 MISCELLANEOUS GENERAL MERCHANDISE STORE
554 GASOLINE SERVICE STATION
555 BOAT DEALERS
557 MOTORCYCLE DEALER
559 AUTOMOBILE DEALER
565 CLOTHING STORE
566 SHOE STORE
569 MISCELLANEOUS APPAREL ACCESSORIES
571 FURNITURE AND HOME FURNISHINGS STORE
572 HOUSEHOLD APPLIANCE STORE
573 RADIO, TELEVISION, MUSIC STORE
581 GENERAL RESTAURANT
582 FAST FOOD
590 MISCELLANEOUS RETAIL
591 DRUG OR PROPRIETARY STORE
592 LIQUOR STORE
593 USED MERCHANDISE STORE
594 MISCELLANEOUS SHOPPING GOODS STORE
599 RETAIL STORES, (NEC)*
G. FOODSTORE
541 GROCERY STORE
542 MEAT MARKET AND FREEZER PROVISIONER
543 FRUIT AND VEGETABLE MARKETS
544 CANDY, NUT CONFECTIONARY STORE
545 DAIRY PRODUCT STORE
546 RETAIL BAKERY
547 CONVENIENCE STORE
549 MISCELLANEOUS FOOD STORE
H. OFFICE: FINANCE, INSURANCE, REAL ESTATES, AND GENERAL
600 GENERAL OFFICE
601 BANK
610 NONDEPOSITORY CREDIT INSTITUTION
616 MORTGAGE BANKERS AND BROKERS
631 LIFE INSURANCE
641 INSURANCE AGENTS, BROKERS, AND SERVICE
651 REAL ESTATE OPERATORS AND LESSORS
653 REAL ESTATE AGENTS AND MANAGERS
670 HOLDING OTHER INVESTMENT OFFICES
EXHIBIT 8
Page 2 of 4
USE -CODE BLDG USE DESCRIPTION
I. SERVICES, GENERAL
EXHIBIT 8
Page 3 of 4
701 HOTELS, MOTELS TOURIST CENTER
702 ROOMING AND BOARDING HOUSES
721 LAUNDRY, CLEANING, AND GARMENT SERVICES
722 PHOTOGRAPHY STUDIOS, PORTRAIT
723 BEAUTY SHOPS
724 BARBER SHOPS
726 FUNERAL SERVICE CREMATORIES
729 MISCELLANEOUS PERSON SERVICES
732 CREDIT REPORTING AND COLLECTION SERVICES
733 MAILING, REPRODUCTION, STENOGRAPHIC
734 SERVICES TO BUILDINGS
735 MISCELLANEOUS EQUIPMENT RENTAL LEASING
736 PERSONNEL SUPPLY SERVICES
737 COMPUTER AND DATA PROCESSING SERVICES
738 MISCELLANEOUS BUSINESS SERVICES
739 BUSINESS SERVICES
752 AUTOMOBILE PARKING
753 AUTOMOTIVE REPAIR SHOPS
763 WATCH, CLOCK JEWELRY REPAIR
764 REUPHOLSTERY AND FURNITURE REPAIR
769 MISCELLANEOUS REPAIR SHOPS
783 MOTION PICTURE THEATERS
790 AMUSEMENT RECREATION SERVICES
791 DANCE STUDIOS, SCHOOLS, AND HALLS
793 BOWLING CENTERS
794 COMMERCIAL SPORTS
799 MISCELLANEOUS AMUSEMENT AND RECREATION SERVICE
811 LEGAL SERVICES
832 INDIVIDUAL AND FAMILY SOCIAL SERVICES
835 CHILD DAY CARE
836 RESIDENTIAL CARE
839 SOCIAL SERVICE COMMUNITY IMPROVEMENT
841 MUSEUMS AND ART GALLERIES
861 BUSINESS ASSOCIATIONS
864 CIVIC, SOCIAL, AND FRATERNAL ASSOCIATIONS
866 CHURCH /RELIGIOUS ESTABLISHMENT
873 RESEARCH, DEVELOPMENT, AND TESTING SERVICES
891 ENGINEERING ARICHTECTURAL SERVICES
899 OTHER SERVICES (NEC)*
J. SERVICES, HEALTH
801 OFFICES OF PHYSICIANS
802 OFFICES OF DENTISTS
803 OFFICES OF OSTEOPATHIC PHYSICIANS
804 OFFICES OF OTHER HEALTH PRACTITIONERS
805 NURSING AND PERSONAL CARE FACILITIES
806 HOSPITALS
807 MEDICAL AND DENTAL LABORATORIES
808 OUTPATIENT CARE FACILITIES
809 HEALTH AND ALLIED SERVICES (NEC)*
USE -CODE BLDG USE DESCRIPTION
K. SCHOOL
821 ELEMENTARY AND SECONDARY SCHOOL
822 COLLEGE OR UNIVERSITY
823 LIBRARY INFORMATION CENTER
824 CORRESPONDENCE AND VOCATIONAL SCHOOL
829 SCHOOLS EDUCATIONAL SERVICES (NEC)*
L. PUBLIC ADMINISTRATIONS
911 EXECUTIVE OFFICES
921 COURTS
922 PUBLIC ORDER AND SAFETY
944 ADMINISTRATION OF SOCIAL, HUMAN RESOURCES
951 ADMIN OF ENVIORNMENTAL QUALITY PROGRAMS
963 REGULATION OF UTILITIES
M. NONCLASSIFIABLE ESTABLISHMENTS
999 NONCLASSIFIABLE ESTABLISHMENTS
NEC Not Elsewhere Classified
NOTE: Other SIC Codes from the Standard Industrial Classification Manual are
permissible. List the building function if "999" is used.
VS5- RMCC -3519c
EXHIBIT 8
Page 4 of 4
Operating Area Cost Share Percentages Page 1 of 2
Effective October 1, 1990
Contractor
Albion
Alder Mutual
Ashland
Bandon
Benton Co. PUD #1
Benton REA
Big Bend Elec. Coop
Blachly -Lane Elec. Coop
0 Blaine
Bonners Ferry
Burley
Canby
Cascade Locks
Central Elec. Coop
Central Lincoln PUD
Centralia (City)
Chelan Co. PUD #1
Cheney
Clallam Co. PUD #1
Clark County PUO #1
Clatskanie PUD
Clearwater Power Co.
Columbia Basin Coop
Columbia Power Coop
Columbia REA
Columbia River PUD
Consolidated ID No. 19
Consumers Power, Inc.
Coos -Curry Elec. Coop
Coulee Dam
Cowlitz Co. PUD #1
Declo
Douglas Co. PUD #1
Douglas Elec. Coop
Drain
East End Mutual
Eatonville
Ellensburg
Elmhurst Mutual
Emerald Co. PUD
Eugene
Cost Share
Percentage Contractor
100 Fall River Elec. Coop
100 Farmers Elec. Co.
100 Ferry Co. PUD #1
100 Fircrest
100 Flathead Elec. Coop
100 Forest Grove
100 Franklin Co. PUD #1
100 Glaicier Elec. Coop
100 Grant Co. PUO #2
85 Grays Harbor Co. PUD #1
100 Harney Elec. Coop
100 Heyburn
100 Hood River Elec. Coop
100 Idaho Co. L &P Coop
100 Idaho Falls
90 Idaho Power Co.
75 Inland P &L Co.
100 Kittitas Co. PUD #1
100 Klickitat Co. PUD #1
100 Kootenai Elec. Coop, Inc.
100 Lakeview L &P Co.
100 Lane Co. Elec. Coop
100 Lewis Co. PUD #1
100 Lincoln Elec. Coop, Mont.
100 Lincoln Elec. Coop, Wash.
100 Lost River Elec. Coop
100 Lower Valley P &L Co.
100 Mason Co. PUD #1
100 Mason Co. PUD #3
95 McCleary
95 McMinnville
100 Midstate Elec. Coop
0 Milton (City)
100 Milton Freewater
100 Minidoka
100 Missoula Elec. Coop
100 Monmouth
100 Montana Power Co.
100 Nespelem Valley Elec.
100 Northern Lights, Inc.
90 Northern Wasco PUD
Exhibit 9
Cost Share
Percentage
100
100
100
100
100
90
100
100
75
100
100
100
100
100
95
0
100
90
100
100
100
100
100
100
100
100
100
100
100
100
95
100
100
90
100
100
100
0
100
100
100
Operating Area Cost Share Percentages Page 2 of 2
Effective October 1, 1990
Contractor
Ohop Mutual
Okanogan Co. Elec. Coop
Okanogan Co. PUD #1
Orcas P &L Co.
Oregon Trail Elec. Con. Coop
Pacific Co. PUD #2
Pacific P &L
Parkland P &L
Pend Oreille Co. PUD #1
Peninsula P &L Inc.
Port Angeles
Portland General Elec.
Prairie Power Coop
Puget Sound P &L
Raft River Elec. Coop
Ravalli Elec. Coop
Richland
Riverside Elec. Co.
Rupert
Rural Elec. Co.
Salem Elec.
Salmon River Elec. Coop
Seattle
Skamania Co. PUD #1
Snohomish Co. PUD #1
Soda Springs
South Side Elec. Lines
Springfield
Steilacoom
Cost Share
Percentage
Contractor
100 Sumas
100 Surprise Valley Elec. Coop
75 Tacoma
100 Tanner Elec.
95 Tillamook PUD
100 Troy
0 U.S. Air Force (Fairchild
100 AFB)
75 U.S. BIA (Flathead)
100 U.S. BIA (Wapato)
100 U.S. Bureau of Mines
0 U.S. Bureau of Reclamation
100 (Roza)
75 U.S. DOE (Richland)
100 U.S. Navy
100 U.S. Navy (Bangor)
100 U.S. Navy (Jim Creek)
100 Umatilla Elec. Co.
100 Unity L &P Co.
100 Utah P &L
100 Vera Irrigation Dist.
100 Vigilante Elec. Coop
75 Wahkiakum Co. PUD #1
100 Wasco Elec. Coop
95 Washington Public Power SS
100 Washington Water Power
100 Wells Rural Elec. Co.
100 West Oregon Elec. Coop
100 Whatcom Co. PUD #1
Cost Share
,Percentage
100
100
85
100
100
100
100
90
100
100
0
100
100'
100
100
100
100
0
100
100
100
100
0
0
100
100
100
The following Terms and Conditions are revised to read as follows:
TERMS AND CONDITIONS
SPECIFIC CLAUSES
15.0202 -1 BASIS OF PAYMENT
(a) Administrative Allowance: Flat Rate Basis. Payments for administrative
costs, as defined by paragraph 3.1.1 of Section A, will be provided on a
flat rate basis, i.e. not based on actual costs. Payment for all
administrative activities will be based on the base administrative
allowance and the provision of design assistance services or optional
services (per building amount) shown in the chart in Section A, Program
Description, paragraph 3.1.1.C.2:
i. Base Administrative Allowance The utility may draw down
100 percent of the base amount upon award.
ii. Per Building Amount A payment of the amount shown in the chart
in Section A, Program Description, paragraph 3.1.1.C.2. (less
applicable cost share) will be paid for each building provided
design assistance services. This per building payment will be
based upon the activity listed on the Energy Smart Design Quarterly
Activity Report. For utilities operating under a group award, the
per building administrative payment will be determined by the cost
share percentage of the particular utility in whose service
territory the building is located.
See Section A, Program Description, paragraphs 3.1.1 and 3.1.2 for
additional information.
(b) Design Assistance Allowance: Cost Basis. Actual costs incurred by
recipients for design assistance (as defined by paragraph 3.1.2 of
Section A) will be paid without fee or profit.
S i. For budget estimating purposes, average costs of $2,500 for a hand
calculation or a bin model, and $5,000 for an hourly model shall be
used. The utility may also estimate the number of large /complex
buildings and an average cost for analyzing them which reflects
typical projects for their area.
ii. Hand Calculation, bin, and hourly model analysis costs may not
exceed the following amounts according to the utility's designated
BPA Area Office without prior approval from the PTR: Lower
Columbia, hand calculation NTE $2,500, bin model NTE $3,750 and
hourly model NTE $7,500; Puget Sound, hand calculation NTE $2,500,
bin $5,000 and hourly $25,000; Upper Columbia, hand calculation NTE
$2,500, bin $5,000 and hourly $20,000; and Snake River, hand
calculation NTE $2,500, bin $3,000 and hourly $6,000.
iii. All costs incurred to analyze a specific building (including basic
services of daylighting computer analysis and any award
verification modeling runs) are subject to this payment limit.
iv. If the utility selects a design assistance approach to assist a
building which is different than the approach shown as guidance in
figure 1 of the Technical Requirements for that building category
(e.g., a bin model is used where an hourly model is depicted or
vice versa), the budget limit will be determined by the least
complex method, unless prior approval of the CO is obtained for use
of a more complex model (e.g. hourly when figure 1 requires bin).
(c) Optional Services: Site -based Payments, Equipment Rebates, Building
Commissioning, and Operations and Maintenance may be paid through the
utility to a building owner or designee who installs recommended
Cost Effective Measures under this program and whose building meets the
definition of Commercial Building. The amount of the payment for all
Optional Services including peer matching, account executive,
daylighting, and design payment must be designated in the utility's
workplan and is subject to BPA approval. BPA's intent is to acquire
savings at a cost not to exceed full incremental cost and up to a maximum
of 50 percent of total installed cost. However, various payment
formulas will be allowed if they meet the intent of incremental cost.
Baseline: The baseline which shall be used for determining incentive
levels is as listed in paragraph 6.1 of the Program Technical
Requirements.
Payments may be offered to building owners who are at any stage in the
design process.
Measures in Industrial Process Buildings: the following measures are not
eligible for funding under this program: (a) Measures which directly
involve or alter those processes; or (b) Measures which impact
environmental systems which are directly associated with such processes
(e.g., task lighting, process fume and particulate exhaust and
filtration, special humidity, and temperature control systems.)
There is no commitment for further BPA funding beyond the award amount, except
as provided by modification. Recipients are expected to bring their projects
to conclusion, including final reports, within the funds provided. BPA is
under no obligation to provide additional funding if the project cannot be
completed within the awarded amount.
(End of Clause)
(AE)
2
15.0202 -16 REPORTING PROGRAM TECHNICAL PERFORMANCE, A -110 RECIPIENTS (06 -89)
(a) Frequency. A final report on the project must be submitted no later than
90 days after the expiration date of the program period indicated on the
face page.
(b) Format. The report will be made in a format mutually agreed upon by BPA
and the Recipient.
(c) Copies. Two copies of the reports required shall be submitted to the BPA
Technical Representative.
(d) Content. The report content shall be that prescribed in OMB Circular
A -110, Attachment H, except that the final report shall also include,
where appropriate, information on energy savings (projected /actual) and
future development and /or commercialization plans.
(i) Smart Design Program Services Summary Exhibit 2
(ii) Smart Design Program Quarterly Activity Report Exhibit 3
This report is shown at Exhibit 2, as revised 4/91 (sample). The
report contains multiple parts (sections.) Only the applicable
sections corresponding to completed activities shall be submitted.
(iii) The data gathering and evaluation plan described in the
Recipient's Optional Services Workplan will be used as guidance to
BPA; however, BPA may require additional data to be collected if
necessary to accomplish a valid evaluation of the program. These
requirements will be developed in cooperation with the utilities.
(e) Report of special events. Reports of special events shall be made in
accordance with the requirements prescribed in OMB Circular A -110,
Attachment H.
(End of Clause)
(AE)
15.0202 -17 REPORTING PROGRAM TECHNICAL PERFORMANCE, A -102 RECIPIENTS (06 -89)
(a) Frequency_. A quarterly report shall be submitted no later than 30 days
after the end of each quarterly reporting period with the following
exception. Completed Service Summaries (Part I, II, or III)
(item (d)(ii) below) shall be submitted by the 10th day of each month for
those completed during the preceding month. A final report on the
project must be submitted no later than 90 days after the expiration date
of the project period indicated on the face page, BPA 1813, Block 7.
(b) Format. The report will be made in a format mutually agreed upon by BPA
and the Recipient. However, the Recipient may modify this format as long
as the content is retained.
3
(c) Copies. An original of all required reports shall be submitted to BPA's
PTR.
(d) Content. The report content shall be that prescribed in the Common Rule,
Subpart .40 and shall include the following:
(i) Smart Design Program Services Summary Exhibit 2
(ii) Smart Design Program Activity Report Exhibit 3
This report is shown at Exhibit 2, as revised 4/91 (sample). The
report contains multiple parts (sections.) Only the applicable
sections corresponding to completed activities shall be submitted.
(iii) The data gathering and evaluation plan described in the
Recipient's Optional Services Workplan will be used as guidance to
BPA; however, BPA may require additional data to be collected if
necessary to accomplish a valid evaluation of the program. These
requirements will be developed in cooperation with the utilities.
(e) Report of special events. Events which have a significant impact upon
the grants or subgrant supported activities between regular reporting
dates must be separately reported to the CO. The Recipient shall notify
the CO as soon as the following conditions become known:
(i) Problems, delays, or adverse conditions which will materially
impair the ability to meet the objective of the award. This
disclosure must include a statement of the action taken, or
contemplated, and any assistance needed to solve the situation.
(ii) Favorable developments which enable meeting time schedules and
objectives sooner or at less cost than anticipated or producing
more beneficial results than originally planned.
(End of Clause)
(AE)
15.0202 -18 AVAILABILITY OF FUNDS (03 -90)
The amount initially obligated hereunder, hereinafter referred to as
"Obligated Funds presently the sum of indicated in Block 17(b)(3) of the
Notice of Financial Assistance, BPA 1813, shall be available for payment of
costs incurred by the Recipient. Additional funds to support the balance of
the estimated cost of the project will be allocated to the project as they
become available and as need is demonstrated by the Recipient.
(0150m)
(End of Clause)
(AE)
4
I
ENVIRONMENTAL REQUIREMENTS
Commercial Conservation Programs
New and Existing Buildings
Exhibit 6
Appendix 1
Contents Page Number
Introduction 1
Lighting 2
Disposal of Light Ballasts Containing Polychlorinated 5
Biphenyls (PCBs)
Removal and Disposal of Asbestos 5
Solar Domestic Water (Potable) Heating Systems 5
Swimming Pools 5
Applicable Building Codes and Permits /Approvals 6
Ground and Water Source Heat Pumps 6
Urea Formaldehyde Foam Insulation (UFFI) 6
Projects Involving Subsurface Resources 7
Indoor Air Quality 8
Historic Preservation 20
Waiver Request Procedure 28
Environmental Review Checklist 29
(VS5- RMCB- 3914c)
ENVIRONMENTAL REQUIREMENTS
COMMERCIAL CONSERVATION PROGRAMS
i
November 5, 1990
November 5, 1990
Introduction
ENVIRONMENTAL REQUIREMENTS
Commercial Conservation Programs
Bonneville Power Administration (BPA) has conducted several environmental
reviews related to energy conservation measures (ECMs) installed in commercial
and institutional buildings. Based on these reviews and experience gained
through operation of commercial programs, BPA has developed specific
environmental requirements. By requiring that BPA- sponsored ECM installations
conform to these requirements, BPA complies with the intent of the National
Environmental Policy Act and assures that safeguards to the environment are
built into programs.
These requirements pertain to both new and existing buildings. If the
requirements are applied differently between new and existing buildings, the
distinction will be noted. Some sections clearly pertain only to existing
buildings. They are Historic Preservation, Disposal of Light Ballasts
Containing Polychlorinated Biphenyls (PCBs), and Removal and Disposal of
Asbestos.
If installation of an ECM is proposed which differs from these environmental
requirements, a "waiver request" procedure has been established. Waivers
should be requested only when it can be clearly shown that either the
environmental concerns listed in these requirements do not apply to a
particular project or when environmental concerns can be mitigated in other
ways. The procedure for requesting a waiver is included in Attachment I.
At the completion of each project, an environmental review checklist must be
completed and submitted to the BPA Area /District Office with the project
paperwork. A copy of the checklist and instructions for completing it are
included in Attachment 1I.
This document contains environmental requirements for:
Lighting
Disposal of Light Ballasts Containing PCBs
Removal and Disposal of Asbestos
Solar Domestic Water (Potable) Heating Systems
Swimming Pools
Applicable Building Codes and Permits /Approvals
Ground and Water Source Heat Pumps
Urea Formaldehyde Foam Insulation (UFFI)
Projects Involving Subsurface Resources
Indoor Air Quality
Historic Preservation
Li ting
Glare
ENVIRONMENTAL REQUIREMENTS
A. High Pressure Sodium (HPS) Lighting
November 5, 1990
There are several environmental concerns associated with installation of
HPS lighting indoors; namely, glare, color rendition, and stroboscopic
(flicker) effect. Those concerns and mitigation strategies are outlined
below. HPS can be utilized in carefully selected indoor applications if
these strategies are followed. A discussion of specific applications
where HPS may be recommended is also included in this section.
1. Environmental Concerns and Mitigation Strategies
Glare can be a problem in HPS systems because of the small size of the
lamp and its extreme brightness. Mitigation of this problem can be
accomplished by:
Use of appropriate luminaire shielding. The source of the light
(the HPS lamp) shall not be visible from any position above 45
degrees.
The reflector shall be designed so that no image of the light
source will be projected into the shielded zone.
Luminaires shall be mounted above the normal line of sight (as
high as practical).
Luminaires mounted below 20 feet above the work plane shall have a
refractor lens or be specifically designed for mounting at low
heights.
Indirect /ambient HPS systems may be utilized in office similar
work environments with high ceilings. Other types of
supplementary lighting at specific task levels can help reduce or
eliminate reflected glare.
Stroboscopic (Flicker Effect)
HPS can result in a cyclic variation in light output. A safety hazard
may occur when rapidly moving objects are viewed in this light appear
to be stationary. Specifications to minimize the "flicker effect"
include:
Luminaires shall be arranged so that illumination for any one spot
shall not come from any single luminaire. This is especially
important in areas where rotating machinery is used.
HPS systems shall be wired on three -phase systems, so that
overlapping luminaires shall operate on separate phases.
2
Color Distortion
Color distortion can occur when using HPS systems. This could present
a safety hazard where critical color- dependent tasks are involved and
around color- specific signs or signals conveying health and safety
information. This color bias may impair work performance in
occupations requiring high visual demand and color discrimination
(e.g., paint booths, printing operations, warehouses with color
coding, etc.). In such instances, color distortion shall be mitigated
in the following manner:
HPS shall not be utilized where good color rendition is critical
to accomplishing a specific task.
Warning and exit signs must be illuminated independently by light
sources with good color rendition such as incandescent,
fluorescent, or metal halide.
Earthtone colors with a dull or matte finish should be utilized on
surfaces surrounding the task.
2. Specific Applications
a. Offices and Institutions
These applications are usually fluorescent. However, offices and
institutional environments can utilize HPS as indirect ambient
illumination.
b. Schools
November 5, 1990
HPS should not be utilized in classrooms primarily due to glare
and stroboscopic effect. Except in some indoor athletic areas,
HPS should not be recommended for schools.
c. Industrial Areas
In areas where color discrimination is critical (such as
electronic assembly and painting), HPS not be used. Other sources
such as high color rendering fluorescent should be installed.
Stroboscopic effect can be a problem where rotating machinery is
involved. If such equipment is utilized, mitigation measures as
outlined in these environmental requirements must be followed.
3
d. Warehouses and Storage Areas
HPS has been successfully used in many types of warehousing
installations. Color discrimination, flicker, and glare do not
usually present problems in these applications. However, if any
activities other than warehousing operations (e.g., the addition
of an office) are planned, then the environmental concerns for HPS
must be considered for that area and appropriate mitigation
incorporated.
e. Retail
Good color rendition is a major concern of retailers. HPS is not
recommended for retail applications where good color rendering is
critical.
B. Low Pressure Sodium (LPS) Lighting
4
November 5, 1990
Low pressure sodium lamps are unsuitable for indoor use because they
produce an unpleasant monochromatic light (yellowish tint).
Lighting applications which differ from those listed within these
environmental requirements may be considered if it can be demonstrated that
the environmental concerns are not a problem to a particular application or if
other mitigation is proposed. However, BPA must approve the application prior
to installation. To obtain this approval, the contractor must request a
waiver by following the procedures outlined in Attachment I.
Disposal of Light Ballasts Containing PCBs
Fluorescent light ballasts manufactured prior to 1978 likely contain 1 -2
ounces of pure PCBs. According to the Environmental Protection Agency
(EPA), disposal of non leaking PCB ballasts is not federally regulated.
However, disposal of leaking ballasts is considered a regulated waste and
must be disposed of in accordance with the EPA guidelines outlined below.
Some states (such as Washington) have enacted their own dangerous waste
regulations. In Washington's case, these regulations are more stringent
than EPA's guidelines and do regulate disposal of PCB light ballasts. It
is the building owner's responsibility to contact the state for specific
waste disposal regulations and to follow those procedures.
In the absence of specific state regulations, BPA encourages building
owners to dispose of PCB ballasts in accordance with EPA guidelines. This
involves disposal through incineration or in a chemical waste landfill.
Each BPA Area /District office has copies of an EPA brochure which outlines
PCB disposal procedures. Contractors shall provide a copy to building
owners who are disposing of such ballasts.
Removal and Disposal of Asbestos
BPA will not fund removal and disposal of any asbestos material. If
building owners decide to remove asbestos, it will be their responsibility
to comply with all local, state and federal waste disposal procedures and
regulations and assume all associated costs.
Solar Domestic Water (Potable) Heating Systems
5
Use of toxic transfer fluids is not permitted. Toxic transfer fluids
include, but are not limited to, methoxy propanol, isopropyl alcohol,
ethylene glycol and methyl alcohol. All proposals to install systems
using non -toxic transfer media must be approved by an appropriate state or
local code official or their delegate. A copy of that approval must be
obtained prior to installation and be retained by the building owner.
Swimming Pools
November 5, 1990
Buildings which contain swimming pools must provide adequate ventilation
in the swimming pool and surrounding deck area. The current ASHRAE
Standard 62 must be followed for ventilation rates.
applicable Building Codes and Permits /Approvals
Ground and Water Source Heat Pumps
Ground Source Heat Pumps:
Water Source Heat Pumps:
Urea Formaldehyde Foam Insulation (UFFI)
6
November 5, 1990
All ECMs shall be installed in a manner consistent with applicable
federal, state and local building codes and regulations. Building owners
shall be advised of their responsibility to obtain appropriate building
permits and approvals. Copies of the permits do not need to be submitted
to BPA. However, language similar to the following must be included in
the contract with the building owner:
"The building owner agrees to secure permits and comply with all
applicable federal, state and local codes and requirements in the
design and installation of all energy conservation measures. Where
permits are required, installation must be approved by appropriate
building officials. The building owner agrees to maintain compliance
documents in their files and have them available for review if
requested."
Particular environmental concerns include use of toxic transfer fluids and
possible ground freezing.
Toxic Transfer Fluids: Use of toxic transfer fluids is not
permitted. Non -toxic antifreeze mixtures must be used. For example,
ethylene glycol is highly toxic and state and local codes may not
allow its use. Propylene glycol is less toxic than ethylene glycol,
but becomes viscous at lower operating temperatures. Methanol -water
mixtures should not be used because of potential health hazards which
could result from extended exposure to the mixture. Calcium chloride
is non -toxic and is an acceptable transfer fluid. A letter from a
state or local code official or a permit approving the transfer media
must be obtained prior to installing the ground source heat pump.
Ground Freezing: Site specific piping runs should be designed for
each ground source heat pump installation to take into account the
type of ground conditions and the frost line /freezing depth for the
specific location. This precaution is necessary to help prevent
freezing of the pipes and accidental contamination of the soil should
leakages occur.
The environmental requirements pertaining to water source heat pumps
can be found in this document under "Projects Involving Subsurface
Resources."
Use of UFFI is not permissible in either new construction or existing
building retrofits. A primary environmental concern is formaldehyde
outgassing which could occur during installation.
Projects Involving Subsurface Resources (e.g., Well Water, Direct
Various federal, state and local regulations impose restrictions on ground and
water use and effluent disposal. Consequently, projects being proposed which
affect subsurface resources will be reviewed on a case -by -case basis by BPA.
Prior to recommending these types of projects, BPA will require the contractor
to provide the following information:
Project description including purpose, site location, and water
source, pipeline route, and target facility.
Amount of water to be pumped, well size and depth, bottom -hole
temperature, heat transfer mechanisms, and method of water discharge.
Construction necessary for system installation, land surface to be
affected (e.g., forest, waterways, existing right -of -way) and current
zoning of the area.
Description of terrain and developed conditions within the project
area. Include a description of geology /soil /hydrologic
characteristics.
Idaho:
4 11/
Montana:
Oregon:
Application Geothermal, Water Source Heat Pumps)
Description of the type, quantity, and disposal of the anti corrosion
and /or anti scaling agents expected to be used in the system.
Letters of coordination and approval from appropriate federal, state,
and local agencies.
The following agencies should be contacted by the building owner or their
building contractor for activities conducted in:
Department of Water Resources and the U.S. Environmental
Protection Agency.
Department of Natural Resources and the Department of Health
and Environmental Sciences.
Department of Environmental Quality and the Department of
Water Resources.
Washington: Department of Ecology and the Washington Department of
Natural Resources, Division of Geology and Earth Resources.
Note: BPA may waive portions of these requirements in certain instances. If
the contractor believes the project can be adequately reviewed by BPA without
providing all of the details outlined above, the waiver request procedure
outlined in these environmental requirements should be followed.
7
November 5, 1990
system design and operation;
Indoor Air Quality Procedures
The indoor air quality procedures are organized in this section as follows:
ASHRAE 62 -89 Outside Air Requirements;
Radon Monitoring Procedures for Apartments;
List of ECMs affecting indoor air quality;
November 5, 1990
Guidelines for incorporating ASHRAE Standard 62 -89 into building
Flow chart for installation of ECMs affecting indoor air quality.
(ASHRAE: American Society of Heating, Refrigeration and Air Conditioning
Engineers)
8
9
November 5, 1990
Indoor Air Quality Procedures Guidelines for Incorporating ASHRAE 62 -89
Commercial building ventilation system design and operation must comply with
ASHRAE Standard 62 -89 ventilation requirements (as incorporated by BPA). ECM
installation must ensure that indoor air quality is not adversely affected.
BPA has incorporated ASHRAE Standard 62 -89 into its programs as follows:
A. ASHRAE Standard 62 -89 Outside Air Requirements for Cubic Feet Per
Minute (CFM) per person rates have been adopted (copy attached at the
end of this section).
B. Outside air will be provided at the ASHRAE Standard 62 -89 ventilation
rates for the average peak number of people, or, for a new building,
the average peak number of people expected to be encountered in the
building. When this value is not available or is difficult to
determine, ASHRAE Standard 90.1 occupancy values provides a number
that should be used. ASHRAE Standard 62 -89 estimated maximum
occupancy values should only be used as a sizing criteria for design
of ventilation systems.
For mechanically ventilated spaces, ventilation testing is not required if an
ECM affects ventilation air during unoccupied periods only or results in a
reduction of infiltration air. In addition, if a local code requires
compliance with ASHRAE 62 -89 and applicable permits have been obtained, the
calculation procedure contained herein may be waived.
I. Procedures for Buildings Mechanically Ventilated (Except Apartments):
A. Minimum Outside Air Requirements Calculation Use the following
procedure to calculate the minimum outside air requirements.
1. Determine peak number of occupants.
a. This should be the highest number of people usually
encountered during the average workday. If the peak number
of occupants is difficult to determine, use Standard 90.1
occupancy values.
b. Where requirements are in CFM /sq ft or CFM /room, calculate
the square feet or rooms served by the mechanical
ventilation system, as appropriate.
2. Calculate amount of outside air to be provided for the total
occupancy served by each mechanical ventilation system.
(Multiply peak number of occupants by the required outside air
rate [CFM /person]).
3. Adjust outside air rate to account for different occupancies
served by the same ventilation system using equation IAQ -1.
a. Calculate the uncorrected outdoor air fraction (X) by
dividing the sum of all the branch outdoor air requirements
(V by the sum of all the branch supply flow rates
(Von),
Where,
b. Calculate the critical spaces outdoor air fraction (Z) by
dividing the critical space outdoor air requirement (Voc)
by the critical space flow rate (Vsc).
c. Use equation IAQ-1 to find the corrected fraction of
outdoor air (Y) to be provided in the system supply.
C. Ventilation Rate Measurement
Equation IA0-1
Y -X1 [i +X -Z]
November 5, 1990
Y Vot /Vst corrected fraction of outdoor air in system supply
X Von /Vst uncorrected fraction of outdoor air in system supply
Z Voc/Vsc fraction of outdoor air in critical spaces
V corrected total outdoor air flow rate
V the sum of all supply air quantities for all branches of
the system
V sum of outdoor air flow rates for all branches on system
V outdoor air flow rate required in critical spaces
V supply flow rate in critical space
B. Ventilation System Inspection (Not Applicable to New Buildings)
Prior to ECM installation, visually inspect the ventilation system to
determine that outside air is reaching building occupants, that
harmful or irritating contaminant sources are isolated from the main
ventilation system, and that there are no known buildiing ventilation
problems which could be compounded or exacerbated by a ventilation
reduction. If problems exist they must be corrected prior to ECM
installation. A short report documenting the above items shall be
prepared by the energy analyst or auditor and be included in the
project paperwork.
Determine outside air rate (CFM) using one of the two following
methods. For the measurement, the outside air supply shall be set to
the minimum amount for systems which supply varying amounts (e.g.
variable air volume, economizer control).
Documentation of ventilation rate measurement results shall be
included with the project paperwork.
1 The critical space is that space with the greatest required fraction of
outdoor air in the supply.
1 0
1. Percent outside air method
a. Measure the outside, return, and mixed air temperatures,
then calculate the percent outside air using equation IAQ -2.
b. Measure total supply air (CFM), either by a pitot tube
traverse of main supply duct or by measuring the supply air
at the diffusers.
c. Calculate outside air outside air) x (CFM).
Equation IAQ
%OA (T Tr) (To Tr)
Where,
T mixed air temperature
T return air temperature
T outdoor air temperature
go
2. Carbon Dioxide Method
11
November 5, 1990
d. Determine total outside air for all mechanical ventilation
systems serving the building.
e. Determine peak number of occupants:
i. This should be the highest number of people usually
encountered during the average workday. If the peak
number of occupants is difficult to determine, use
Standard 90.1 occupancy values.
ii. Where requirements are in CFM /sq. ft. or CFM /room,
determine the square feet or number of rooms served by
the mechanical ventilation system.
f. Calculate mechanical ventilation rate outside air
(CFM) /peak number of occupants, or CFM /sq. ft., or CFM /room
as appropriate.
Adjust the ventilation rate in accordance with Equation
IAQ --1.
Alternatively, where a mechanical ventilation system serves a
space(s) where the activities are well known and constant from
day -to -day, a simplified procedure can be used. This method will
show whether indoor carbon dioxide concentrations are below ASHRAE
Standard 62 -89 recommended levels of 1000 ppm. If the indoor carbon
dioxide concentrations are above 1000 ppm, then the building or space
does not comply with these requirements.
Equation IA0 -3
OA Gen. Rate /(Ci C
Where,
November 5, 1990
a. For each mechanical ventilation system, measure carbon
dioxide concentration in return air and in outside air.
b. Determine if required CFM /person ventilation rate (OA) is
being met by solving equation IAQ -3 for indoor carbon
dioxide concentration:
Gen. Rate occupant generation rate (CFM /person) of carbon
dioxide (refer to Standard 62 -89).
Ci return air (indoor air) carbon dioxide concentration
C outdoor air carbon dioxide concentration
II. Procedures for Naturally Ventilated Buildings and All Apartments
With natural ventilation systems, the ventilation rates must be in
compliance with local building codes. Infiltration of outside air into
commercial buildings is considered to be natural ventilation. The
following procedures must be followed.
A. The energy analyst or auditor must explain how the building is in
compliance with local ventilation codes. At a minimum, the building
should meet the Uniform Building Code (UBC) ventilation
requirements. For example, the UBC requires exterior openings to
equal 1/20 of the floor area for most building types.
B. The following procedures apply to all apartments:
1. Radon monitoring is required prior to installation of any ECMs
affecting indoor air quality. If more than 5% of the total
number of monitors installed in a building have radon levels of
5 picocuries per liter (pCi /1) or greater, the building would
not qualify for ECMs affecting natural ventilation. Further
consultation with BPA would be necessary at this point. (See
radon monitoring procedures.)
2. IAQ stickers will be placed in all apartments receiving ECMs
affecting ventilation (e.g., on the back of medicine or kitchen
cabinet doors at or near eye level). In addition indoor air
quality information will be provided to occupants of those
apartments.
12
3. Radon monitors, stickers, and IAQ
BPA's Area and District Offices.
Bonneville Power Administration
Upper Columbia Area
U.S. Court House, Rm. 561
920 W. Riverside Avenue
Spokane, WA 99201
Telephone: 509 353 -4597
Bonneville Power Administration
Lower Columbia Area
1500 N.E. Irving St.
P.O. Box 3621
Portland, OR 97208
Telephone: 503 230 -3079
November 5, 1990
booklets can be obtained through
Bonneville Power Administration
Puget Sound Area
201 Queen Anne Ave N., Suite 400
Seattle, WA 98109 -1030
Telephone: 206 442 -7768
Bonneville Power Administration
Snake River Area
101 W. Poplar
Walla Walla, WA 99362
Telephone: 509 522 -6219
4. Although it is not a program requirement, BPA recommends that
commercial businesses located in converted residences be monitored
for radon prior to ECM installation.
13
ASHRAE STANDARD 62 -89 OUTSIDE AIR REQUIREMENTS
14
November 5, 1990
BUILDING TYPE
1 REQUI UNITS
Grocery /Supermarket 15 CFM /PERSON
Hotel
Rooms 30 CFM /ROOM
Lobby 15 CFM /PERSON
Conference Rooms 20 CFM /PERSON
Office 20 CFM /PERSON
Restaurant
Dining Rooms 20 CFM /PERSON
Kitchens 15 CFM /PERSON
Retail
Basement Street 0.30 CFM /FT
Upper 0.20 CFM /FT
Storage 0.15 CFM /FT
School
Classroom 15 CFM /PERSON
Library 15 CFM /PERSON
Auditorium 15 CFM /PERSON
Warehouse 0.05 CFM /FT
1 Note: For building types or occupancy categories not listed refer to ASHRAE 4110
Standard 62 -1989.
Notes:
RADON MONITORING PROCEDURES FOR APARTMENTS
1. The contractor shall ensure that detectors are deployed in the following
manner:
a. To insure the most accurate readings possible, radon monitoring in
apartments should occur only in the months of September through
April.
b. Two monitors shall be placed on every floor of the building.
c. The detector shall be placed in a centralized living space,
such as living room, dining room, kitchen, den, family room or
hallway.
d. The detector shall be hung on the wall, placed on an open shelf,
or suspended from the ceiling 4' to 7' above the floor, away from
windows and doors, and away from possible drafts from heating or
cooling vents.
2. The information card accompanying the radon detector must be completed at
the time of installation (with the exception of the removal date) and kept
with the detector.
3. The radon detector shall remain in place for 1 -3 months. Instructions
accompanying the detector will provide specific guidance.
4. At the conclusion of the monitoring period, the contractor must work with
the building owner to ensure that all detectors are removed and collected,
and that the date of removal is written on each detector information
card. The contractor should then forward all detectors and information
cards to an address provided by BPA.
6. BPA shall provide results of the radon monitoring evaluation to the
4110 contractor within approximately 30 days of submittal of the detectors for
processing.
7. The contractor shall advise the building owner /manager of the radon
monitoring results. If more than 5% of the total number of monitors
installed in a building indicate readings of 5 pCi /1 or greater,
BPA funded infiltration reduction measures cannot be installed. If this
occurs, the building owner should contact BPA to discuss further options
(e.g., a possible retest).
1 Radon detectors and their analysis shall be provided by BPA at BPA's
expense.
2 BPA recommends that detectors be placed by a qualified energy analyst or
technician.
15
November 5, 1990
ENERGY CONSERVATION MEASURES AFFECTING
INDOOR AIR QUALITY
This ECM list is categorized by infiltration reduction measures and mechanical
ventilation measures. A description of how a naturally ventilated building
meets UBC or local code is required if any of the following infiltration
reduction measures are installed. Ventilation testing in mechanically
ventilated buildings is required if any of the following mechanical
ventilation measures are installed in such a way as to reduce minimum outside
air intake. Refer to the attached IAQ -ECM flow chart for appropriate
application.
November 5, 1990
INFILTRATION REDUCTION MEASURES:
Caulking
Caulk gaps around exterior doors, windows, and other construction joints.
Dock Shelters /Seals
Install dock seals.
Install dock shelters.
Install strip doors.
Glazing Modifications
Add storm windows over existing window frames.
Multiple Glazing
Replace existing single pane windows and frames with new double or triple
pane windows and frames.
Add new frame with clear vinyl or plastic glazing.
Storm Windows
Install storm windows to inside or outside of existing single pane
windows. (Differs from multiple glazing in that storm windows are
removable during warm weather.)
Wall Insulation
Add blown -in insulation to existing stud spaces.
Add foam insulation to stud cavities.
Add foam insulation to exterior wall surfaces.
Add rigid insulation to interior walls.
Add batt insulation to new finished stud wall.
Weatherstripping
Weatherstrip exterior doors and windows.
16
November 5, 1990
MECHANICAL VENTILATION MEASURES:
Air Curtains
Install air curtain blower.
Auto Night Setback (when occupied ventilation rates are adversely affected)
Install programmable night setback thermostat.
Install programmable heat pump night setback thermostat.
Economizer
Install cooling economizer controls and hardware.
Heat Pump Heating
Install a heat pump to replace an existing conventional heating system.
Low Leakage Dampers
Replace existing dampers with low leakage dampers.
Minimum Outside Air Control
Install controls to reduce outside air to minimum acceptable level.
Use Separate Make -Up Air for Exhaust Hoods
Provide separate make -up air unit.
Replace hood with short circuit hood.
Variable Air Volume
Install variable speed drive.
Install multiple speed motor.
Install variable frequency controller.
Install multiple motor drive.
Install variable inlet vanes.
Install discharge or scroll dampers.
Install variable width fan wheel.
17
November 5, 1990
Energy Management Control System (when occupied ventilation rates are
adversely affected)
Install computerized control for building energy system. Options include:
Time scheduled operation of fans, pumps, chillers, boilers,
lights, and other energy consuming equipment;
Duty cycling of fans or pumps (temperature compensated);
Warmup cycle;
HVAC deck temperature reset;
Chilled water temperature reset;
Economizer control; and
Optimized start stop.
18
IAQ -ECMs
affecting
infiltration
4110 Install
ECMs
Action
Action
Buildings with
mechanical
ventilation
Action
Prior to IAQ -ECM
installation, conduct
a visual inspection
of the HVAC system
and correct
deficiencies
IAQ -ECMs affecting
ventilation air
during unoccupied
periods only
Action
Install ECMs
Action
IAQ -ECMs
*This diagram does not apply to apartments.
19
IAQ -ECMs decreasing
ventilation air during
occupied periods
Action
Conduct ventilation
tests and verify system
provides required
ventilation air
Action
Install ECMs so ventilation
air meets local code or
ASHRAE 62 -89, whichever
is greater
Action
November 5, 1990
Buildings
naturally
ventilated
Action
Prior to installation
verify building meets
applicable ventilation
codes
Install
ECMs
Action
Action
Verify above Actions
have been performed
Historic Preservation
November 5, 1990
Historic Preservation guidelines are included in this section of these
environmental requirements as follows:
Historic Preservation Implementation Guidelines
ECMs Exempt from Historic Preservation Review
Sample Letter to the State Historic Preservation Officer
Sample Historic Preservation Recordkeeping Form
Flow Diagram Historic Preservation Implementation
20
Historic Preservation Implementation Guidelines
November 5, 1990
Under the Programmatic Memorandum of Agreement dated August 23, 1983, between
Bonneville Power Administration (BPA) and the Advisory Council on Historic
Preservation, all projects proposed for funding by BPA under its energy
conservation programs must comply with the National Historic Preservation Act
and its implementing regulations, "Protection of Historic and Cultural
Properties."
I. All projects proposed for funding by BPA will be reviewed by the
contractor in the following manner prior to installation of any energy
conservation measures (ECMs).
A. All conservation measures shall be available to all properties less
than 45 years old (as of the date of the project proposal submittal)
without need for consultation with the State Historic Preservation
Officer (SHPO).
B. All conservation measures included on the attached Exempt List shall
be available to properties 45 years or older without need for
consultation with the SHPO.
C. If the owner of a property 45 years or older proposes ECMs other than
those on the Exempt List, the contractor must determine in
consultation with the SHPO whether that property is included in or
meets the criteria for inclusion in the National Register of Historic
Places. Consultation shall be initiated by the contractor, via
letter, with the appropriate SHPO. Contractors are encouraged to use
the sample letter attached to these guidelines. Some communities
also have local historic preservation districts. The SHPO in each
state has a list of those districts. When corresponding with the
SHPO regarding eligibility of a measure, BPA and the local historic
preservation district should also receive a copy of that
correspondence.
If there is a disagreement regarding whether a property meets the
Register criteria, the property shall be treated as though it were
eligible for the Register and the procedures in Section I.E. below
shall be followed. If the SHPO has determined that the property is
eligible for the Register, the SHPO shall state in writing, within 10
workdays, the reasons for that determination and supply copies to the
contractor, property owner, and BPA.
D. If a property 45 years or older is not included in or does not meet
the criteria for inclusion in the Register, as determined according
to Section I.C. above, and if the contractor provides evidence of
that determination to BPA, all project conservation measures proposed
shall be available to that property without further review by the
SHPO.
21
Historic Preservation Guidelines
E. If a property is included in or meets the criteria for inclusion in
the Register, as determined according to Section I.C. above, the
choice of ECMs (with the exception of those on the 'Exempt List) and
the manner of installation shall be developed in consultation with
the SHPO. The contractor shall provide BPA evidence of this
consultation.
F. If the SHPO objects to the proposed conservation measures, the SHPO
shall provide written comments to the contractor and BPA within
10 workdays of the consultation. If the SHPO does not respond
within 10 workdays, the project may be implemented as proposed and
documentation will be kept indicating the SHPO was afforded the
required time for comment.
G. If the SHPO believes that the proposed measures will adversely
affect the characteristics that qualify the property for inclusion
in the Register, then the SHPO and the contractor will continue
their consultation in an effort to find a solution to avoid or
mitigate any adverse effect.
H. Should no solution be reached within 20 workdays, the contractor
should refer the project (with all pertinent documentation) to
BPA. BPA will then notify the Advisory Council on Historic
Preservation and request a recommendation for resolution.
I. Within 20 workdays, the Council will provide a recommendation to
BPA regarding appropriate means to avoid, minimize, or mitigate the
adverse effects.
Project inspections for project certification by contractors will
insure that the measures performed were consistent with the
measures proposed and provide that information to the SHPO and
BPA. The attached flow diagram summarizes this procedure.
II. BPA will monitor the records of contractors to ensure that its conservation
programs are implemented in accordance with these guidelines. The
contractor shall keep records of all ECMs for buildings 45 years or older.
This should include all correspondence and required information and
reports. A sample recordkeeping form is attached. Records must be kept on
file for three years.
J
III. SHPO Addresses:
Thomas Green, State Archaeologist
Idaho State Historical Society
610 N. Julia Davis Drive
Boise, ID 83702
Telephone (208) 334 -3847
22
November 5, 1990
Dr. David Powers
State Parks Administrator
Parks and Recreation Division
525 Trade Street Southeast
Salem, OR 97310
Telephone (503) 378 -5001
Historic Preservation Guidelines
SHPO Addresses (Continued)
Marcella Sherfy
Montana Historical Society
225 North Roberts Street
Helena, MT 59601
Telephone (406) 587 -2694
November 5, 1990
Dr. Robert Whitlam
Archaeology and Historic
Preservation Office
111 West 21st Street, KL -111
Olympia. WA 98504 -5411
Telephone (206) 753 -4405
ENERGY CONSERVATION MEASURES EXEMPT FROM HISTORIC PRESERVATION REVIEW
The following measures can be undertaken in all buildings eligible for BPA
conservation programs, regardless of their status as historic properties.
Undertaking these measures should not detract from the historic and
architectural significance of a building.
All measures must comply with conservation program rules governing their use.
For example, measures identified with an asterisk listed below may reduce
air infiltration. Such measures can only be installed in buildings which meet
the criteria specified in the Commercial Environmental Requirements.
Exempt Measures:
November 5, 1990
1. Insulation in attics, perimeter crawlspace, under the floor, around pipes
and ducts, and in exterior wall cavities, in such cases where the
installation can be accomplished without permanent visual change to
interior and /or exterior finish materials.
2. Storm windows and doors, or insulated glazing, which match the size and
color of the historic window or door, and do not detract from the visual
qualities of the building.
3. Repair, replacement, modification or addition of mechanical, electrical,
or plumbing systems, if this action does not require removal of
historically or architecturally significant building systems, construction
materials, or significant original fixtures.
BPA encourages contractors to retain significant original fixtures when
removal would alter the visual appearance or historical integrity of
buildings 45 or more years old.
4. Clock thermostats, provided they are mounted in an inconspicuous spot
where visual intrusions will be minimized.
5. Caulking and weatherstripping, provided that the color of the caulking is
consistent with the appearance of the building.
6. Flow restrictors in showers and hot water faucets.
7. Water heater tank wraps.
S. Insulating window shades or shutters, if the installation does not detract
from the visual qualities of the building.
9. Exterior and interior shading devices, including awnings, etc., provided
they are installed without damaging the building and are in keeping with
the architecturally and visually significant qualities of the building.
10. Interior modifications when the significance of the building does not
include the interior or when the alterations do not detract from the
significance of the building. For example, if the exterior of a building
is considered architecturally significant, then lowering the ceilings in
the building to the point where they are visible from the outside would
not be exempt.
24
SHPO
Dear
SAMPLE LETTER TO STATE HISTORIC PRESERVATION OFFICER
November 5, 1990
We are proposing to install building energy conservation measures (ECMs) under
Bonneville Power Administration's (BPA's) Program. We
are initiating consultation procedures outlined in BPA's Historic Preservation
Guidelines and the Programmatic Memorandum of Agreement between BPA, the
Advisory Council on Historic Preservation, and you.
The building under consideration is located at It was constructed
in (Further describe the structure type, size, function, and
appearance and add a picture of the building.)
Proposed ECMs include (Further describe the ECMs and how
they will be installed, including how they may impact the building's
structural and /or visual integrity.)
Please advise me within the next 10 workdays if this building is included in
or meets the criteria for inclusion in the National Register of Historic
Places. Also, within 10 working days, please advise me if installation of the
proposed ECMs must be in accordance with the Secretary of Interior's
"Standards for Rehabilitation and Guidelines for Rehabilitating Historic
Buildings." My telephone number is
Thank you.
Bonneville Power Administrator
Office of Energy Resources RM
P.O. Box 3621
Portland, Oregon 97208 -3621
Sincerely,
AUTHOR (Contractor)
cc:
BPA Area /District Office
Environmental Coordinator, Office of Energy Resources (address listed below)
Address for Environmental Coordinator:
25
Copies attached
HISTORIC PRESERVATION ECM IMPLEMENTATION RECORD
BUILDINGS 45 YEARS OR OLDER
26
November 5, 1990
All Installed Installed ECMs Date Date
Bldg ECMs Exempt Not Exempt LTR SHPO
Building Address Age Jplace "X") (list each) SHPO* Approved_
EXAMPLE:
1100 Main Air -to -Air
Anywhere, USA 60 X Heat Exchanger 11/08/90 11/24/90
Conduct
Energy
Analysis
HISTORIC PRESERVATION IMPLEMENTATION
Document
Age
1s
Property
45 Years
or Older?
NO
Document
Age
+implement
Project
YES
Implement
Protect
NO
Consult
With
SHPO
Advise BPA
Consult
with SHPO
YES
Elig ble
or Listed
n Register
NO
Implement
Project
No Response
Within 10
Working Days
Implement
Project
Written Approval
YES Received Within
10 Wor$dng Days
XHPO
Approval?
NO YES
Receipt of Strive
SHPO For
Objection Resolution
NO
No
Installation
of ECIPs
If No
Resolution
BPA Notifies
Advisory Council
Council
Responds
Within
20 Days
Implement
Project
Implement
Project
YES
Waiver Request Procedure
November 5, 1990
Attachment I
If a contractor wishes to recommend installation of an ECM in a manner outside
the scope of these environmental requirements, a procedure has been developed
to allow the request of a waiver. A waiver will be considered only when the
contractor can clearly show that either the environmental concerns listed in
the environmental requirements do not apply to a specific project or that the
environmental concerns can be mitigated in other ways. The waiver procedure
is as follows:
The contractor must request a waiver through their BPA representative
(e.g., the BPA Area /District office). The contractor must provide
information which describes the project and the proposed ECM
installation. It must include a justification addressing why the
restrictions within the environmental requirements should not apply to
a particular project and state how the known environmental concerns
will be mitigated.
BPA Area /District staff will submit that information in a memorandum
addressed to the BPA Environmental Coordinator in the Office of Energy
Resources for review and approval. The Program Technical Lead and the
Program Manager should be included on the distribution list for this
memorandum.
The Environmental Coordinator will review the waiver request within 10
working days. If the request is approved, the Environmental
Coordinator will sign and return the request to the Area /District
Office. Installation of the measures as described in the waiver
request can then proceed. If the request is not approved, the
Environmental Coordinator will submit a memorandum to the Area /District
office outlining the reason(s) for denying the request. The
Area /District Office will notify the contractor of the Environmental
Coordinator's decision.
Copies of the waiver should be maintained in the program files for a
three -year period.
28
II. Findings
Yes No N/A
_1 1 1
Yes No I N/A
Yes No N/A
1 1
Yes No N/A
I I L
Environmental Review Checklist
An environmental review checklist should be completed by the contractor at the
conclusion of each project. The purpose of the checklist is to assure that
measures were installed in accordance with BPA's environmental requirements or
to identify any areas where problems may have been encountered in interpreting
or implementing these requirements.
The completed checklist should be submitted to BPA with the project
paperwork. If the checklist indicates any questions were encountered in
implementing these requirements, the checklist and an explanation should be
forwarded to the Environmental Coordinator. If no difficulties were
encountered, this checklist should be kept in the project files.
I. Identification:
1. Project Number:
2. Name of Contractor:
3. Name and Address of Building:
Li ting
Were HPS lamps installed indoors?
If so, were mitigation strategies outlined in the
environmental requirements followed?
Were LPS lamps installed in outdoor applications
only?
PCB Disposal
29
November 5, 1990
Attachment II
Were any PCB -laden ballasts removed and disposed
of? If so, where and what method of disposal was
used?
Yes No N/A
a
Yes No N/A
1 1 1
Yes No N/A
1 1 1 1
Yes No N/A
I 1 1
Yes No N/A
1 I 1 I
Yes No N/A
1 I 1
Yes No N/A
I 1 1
Yes No N/A
1 1 1
Yes No N/A
I L
Yes No N/A
a_ 1 I 1.
Asbestos
Swimming Pools
Was a swimming pool involved in this project?
November 5, 1990
Did the contractor remove and dispose of any asbestos
prior to installation of energy conservation measures?
If so, did the installer comply with the environmental
requirements for ventilation?
Solar Domestic (Potable) Water Heating Systems
Was a solar domestic potable water heating system
installed?
Were appropriate approvals or permits obtained prior to
installation?
Codes and Building Permits
Was language included in the contract with the building
owner(s) notifying them of their responsibility to
follow all codes and to obtain all appropriate building
permits and approvals?
Ground and Water Source Heat Pumps
Was a ground or water source heat pump installed?
If so, was approval received from a state or local code
official approving the transfer fluid? (Attach a copy
of the documentation.)
Subsurface Resources
Were ECMs installed that required the development or use
of subsurface resources?
If so, were the procedures for subsurface resources
followed prior to installation?
30
Yes No N/A
1 1
Yes No N/A
_I 1 1 1
Yes No N/A
a 1 1 1
Yes No N/A
J 1 1 1
Yes No N/A
a 1 i L
Explanations /Comments:
Indoor Air Quality (IAQ)
November 5, 1990
Were any ECMs installed which affected indoor air
quality?
If so, were the procedures outlined in these
environmental requirements followed?
Historic Preservation
If the property is 45 years old or older, were any
measures installed other than those on the "Exempt List
If so, was the State Historic Preservation Officer
(SHPO) contacted prior to installing measures? (Attach
a copy of the documentation with the SHPO.)
Waivers
Was a request for a waiver from any of the specified
environmental requirements processed and approved prior
to installing ECMs? If so, please provide a copy.
Signature Date
31
BPA F 4820 01
(08 -89)
(Previously BPA 1813)
Under the authority of Public Law
and subject to legislation, regulations and policies applicable to (cite legislative program title):
41 U.S.C. 501 et seq. Federal Grants and Cooperative Agreement Act of 1977
1. PROJECT TITLE
Energy Smart Design Assistance Program
Option 1 Utility Agreement
3. E Crt Ar igeles City zip code, area code and telephone no.)
P.O. Box 1150
Port Angeles, WA 98362
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.)
Ken Maike
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Ken Maike
(206) 457 -0411
1a BPA PTR (Name, address, zip code, telephone no.)
Dulce Setterfield TBA (206) 442 -1366
BPA Puget Sound Area; Suite 400
201 Queen Anne Ave., North; Seattle, WA 98109
it RECIPIENT TYPE
STATE GOV'T INSTITUTION OF HIGHER EDUCATION
LOCAL GOV'T HOSPITAL
INDIAN TRIBAL GOV'T OTHER NONPROFIT ORGANIZATION
15. ACCOUNTING AND APPROPRIATIONS DATA
a ORGANIZATION b. OBJ. NUMBER
RMCC 27
17. BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION
(1) BPA Funds Obligated This Action
(2) BPA Funds Authorized for Carry Over
(3) BPA Funds Previously Obligated in this Budget Period
(4) BPA Share of Total Approved Budget
(5) Recipient Share of Total Approved Budget
(6) Total Approved Budget
1a TOTAL ESTIMATED COST OF PROJECT
(This is the current estimated cost of the project It is not a promise to award nor an authorization to expend funds in this amount)
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following
a Revised Optional Services Workplan, dated April 5, 1991
b
c
d
e
211REMARKS This Modification is issued to incorporate the revised Uptional Services Workplan
and change the administrative staff in Box 12.
21. E OF RECIPIENT ACCEPTANCE
(Stgniture of Authored Ae lent Official)
R&BERT J. )1 1) 5
(Herne)
(VS2- SRPA- 9857m)
U.S. DEPARTMENT OF ENERGY BONNEVILLE POWER ADMINISTRATION
NOTICE OF FINANCIAL ASSISTANCE AWARD
(See instructions on reverse.)
96 -501 Pacific NW. Electric Power Planning and Conservation Act
c ACTIVITY
GNL
2. INSTRUMENT TYPE
GRANT
4. INSTRUMENT NO.
DE- FC79- 88BP93021
6. BUDGET PERIOD (From Thru)
07/01/90- 06/30/91
9. PURCHASE REQUISITION NO.
79- 918P19439
10. TYPE OF AWARD
12.
d. PL -6 NUMBER
T12201
-0-
31,106.00
665,894.00
697.000.00
-0-
697,000.00
N/A
NEW CONTINUATION
RENEWAL X REVISION SUPPLEMENT
ADMINISTERED BY (Name, address, zip code, telephone no.)
Bonneville Power Administration
Attn: Meri Gordon SRPA
P.O. Box 3621 FTS 429
Portland, OR 97208 (503)230-
FOR PROFIT ORGANIZATION C P SP
INDIVIDUAL
X OTHER (Specify)
22. AWARDED BY
s/6 /9
(Date) (Signature)
Robert W. Gable
(Name)
Contracting Officer
Utility
X COOPERATIVE AGREEMENT
5.
M005 AMENDMENT NO.
1 7. PROJECT PERIOD (From Thru)
09/26/88- 09/30/98
91- 6001266
b. CUMULATIVE BPA OBLIGATIONS
(1) This Budget Period
(Total of fines a (1) and a (3))
(2) Prior Budget Periods
(3) Project Period to Date
[Total of lines b.(1) and b (2)]
5321
5321
16. EMPLOYER I.D. NO. /SSN
665,894.00
108,537.00
774,431.00
(Date)
aPA F 4620 01 (Reverse Side)
(This form shall be completed in accordance with the following instructions For any clarification or additional information that might be needed-
consult the appropriate section of the Bonneville Power Assistance Instructions (BPAI)
Insert in the space provided in the line which begins, 'Under the
Authority of Public Law i." the number and the name of the Public
Law which a,:thorizes this award On the line below, enter the title
at the pei paagram
Block 1 Enter the project title as it appears in the SF-424 or
equivaIent app hationloroDc;sal face sheet
Block 2 Face an 'X in ;he oeshoe the iiptarcrii financial
asstarcsit -ostrtitherit
Block 3 E nte Ni; name. aceress and ;elf-tor iittieer of tin
plibiaht as et =;:tripears in the i31-42:1 ii-alent 3ieplicia-
1ioniorapesai ;ace sneet
Block 4 Et1 srrnent huit (Sei.:
Block 5 arii aitte tic:a-ant
cock 6 the star tinint '..prrant
ittd. 11 a tRidget noiitd ha( tite. attairt-
3ir39 --eart :nine date *or etier ntintrj„ii ar.; (-a:ear:
Block 7 at:it; tire star:mit! :4;ate anti anticir r-iitite so;
raei proton,: if a prolect renoP the isieho,
a: cor 7.!atc: ftai tt ar,
ciriainged.
alfrictii. 8 riar";ta and tel
9 h-yi the -i-pplicantirtropct.o: li'r;
5Iortk 9 pha3 9qs9
to ftn the nox ocipns iitin ;deo-
afi ine ahtion being trier
514:iolti "I
rariete. anit
...t•
s narrie ittiore,ss men: telf?.r,-;
tyli the BPA progr;arn
(PTR)
Li:cat:int '-i-lt in the h3x beside
ihr: f.'-profit
401
onaie.t;
for SPA.
Line a.(1) Enter Me amount of EPA kinds obligated by this
action.
Line a.(2) Enter the anwurt; (.9 fi-(9 funds hot iii in prier
cuge; oenorifs) if any authcrp nv EPA '0' exoerditure
the cuirent ittu(iget perind
Line a43) Ente.' the aanhi_i-i.
in he current 0.got period
Line a.(4) aitnnetri b dc,;(et rfiticivri
an Line n;6
Line, a.(5) Enter the feciniant shiii-tie Ire taiei
rioet. :thovvri 1.3ti9 9
Line a96) Enter the total aiaproved biAjcicr for i6o milt
:99 Acr :ho amounts in lines a and
Line Enter the :irttiouitt of BP:1-1, liancts ouilgaied .11 t'iri
rent Oudge l. oeriod fAitd the. iiniounts in liineF, ;1) and a
Line h.1:2) Enter the amount obligated by liisA in ot dLititget
oerirto
Line f: Enter The amount etliqeied tey 3Pit-k in the
!c! date (Add the amounts in :ines b (3) and b.(2)
Block 18 This may completed at the discretion of the CO It bock_
It? criter in the blank provided the amount which
Ronaseots the current estimate of total funds and dollar value of in-
's-ne 41botn SPA ahiti recio.ent shafies) needed to carry
out Thif.? ;:r:tire :ncluda elf funds and contributioni preiiv:,Nusly
pd-d nose eing provided bv his aCtIOrl. and all anticipated
lt;fitire ort'igatic9 end rtonthoLtiortif; 31 both pn(ties 9 blocs 18 is -tot
lo completeoi. tirtler ;4,4"
Block 19 alereents other taan the init;
J ia -he r(hay he ph:it:hi:69-y atit:iticred to thre
Irte
(Al
5vierti oiayiy.; aty faita;:-heite ;0 ye
;Tr-,19 9 e a; :tea.
(-1•47 refon ine atian 'Amen tl.e 'its 423 tittett
the aopliciat ta--sati shrifet bfr): 90 co
ftt M 9---420 srieuid tN.) date et
pia a'or fl'9999'-'9 13.93 r
BPA F462001
(08 -89)
(Previously BPA 1813)
Under the authority of Public Law
and subject to legislation, regulations and policies applicable to (cite legislative program title).
41 U.S.C. 501 et seq. Federal Grants and Cooperative Agreement Act of 1977
1. PROJECT TITLE
Energy Smart Design Assistance Program
Option 1 Utility Agreement
3. RECIPIENT (Name, address, zip, code, area code and telephone no.)
Port Angeles City Light
P.O. Box 1150
Port Angeles, WA 98362
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.)
Ken Maike
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Ken Maike
(206) 457 -0411
13. BPA PTR (Name, address, zip code, telephone no.)
Dulce Setterfield TBA (206) 442 -1366
BPA Puget Sound Area; Suite 400
201 Queen Anne Ave., North; Seattle, WA 98189
14 RECIPIENT TYPE
STATE GOV'T INSTITUTION OF HIGHER EDUCATION
LOCAL GOV'T HOSPITAL
INDIAN TRIBAL GOV'T OTHER NONPROFIT ORGANIZATION
15. ACCOUNTING AND APPROPRIATIONS DATA
a ORGANIZATION b OBJ. NUMBER c ACTIVITY
RMCC 27 GNL
17. BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION
(1) BPA Funds Obligated This Action
(2) BPA Funds Authorized for Carry Over
(3) BPA Funds Previously Obligated in this Budget Period
(4) BPA Share of Total Approved Budget
(5) Recipient Share of Total Approved Budget
(6) Total Approved Budget
18. TOTAL ESTIMATED COST OF PROJECT
a
b
c
d
e.
21. EVIDENCE OF RECIPIENT ACCEPTANCE
(Signature of Authorized Recipient Official)
(Name)
(VS2- SRPA- 9857m)
U.S. DEPARTMENT OF ENERGY BONNEVILLE POWER ADMINISTRATION
NOTICE OF FINANCIAL ASSISTANCE AWARD
(See Instructions on reverse.)
96 -501 Pacific NW. Electric Power Planning and Conservation Act
(Date)
2. INSTRUMENT TYPE
GRANT
4. INSTRUMENT NO.
DE- FC79- 88BP93021
6. BUDGET PERIOD (From Thru)
07/01/90- 06/30/91 09/26/88 09/30/98
9. PURCHASE REQUISITION NO.
79- 91BP19439
10. TYPE OF AWARD
12.
d PL -6 NUMBER
T12201
0-
31,106.00
665,894.00
697,000.00
0-
697,000.00
N/A
RENEWAL X REVISION SUPPLEMENT
ADMINISTERED BY (Name, address, zip code, telephone no.)
Bonneville Power Administration
Attn: Meri Gordon SRPA
P.O. Box 3621
Portland, OR 97208
FOR PROFIT ORGANIZATION C P SP
INDIVIDUAL
X OTHER (Specify)
Utility
b. CUMULATIVE BPA OBLIGATIONS
(1) This Budget Period
[Total of lines a.(1) and a.(3)J
(2) Prior Budget Periods
(3) Project Period to Date
[Total of lines b (1) and b (2)]
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount)
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following*
Revised Optional Services Workplan, dated April 5, 1991
20. REMARKS This Modification is issued to incorporate the revised Uptional
and change the administrative staff in Box 12.
22. AWARDED BY
(Signature)
Robert W. Gable
(Name)
Contracting Officer
X COOPERATIVE AGREEMENT
5. M AMENDMENT NDMENT NO.
7. PROJECT PERIOD (From Thru)
NEW CONTINUATION
FTS 429
(503)230-
16. EMPLOYER I.D. NO. /SSN
91- 6001266
Services
5321
5321
665,894.00
108,537.00
774,431.00
workplan
s 9/
(Date)
CITY OF PORT ANGELES
ENERGY SMART DESIGN
REVISED OPTIONAL SERVICES WORKPLAN
APRIL 5, 1991
A. General Overview of Optional Services to be Offered
We will be offering three optional services for the budget
period 7/1/90 6/30/91;
1. Equipment Rebates Lighting, HVAC equipment, motors
and Prescriptive Path incentives as included on enclosed
Rebate Sheets.
The rebate list for the Lighting and HVAC rebate List was
compiled by Seattle and Tacoma utilities.The Prescriptive
Path Rebate list is based on the BPA Brown and Caldwell
Prescriptive Path Summary Report.
2. Site Based Payments for Modeled Buildings or other
applications not applicable for the Equipment Rebate
list.
The Site Based Payment methodology was compiled using the
Energy Smart Design 35 mill target for incentive
payments.
3. Operations and Maintenance Maintenance Agreements
for Heat Pump Heated Buildings.
The Equipment Rebate, Site Based and Operation and Maintenance
Payments will be targeted to all potential Energy Smart Design
projects. We expect the Equipment rebates to be the largest
optional service utilized due to the size of buildings in our area.
We are offering these services because;
1. Most of our buildings will fall into the Prescriptive
Path guidelines which require no modeling or
calculations. These projects will be paid incentives
under the Equipment rebate lists.
2. Larger buildings or other building types not fitting
in the Prescriptive Path Strategy Sets will require
modeling. If recommended measures are available on the
Equipment rebate list, the rebate incentive will be used.
For other measures or where the equipment rebate list is
not appropriate the Site Based Payment method allows us
to offer incentives for energy conservation measures.
1
Port Angeles City Light will be offering these services only to new
construction and existing buildings which fit into current ESD
eligible building guidelines.
The Rebate, Site Based and Operations and Maintenance Payments will
be offered if;
1. The building exceeds code.
2. Incentives will be paid for electrical savings.
3. Operations and Maintenance Payments will be offered if
the project qualifies for the Energy smart Design program
and uses heat pumps for heating and cooling.
We expect to be offering the site based incentive as soon as we
have an approval from BPA. We are offering the Equipment Rebates
and Operation and Maintenance Payments at this time.
Equipment rebates relate to operations and maintenance service due
to the interaction of more complex equipment needing more attention
for reliable and efficient operation.
Activities will be promoted through literature supplied to vendors,
architects, electricians and equipment suppliers. Ads in the local
papers will be placed and press releases will be made to the
papers. As an NWEC utility we review all commercial projects and
have contacts for the projects.
B. Evaluation
The existing ESD project includes billing history for projects. In
addition, each optional service provided will contain equipment
costs, building type and ESD modeling inputs and /or prescriptive
path guidelines.
C. Other Fuels
Optional services payments will be limited to savings in electrical
energy only.
D. Mid course Program Changes
One of the primary reasons we are offering rebates is to reduce the
administrative costs associated with the optional services We do
not know the administrative costs associated with the enhancements
at this time.
2
E. General Description of Optional Services
1. General overview of approach for the Rebate Payment.
We are using the studies performed by the Seattle, Tacoma and
Snohomish Co. PUD studies and the Prescriptive Path Summary Report
incremental cost analysis and in developing our rebate list.
Our approach to offering rebate payments will be in the marketing
of ESD prescriptive Path or E. Smart or E. Edge efficiency levels.
We will not pay incentives for projects that do not exceed NWEC.
We are hoping that with the incentives for Prescriptive Path and
Lighting and HVAC improvements we will achieve more efficient
commercial building construction in the Port Angeles area.
Our clients must be eligible for E.S.D. services to be eligible for
ESD Rebate Payments.
We will sign contracts with the building owner for payment of
optional services.
The total building incentive amount will be calculated and
discussed with the building owner before a contract is signed.
Rebate funds will be paid when the project is completed and
inspected.
Existing buildings will qualify only if they meet Energy Smart
Design guidelines.
The energy code building baseline is NWEC for the City of Port
Angeles and the WSEC for Clallam Co. PUD.
The equipment rebate measures and the Prescriptive Path Strategy
Sets and incentive amounts assume code and standard practice for
equipment or system cost baseline.
The data collected will consist of equipment schedules, fixture
count etc.
The optional services will be measured for effectiveness by the
level of participation of building owners in the program.
Quality control will be checked by field inspections of installed
measures.
Mid course changes will be analyzed and changes made based on
participation of participants.
The data collection will be based on actual field inspections of
installed measures and tested performance for the manufactures of
performance related equipment.
3
Payments for measures will be made after the building has been
completed and the measures inspected and operational.
The payment will be made to the building owner.
2. General overview of approach for the Site Based Payment.
Our approach to offering the Site Based payment will be in the
marketing of ESD Energy Smart or Energy Edge efficiency levels. We
will not pay incentives for projects that do not exceed NWEC or
WSEC.
Our clients must be eligible for E.S. Design services to be
eligible for ESD Site Based Payments.
We will sign contracts with the building owner for the payment.
The total building incentive amount will be calculated and
discussed with the building owner before a contract is signed.
Existing buildings will qualify only if they meet Energy Smart
Design guidelines.
The energy code building baseline is the NWEC for City of Port
Angeles and the WSEC for Clallam Co. PUD.
The Site Based Payment will be offered to the owner for the
measures which have been modeled to save electrical energy beyond
code requirements.
Data such as the input assumptions for modeling, baseline results
and energy savings from modeled measures along with bid amounts and
incremental and total cost of materials related to the recommended
measures will be contained in the individual files. Manufactures
tested data for performance related equipment and information from
field inspections will also be collected for individual projects.
Quality control will be checked by field inspections of installed
measures.
Mid course changes will be analyzed and changes made based on
participation of participants.
Port Angeles will not offer partial payments. The payment for
measures will be made after the building has been completed and the
measures inspected and operational.
The payment will be made to the building owner.
4
In calculating Bite Based Payments the baseline for energy
consumption and system cost for new construction and major remodels
will be the energy code, standard practice or the proposed design
whichever is appropriate. In existing buildings for energy systems
where code compliance is not required and the proposed renovation
design does not apply, then existing conditions may be considered
as the building baseline.
3. General overview of approach for the Operations and Maintenance
Payment.
Our approach to offering the Operations and Maintenance payment
will be in the marketing of the Energy Smart Design Program to
building owners installing heat pumps whose building exceeds code
minimums.
Our clients must be eligible for E.S. Design services and be
installing heat pumps to be eligible for Operation and Maintenance
Payments.
We will sign contracts with the building owner for the payment.
The total amount will be discussed with the building owner before
a contract is signed.
Existing buildings will qualify only if they meet Energy Smart
Design guidelines.
The Operation and Maintenance Payment will be offered to the owner
for an annual service contract on the heat pumps.
Data such as service frequency, items addressed in the service call
and copies of the service report will be contained in the
individual files.
Quality control will be checked by random field inspections of
services equipment.
Mid course changes will be analyzed and changes made based on
participation of participants.
Payments for the services will be made with language specifying the
service provider and details of the service contract.
5
F. Specific Optional Service Descriptions
1. Eauinment Rebates:
The equipment will be recommended based on the Energy Smart Design
Prescriptive Path Strategy Set or by modeling recommendations.
The following measures will be eligible for an equipment rebate if
the building as a whole exceeds NWEC;
1. Buildings oarticioatina under Prescriptive Path analysis will be
eliaible for two types of installation incentives. Rebate payments
will be offered for HVAC, motor and liahtina equipment per unit
accordina to the Enerav Smart Desian Rebate List. In addition,
incentives will be provided if the entire envelope Dackaae for a
specific strateav set is installed. The envelope incentive will be
based on the net improvement over 1987 MCS (NWEC) shell (total OA)
reauirements and shall be paid based on percent above MCS (NWEC)
times the conditioned square foot of the buildina. This envelope
incentive will be offered only if all other recommended ECM's from
that strateav set are installed.
The S /s.f. incentives are based on the Prescriptive Path Summary
Report and further modelina analysis.
2. Energy Efficient Lighting Fixtures, including compact
fluorescent, and exit signs.
3. Lighting controls such as daylighting and occupancy sensors.
4. Heat Pumps with COP's exceeding 2.8 for Air to Air and COP of 3
for Hydronic systems.
5. Motor rebate list.
The rebate list is a result of Seattle, Tacoma and Snohomish Co.
POD utility studies, the Prescriptive Path Summary Report and the
BPA ESD Program guidelines. The rebate lists are based on the
incremental costs between "standard" equipment and the
corresponding "high efficiency" equipment. The rebate amounts have
been prescreened for cost effectiveness.
Cost Control will be accomplished by updates to the incremental
cost lists and by comments from area suppliers and vendors.
Feasibility of the measures will be verified by the participation
levels of the offerings.
Changes to the list will be made by further analysis of appropriate
measures and rebate amounts.
In general, projects in our area(s) are not large enough to realize
large discounts due to large quantities. If a project is large
6
enough our cap if 50% of installed cost should allow for the
discount price.
The Port Angeles City Light /Clallam Co. PUD joint operating
agreement will offer the same rebates for projects within our
service territories.The building owner will be offered the rebate.
The rebate list was developed by climate Zone 1 utilities which we
share. The rebates will be offered for electric savings.
Combination measures such as lighting fixtures and lighting
controls will be offered. The cost from the rebate list will still
apply.
The Lighting rebate list is based on fixtures and controls. The
tube wattage and the total fixture wattage will be listed.
The Heat pump rebate list is based on COP efficiencies. Individual
projects being offered the rebate will have the equipment model
number and manufacturers stated COP written in the contract.
A cap of 50% of the total equipment cost will be used in
conjunction with the rebate list for the lighting, heat pump and
motor equipment. These rebate amounts are a result of analysis done
by the Seattle, Tacoma and Snohomish utilities to meet the cost
effective guidelines set forth by the ESD program.
For buildings using the Prescriptive Path rebate, the Brown and
Caldwell Prescriptive Path Summary Report incremental costs and
building size are used to set the maximum incentive level on a
/sq.ft. basis. The summary report shows that the strategy sets
provide savings below the 50 mill level (except one, the Office
Energy Edge Strategy Set #5).
If elements listed in the P. Path strategy set do not apply to the
project building, the incentive amount will be less than the
maximum.
Port Angeles City Light and Clallam Co. PUD are 100% BPA.
Utility staff working on the ESD program will be administering the
optional services.
The activity level is based on the original budget year projection
of 30 buildings. Although this offering is mid -year in the budget
period we expect the incentives to generate increased activity.
Buildings which meet Prescriptive Path and /or exceed NWEC and WSEC
will be eligible for incentives.
2. Site Based Payments
7
Modeled buildings and buildings not following a specific
Prescriptive Path Strategy Set which exceed the NWEC will be
eligible for incentives using the Site Based Payment Methodology.
The site based payment mechanism will offer an option for building
owners to develop proposals for the installation of ECMs which are
unique or unavailable under the rebate option. A description of
the Payment procedure follows.
Measure Eligibility Criteria
Utility staff will screen the measures being considered for site
based payment incentives for cost effectiveness to ensure that the
levelized actual Installed Incremental Cost of the measure is equal
to or less than 50 mills for the estimated energy savings adjusted
for the estimated measure life. The measure life will not exceed
the values provided by BPA in the E.S.D. Technical Requirements.
The calculation procedure will be as shown in Exhibit 6 of the ESD
Technical requirements where;
r [mills] (C /E) Life Factor 1000
If the measure meets this cost effective test, the measure will be
eligible for funding.
Basis For Reimbursement
The Site Based Payment will offer a payment based on kWh savings up
to 100% of the incremental cost not to exceed 50% of total measure
cost. The caps will serve to insure that customers do not receive
windfalls and will pay a fair share of the equipment cost.
To adjust for administrative costs and to ensure that the program
has a margin of cost effectiveness less than the 35 mill target, we
have reduced the incentive values by 40% (20% BPA, 20% Port Angeles
City Light) to account for administration costs. The Site Based
Payment to be offered will be computed as follows;
X /kwh] (0.6 35 mills) (life Factor 1000)
In applying the formula, utility staff will multiply the
appropriate rate per annual kWh saved for the identified ECM. The
selection of the appropriate rate will be based upon the measure
life as listed in the Technical Requirements or other authoritative
source (ASHRAE, IES etc).
The incremental cost of the ECM will be determined by soliciting
alternate bids from the contractor selected and by utility staff.
The basis for this determination will be a combination of code and
standard practice and will be reached in accordance with Section
8
6.1 of the BPA Technical Requirements for the Program.
Cost control will be accomplished by an incentive design that
insures that measures never cost BPA greater than 35 mills
including the cost of administration. The payment will be further
controlled by capping the reimbursement at 50% of total cost and at
100% of the ECM incremental cost. The owner will be paying a
significant portion of the measure cost and will have a financial
interest in controlling costs.
During this budget period we will not be placing a cap on the
amount of funds received per project. This may be added during the
next budget period.
Payments for work under the program will be paid only when the
project has been completed and all installed measures inspected.
Port Angeles City Light plans to allow all ECMs identified in the
BPA Energy Conservation Code List. ECMs which will not be
considered for funding include those expressly disallowed in the
contract or technical requirements and those ECMs having the
potential to create an adverse environmental impact (eg: asbestos,
PCBs, IAQ hazards). In the case of heat pumps, code and standard
practice will determine the baseline. Electric resistance
furnaces, baseboard heaters, rooftop units and heat pumps may be
selected as appropriate as being representative baseline equipment.
3. Operations and Maintenance (O&M) Services:
Service contracts for the building owner using heat pumps for
heating and cooling will be offered. Information based on the
recommendations of the HVAC contractor and building owner regarding
frequency of service and the scope of service will determine the
final service contract for the building. Maintenance schedules, and
building operator training will be a part of the service contract
and will vary depending on individual buildings.This service will
be provided by Subcontractors.
We are offering the 0 M services which at this time will be
limited to service contracts performed by HVAC installers, to
buildings with heat pumps.
Buildings that qualify for participation in the Energy Smart Design
Program, i.e. new or major remodels and include heat pumps are
eligible for the payment.
Costs will be quantified by bidding the service contract out to the
local HVAC contractors for each project.
The utility will collect the consumption histories. The contractors
will supply service calls.
9
Our approach to operation and maintenance is to ensure that the
efficiencies attainable by higher efficiency HVAC equipment is
realized through serving the equipment and that the owners realize
the savings and continue with service contracts on their own,once
the services have been perform�d for a year.
Prepared By
Ke aike, Conservation Manager
10
Date /S
4/
Budget Categories
City of Port Angeles
Energy Smart Design Services
Revised Budget Narrative
February 8, 1991
The Optional Services budget amounts are divided between Equipment
Rebates, Site Based Payments and Operations and Maintenance.
We are not considering a peer matching proposal at this time after
learning that the Energy smart Design Training committee is also
proposing this service.
Our budget amounts are based on the completing of 30 buildings
through the end of June 1991. Our original proposal was for 30
buildings for the 1990 1991 budget year. We anticipate continued
success with the program and expect to complete more projects with
the added enhancements.
1. Equipment Rebates $363,500
Prescriptive Path Incentives We expect to complete 15
projects during this budget period. With an average of
$2.00 per square foot and a 12,000 s.f. size building we
anticipate a spending $360,000 for builder owners using
this portion of the ESD program.
Lighting and HVAC rebates are not planned to be
utilized as often as originally though. For this reason
we expect to spend only $3500 towards this portion of our
Optional Services.
2. Site Based Payments $190,000
We expect to award incentives to 4 modeled buildings
during this budget period. With an average cost of about
$50,000 per project we expect to spend the remaining
$190,000 available from our initial budget request for in
this portion of our Optional Services.
3. Operations and Maintenance $36,000
We are proposing to pay the cost of service contracts for
buildings with Heat Pumps. Preliminary costs for existing
service contracts are $200 per unit per year. We plan on
paying for a one year contract which would include two
scheduled maintenance visits. A typical six zone building
would require $1200.
IPORT ANGELES CITY LIGHT I
PRESCRIPTIVE PATH ENVELOPE INCENTIVE 1
Building Type 1Incentive/Sq.Ft. 'Building Type 1Incentive/Sq.Ft.
OFFICE I RESTAURANTS
Smart Set #1 $0.40 Smart Set #1 $0.47
Smart Set #2 &3 $0.00 Smart Set #2 $0.00
Smart Set #4 $0.65 Smart Set #4 $0.65
Edge Set #5 $0.56 Edge Set #5 $0.74
Edge Set #6 $0.49 Edge Set #6 $0.39
Edge Set #7 $0.00 MOTELS
Edge Set #8 $0.14 'Smart Set #1 $0.91
IRETAIL Smart Set #2 $0.61
Smart Set #1812 $0.00 Smart Set #4 $0.70
Smart Set #3 &4 $0.05 Edge Set #5 $0.98
Smart Set #4 -B $0.65 Edge Set #6 $0.84
Edge Set #5 $0.46 SHOP
Edge Set #6 &8 $0.00 Smart Set #1 $0.21
Edge Set #7 $0.35 Smart Set #2 $0.16
1 THEATER Smart Set #4 $0.65
Smart Set #1 $0.39 Edge Set #5 &7 $0.25
Smart Set #2 $0.35 Edge Set #6 &8 $0.32
Smart Set #4 $0.65 WAREHOUSE
Edge Set #5 &6 $0.63 Smart Set #1 $0.19
CHURCHES Smart Set #2 $0.07
Smart Set #1 $0.60 Smart Set #4 $0.65
Smart Set #2 $0.39 Edge Set #5 $0.40
Smart Set #4 $0.65 Edge Set #6 $0.28
Edge Set #5 &6 $0.69
PORT ANGELES CITY LIGHT
Site base ae'o
Measured Life $/kwh Measured Life $/kwh
Life Factor Reduced for Life Factor Reduced for
(Years) Admin. (Years) Admin.
1 1.04197 0.02 16 0.08611 1 0.24
2 0.53162 0.04 17 0.082431 0.25
3 0.36156 0.06 18 0.07916 1 0.27
4 0.27658 0.08 19 0.076241 0.28
5 0.22563 0.09 20 0.07362 1 0.29
6 0.19168 0.11 21 0.071251 0.29
7 0.16746 0.13 22 0.06901 0.30
8 0.14931 0.14 23 0.06714 0.31
9 0.13522 0.16 24 0.06535 0.32
10 0.12395 0.17 25 0.06371 0.33
11 0.11475 0.18 26 0.06220 0.34
12 0.10709 0.20 27 0.06080 0.35
13 0.10062 0.21 28 0.05950 0.35
14 0.09509 0.22 29 0.05830 0.36
15 0.09030 0.23 30 0.05178 0.37
CITY CF PORT ANGELES ENERGY SMART DESIGN MOTOR REBATE LIST
II ENERGY EFFICIENT ROTORS TEFC (Totally Enclosed Fan Cooled)
MOTORS (TEFC)
1 1 84.0% $75 0
2 1.5 85.0% $80 0
3 2 86.0% $85 0
4 3 87.0% 5100 0
5 5 88.0% $105 0
6 7.5 89.0% 5150 0
7 10 91.0% 5160 0
8 15 92.0X $180 0
9 20 93.0% $210 0
10 25 93.5% 5240 0
11 30 93.6% $290 0
12 40 94.1% $400 0
13 50 94.1% $600 0
14 60 94.5% $760 0
15 75 95.0% 3860 0
16 100 95.0% 51,320 0
17 125 95.4X 51,845 0
18 150 95.4% 52,150 0
19 200 95.4% 52,250 0
11I ENERGY EFFICIENT MOTORS OOP (Open Drip Proof Type)
MOTORS (OOP)
21 1 84.0X 570 0
22 1.5 85.0% $75 0
23 2 86.0% S80 0
24 3 87.0X S85 0
25 5 88.0% 5100 0
26 7.5 89.0% $120 0
27 10 91.0% $130 0
28 15 92.0% $145 0
29 20 93.0% 5170 0
30 25 93.5% 5190 0
31 30 93.6X 5230 0
32 40 94.1X 5320 0
33 50 94.1% $480 0
34 60 94.5X 5600 0
35 75 95.0X 5500 0
36 100 95.0X 5790 0
37 125 95.4X 51,100 0
38 150 95.4% $1,290 0
39 200 95.4% 51,460 0
NOTE:
MOTOR MINIMUM REBATE/ NUMBER OF TOTAL
HP EFFICIENCY MOTOR MOTORS REBATE
MOTOR MINIMUM REBATE/ NUMBER OF TOTAL
HP EFFICIENCY MOTOR MOTORS REBATE
TOTAL 0
Motors of 100 Hp or less must operate at least 1250 Hrs /yr
Motors of 125 Hp or more must operate at least 2500 Hrs /yr
Energy Smart Design Rebates
Fixtures
FLOURESCENT
(4) F40T12(40w)/E
1(4) F40T12(34w)/E
1(4) F032T8 /E
(3) F40T12(40w)/E
(3) F40T12(34w)/E
1(3) F032T8/E
1 (2) F40T10/E
(2) F032T8/E
(2) F40T12(40w)/E
(2) F40T12(34w)/E
(1) F40T12/E
1(1) F40T10/E
1 (2) F40U6(40w)/E
1(2) F40U6(34w)/E
(2) F30T8(31 w)/E
(2) F96T12(75w)/E
1(2) F96T12(60w)/E
1(1) F96T12(75w)/E
(1) F96T12(60w)/E
COMPACT FLUORESCENTS
Less than 17 watts
w/o reflector
Less than 17 watts
w/o reflector
1tARD WIRED BM
Less than 17 watts
1 More than 17 watts
1
(EXIT SIGNS
Less than 18 watts
HID FIXTURES
Less than 150 watts
More than 150 watts
OCCUPANCY SENSORS
Wall Mount
Less than 300 watts
More than 300 watts
1 Rebate Amount
$20.00
$25.00
$30.00
$45.00
$50.00
$80.00
$45.00
$40.00
$15.00
$20.00
$20.00
$35.00
$10.00
$15.00
$30.00
$30.00
$35.00
$30.00
$30.00
$7.00
$15.00
$25.00
$35.00
$25.00
$135.00
$165.00
$15.00
$25.00
1
CLOCK THERMOSTAT
1 Day, optimal start $100.00 1
Rebate amount for 1
Heat Pump Efficience
Air source $25/Ton for each
additional 0.1 COP 47DB
U.S. DEPARTMENT OF ENERGY BONNEVILLE POWER ADMINISTRATION
NOTICE OF FINANCIAL ASSISTANCE AWARD
(See instructions on reverse.)
Under the authority of Public Law 96 -501 Pacific NW. Electric Power Planning and Conservation Act
subject to legislation, regulations and policies applicable to (cite legislative program title).
41 U.S.C. 501 et sea. Federal Grants and C000erative Agreement
Ai l ik 3 KOJECT TITLE
IIPPEnergy Smart Design Assistance Program
Ootion 1 Utility Agreement
3. RECIPIENT (Name, address, zip code, area code and telephone no.)
Port Angeles City Light
P.O. Box 1150
Port Angeles, WA 98362
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.)
Ken Maike
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Ken Maike
(206) 457 -0411
13. BPA PTR (Name, address, zip code, telephone no.)
Dulce Setterfield TBA (206) 442 -1366
BPA Puget Sound Area; Suite 400
201 Queen Anne Ave., North; Seattle, WA 981Q9
14 RECIPIENT TYPE
STATE GOV'T INSTITUTION OF HIGHER EDUCATION
LOCAL GOV'T HOSPITAL
INDIAN TRIBAL GOV'T OTHER NONPROFIT ORGANIZATION
BPA F 4620 01
(08-89)
(Previously BPA 1813)
15. ACCOUNTING AND APPROPRIATIONS DATA
a ORGANIZATION b. OBJ NUMBER c ACTIVITY
RMCC 1 27 GNL
.BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION
(1) BPA Funds Obligated This Action
(2) BPA Funds Authorized for Carry Over
(3) BPA Funds Previously Obligated in this Budget Period
(4) BPA Share of Total Approved Budget
(5) Recipient Share of Total Approved Budget
(6) Total Approved Budget
18. TOTAL ESTIMATED COST OF PROJECT
7�
(Signature of Authorized Rec,pierf?011icial)
TOBERc-T J. 7 TUS
(Name)
(VS2- SRPA- 9034m)
WA/
(Date)
2. INSTRUMENT TYPE
GRANT
4. INSTRUMENT NO.
DE- FC79- 88BP93021
6. BUDGET PERIOD (From Thru)
07/01/90 06/30/91
9. PURCHASE REQUISITION NO.
79- 91BP15064
10. TYPE OF AWARD
RENEWAL
NEW CONTINUATION
X REVISION SUPPLEMENT
12. ADMINISTERED BY (Name, address, zip code, telephone no.)
Bonneville Power Administration
Attn: Mary Ann Dalton SRPA
P.O. Box 3621 FTS 429- 5091
Portland, OR 97208 (503)230- 5091
FOR PROFIT ORGANIZATION C P
INDIVIDUAL
OTHER (Specify) Utility
d PL -6 NUMBER
T12201
571,640.0Q
31,106.00
94,254.0Q
697,000.00
_n-
697,000.00
N/A
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount)
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following
a Revised Budget
b Modification to the Program Description
c Terms and Conditions
d Recipient's Optional Services Workplan
e.
f
211 REMARKS This modification is issued to: (1) incorporate Revised Budget; (2) incorporate a
modification to the Program Description; (3) incorporate Terms and Conditions which
supersede all previous editions; (4) incorporate Recipient's Optional Services Workplan; (5)
extend the project period; (6) adjust the actual carryover; and (7) change the
II administrative staff in Bo" 12
V IDENCE OF RECIPIENT ACCEPTANCE 22. AWARDED BY
0/30/9,
(Date)
(Signature)
A_ Ann Scholl
(Name)
Contracting Officer
Act of 1977
X COOPERATIVE AGREEMENT
5. AMENDMENT NO.
A004
7. PROJECT PERIOD (From Thru
09/26/88 09/30/98
b. CUMULATIVE BPA OBLIGATIONS
(1) This Budget Period
[Total of lines a (1) and a (3)]
(2) Prior Budget Periods
(3) Project Period to Date
[Total of lines b (1) and b (2)]
SP
16. EMPLOYER I.D. NO. /SSN
91- 6001266
665.894.0(
108.537.0(
774.431.01
/-4)
DATE FRERWAED:
ENERGY SMART DESIGN
OPTION 1 UTILITIES
APPLICATION FOR FEDERAL ASSISTANCE BUDGET FORA
REVISED BUDGET FOR PERIOD JULY 1, 1990 TO JUNE 30, 1991
9 -26 -90
RECIPIENT: Fort Angeles /C1a11am AWARD IIJIEER: DE -FC79- 8813P93022
AFPLICAEd_E COST SNARE 1.00%
TOTAL BPA'S SHARE RECIPIEN SHARE
(1) Administrative Allowance
(a) Base
$20,000
(b) Total Number of Buildings (Prescriptive Bin,
Hourly, and Large /Complex.) X $1000 (30)
(2) Modeling
(a) Number of Bin Buildings: _2_ X $2500 17,s00 17,500 N/A
(b) Number of Hourly EUildings: 8 X $5000 40,000 4n,000 N/A
(c) Number of Large /Complex Buildings: X N/A
(3) Optional Services
(a) Daylighting N/A
(b) Equipment Rebate 55'1 500 5r1.3,500 N/A
(c) Site -Based Payments N/A
(d) Building Commissioning N/A
(e) Account Executive N/A
(f) Operations and Maintenance 36,000 16 N/A
(g) Peer Matching -N /A
(h) Design Team Incentives N/A
BUDGET FOR PERIOD 7/1/90 THRU 6/30/91 TOTALS 697_000 697,000
Recipient requests payment via (mark one) Advance (includes Letter of Credit)
(See Bonneville Power Assistance Instructions (BPAI) Part 9,61 for definitions)
Budget requested and prepared by
PFFMEED BY: 0,1«
(Signature of Recipient)
(111C
20,000
30,000
20,000
30,000
(Da(e)
N/A
N/A
N/A
N/A
Reimbursement
VSl1 -2076h
MODIFICATION TO THE 7/1/90 ENERGY SMART DESIGN COOPERATIVE AGREEMENT
The following items have been revised or added to the existing Program
Description:
SECTION A
PART 1
1.3.2 Environment
In order to offer the Site based Payments and Equipment Rebates as
optional services, Bonneville has received concurrence from DOE that
in recommending efficiency improvements and by paying incremental
cost or less than a significant portion of the cost (which Bonneville
defines as not to exceed fifty percent of the total cost), the
program continues to have no significant adverse impact on the
environment.
To help the program participants avoid areas of potential
environmental effects Bonneville has developed Requirements based on
past experience in the commercial building sector. These Commercial
Environmental Requirements are included in this agreement as Appendix
1 to Exhibit 6 (Technical Requirements). These Commercial
Environmental Requirements must be complied with for all buildings
receiving Equipment Rebates, Site -based Payments, Building
Commissioning, Operations and Maintenance, and /or Design Payment.
1.4 Government- Furnished Pronertv /Service
(E) Energy Smart Design Prescriptive Path Manual as furnished by
Bonneville, and including future updates.
1.8 Performance Period
The period of performance for financial assistance awards under this
grant is from the date of award through September 30, 1998.
Utilities may continue to offer design assistance and optional
services to their customers and initiate contracts for payments to
building owners (or representatives) from the period of award through
September 30, 1992. The period between October 1, 1992 and September
30, 1998 allows for completion of Commercial buildings and
distribution of optional services payments for which contracts
between the utility and its customer are awarded on or before
September 30, 1992.
PART 2
2.2.6(A)(1) Design Assistance Prescriptive Buildings
In lieu of Services Summary Forms, the utility may submit a completed
set of copies of Project Information Worksheets and Final Design
Strategy Worksheet for each project as found in the Energy Smart
Design Prescriptive Path Manual.
2.2.6(6)Deslan Assistance Optional Services
Optional services limited to those specified in the Technical
Requirements may be provided at the discretion of the utility after a
workplan prepared by the recipient is received and approved by
Bonneville and incorporated into this agreement. Basic services must
also be offered if Site -Based Payment, Building Commissioning,
Operations and Maintenance, or Design Payment is provided. However,
the specific project or commercial building need not accept the basic
services to be eligible to participate in the Optional Services.
The utility must comply with the payment levels and quality control
procedures designated in their Optional Services Workplan, with the
following exceptions: 1) it is allowable to decrease payment levels,
or 2) increase them up to 15% above the original approved payment
level. If the utility is offering Equipment Rebates, they may add
measures within the measure categories already defined and approved in
their Optional Services Workplan (eg. If motors have already been
approved, other motors or sizes may be added). Other details in the
Optional Services Workplan may be modified with prior approval of the
BPA Project Technical Representative (PTR).
See Section D for Basis of Payment provisions.
2.2.8(C) Awards
PART 3
3.0.1 General
Prescriptive Path Awards Energy Smart Awards are available for
those who have constructed their buildings to meet the Energy Smart
Strategy Set appropriate for their building type and climate zone.
Energy Edge Awards are available for those who have constructed their
buildings to meet the Energy Edge Strategy Set appropriate for their
building type and climate zone. The appropriate Energy Smart or
Energy Edge Strategy Set will be selected from the Prescribed Design
Strategies contained in the Energy Smart Design Prescriptive Path
Manual.
BPA will reimburse recipients for payment of financial incentives for
Energy Smart Design buildings offered under the Energy Smart Design
Optional Services in their service territory. Buildings may
participate in the program even if they participated in other BPA
programs provided that they are not receiving funding for the same
energy conservation measures (e.g., lighting improvements paid for
under the Energy Savings Plan are not eligible for the Energy Smart
Design incentive payment).
3.0.2 Budget Period
Bonneville will provide payments to recipients through September 30,
1998 to pay for projects completed after program activity ends on
September 30, 1992. Recipients should reflect their unliquidated
obligations on Form 269a, line f Federal Share of Unliquidated
Obligations. This allows utilities to identify designated funds which
they have obligated to customers through a formal contract but which
will not be claimed or requested from Bonneville before September 30,
1992 but no later than September 30, 1998.
3.3 Cost Share
Effective January 1, 1991, cost share will be applied to
Administration, Equipment Rebates, Site Based Payments, and Account
Executives. At that time the utility's level of the reimbursement for
those three optional services will be reduced by the current
Bonneville cost share percentage (see Exhibit 3, 1991 cost share
percentages). Thereafter, changes to a utility's cost share
percentage will only affect their budget at the time of the annual
budget renewal each July. For Equipment Rebates and Site Based
Payments, the utility is required to pay the difference to the
customer. For example; If a utility's cost share is 25 percent
(Bonneville's share 75 percent), and the utility proposes to offer a
rebate of five dollars for a particular Measure, Bonneville will
reimburse only 75 percent of that amount or $3.75. The utility must
then make up the difference to provide the five dollar rebate to the
customer.
All financial reports submitted for which the period covered by the
report begins on or after January 1, 1991 will be subject to cost
share.
The following items have been deleted from the Program Description:
3.0.3.B.3 Supplemental Funding
3.1 Transfers Between Budget Items
Refer to Section D, Terms and Conditions, 15.0202 -32
The following items have been revised or added to the existing DEFINITIONS:
EXHIBIT 1
N. Regional Costs: are the total costs for the Region, including those
for Bonneville, the utilities, and the utility consumers. Program
costs include incremental energy conservation measures (ECM)
installation costs, reimbursed and unreimbursed utility costs, and
direct and indirect Bonneville administration costs.
0. Regional Cost Effectiveness: The total regional cost of the long term
commercial program is expected to be 35 mills /kWh. Therefore this
program should use 35 mills as its target. Based on experience with
the Commercial Incentives Pilot Program, Bonneville direct and
indirect overhead costs were approximately 20%. For the utility's use
in designing their optional services a value of 28 mills /kWh (the
remaining 80 of 35) should be used, including utility reimbursed and
unreimbursed administrative costs (including design assistance costs),
and all regional costs for measure payments and other optional
services. However, the regional installed incremental cost of any
measure or package of measures (including incremental cost of
materials, labor, and design) may be up to 50 mills /kWh as long as the
Program regional cost remains under the 35 mills /kWh target.
P. Incremental Cost: The difference between the total installed cost of
the baseline configuration and the total installed costs for the
recommended configuration which includes the proposed energy
conservation measures.
Q.
Incremental Savings: The difference between the energy use of the
baseline configuration and the energy use of the recommended
configuration which includes the proposed energy conservation measures.
R. Baseline: For new construction, the baseline which shall be used for
determining savings and incentive levels is at a minimum the 1987
Model Conservation Standards Equivalent Code (MCS) or local code where
it meets or exceeds the MCS. If the measure being recommended is not
addressed by the MCS or local code where it meets or exceeds the MCS,
then standard practice shall be used as the baseline. For existing
buildings, the baseline may be the existing condition if a methodology
was proposed and approved in the Optional Services Workplan. In the
case of major remodels where code would obviously apply, the baseline
will be the same as for new construction. The baseline upon which
recommendations are made to the building owner remains as described
within the Energy Smart Design Technical Requirements.
The following items have been revised or added to the existing TECHNICAL
REQUIREMENTS:
EXHIBIT 6
1.1 Definitions
"Regionally Cost effective Measure" means levelized cost less than or
equal to 50 mills /kWh. Measure costs include incremental cost of
materials, labor, and design.
"Regionally Cost effective Program" means levelized cost less than or
equal to 35 mills /kWh. Program costs include program administration and
measure cost to Bonneville, the utility, and the consumer.
"Incremental Cost The difference between the total installed cost of
the baseline configuration and the total installed costs for the
recommended configuration which includes the proposed energy conservation
measures.
"Incremental Savings The difference between the energy use of the
baseline configuration and the energy use of the recommended configuration
which includes the proposed energy conservation measures.
2.3 Prescriptive Path Awards
A project qualifies for an Energy Smart Award when the building meets one
of the Energy Smart Strategy Sets appropriate for the building type and
climate zone. A project qualifies for an Energy Edge Award when the
building meets one of the Energy Edge Strategy Sets appropriate for the
building type and climate zone. The appropriate Energy Smart or Energy
Edge Strategy Set will be selected from the Prescribed Design Strategies
contained in the Energy Smart Design Prescriptive Path Manual.
Prior to granting of the award, an inspection, performed by utility
personnel or by other Bonneville- approved personnel, shall verify that the
completed building contains all energy- efficiency Measures necessary for
the attainment of the performance level required by the appropriate
Prescribed Design Strategy Set.
4.3 Technical Approach Service Selection
Single Measure Method: For buildings which use less than 25'X of the
yearly electrical energy in other than equipment /process and lighting, the
Single Measure Method will be allowed for basic energy conservation
measures (ECM's). This method must account for interactions between ECM's,
interior lighting, HVAC, and envelope. Typical methods are identified in
the BPA Conservation Audit Workbook.
5.1 Prescriptive Approach
Measures for small, simple buildings will be selected following the
procedures described in the Energy Smart Design Prescriptive Path Manual
rather'than by individual modeling of each building. However, individual
modeling will be acceptable in some cases: small buildings which include
complex systems (such as refrigeration or process loads) or other special
features (such as daylighting) may need bin or hourly modeling. Also,
building types not explicitly specified or buildings larger than sizes
indicated in Figure 1 will be acceptable for the Prescriptive Path
Approach in some cases. It will be at the discretion of the Project
Technical Representative to determine the appropriate technical approach
for such buildings.
6.1 Baseline Defined
For new construction, the baseline which shall be used for determining
savings and incentive levels is at a minimum the 1987 Model Conservation
Standards Equivalent Code (MCS) or local code where it meets or exceeds
the MCS. If the measure being recommended is not addressed by the MCS or
local code where it meets or exceeds the MCS, then standard practice shall
be used as the baseline. For existing buildings, the baseline may be the
existing condition if a methodology was proposed and approved in the
Optional Services Workplan. In the case of major remodels where code
would obviously apply, the baseline will be the same as for new
construction. The baseline upon which recommendations are made to the
building owner remains as described within the Energy Smart Design
Technical Requirements.
7. Measure Eliaibility Criteria
(Label the life factors as "Table 1 and head the columns as "Measure
Life" and "Life Factor" accordingly.)
8. Acceptable Software
(Insert the following before last sentence:)
"Software which is not on the following list of acceptable software
will not be allowable as the basis for analysis for Optional Services
payments."
9. Building Design Assistance Report
9.2 Specific Elements of the Report usina Bin or Hourly Analysis
F. Environmental Recommendations
If any of the Measures recommended have potentially harmful
environmental impacts (as described in Appendix 1,
Environmental Requirements), information regarding those
measures must be supplied to the building owner.
(4099c)
9.3 Specific Elements of the Report usina Prescriptive Path Approach
Each report may address each of the following topic elements:
A. Project Information Worksheets
Complete copies of the Project Information Worksheets from the
Prescriptive Path Manual.
B. Final Design Strategy Worksheet
Complete copy of the Final Design Strategy Worksheet from the
Prescriptive Path Manual. This should describe what exactly the
final recommended Measures are, not just repeat the Prescribed
Design Strategy. Specify what type of fuel is used for heating
or potable hot water. Specify whether cooling system is planned.
C. Technical Description Sheets
Include copies of at least one Technical Description Sheet for
each recommended Measure in the appropriate Prescribed Design
Strategy Set selected from the Prescriptive Path Manual.
D. Environmental Recommendations
If any of the Measures recommended have potentially harmful
environmental impacts (as described in Appendix 1, Environmental
Requirements), information regarding those measures must be
supplied to the building owner.
Figure 1 See attached revised copy.
Appendix 1 See attached new Environmental Requirements, dated 11/5/90,
which replace the former "Environmental Recommendations."
Section D. Terms and Conditions. is replaced in its entirety.
7
5,000
10,000
15,000
20,000
25,000
30,000
35,000
40,000
45,000
50,000
Figure 1 Basis for Selection of Appropriate Means of Technical Assistance
Building Type Non -refng Assembly, Office Lodging, Restaurant Nursing Schools Grocery Fast Food Enclosed Nursing Hospital Buildings
Warehouse, Church, Hotel, Home- Restaurant Retail Mall Home with w /More
Non grocery Theater, Motel Basic or Other Extensive Than One
Retail Auditorium Services Multi -use Health Care Special
Building Area Residential Facilities Feature
(Square Feet) Only (see below)
PREOCRIPITIVE
S N
HO
RLY
Special features include Interior Structural Mass, Water Loop Heat Pump Systems, Simultaneous Heating and Cooling, Non Structural Active Thermal
Storage Systems, Daylighting, Building Structures above Five Stories in Height, Complex Zoning, Complex HVAC Systems.
EXHIBIT 6
Technical Requirements
Revised 10
t
ENVIROMNEIV'fAL REQUIREMENTS
Commercial Conservation Programs
New and Existing Buildings
Bonneville Power Administration
November 5, 1990
APPENDIX 1 to EXHIBIT 6
ENVIRONMENTAL REQUIREMENTS
COMMERCIAL CONSERVATION PROGRAMS
November 5, 1990
Contents Page Number
Introduction 3
Lighting 4
Disposal of Light Ballasts Containing Polychlorinated 7
Biphenyls (PCBs)
Removal and Disposal of Asbestos 7
Solar Domestic Water (Potable) Heating Systems 7
Swimming Pools 7
Applicable Building Codes and Permits /Approvals 8
Ground and Water Source Heat Pumps 8
Urea Formaldehyde Foam Insulation (UFFI) 8
Projects Involving Subsurface Resources 9
Indoor Air Quality 10
Historic Preservation 22
Waiver Request Procedure 30
Environmental Review Checklist 31
(VS5- RMCB- 3914c)
2
ENVIRONMENTAL REQUIREMENTS
Commercial Conservation Programs
Introduction
This document contains environmental requirements for:
Lighting
Disposal of Light Ballasts Containing PCBs
Removal and Disposal of Asbestos
Solar Domestic Water (Potable) Heating Systems
Swimming Pools
Applicable Building Codes and Permits /Approvals
Ground and Water Source Heat Pumps
Urea Formaldehyde Foam Insulation (UFFI)
Projects Involving Subsurface Resources
Indoor Air Quality
Historic Preservation
November 5, 1990
Bonneville Power Administration (BPA) has conducted several environmental
reviews related to energy conservation measures (ECMs) installed in commercial
and institutional buildings. Based on these reviews and experience gained
through operation of commercial programs, BPA has developed specific
environmental requirements. By requiring that BPA sponsored ECM installations
conform to these requirements, BPA complies with the intent of the National
Environmental Policy Act and assures that safeguards to the environment are
built into programs.
These requirements pertain to both new and existing buildings. If the
requirements are applied differently between new and existing buildings, the
distinction will be noted. Some sections clearly pertain only to existing
buildings. They are Historic Preservation, Disposal of Light Ballasts
Containing Polychlorinated Biphenyls (PCBs), and Removal and Disposal of
Asbestos.
If installation of an ECM is proposed which differs from these environmental
requirements, a "waiver request" procedure has been established. Waivers
should be requested only when it can be clearly shown that either the
environmental concerns listed in these requirements do not apply to a
particular project or when environmental concerns can be mitigated in other
ways. The procedure for requesting a waiver is included in Attachment I.
At the completion of each project, an environmental review checklist must be
completed and submitted to the BPA Area /District Office with the project
paperwork. A copy of the checklist and instructions for completing it are
included in Attachment II.
Li ting
t
ENVIRONMENTAL REQUIREMENTS
A. High Pressure Sodium (HPS) Lighting{
There are several environmental concerns associated with installation of
HPS lighting indoors; namely, glare, color rendition, and stroboscopic
(flicker) effect. Those concerns and mitigation strategies are outlined
below. HPS can be utilized in carefully selected indoor applications if
these strategies are followed. A discussion of specific applications
where HPS may be recommended is also included in this section.
1. Environmental Concerns and Mitigation Strategies
Glare
November 5, 1990
Glare can be a problem in HPS systems because of the small size of the
lamp and its extreme brightness. Mitigation of this problem can be
accomplished by:
Use of appropriate luminaire shielding. The source of the light
(the HPS lamp) shall not be visible from any position above 45
degrees.
The reflector shall be designed so that no image of the light
source will be projected into the shielded zone.
Luminaires shall be mounted above the normal line of sight (as
high as practical).
Luminaires mounted below 20 feet above the work plane shall have a
refractor lens or be specifically designed for mounting at low
heights.
Indirect /ambient HPS systems may be utilized in office or similar
work environments with high ceilings. Other types of
supplementary lighting at specific task levels can help reduce or
eliminate reflected glare.
Stroboscopic (Flicker Effect)
HPS can result in a cyclic variation in light output. A safety hazard
may occur when rapidly moving objects are viewed in this light appear
to be stationary. Specifications to minimize the "flicker effect"
include:
Luminaires shall be arranged so that illumination for any one spot
shall not come from any single luminaire. This is especially
important in areas where rotating machinery is used.
HPS systems shall be wired on three -phase systems, so that
overlapping luminaires shall operate on separate phases.
Color Distortion
November 5, 1990
Color distortion can occur when using HPS systems. This could present
a safety hazard where critical color- dependent tasks are involved and
around color- specific signs or signals conveying health and safety
information. This color bias may impair work performance in
occupations requiring high visual demand and color discrimination
(e.g., paint booths, printing operations, warehouses with color
coding, etc.). In such instances, color distortion shall be mitigated
in the following manner:
HPS shall not be utilized where good color rendition is critical
to accomplishing a specific task.
Warning and exit signs must be illuminated independently by light
sources with good color rendition such as incandescent,
fluorescent, or metal halide.
Earthtone colors with a dull or matte finish should be utilized on
surfaces surrounding the task.
2. Specific Applications
a. Offices and Institutions
These applications are usually fluorescent. However, offices and
institutional environments can utilize HPS as indirect ambient
illumination.
b. Schools
HPS should not be utilized in classrooms primarily due to glare
and stroboscopic effect. Except in some indoor athletic areas,
HPS should not be recommended for schools.
c. Industrial Areas
In areas where color discrimination is critical (such as
electronic assembly and painting), HPS not be used. Other sources
such as high color rendering fluorescent should be installed.
Stroboscopic effect can be a problem where rotating machinery is
involved. If such equipment is utilized, mitigation measures as
outlined in these environmental requirements must be followed.
d. Warehouses and Storage Areas
HPS has been successfully used in many types of warehousing
installations. Color discrimination, flicker, and glare do not
usually present problems in these applications. However, if any
activities other than warehousing operations (e.g., the addition
of an office) are planned, then the environmental concerns for HPS
must be considered for that area and appropriate mitigation
incorporated.
e. Retail
Good color rendition is a major concern of retailers. HPS is not
recommended for retail applications where good color rendering is
critical.
B. Low Pressure Sodium (LPS) Lighting
Low pressure sodium lamps are unsuitable for indoor use because they
produce an unpleasant monochromatic light (yellowish tint).
Lighting applications which differ from those listed within these
environmental requirements may be considered if it can be demonstrated that
the environmental concerns are not a problem to a particular application or if
other mitigation is proposed. However, BPA must approve the application prior
to installation. To obtain this approval, the contractor must request a
waiver by following the procedures outlined in Attachment I.
6
November 5, 1990
Disposal of Light Ballasts Containing PCBs
Fluorescent Light ballasts manufactured prior to 1978 likely contain 1 -2
ounces of pure PCBs. According to the Environmental Protection Agency
(EPA), disposal of non leaking PCB ballasts is not federally regulated.
However, disposal of leaking ballasts is considered a regulated waste and
must be disposed of in accordance with the EPA guidelines outlined below.
Some states (such as Washington) have enacted their own dangerous waste
regulations. In Washington's case, these regulations are more stringent
than EPA's guidelines and do regulate disposal of PCB light ballasts. It
is the building owner's responsibility to contact the state for specific
waste disposal regulations and to follow those procedures.
In the absence of specific state regulations, BPA encourages building
owners to dispose of PCB ballasts in accordance with EPA guidelines. This
involves disposal through incineration or in a chemical waste landfill.
Each BPA Area /District office has copies of an EPA brochure which outlines
PCB disposal procedures. Contractors shall provide a copy to building
owners who are disposing of such ballasts.
Removal and Disposal of Asbestos
Solar Domestic Water (Potable Heating Systems
Swimming Pools
Buildings which contain swimming pools must provide adequate ventilation
in the swimming pool and surrounding deck area. The current ASHRAE
Standard 62 must be followed for ventilation rates.
November 5, 1990
BPA will not fund removal and disposal of any asbestos material. If
building owners decide to remove asbestos, it will be their responsibility
to comply with all local, state and federal waste disposal procedures and
regulations and assume all associated costs.
Use of toxic transfer fluids is not permitted. Toxic transfer fluids
include, but are not limited to, methoxy propanol, isopropyl alcohol,
ethylene glycol and methyl alcohol. All proposals to install systems
using non -toxic transfer media must be approved by an appropriate state or
local code official or their delegate. A copy of that approval must be
obtained prior to installation and be retained by the building owner.
Applicable Building Codes and Permits /Approvals
November 5, 1990
All ECMIs shall be installed in a manner consistent with applicable
federal, state and local building codes and regulations. Building owners
shall be advised of their responsibility to obtain appropriate building
permits and approvals. Copies of the permits do not need to be submitted
to BPA. However, language similar to the following must be included in
the contract with the building owner:
"The building owner agrees to secure permits and comply with all
applicable federal, state and local codes and requirements in the
design and installation of all energy conservation measures. Where
permits are required, installation must be approved by appropriate
building officials. The building owner agrees to maintain compliance
documents in their files and have them available for review if
requested."
Ground and dater Source Heat Pumps
Ground Source Heat Pumps:
Particular environmental concerns include use of toxic transfer fluids and
possible ground freezing.
Toxic Transfer Fluids: Use of toxic transfer fluids is not
permitted. Non -toxic antifreeze mixtures must be used. For example,
ethylene glycol is highly toxic and state and local codes may not
allow its use. Propylene glycol is less toxic than ethylene glycol,
but becomes viscous at lower operating temperatures. Methanol -water
mixtures should not be used because of potential health hazards which
could result from extended exposure to the mixture. Calcium chloride
is non -toxic and is an acceptable transfer fluid. A letter from a
state or local code official or a permit approving the transfer media
must be obtained prior to installing the ground source heat pump.
Ground Freezing: Site specific piping runs should be designed for
each ground source heat pump installation to take into account the
type of ground conditions and the frost line /freezing depth for the
specific location. This precaution is necessary to help prevent
freezing of the pipes and accidental contamination of the soil should
leakages occur.
Water Source Heat Pumps:
The environmental requirements pertaining to water source heat pumps
can be found in this document under "Projects Involving Subsurface
Resources."
Urea Formaldehyde Foam Insulation (UFFI
Use of UFFI is not permissible in either new construction or existing
building retrofits. A primary environmental concern is formaldehyde
outgassing which could occur during installation.
8
Projects InvolvingSubsurface Resources (e.g., Well Water, Direct
A pp t ication eGeo hermar7 source Heat Pumps)
S
Various federal, state and local regulations impose restrictions on ground and
water use and effluent disposal. Consequently, projects being proposed which
affect subsurface resources will be reviewed on a case -by -case basis by BPA.
Prior to recommending these types of projects, BPA will require the contractor
to provide the following information:
Project description including purpose, site location, and water
source, pipeline route, and target facility.
Amount of water to be pumped, well size and depth, bottom -hole
temperature, heat transfer mechanisms, and method of water discharge.
Construction necessary for system installation, land surface to be
affected (e.g., forest, waterways, existing right -of -way) and current
zoning of the area.
Description of terrain and developed conditions within the project
area. Include a description of geology /soil /hydrologic
characteristics.
Description of the type, quantity, and disposal of the anti corrosion
and /or anti scaling agents expected to be used in the system.
Letters of coordination and approval from appropriate federal, state,
and local agencies.
The following agencies should be contacted by the building owner or their
building contractor for activities conducted in:
Idaho: Department of Water Resources and the U.S. Environmental
Protection Agency.
Montana: Department of Natural Resources and the Department of Health
and Environmental Sciences.
Oregon: Department of Environmental Quality and the Department of
Water Resources.
Washington: Department of Ecology and the Washington Department of
Natural Resources, Division of Geology and Earth Resources.
N ote: BPA may waive portions of these requirements in certain instances.
TT contractor believes the project can be adequately reviewed by BPA
without providing all of the details outlined above, the waiver request
procedure outlined in these environmental requirements should be followed.
November 5, 1990
1
Indoor Air Quality Procedures
November 5, 1990
The indoor air quality procedures are organized as follows:
Guidelines for incorporating ASHRAE Standard 62 -89 into building
system design and operation;
ASHRAE 62 -89 Outside Air Requirements;
Radon Monitoring Procedures for Apartments;
List of ECMs affecting indoor air quality;
Flow chart for installation of ECMs affecting indoor air quality..
(ASHRAE: American Society of Heating, Refrigeration and Air Conditioning
Engineers)
10
November 5, 1990
Indoor Air Quality Procedures Guidelines for Incorporating ASHRAE 62 -89
Commercial building ventilation system design and operation must comply with
ASHRAE Standard 62 -89 ventilation requirements (as incorporated by BPA). ECM
installation must ensure that indoor air quality is not adversely affected.
BPA has incorporated ASHRAE Standard 62 -89 into its programs as follows:
A. ASHRAE Standard 62 -89 Outside Air Requirements for Cubic Feet Per
Minute (CFM) per person rates have been adopted (copy attached at the
end of this section).
B. Outside air will be provided at the ASHRAE Standard 62 -89 ventilation
rates for the average peak number of people, or, for a new building,
the average peak number of people expected to be encountered in the
building. When this value is not available or is difficult to
determine, ASHRAE Standard 90.1 occupancy values provides a number
that should be used. ASHRAE Standard 62 -89 estimated maximum
occupancy values should only be used as a sizing criteria for design
of ventilation systems.
For mechanically ventilated spaces, ventilation testing is not required if an
ECM affects ventilation air during unoccupied periods only or results in a
reduction of infiltration air. In addition, if a local code requires
compliance with ASHRAE 62 -89 and applicable permits have been obtained, the
calculation procedure contained herein may be waived.
I. Procedures for Buildings Mechanically Ventilated (Except Auartments):
A. Minimum Outside Air Requirements Calculation Use the following
procedure to calculate the minimum outside air requirements.
1. Determine peak number of occupants.
a. This should be the highest number of people usually
encountered during the average workday. If the peak number
of occupants is difficult to determine, use Standard 90.1
occupancy values.
b. Where requirements are in CFM /sq ft or CFM /room, calculate
the square feet or rooms served by the mechanical
ventilation system, as appropriate.
2. Calculate amount of outside air to be provided for the total
occupancy served by each mechanical ventilation system.
(Multiply peak number of occupants by the required outside air
rate (CFM /person]).
3. Adjust outside air rate to account for different occupancies
served by the same ventilation system using equation IAQ -1.
a. Calculate the uncorrected outdoor air fraction (X) by
dividing the sum of all the branch outdoor air requirements
(V by the sum of all the branch supply flow rates
(Von).
11
Where,
November 5, 1990
b. Calculate the critical spacer outdoor air fraction (Z) by
dividing the critical space outdoor air requirement (Voc)
by the critical space flow rate (Vsc).
c. Use equation IAQ -1 to find the corrected fraction of
outdoor air (Y) to be provided in the system supply.
Equation IAQ -1
Y X [1 X Z]
Y Vot /Vst corrected fraction of outdoor air in system supply
X Von /Vst uncorrected fraction of outdoor air in system supply
Z Voc /Vsc fraction of outdoor air in critical spacer
V corrected total outdoor air flow rate
V the sum of all supply air quantities for all branches of
the system
V sum of outdoor air flow rates for all branches on system
V outdoor air flow rate required in critical spaces
V supply flow rate in critical space
B. Ventilation System Inspection (Not Applicable to New Buildings)
Prior to ECM installation, visually inspect the ventilation system to
determine that outside air is reaching building occupants, that
harmful or irritating contaminant sources are isolated from the main
ventilation system, and that there are no known building ventilation
problems which could be compounded or exacerbated by a ventilation
reduction. If problems exist they must be corrected prior to ECM
installation. A short report documenting the above items shall be
prepared by the energy analyst or auditor and be included in the
project paperwork.
C. Ventilation Rate Measurement
Determine outside air rate (CFM) using one of the two following
methods. For the measurement, the outside air supply shall be set to
the minimum amount for systems which supply varying amounts (e.g.
variable air volume, economizer control).
Documentation of ventilation rate measurement results shall be
included with the project paperwork.
1 The critical space is that space with the greatest required fraction of
outdoor air in the supply.
12
Z
1. Percent outside air method
a. Measure the outside, return, and mixed air temperatures,
then calculate the percent outside air using equation IAQ -2.
b. Measure total supply air (CFM), either by a pitot tube
traverse of main supply duct or by measuring the supply air
at the diffusers.
c. Calculate outside air outside air) x (CFM).
Equation IA0-2
%0A- (T T (T T
Where,
T mixed air temperature
T return air temperature
T outdoor air temperature
13
d. Determine total outside air for all mechanical ventilation
systems serving the building.
e. Determine peak number of occupants:
i. This should be the highest number of people usually
encountered during the average workday. If the peak
number of occupants is difficult to determine, use
Standard 90.1 occupancy values.
ii. Where requirements are in CFM /sq. ft. or CFM /room,
determine the square feet or number of rooms served by
the mechanical ventilation system.
f. Calculate mechanical ventilation rate outside air
(CFM) /peak number of occupants, or CFM /sq. ft., or CFM /room
as appropriate.
Adjust the ventilation rate in accordance with Equation
IAQ-1.
g.
November 5, 1990
2. Carbon Dioxide Method
Alternatively, where a mechanical ventilation system serves a
space(s) where the activities are well known and constant from
day -to -day, a simplified procedure can be used. This method will
show whether indoor carbon dioxide concentrations are below ASHRAE
Standard 62 -89 recommended levels of 1000 ppm. If the indoor carbon
dioxide concentrations are above 1000 ppm, then the building or space
does not comply with these requirements.
November 5, 1990
a. For each mechanical ventilation system, measure carbon
dioxide concentration in return air and in outside air.
b. Determine if required CFM /person ventilation rate (OA) is
being met by solving equation IAQ -3 for indoor carbon
dioxide concentration:
Equation IAQ -3
OA m Gen. Rate /(Ci C
Where,
Gen. Rate occupant generation rate (CFM /person) of carbon
dioxide (refer to Standard 62 -89).
Ci return air (indoor air) carbon dioxide concentration
C outdoor air carbon dioxide concentration
II Procedures for Naturally Ventilated Buildings and All Apartments
With natural ventilation systems, the ventilation rates must be in
compliance with local building codes. Infiltration of outside air into
commercial buildings is considered to be natural ventilation. The
following procedures must be followed.
A. The energy analyst or auditor must explain how the building is in
compliance with local ventilation codes. At a minimum, the building
should meet the Uniform Building Code (UBC) ventilation
requirements. For example, the UBC requires exterior openings to
equal 1/20 of the floor area for most building types.
B. The following procedures apply to all apartments:
1. Radon monitoring is required prior to installation of any ECMs
affecting indoor air quality. If more than 5% of the total
number of monitors installed in a building have radon levels of
5 picocuries per liter (pCi /1) or greater, the building would
not qualify for ECMs affecting natural ventilation. Further
consultation with BPA would be necessary at this point. (See
radon monitoring procedures.)
2. IAQ stickers will be placed in all apartments receiving ECMs
affecting ventilation (e.g., on the back of medicine or kitchen
cabinet doors at or near eye level). In addition indoor air
quality information will be provided to occupants of those
apartments.
14
3. Radon monitors, stickers, and IAQ
BPA's Area and District Offices.
Bonneville Power Administration
Upper Columbia Area
U.S. Court House, Rm. 561
920 W. Riverside Avenue
Spokane, WA 99201
Telephone: 509 353 -4597
Bonneville Power Administration
Lower Columbia Area
1500 N.E. Irving St.
P.O. Box 3621
Portland, OR 97208
Telephone: 503 230 -3079
November 5, 1990
booklets can be obtained through
Bonneville Power Administration
Puget Sound Area
201 Queen Anne Ave N., Suite 400
Seattle, WA 98109 -1030
Telephone: 206 442 7768
Bonneville Power Administration
Snake River Area
101 W. Poplar
Walla Walla, WA 99362
Telephone: 509 522 -6219
4. Although it is not a program requirement, BPA recommends that
commercial businesses located in converted residences be monitored
for radon prior to ECM installation.
15
411 ASHRAE STANDARD 62 -89 OUTSIDE AIR REQUIREMENTS
1
November 5, 1990
OUTSIDE AIR
BUILDING TYPE 1 REQUIREMENTS UNITS
Grocery /Supermarket 15 CFM /PERSON
Hotel
Rooms 30 CFM /ROOM
Lobby 15 CFM /PERSON
Conference Rooms 20 CFM /PERSON
Office 20 CFM /PERSON
Restaurant
Dining Rooms 20 CFM /PERSON
Kitchens 15 CFM /PERSON
Retail
Basement Street 0.30 CFM /FT
Upper 0.20 CFM /FT
Storage 0.15 CFM /FT
School
Classroom 15 CFM /PERSON
Library 15 CFM /PERSON
Auditorium 15 CFM /PERSON
Warehouse 0.05 CFM /FT
1 Note: For building types or occupancy categories not listed refer to ASHRAE
Standard 62 -1989.
16
t
Notes:
manner:
November 5, 1990
RADON MONITORING PROCEDURES FOR APARTMENTS
1. The contractor shall ensure that detectors are deployed in the following
a. To insure the most accurate readings possible, radon monitoring in
apartments should occur only in the months of September through
April.
b. Two monitors shall be placed on every floor of the building.
c. The detector shall be placed in a centralized living space,
such as living room, dining room, kitchen, den, family room or
hallway.
d. The detector shall be hung on the wall, placed on an open shelf,
or suspended from the ceiling 4' to 7' above the floor, away from
windows and doors, and away from possible drafts from heating or
cooling vents.
2. The information card accompanying the radon detector must be completed at
the time of installation (with the exception of the removal date) and kept
with the detector.
3. The radon detector shall remain in place for 1 -3 months. Instructions
accompanying the detector will provide specific guidance.
4. At the conclusion of the monitoring period, the contractor must work with
the building owner to ensure that all detectors are removed and collected,
and that the date of removal is written on each detector information
card. The contractor should then forward all detectors and information
cards to an address provided by BPA.
6. BPA shall provide results of the radon monitoring evaluation to the
contractor within approximately 30 days of submittal of the detectors for
processing.
7. The contractor shall advise the building owner /manager of the radon
monitoring results. If more than 5% of the total number of monitors
installed in a building indicate readings of 5 pCi /1 or greater,
BPA funded infiltration reduction measures cannot be installed. If this
occurs, the building owner should contact BPA to discuss further options
(e.g., a possible retest).
1 Radon detectors and their analysis shall be provided by BPA at BPA's
expense.
2 BPA recommends that detectors be piaced by a qualified energy analyst or
technician.
17
ENERGY CONSERVATION MEASURES AFFECTING
INDOOR AIR QUALITY
This ECM list is categorized by infiltration reduction measures and mechanical
ventilation measures. A description of how a naturally ventilated building
meets UBC or local code is required if any of the following infiltration
reduction measures are installed. Ventilation testing in mechanically
ventilated buildings is required if any of the following mechanical
ventilation measures are installed in such a way as to reduce minimum outside
air intake. Refer to the attached IAQ -ECM flow chart for appropriate
application.
1
INFILTRATION REDUCTION MEASURES:
Caulking
Caulk gaps around exterior doors, windows, and other construction joints.
Dock Shelters /Seals
Install dock seals.
Install dock shelters.
Install strip doors.
Glazing Modifications
Multiple Glazing
Add storm windows over existing window frames.
Replace existing single pane windows and frames with new double or triple
pane windows and frames.
Add new frame with clear vinyl or plastic glazing.
Storm Windows
November 5, 1990
Install storm windows to inside or outside of existing single pane
windows. (Differs from multiple glazing in that storm windows are
removable during warm weather.)
Wall Insulation
Add blown -in insulation to existing stud spaces.
Add foam insulation to stud cavities.
Add foam insulation to exterior wall surfaces.
Add rigid insulation to interior walls.
Add batt insulation to new finished stud wall.
Weatherstripping
Weatherstrip exterior doors and windows.
18
s
MECHANICAL VENTILATION MEASURES:
Air Curtains
Install air curtain blower.
Auto Night Setback (when occupied ventilation rates are adversely affected)
Install programmable night setback thermostat.
Install programmable heat pump night setback thermostat.
Economizer
Install cooling economizer controls and hardware.
Heat Pump Heating
Install a heat pump to replace an existing conventional heating system.
Low Leakage Dampers
Replace existing dampers with low leakage dampers.
Minimum Outside Air Control
Install controls to reduce outside air to minimum acceptable level.
Use Separate Make -Up Air for Exhaust Hoods
Provide separate make -up air unit.
Replace hood with short circuit hood.
Variable Air Volume
Install variable speed drive.
Install multiple speed motor.
Install variable frequency controller.
Install multiple motor drive.
Install variable inlet vanes.
Install discharge or scroll dampers.
Install variable width fan wheel.
19
November 5, 1990
1
20
November 5, 1990
Energy Management Control System (when occupied ventilation rates are
adversely affected)
Install computerized control for building energy system. Options include:
Time scheduled operation of fans, pumps, chillers, boilers,
lights, and other energy consuming equipment;
Duty cycling of fans or pumps (temperature compensated);
Warmup cycle;
HVAC deck temperature reset;
Chilled water temperature reset;
Economizer control; and
Optimized start stop.
1
IAQ -ECMs
affecting
infiltration
Install
ECMs
Prior to IAQ -ECM
installation, conduct
a visual inspection
of the HVAC system
and correct
deficiencies
Action
Action
Buildings with
mechanical
ventilation
Action
IAQ -ECMs affecting
ventilation air
during unoccupied
periods only
Action
Install ECMs
Action
IAQ -ECMs
*This diagram does not apply to apartments.
21
IAQ -ECMs decreasing
ventilation air during
occupied periods
Action
Conduct ventilation
tests and verify system
provides required
ventilation air
Action
Install ECMs so ventilation
air meets local code or
ASHRAE 62 -89, whichever
is greater
Action
November 5, 1990
Buildings
naturally
ventilated
Action
Prior to installation
verify building meets
applicable ventilation
codes
Install
ECMs
Action
Action
Verify above Actions
have been performed
Historic Preservation
Historic Preservation guidelines are included in these environmental
requirements as follows:
Historic Preservation Implementation Guidelines
ECMs Exempt from Historic Preservation Review
Sample Letter to the State Historic Preservation Officer
Sample Historic Preservation Recordkeeping Form
Flow Diagram Historic Preservation Implementation
November 5, 1990
Historic Preservation Implementation Guidelines
November 5, 1990
Under the Programmatic Memorandum of Agreement dated August 23, 1983, between
Bonneville Power Administration (BPA) and the Advisory Council on Historic
Preservation, all projects proposed for funding by BPA under its energy
conservation programs must comply with the National Historic Preservation Act
and its implementing regulations, "Protection of Historic and Cultural
Properties."
I. All projects proposed for funding by BPA will be reviewed by the
contractor in the following manner prior to installation of any energy
conservation measures (ECMs).
A. All conservation measures shall be available to all properties less
than 45 years old (as of the date of the project proposal submittal)
without need for consultation with the State Historic Preservation
Officer (SHPO).
B. All conservation measures included on the attached Exempt List shall
be available to properties 45 years or older without need for
consultation with the SHPO.
C. If the owner of a property 45 years or older proposes ECMs other than
those on the Exempt List, the contractor must determine in
consultation with the SHPO whether that property is included in or
meets the criteria for inclusion in the National Register of Historic
Places. Consultation shall be initiated by the contractor, via
letter, with the appropriate SHPO. Contractors are encouraged to use
the sample letter attached to these guidelines. Some communities
also have local historic preservation districts. The SHPO in each
state has a list of those districts. When corresponding with the
SHPO regarding eligibility of a measure, BPA and the local historic
preservation district should also receive a copy of that
correspondence.
If there is a disagreement regarding whether a property meets the
Register criteria, the property shall be treated as though it were
eligible for the Register and the procedures in Section I.E. below
shall be followed. If the SHPO has determined that the property is
eligible for the Register, the SHPO shall state in writing, within 10
workdays, the reasons for that determination and supply copies to the
contractor, property owner, and BPA.
D. If a property 45 years or older is not included in or does not meet
the criteria for inclusion in the Register, as determined according
to Section I.C. above, and if the contractor provides evidence of
that determination to BPA, all project conservation measures proposed
shall be available to that property without further review by the
SHPO.
23
Historic Preservation Guidelines
J
III. SHPO Addresses:
Thomas Green, State Archaeologist
Idaho State Historical Society
610 N. Julia Davis Drive
Boise, ID 83702
Telephone (208) 334 -3847
24
November 5, 1990
E. If a property is included in or meets the criteria for inclusion in
the Register, as determined according to Section I.C. above, the
choice of ECMs (with the exception of those on the Exempt List) and
the manner of installation shall be developed in consultation with
the SHPO. The contractor shall provide BPA evidence of this
consultation.
F. If the SHPO objects to the proposed conservation measures, the SHPO
shall provide written comments to the contractor and BPA within
10 workdays of the consultation. If the SHPO does not respond
within 10 workdays, the project may be implemented as proposed and
documentation will be kept indicating the SHPO was afforded the
required time for comment.
G. If the SHPO believes that the proposed measures will adversely
affect the characteristics that qualify the property for inclusion
in the Register, then the SHPO and the contractor will continue
their consultation in an effort to find a solution to avoid or
mitigate any adverse effect.
H. Should no solution be reached within 20 workdays, the contractor
should refer the project (with all pertinent documentation) to
BPA. BPA will then notify the Advisory Council on Historic
Preservation and request a recommendation for resolution.
I. Within 20 workdays, the Council will provide a recommendation to
BPA regarding appropriate means to avoid, minimize, or mitigate the
adverse effects.
Project inspections for project certification by contractors will
insure that the measures performed were consistent with the
measures proposed and provide that information to the SHPO and
BPA. The attached flow diagram summarizes this procedure.
II. BPA will monitor the records of contractors to ensure that its conservation
programs are implemented in accordance with these guidelines. The
contractor shall keep records of all ECMs for buildings 45 years or older.
This should include all correspondence and required information and
reports. A sample recordkeeping form is attached. Records must be kept on
file for three years.
Dr. David Powers
State Parks Administrator
Parks and Recreation Division
525 Trade Street Southeast
Salem, OR 97310
Telephone (503) 378 -5001
Historic Preservation Guidelines
SHPO Addresses (Continued)
Marcella Sherfy
Montana Historical Society
225 North Roberts Street
Helena, MT 59601
Telephone (406) 587 -2694
November 5, 1990
Dr. Robert Whitlam
Archaeology and Historic
Preservation Office
111 West 21st Street, KL -111
Olympia. WA 98504 -5411
Telephone (206) 753 -4405
ENERGY CONSERVATION MEASURES EXEMPT FROM HISTORIC PRESERVATION REVIEW
The following measures can be undertaken in all buildings eligible for BPA
conservation programs, regardless of their status as historic properties.
Undertaking these measures should not detract from the historic and
architectural significance of a building.
All measures must comply with conservation program rules governing their use.
For example, measures identified with an asterisk listed below may reduce
air infiltration. Such measures can only be installed in buildings which meet
the criteria specified in the Commercial Environmental Requirements.
Exempt Measures:
November 5, 1990
1. Insulation in attics, perimeter crawlspace, under the floor, around pipes
and ducts, and in exterior wall cavities, in such cases where the
installation can be accomplished without permanent visual change to
interior and /or exterior finish materials.
2. Storm windows and doors, or insulated glazing, which match the size and
color of the historic window or door, and do not detract from the visual
qualities of the building.
3. Repair, replacement, modification or addition of mechanical, electrical,
or plumbing systems, if this action does not require removal of
historically or architecturally significant building systems, construction
materials, or significant original fixtures.
BPA encourages contractors to retain significant original fixtures when
removal would alter the visual appearance or historical integrity of
buildings 45 or more years old.
4. Clock thermostats, provided they are mounted in an inconspicuous spot
where visual intrusions will be minimized.
5. Caulking and weatherstripping, provided that the color of the caulking is
consistent with the appearance of the building.
6. Flow restrictors in showers and hot water faucets.
7. Water heater tank wraps.
8. Insulating window shades or shutters, if the installation does not detract
from the visual qualities of the building.
9. Exterior and interior shading devices, including awnings, etc,, provided
they are installed without damaging the building and are in keeping with
the architecturally and visually significant qualities of the building.
10. Interior modifications when the significance of the building does not
include the interior or when the alterations do not detract from the
significance of the building. For example, if the exterior of a building
is considered architecturally significant, then lowering the ceilings in
the building to the point where they are visible from the outside would
not be exempt.
26
S
SHPO
Dear
SAMPLE LETTER TO STATE HISTORIC PRESERVATION OFFICER
November 5, 1990
We are proposing to install building energy conservation measures (ECMs) under
Bonneville Power Administration's (BPA's) Program. We
are initiating consultation procedures outlined in BPA's Historic Preservation
Guidelines and the Programmatic Memorandum of Agreement between BPA, the
Advisory Council on Historic Preservation, and you.
The building under consideration is located at It was constructed
in (Further describe the structure type, size, function, and
appearance and add a picture of the building.)
Proposed ECMs include (Further describe the ECMs and how
they will be installed, including how they may impact the building's
structural and /or visual integrity.)
Please advise me within the next 10 workdays if this building is included in
or meets the criteria for inclusion in the National Register of Historic
Places. Also, within 10 working days, please advise me if installation of the
proposed ECMs must be in accordance with the Secretary of Interior's
"Standards for Rehabilitation and Guidelines for Rehabilitating Historic
Buildings." My telephone number is
Thank you.
Sincerely,
AUTHOR (Contractor)
cc:
BPA Area /District Office
Environmental Coordinator, Office of Energy Resources (address listed below)
Address for Environmental Coordinator:
Bonneville Power Administrator
Office of Energy Resources RM
P.O. Box 3621
Portland, Oregon 97208 -3621
27
t
Building Address
EXAMPLE:
1100 Main
Anywhere, USA
Copies attached
HISTORIC PRESERVATION ECM IMPLEMENTATION RECORD
BUILDINGS 45 YEARS OR OLDER
November 5, 1990
All Installed Installed ECMs Date Date
Bldg ECMs Exempt Not Exempt LTR SHPO
Age Jplace "X" I_ (list each).____ SHPO* Approved
Air -to -Air
60 X Heat Exchanger 11/08/90 11/24/90
28
119
N
GO
Conduct
Energy
Analysis
HISTORIC PRESERVATION IMPLEMENTATION
Document
Age
YES
NO
Document
Age
All ested
E CM's
Exempt?
Implement
Project
YES
Implement
Project
NO
Consult
With
SHPO
Advise BPA
Consult
with SHPO
YES
Eligible
or Listed
n Register
NO
Implement
Project
YES
No Response
Within 10
Working Days
Written Approval
Received Within
10 Working Days
NO
No
Installation
of ECY's
Receipt of Stnlve
SHPO For
Objection Resolution
1
Implement
Project
Implement
Project
YES
Council
Responds
Within
20 Days
If No
Resolution
BPA Notifies
Advisory Council
YES
Implement
Project
Waiver Request Procedure
1
November 5, 1990
Attachment I
If a contractor wishes to recommend installation of an ECM in a manner outside
the scope of these environmental requirements, a procedure has been developed
to allow the request of a waiver. A waiver will be considered only when the
contractor can clearly show that either the environmental concerns listed in
the environmental requirements do not apply to a specific project or that the
environmental concerns can be mitigated in other ways. The waiver procedure
is as follows:
The contractor must request a waiver through their BPA representative
(e.g., the BPA Area /District office). The contractor must provide
information which describes the project and the proposed ECM
installation. It must include a justification addressing why the
restrictions within the environmental requirements should not apply to
a particular project and state how the known environmental concerns
will be mitigated.
BPA Area /District staff will submit that information in a memorandum
addressed to the BPA Environmental Coordinator in the Office of Energy
Resources for review and approval. The Program Technical Lead and the
Program Manager should be included on the distribution list for this
memorandum.
The Environmental Coordinator will review the waiver request within 10
working days. If the request is approved, the Environmental
Coordinator will sign and return the request to the Area /District
Office. Installation of the measures as described in the waiver
request can then proceed. If the request is not approved, the
Environmental Coordinator will submit a memorandum to the Area /District
office outlining the reason(s) for denying the request. The
Area /District Office will notify the contractor of the Environmental
Coordinator's decision.
Copies of the waiver should be maintained in the program files for a
three -year period.
30
1
Environmental Review Checklist
An environmental review checklist should be completed by the contractor at the
conclusion of each project. The purpose of the checklist is to assure that
measures were installed in accordance with BPA's environmental requirements or
to identify any areas where problems may have been encountered in interpreting
or implementing these requirements.
The completed checklist should be submitted to BPA with the project
paperwork. If the checklist indicates any questions were encountered in
implementing these requirements, the checklist and an explanation should be
forwarded to the Environmental Coordinator. If no difficulties were
encountered, this checklist should be kept in the project files.
I. Identification:
1. Project Number:
2. Name of Contractor:
3. Name and Address of Building:
II. Findings
Yes No N/A
1 1 I_
Yes No N/A
1 1 i I
Yes No N/A
1 1
Yes No N/A
1 1
Lighting
Were HPS Lamps installed indoors?
If so, were mitigation strategies outlined in the
environmental requirements followed?
Were LPS lamps installed in outdoor applications
only?
PCB Disposal
Were any PCB -laden ballasts removed and disposed
of? If so, where and what method of disposal was
used?
31
November 5, 1990
Attachment II
t
Asbestos
Yes No N/A
J 1 1 1 Did the contractor remove and dispose of any asbestos
prior to installation of energy conservation measures?
Swimming Pools
Yes No N/A
J 1 I t Was a swimming pool involved in this project?
Yes No N/A
J 1 1 If so, did the installer comply with the environmental
requirements for ventilation?
Yes No N/A
1 1 I.
Solar Domestic (Potable) Water Heating Systems
Ground and Water Source Heat Pumps
Subsurface Resources
32
November 5, 1990
Was a solar domestic potable water heating system
installed?
Yes No N/A
J 1 I I Were appropriate approvals or permits obtained prior to
installation?
Codes and Building Permits
Yes No N/A
J 1 1 t Was language included in the contract with the building
owner(s) notifying them of their responsibility to
follow all codes and to obtain all appropriate building
permits and approvals?
Yes No N/A
J 1 1 1 Was a ground or water source heat pump installed?
Yes No N/A
J 1 1 1 If so, was approval received from a state or local code
official approving the transfer fluid? (Attach a copy
of the documentation.)
Yes No N/A
I 1 1 t Were ECMs installed that required the development or use
of subsurface resources?
Yes No N/A
1 t If so, were the procedures for subsurface resources
followed prior to installation?
Yes No N/A
I 1
Yes No N/A
I I
Yes No N/A
1 1
Yes No N/A
i I 1 1
t
Yes No N/A
I 1
Explanations /Comments:
Indoor Air Quality (IAQ)
November 5, 1990
Were any ECMs installed which affected indoor air
quality?
If so, were the procedures outlined in these
environmental requirements followed?
Historic Preservation
If the property is 45 years old or older, were any
measures installed other than those on the "Exempt List
If so, was the State Historic Preservation Officer
(SHPO) contacted prior to installing measures? (Attach
a copy of the documentation with the SHPO.)
Waivers
Was a request for a waiver from any of the specified
environmental requirements processed and approved prior
to installing ECMs? If so, please provide a copy.
Signature Date
33
Contractor
Albion
Alder Mutual
Ashland
Bandon
Benton Co. PUD #1
Benton REA
Big Bend Elec. Coop
Blachly -Lane Elec. Coop
Blaine
Bonners Ferry
Burley
Canby
Cascade Locks
Central Elec. Coop
Central Lincoln PUD
Centralia (City)
Chelan Co. PUD #1
Cheney
Clallam Co. PUD #1
Clark County PUD #1
Clatskanie PUD
Clearwater Power Co.
Columbia Basin Coop
Columbia Power Coop
Columbia REA
Columbia River PUD
Consolidated ID No. 19
Consumers Power, Inc.
Coos -Curry Elec. Coop
Coulee Dam
Cowlitz Co. PUD #1
Declo
Douglas Co. PUD #1
Douglas Elec. Coop
Drain
East End Mutual
Eatonville
Ellensburg
Elmhurst Mutual
Emerald Co. PUD
Eugene
Exhibit 9
COST SHARE PERCENTAGES
Budget Year 1991
Cost Share
Percentaae Contractor
100 Fall River Elec. Coop
100 Farmers Elec. Co.
100 Ferry Co. PUD #1
100 Fircrest
100 Flathead Elec. Coop
100 Forest Grove
100 Franklin Co. PUD #1
100 Glacier Elec. Coop
100 Grant Co. PUD #2
85 Grays Harbor Co. PUD #1
100 Harney Elec. Coop
100 Heyburn
100 Hood River Elec. Coop.
100 Idaho Co. L &P Coop
100 Idaho Falls
90 Idaho Power Co.
75 Inland P &L Co.
100 Kittitas Co. PUD #1
100 Klickitat Co. PUD #1
100 Kootenai Elec. Coop, Inc.
100 Lakeview L &P Co.
100 Lane Co. Elec. Coop
100 Lewis Co. PUD #1
100 Lincoln Elec. Coop Mont.
100 Lincoln Elec. Coop. Wash.
100 Lost River Elec. Coop
100 Lower Valley P &L Co.
100 Mason Co. PUD #1
100 Mason Co. PUD #3
95 McCleary
95 McMinnville
100 Midstate Elec. Coop
0 Milton (City)
100 Milton Freewater
100 Minidoka
100 Mission Valley
100 Missoula Elec. Coop
100 Monmouth
100 Montana Power Co.
100 Nespelem Valley Elec.
90 Northern Lights, Inc.
Cost Share
Percentaag
100
100
100
100
100
90
100
100
75
100
100
100
100
100
100
0
100
90
100
100
100
100
100
100
100
100
100
100
100
100
95
100
100
90
100
90
100
100
0
100
100
Budget Year 1991
Cost Share
Contractor Percentaae Contractor
Northern Wasco PUD 100
Ohop Mutual 100
Okanogan Co. Elec. Coop 100
Okanogan Co. PUD #1 75
Orcas P &L Co. 100
Oregon Trail Elec. Con. Coop 95
100
0
100
75
100
100
0
100
75
100
100
100
100
100
100
100
100
75
100
95
100
100
100
Pacific Co. PUD #2
Pacific P &L
Parkland P &L
Pend Oreille Co. PUD #1
Peninsula P &L Inc.
Port Angeles
Portland General Electric
Prairie Power Coop
Puget Sound P &L
Raft River Elec. Coop
Ravalli Elec. Coop
Richland
Riverside Elec. Co.
Rupert
Rural Elec. Co.
Salem Elec.
Salmon River Elec. Coop
Seattle
Skamania Co. PUD #1
Snohomish Co. PUD #1
Soda Springs
South Side Elec. Lines
Springfield
VS5- RMCC -3879c
Cost Share
Percentaag
Steilacoom 100
Sumas 100
Surprise Valley Elec. Coop 100
Tacoma 85
Tanner Elec. 100
Tillamook PUD 100
Troy 100
U.S. Air Force (Fairchild
AFB) 100
U.S. BIA (Wapato) 100
U.S. Bureau of Mines 100
U.S. Bureau of Reclamation
(Roza) 0
U.S. DOE (Richland) 100
U.S. Navy 100
U.S. Navy (Bangor) 100
U.S. Navy (Jim Creek) 100
Umatilla Elec. CO. 100
Unity L &P Co. 100
Utah P &L 0
Vera Irrigation Dist. 100
Vigilante Elec. Coop 100
Wahkiakum Co. PUD #1 100
Wasco ELec. Coop 100
Washington Public Power SS 0
Washington Water Power 0
Wells Rural Elec. Co. 100
West Oregon Elec. Coop 100
Whatcom Co. PUD #1 100
TERMS AND CONDITIONS
GENERAL CLAUSES
15.0201 -1 DEFINITIONS (10 -89)
15.0201 -2 PROJECT OVERSIGHT
15.0201 -3 DISPUTES
15.0201 -4 CONVICT LABOR
15.0201 -5 OFFICIALS NOT TO BENEFIT
15.0201 -6 COVENANT AGAINST CONTINGENT FEES
15.0201 -7 PERMITS AND LICENSES (6 -89)
15.0201 -8 NONDISCRIMINATION IN FEDERALLY- ASSISTED PROGRAMS
15.0201 -9 ENVIRONMENTAL PROTECTION
15.0201 -10 LIMITATION OF LIABILITY
15.0201 -11 ACKNOWLEDGMENT OF SUPPORT (12 -85)
15.0201 -13 TRAVEL
15.0201 -14 CONTRACTING OFFICER'S REPRESENTATIVE (COR)
15.0201 -15 PROJECT TECHNICAL REPRESENTATIVE (PTR)
15.0201 -16 REGULATIONS APPLICABLE TO FINANCIAL ASSISTANCE
15.0201 -17 RECIPIENT ADHERENCE TO TERMS AND CONDITIONS (12 -85)
15.0201-18 STATEMENT OF AMOUNT FEDERAL FINANCIAL ASSISTANCE (03 -90)
i
TERMS AND CONDITIONS
SPECIFIC CLAUSES
15.0202 -1 BASIS OF PAYMENT
15.0202 -2 FAIR LABOR STANDARDS ACT
15.0202 -3 GOVERNMENT FURNISHED EQUIPMENT OR MATERIALS (6 -89)
15.0202 -4 MATERIAL HANDLING COSTS
15.0202 -7 ADVANCE PAYMENT AND FINANCIAL REPORTING REQUIREMENTS (7 -88)
15.0202 -8 REIMBURSEMENT PAYMENT AND FINANCIAL REPORTING REQUIREMENTS (7 -89)
15.0202 -9 AUDIT AND RECORDS, A -110 RECIPIENTS (6 -90)
15.0202 -10 AUDIT AND RECORDS FOR 1 -102 RECIPIENTS (6 -89)
15.0202 -11 SUSPENSION OR TERMINATION, A -102 RECIPIENTS (6 -89)
15.0202 -12 SUSPENSION OR TERMINATION, A -110 RECIPIENTS (6 -89)
15.0202 -13 SITE VISITS, A -110 RECIPIENTS (6 -89)
15.0202 -14 SITE VISITS, A -102 RECIPIENTS (6 -89)
15.0202 -15 FIELD INSPECTOR (10 -89)
15.0202 -16 REPORTING PROGRAM TECHNICAL PERFORMANCE, A -110 RECIPIENTS (6 -89)
15.0202 -17 REPORTING PROGRAM TECHNICAL PERFORMANCE, A -102 RECIPIENTS (6 -89)
15.0202 -18 AVAILABILITY OF FUNDS
15.0202 -22 CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS
ORGANIZATIONS (3 -89)
15.0202 -24 EXPIRATION OF FUNDS (6 -89)
15.0202 -27 ORDER OF PRECEDENCE (6 -89)
2
15.0202 -29 REQUIREMENT FOR AUDIT REPORTS, A -102 Recipients (3 -90)
15.0202 -30 REQUIREMENT FOR AUDIT REPORTS (A -110 Recipients) (3 -90)
15.0202 -31 TITLE TO PROPERTY
15.0202 -32 TRANSFER OF FUNDS BETWEEN BUDGET LINE ITEMS
15.0202 -33 SUBSTANTIAL INVOLVEMENT BETWEEN BONNEVILLE AND THE RECIPIENT
Z
15.0201 -1 DEFINITIONS (10 -89)
TERMS AND CONDITIONS
GENERAL CLAUSES
As used throughout this award, the following terms shall have the meaning set
forth below:
(a) The term "award" means this instrument, which can be either a grant
or cooperative agreement.
(b) The term "head of the agency" or "Secretary" as used herein means the
Secretary, the Under Secretary, any Assistant Secretary, or any other head
of the executive or military department or other Federal agency; and the
term "his duly authorized representative" means any person or persons or
board (other than the Contracting Officer) authorized to act for the head
of the agency or the Secretary.
(c) The term "Contracting Officer" means the person executing this award
on behalf of the Government, and any other officer or civilian employee
who is properly designated Contracting Officer; and the term includes,
except as otherwise provided in this award, the authorized representative
of a Contracting Officer acting within the limits of his authority.
(d) The term "Contracting Officer's Representative" means the individual
designated by the CO to perform administrative work connected with the
award. This title may be abbreviated COR. The COR is designated by the
CO for the day -by -day administration of the award and for the purpose of
securing compliance with drawings, specifications, conditions, and
provisions of the award. The COR is responsible for complete
documentation relating to the award throughout the duration of the
project. This includes needed correspondence, forms, records, reports,
field data, photographs and maintenance of the official award file and
related required documentation. This person is normally a contract
specialist working directly for the CO.
(e) The term "Field Inspector" means the authorized representative of the
Project Technical Representative who performs inspection and review
functions for the PTR on specific awards.
(f) The term "Project Technical Representative" (PTR) means the
individual designated by the CO to perform technical award administration
activities on behalf of the CO within limits specified by the CO. This
position is the primary point of contact within BPA for award recipients
on all matters relating to the awards. Communication between BPA staff
and award recipients will be directed through this person. Normally,
PTR's do not have authority to commit the Government to any changes in the
terms of the awards. Generally the PTR's are responsible for monitoring
the contractor's performance in both financial and technical aspects
during the performance period, reviewing and certifying invoices, and
making site visits to the contractor's facility as necessary. The PTR
will keep a written record of the technical administration activities and
forward a copy to the CO at a rate of frequency as determined by the CO
depending upon the complexity of the subject matter and level of award
activity. The PTR shall advise the CO immediately when the recipient's
lack of compliance endangers successful award completion or when other
corrective action is necessary to protect BPA's best interests.
(g) Except as otherwise provided in this award, the term "subcontracts"
includes purchase orders under this award.
(h) The term "DOE" means the U.S. Department of Energy.
(i) The term "BPA" means the Bonneville Power Administration.
(j) The term "Recipient" means the individual or organization receiving
this award from BPA.
(End of Clause)
(AE)
15.0201 -2 PROJECT OVERSIGHT
The recipient is obligated to conduct such project oversight, as may be
appropriate, to manage the funds with prudence, and to comply with the
provisions outlined herein. The Project Director named on the face page is
responsible for the management and technical direction of the project and for
preparation of required reports.
(End of Clause)
(AE)
15.0201 -3 DISPUTES
(1) Except as otherwise provided in this award, any dispute
concerning a question of fact arising under this award which is not
disposed of by a modification to this award shall be decided by the
Contracting Officer, who shall reduce that decision to writing and
mail, or otherwise furnish a copy thereof to the Recipient. The
decision of the Contracting Officer shall be final and conclusive
unless within 60 days from date of receipt of such copy, the
recipient mails, or delivers a written notice of appeal to the
Department of Energy Financial Assistance Appeals Board in accordance
with 10 CFR Part 1024 (See Rule 1). The decision of the Department
of Energy Financial Assistance Appeals Board shall be final and
conclusive unless determined by a court of competent jurisdiction to
have been fraudulent, or capricious, or arbitrary, or so grossly
5
erroneous as necessary to imply bad faith, or not supported by
substantial evidence. In connection with any appeal proceeding under
this clause, the recipient shall be afforded an opportunity to be
heard and to offer evidence in support of its appeal. Pending final
decision of a dispute hereunder, the recipient shall proceed
diligently with the performance of the award and in accordance with
the Contracting Officer's decision.
(2) This clause does not preclude consideration of law questions in
connection with decisions provided for in paragraph (1) above;
provided, that nothing in this award shall be construed as making
final the decision of any administrative official, representative, or
board, based on a question of law.
(End of Clause)
(AE)
15.0201 -4 CONVICT LABOR
In connection with the performance of work under this award, the recipient
agrees not to employ any person undergoing sentence of imprisonment except as
provided by Public Law 89 -176, September 10, 1965 (18 U.S.C. 4082(c) (2)) and
Executive Order 11755, December 29, 1973.
(End of Clause)
(AE)
15.0201 -5 OFFICIALS NOT TO BENEFIT
No member of or delegate to Congress, or resident Commissioner, shall be
admitted to any share or part of this award, or to any benefit that may arise
therefrom; but this provision shall not be construed to extend to this award
if made with a corporation for its general benefit.
(End of Clause)
(AE)
15.0201 -6 COVENANT AGAINST CONTINGENT FEES
The recipient warrants that no person or selling agency has been employed or
retained to solicit or secure this award upon an agreement or understanding
for a commission, percentage, brokerage, or contingent fee, excepting bona
fide employees or bona fide established commercial or selling agencies
maintained by the recipient for the purpose of securing business. For breach
or violation of this warranty the Government shall have the right to annul
this award without liability or in its discretion to deduct from the award
amount or consideration, or otherwise recover, the full amount of such
commission, percentage, brokerage, or contingent fee.
(End of Clause)
(AE)
Bell* 4620 01 NOTICE OF FINANCIAL ASSISTANCE AWARD
(08 -89)
(Previously BPA 1813) (See instructions on reverse.)
Under the authority of Public Law 96 -501 Pacific NW. Electric Power Planning and Conservation
and subject to legislation, regulations and policies applicable to (cite legislative program title)
41 U.S.C. 501 et seq. Federal Grants and Cooperative Agreement Act of 1977
1. PROJECT TITLE
Energy Smart Design Assistance Program
Option 2 Utility Agreement
3. RECIPIENT (Name, address, zip code, area code and telephone no.)
Port Angeles City Light
P.O. Box 1150
Port Angeles, WA 98362
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.)
Shiela A. Hardy
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Shiela A. Hardy
(206) 457 -0411
13. BPA PTR (Name address zip code, telephony no.)
Dulce Setterfie T (206) 442 -1366
BPA Puget Sound Area, 201 Queen Anne Ave
Suite 400, Seattle, WA 98109
14 RECIPIENT TYPE
STATE GOV'T INSTITUTION OF HIGHER EDUCATION
X LOCAL GOV'T HOSPITAL
INDIAN TRIBAL GOV'T OTHER NONPROFIT ORGANIZATION
15. ACCOUNTING AND APPROPRIATIONS DATA
a ORGANIZATION b OBJ NUMBER c ACTIVITY
RMCC 27 GNL
17. BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION
(1) BPA Funds Obligated This Action
(2) BPA Funds Authorized for Carry Over
(3) BPA Funds Previously Obligated in this Budget Period
(4) BPA Share of Total Approved Budget
(5) Recipient Share of Total Approved Budget
(6) Total Approved Budget
18. TOTAL ESTIMATED COST OF PROJECT
21. EVJSEN6E,OF RECIPI
(Signatyl6 of Authonzed Recrp
(Name)
(VS2-SRPA-7607m)
U.S. DEPARTMENT OF ENERGY BONNEVILLE POWER ADMINISTRATION
4h6/q0
(Date)
No rt i
2. INSTRUMENT TYPE
GRANT X COOPERATIVE AGREEMENT
4. INSTRUMENT NO. 1 5. AMENDMENT NO.
DE- FC79- 88BP93021 A002
6. BUDGET PERIOD (From Thru) 7. PROJECT PERIOD (From Thru)
07/01/89 06/30/90 09/26/88 06/30/91
1 9. PURCHASE REQUISITION NO.
79- 908P07760 and 79 -90BP 08192
1 10. TYPE OF AWARD NEW CONTINUATION
RENEWAL X REVISION SUPPLEMENT
12. ADMINISTERED BY (Name, address, zip code, telephone no.)
Bonneville Power Administration
Attn: Carol Edwards SRPA
F.O. Box 3621 FTS 429- 7414
Portland, OR 97208 (503)230- 7414
58,037
9,463
24,000
91,500
-0-
91,500
N/A
FOR PROFIT ORGANIZATION C P SP
INDIVIDUAL
OTHER (Specify)
d PL -6 NUMBER
T22201
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount).
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following
a Revised Budget
b
c
d
e
20. REMARKS
This modification is issued to: (1) incorporate the actual carryover amount, and
(2) authorize additional funds for the current budget period.
22. AWARDED BY
(SPgn
S dra A. Kaoeler
(Name) i
Contracting Officer
Act
16. EMPLOYER I.D. NO. /SSN
91- 6001266
b. CUMULATIVE BPA OBLIGATIONS
(1) This Budget Period
(Total of lines a (1) and a (3)]
(2) Prior Budget Periods
(3) Project Period to Date
[Total of lines b (1) and b (2)]
5.225
82,037
26,500
108,537
4-6 --''v
(Date)
NEW BUDGET CALCULATION:
ADMINISTRATION BUDGET:
oaa4
A. Option aaai 1: 20,000 X
MODELING BUDGET:
oAA
aaai 2: 10,000 X
ENERGY SMART DESIGN
BUDGET WORKSHEET
4/4/89
Utility Name: Part Angeles City Light
Contract Number: DE FC79 88BP v
Contact Person: Sheila Hardy. Cnnsprvatinn ManAnPr
CARRY OVER CALCULATION:
Total Approved Budget: 26,500 (1)
(from Award line 17.a.4)
Estimated Actual Expenditures: 17,037 (2)
(from Award through 6/30/89)
Net Carryover (line 1. line 2):
cost share
New Budget Period is from July 1, 1989 through June 30, 1990.
100 10,000
cost share
B. Number of Buildings: _z2 (6)
Cost Share: 100 %(7)
Sub -Total (line 6 X $1000 X line 7) 22,000
Number of Prescriptive Buildings:
10 X $1000 10,000 (10)
Number of Bin Buildings:
2 x $2500 9,500 (11)
2 X 2250
Number of Hourly Buildings:
8 X $5000 40.000 (12)
TOTAL MODELING COSTS: (line 10 line 11 line 12)
9,463
8)
TOTAL ADMINISTRATIVE COSTS (line 4 or 5 line 8): 32,000
(not to exceed 70,000 for Option 1 or 25,000 for Option 2)
Revised 3/29/90
59,500
(3)
(9)
(13)
TOTAL NEW BUDGET PROPOSAL (line 9 line 13) 91,500 (14)
January 31, 1990
Ms. Sheila Hardy
City of Port Angeles
P.O. Box 1150
Port Angeles, Washington 98362
Project: Energy Management, Technical Review and Training Services
Energy Smart Design A ssistance Program
Subject: Fee Proposal
Dear Ms. Hardy:
We are please to submit a fee proposal for providing engineering services for the above
project.
SCOPE OF WORK
It is our understanding that City of Port Angeles Light Department will be providing design
assistance services for a number of new construction projects in the next year. We propose
to provide technical review services of the computer modeling and energy strategies
suggested by Port Angeles City Light for these projects on an "as- needed" basis. It is
anticipated that the review for each project will be broken down as follows:
Hours
Review Interpretation Inputs of Baseline Model 2
Review Tentative Strategies for project 2
Discuss observations and suggestions with Ken Maike 1
Review Final Report 2
Discuss suggestions with Ken Maike 1
Total ii
As has been our relationship in the past, I will be the single point of contact between Port
Angeles Light and Iverson Elder Inc.
FEE PROPOSAL
We propose to provide engineering services as outlined above under Scope of Work on a
time and expense basis not to exceed $600 per project, without prior authorization. These
and any other services that may be required of us, such as hourly modeling, will be billed
to you, at the rates itemized below. Hourly modeling will be billed on the basis of a
"maximum- not -to- exceed" established at the time. These rates will be in effect through
December 31, 1990.
Senior Engineer $65.00 per hour
Clerical $25.00 per hour
5, a a.s
Iverson Elder Inc
Mechanical and Energy Engineers
The Bothell Professional Building
18606 Bothell Way Northeast
Bothell, Washington 98011
Phone (206) 483 -1250
FAX (206) 487 -1825
Ms. Sheila Hardy
City of Port Angeles
January 31, 1990
Page 2
EXPENSES
Photocopying charges will be 0.10 per copy and other outside expenses (telephone, etc.)
will be marked up 10 percent.
PAYMENTS
Fees for services will be billed on a monthly basis..
Upon your concurrence with this proposal, please sign and return one copy to this office
for our records. Please contact me should you have any questions or need additional
information. We appreciate the opportunity of being of service to you and look forward to
working on this project.
Sincerely,
IVERS N ELDER, INC.
Keith E der, P.E.
Vice President
KEE:sjh
90004/01 CO2
APPROVED AND ACCEPTED BY:
City of Port Angeles
%"‘■17
Sigfiature
Director, Port Angeles City Light
Title
3 //70
Date
Date
J
In repl refer to PMCG
Ms. Sheila Hardy, Conservation Manager
Port Angeles City Light
P.O. Box 1150
Port Angeles, WA 98362
Year Ms. Hardy:
In February, 1989, Bonneville Power Administration (Bonneville) issued its
program description for the DesignWise industrial process design assistance
program (hereinafter Program Description). The CITY OF PORT ANGELES, a
municipal corporation of Washington acting through Port Angeles City Light
(Utility), has a power sales contract, Contract No. DE- MS79- 81BP90450, with
Bonneville. The Utility has submitted and Bonneville has accepted an
application for Option 2 program participation. This letter constitutes an
Agreement between Bonneville and Utility for delivery of services under
Option 2 of the DesignWise Program (Program) pursuant to the following
described procedures and reimbursement for a share of the costs.
Bonneville offers this Agreement under the following terms and conditions:
1. Term.
Department of Energy
Bonneville Power Administration
P.O. Box 3621
Portland, Oregon 97208 -3621
Contract No. DE- MS79- 90BP92877
DesignWise
Delivery Mechanism Option 2
(a) This Agreement will be effective at 2400 hours on the date of
execution (Effective Date) and shall continue in effect until
2400 hours on September 30, 1991, unless terminated earlier as
provided herein.
(b) The Utility or Bonneville may terminate this Agreement upon
30 -days' written notice to the other party.
(c) Bonneville may terminate this Agreement pursuant to
Subsection 3(b) below.
(d) All liabilities arising hereunder are'hereby preserved until
satisfied.
2. Exhibits. Exhibit A (Application for Option 2 Participation and
Program Procedures), Exhibit B (Forms), and Exhibit C (General
Conservation Contract Provisions GCCP form CONS- l its
successors) are hereby attached and by,this re ence ar: made a part of
this Agreement. Capitalized terms not defined in the .'e'y of this
Agreement shall have the definitions given in the Program Description.
3. Program Procedures.
(a) The Utility agrees to follow the procedures described in Exhibit A of
this Agreement and to comply with the requirements of the Program
Description.
(b) If, after reasonable notice of noncompliance with this Agreement, the
Utility does not correct its noncompliance, Bonneville may terminate this
Agreement upon 10 -days' written notice to the Utility.
4. Cost Sharing. For services of the Authorized Industrial Consultant
(AIC) provided pursuant to the Program Description and pursuant to
Exhibit A, Bonneville shall bill the Utility and the Utility hereby agrees
to pay as reimbursement to Bonneville, an amount equal to Utility's
percentage cost share (specified in Appendix C to the Program Description
current at the time said AIC completes its service) times the AIC's total
bill. All bills shall be due by close of business on the thirtieth day
after the date of the bill. For any late payment, Bonneville shall assess
interest at the Department of Treasury's current value of funds rate.
5. Contracting Officer's Technical Representative. The Area /District
Office Program Contracting Officer's Technical Representative (COTR) is
the Bonneville contact for this Agreement. The COTR shall be named in a
letter from Bonneville to the Utility which shall be mailed within thirty
(30) days of the execution of this Agreement.
If these provisions are acceptable, please sign both copies of this Agreement
and return one copy to Bonneville. The remaining copy is for your files.
Please also provide an originally signed copy of the resolution or the board
or city council meeting minutes authorizing execution as required.
ACCEPTED:
THE CITY OF PORT ANGELES
By V
Title Director, Port Angeles City Light
Effective Date 3 90
(VS6- PMCG- 4292c)
Sincerely,
4,u2_ J )_c_t
Assistant Administrator
for Energy Resources
2
A. UTILITY PORT ANGELES CITY LIGHT
ADDRESS P.O. Box 1150
CITY Port Angeles
ASSIGNED PERSONNEL WHO WILL SUPPORT PROGRAM ACTIVITIES AND THEIR ROLES
NAME Scott McLain
Sheila Hardy
B. ANTICIPATED ACTIVITY:
PLAN REVIEWS ANTICIPATED 2 SERVICE CALLS ANTICIPATED 1
Please describe how you will promote the Program:
We will promote program through regular contacts with industrial customers.
Program services can be marketed where applicable to small new industrial
customers through same mechanism as our Energy Smart Design Program.
I have reviewed the Program Procedure and reporting forms and understand our
utility's responsibilities. We want to proceed and offer the Program in or
service territory.
SIGNED: SHEILA HARDY
Utility Representative
APPLICATION FOR OPTION 2 PARTICIPATION
Exhibit A, Page 1 of 6
Contract No. DE- MS79- 90BP92877
Application for Option 2
Participation and Program
Procedures
CONTACT SHEILA HARDY
PHONE (206) 457 -0411
STATE Washington ZIP 98362
ROLE Principle Contact with
Industrial Customers
Back -up coordination
12/14/89
Date
DESIGNWISE
DELIVERY MECHANISM OPTION 2
PROGRAM PROCEDURES
Exhibit A, Page 2 of 6
Contract No. DE- MS79- 90BP92877
Application for Option 2
Participation and Program
Procedures
1 Utility Tasks.
Under this Option 2, the Utility shall complete the following procedures.
(a) Application for Participation
(1) The Utility shall submit a completed application for
participation prior to the time the Letter Agreement is signed.
(2) Execute a DesignWise Option 2 Letter Agreement with Bonneville.
(b) Promotion. The Utility may promote the Program services within its
service territory at a level which is commensurate with the
anticipated growth in the industrial sector. A separate regional
marketing /promotion effort will be operated by a Bonneville
contractor to support this Program. Examples of Utility promotion
might include:
(1) Identifying local industrial plant designers, developers, and
other parties interested in the energy efficiency or increased
productivity of new or expanding industrial plant's and
developing a local marketing strategy to be used to reach the
target groups;
(2) Developing and maintaining a mailing list, including telephone
numbers, of those identified in paragraph 1(b)(1) (this list
would be available to Bonneville upon request);
(3) Arranging for and /or conducting briefings with local industrial
plant building designers, Authorized Industrial Consultants, and
developers on the purpose and availability of the services;
(4) Maintaining contact with these groups to assist in Program
promotion and to receive feedback on how well the Program is
functioning; and
(5) Making promotion placards and /or marketing materials easily
accessible on utility premises.
(c) Screen Inquiries.
Exhibit A, Page 3 of 6
Contract No. DE- MS79- 90BP92877
Application for Option 2
Participation and Program
Procedures
(1) The Utility shall screen inquiries concerning the availability
of DesignWise services to determine that:
(A) The industrial plant is to be served by the Utility. If
the industrial plant is outside the Utility's service
territory but within the service territory of a current
firm requirements customer of Bonneville, the Utility shall
refer the inquiry to the proper utility;
(B) The industrial plant design and construction schedule has
sufficient flexibility and is at a stage where design
assistance can result in energy and productivity efficiency
recommendations that can be incorporated into the design;
(C) The owner and /or the industrial plant representative have
an interest in receiving design assistance, and;
(D) The industrial plant meets the eligibility criteria
specified in the Program.
(2) After the initial screening, the Utility shall refer eligible
projects to the COTR identified in the Agreement with a "request
for assistance." A sample "Request for Assistance" form is
shown in Exhibit B Forms.
(d) Coordination. The utility will assist in arranging Plan Review and
Service Calls for its industrial consumers. It will also assist BPA
in determining which service would most benefit the industrial plant
requesting assistance, and which of the program purposes are to guide
the AIC in their analysis.
(e) Verification. Verification of use and implementation of the design
assistance recommendations will be done by the Utility or Bonneville
as mutually agreed in writing.
(1) After the AIC delivers the Service Call or Plan Review report
to the industrial plant representative, the utility, and the
Bonneville Area Program Representative, a follow -up interview
may be done in person or by telephone to verify whether the
design assistance recommendations will be implemented.
(f) Record Keeping.
Exhibit A, Page 4 of 6
Contract No. DE- MS79- 90BP92877
Application for Option 2
Participation and Program
Procedures
The Utility shall maintain the following records as permitted by the
Privacy Act of 1974. Information provided to Bonneville from these
records shall be for evaluation purposes and will be treated as
confidential.
(1) All data necessary to support the report listed in
Subsection 1(g) below, for a minimum of 1 year following
termination of this Agreement and;
(2) A list of those contacts made and /or maintained as part of the
DesignWise Program, including name, address, and telephone
number of each.
(g) DesignWise Program Activitv Report. A quarterly report shall be
prepared and submitted to the COTR identified in the Agreement.
This report must be submitted within 30 days following the end of
each period. The sample reporting form is shown in Exhibit B and can
be copied and used for reporting purposes. This reporting form shall
be completed to include the following information:
(1) Promotional Activities. Describe the progress during the
reporting period toward implementing the promotional activities
listed in the final Utility operating plan, with emphasis on the
number and types of contacts that occurred (i.e., contractors,
architects, engineers, building owners or developers,
associations, etc.). If no activity has occurred, then a simple
statement to that effect will suffice.
(2) Screening.
Provide the number and types of requests for services and a
summary of what occurred with those industrial plants (if
known). Examples of this information include information on the
program, referrals, to who /what agency, and if rejected, why the
project was not referred to other programs. If no activity has
occurred, then a simple statement to that effect will suffice.
(3) Lessons Learned.
If applicable, provide a narrative of the lessons learned during
the reporting period with a focus on the problems encountered
and the solutions implemented.
Exhibit A, Page 5 of 6
Contract No. DE- MS79- 90BP92877
Application for Option 2
Participation and Program
Procedures
(h) Other Program Procedures.
In addition to the tasks listed above, the Utility shall:
(1) Provide personnel and facilities to offer the services listed in
Subsections 1(a) through 1(g) above;
(2) Agree to make Program records kept in accordance with
Subsection 1(f) available to Bonneville or its contractors for
evaluation purposes and provide personnel to assist with
interpreting Utility records (information provided to Bonneville
in compliance with this paragraph shall be treated
confidentially in compliance with the Privacy Act of 1974),
and;
(3) Agree to provide any necessary access by notice to its consumer
in order that Bonneville or its contractors may enter and
inspect the industrial plant, relevant documents, records and
files for evaluation purposes, and to provide meetings with
individual plant representatives, the AIC, design team members,
developers and owners on reasonable notice.
2. Bonneville Furnished Property /Service.
For each Utility that signs an Option 2 Agreement with Bonneville under
this Program, Bonneville will:
(a) Upon receipt of a Request for Assistance,
(1) Evaluate the request to determine whether the industrial
project can benefit from available assistance and determine
which of the two services would most benefit the plant; and
(2) Notify the Utility within 2 weeks of Bonneville's decision of
whether or not the plant project qualifies for assistance under
this Program.
(b) Upon acceptance of the project under this Program, complete the
following steps:
(1) Screen, qualify, and secure services of AIC's for the delivery
of assistance under DesignWise. BPA's Area Offices will prepare
Purchase Orders and /or other necessary paperwork to contract for
the AIC services.
(2) Administer the AIC contracts.
Exhibit A, Page 6 of 6
Contract No. DE- MS79- 90BP92877
Application for Option 2
Participation and Program
Procedures
(3) Coordinate with the utility to arrange Plan Review and Service
Calls to be conducted at the industrial plant site.
(c) Upon completion of the Service Call or Plan Review at the industrial
plant Bonneville shall:
(d) Promote the Program regionally.
(e) Provide Program orientations.
(VS6- PMCG- 4292c)
(1) Review and approve all work submitted, review and certify AIC
invoices, and issue payment to the AIC.
(2) determine the reimbursement amount from the Utility based upon
the cost -share percentages for services provided under this
program.
Sample Request for DesignWise Services Form
Directions: This form may be used to submit requests for assistance to
Bonneville referenced in paragraph 1(c)(2) of the Program Procedures Photocopy
and complete the following information.
Date:
Utility:
Exhibit B, Page 1 of 2
Contract No. DE- MS79- 90BP92877
Forms
We have screened the following industrial plant request to participate in the
DesignWise Program and determined the industrial plant to be eligible for
Service Call /Plan Review (please circle one).
Industrial Plant
Plant Address:
Parent Plant:
Telephone:
Industrial Plant Representative:
Telephone:
New i I Expansion 1 1
Projected construction /expansion start date:
(circle one)
Projected completion date:
Planned expansion: square feet
estimated load
Planned Process
Please identify AIC's that are candidates for this project on the back of this
form.
Please review this information and arrange for consultation. More detailed
questions can be answered by the owner and /or design team lead listed above.
(VS6- PMCG- 4292c)
Directions: This form may be used to submit the periodic activity report
information described in Subsection 1(g) of the Program Procedures. Photocopy
and complete the following information.
Reporting Period:
Utility:
(1) Promotional Activities:
(a) I I No Activity.
Sample Periodic Activity Report Form
(b) Summary of Activity:
(2) Screening:
(a) I _1 No Activity.
(b) Summary of Activity:
(3) Lessons Learned:
(a) I I No Activity.
(b) Summary of Lessons:
Exhibit B, Page 2 of 2
Contract No. DE- MS79- 90BP92877
Forms
Under the authority of Public Law
and subject to legislation, regulations and policies applicable to (cite legislative program title)
41 U.S.C. 501 et sea. Federal Grants and Cooperative Agreement Act of 1977
1. PROJECT TITLE
ENERGY SMART DESIGN ASSISTANCE PROGRAM
Option 2 Utility Agreement
3. RECIPIENT (Name, address, zip code, area cede and te'epo-ong no.)
Port Angeles City Light
P.O. Box 1150
Port Angeles, WA 98362
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.)
Sheila A. Hardy
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Sheila A. Hardy
(206) 457 -0411
13. BPA PTR (Name, address, zip code, telephone no.)
Dulce Setterfield TBA (206) 442 -1366
BPA Puget Sound Area, 201 Queen Anne,
Avenue North, Suite 400, Seattle, WA 98109
14. RECIPIENT TYPE
STATE GOV'T
X LOCAL GOV'T
INDIAN TRIBAL GOV'T
15. ACCOUNTING AND APPROPRIATIONS DATA
18. TOTAL ESTIMATED COST OF PROJECT
21. EVIDENCE OF RECIPIENT ACCEPTANCE
(Signelure of Author,zed1iec /nt Official)
US DEPARTMENT OF ENERGY BONNEVILLE POWER ADMINISTRATION
NOTICE OF FINANCIAL ASSISTANCE AWARD
(See Instructions on Reverse)
96 -501 Pacific NW. Electric Power Plannina and Conservation Act
INSTITUTION OF HIGHER EDUCATION
HOSPITAL
OTHER NONPROFIT ORGANIZATION
a. ORGANIZATION b OBJ. NUMBER c. ACTIVITY
.RMCC 27 GNL
17. BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION
(1) BPA Funds Obligated This Action
(2) BPA Funds Authorized for Carry Over
(3) BPA Funds Previously Obligated in this Budget Period
(4) BPA Share of Total Approved Budget
(5) Recipient Share of Total Approved Budget
(6) Total Approved Budget
8449
(bate)
rzop,PPT J. T1 I fhe. -r 1nA LiCo -r
(Name)
(VS2 -SRPA 6030m)
2. INSTRUMENT TYPE
GRANT X
4. INSTRUMENT NO.
DE- FC79- 88BP93021
6. BUDGET PERIOD (From Thru)
07/01/89 06/30/90
9. PURCHASE REQUISITION NO.
79- 89BP00682
10. TYPE OF AWARD
RENEWAL
COOPERATIVE AGREEMENT
5. AMENDMENT NO.
A001
7. PROJECT PERIOD (From Thru)
09/26/88 06/30/91
NEW
REVISION
X CONTINUATION
SUPPLEMENT
12. ADMINISTERED BY (Name, address, zip code, telephone no.)
Bonneville Power Administration
Attn: Jodi Stroklund SRPA
P.O. Box 3621 FTS 429- 5191
Portland, OR 97208 (503)230 5191
FOR PROFIT ORGANIZATION C P SP
INDIVIDUAL
OTHER (Specify)
d PL -6 NUMBER
T22201
24,000.00
9,000.00
0-
33,000.00
0-
33,000.00
N/A
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount).
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following:
a Budget
b. Justification for Estimate of Buildings Served
c Revised Terms and Conditions
d Bonneville Power Assistance Instructions (BPAI), Parts 9 and 10
BPAI and OMB Circular A -87 (By Reference)
2Q REMARKS Inis moaitication autnorizes a new Duaget perioa, incorporates the uonneviiie rower
Assistance Instructions (BPAI), and accordingly revises the Terms and Conditions.
22. AWARDED BY
AtibiAL
(Sig re)
Saa'ra A. Kagelet
(Name)
Contracting Officer
16. EMPLOYER I.D. NO. /SSN
91- 6001266
b. CUMULATIVE BPA OBLIGATIONS
(1) This Budget Period
(Total of lines a.(1) and a.(3))
(2) Prior Budget Periods
(3) Project Period to Date
(Total of fines b.(1) and b.(2))
24, 000.00
26,500.00
50,500.00
(Datef
BPA 1813 OCT 1986
Utility Name: CITY OF PORT ANGELES
Contract Number: DE- FC79 -88BP q/n7i
Contact Person: Sheila Hardy, Conservation Manaaer
CARRY OVER CALCULATION:
Total Approved Budget: 26,500 (1)
(from Award line 17.a.4)
Estimated Actual Expenditures: 17,500 (2)
(from Award through 6/30/89)
Net Carryover (line 1. line 2):
NEW BUDGET CALCULATION:
ENERGY SMART DESIGN
BUDGET WORKSHEET
4/4/89
New Budget Period is from July 1, 1989 through June 30, 1990.
ADMINISTRATION BUDGET:
A. Option 1: 20,000 X
cost share
xxl 2: 10,000 X 100 10.000 (5)
cost share
B. Number of Buildings: 8 (6)
Cost Share: 100 %(7)
Sub -Total (line 6 X $1000 X line 7) 8,000 (8)
TOTAL ADMINISTRATIVE COSTS (line 4 or 5 line 8): 18,000 (9)
(not to exceed 70,000 for Option 1 or 25,000 for Option 2)
MODELING BUDGET:
Number of Prescriptive Buildings:
5 X $1000 5000 (10)
Number of Bin Buildings:
2 X $2500 5000 (11)
Number of Hourly Buildings:
1 X $5000 5000 (12)
TOTAL MODELING COSTS: (line 10 line 11 line 12)
TOTAL NEW BUDGET PROPOSAL (line 9 line 13)
9,000 (3)
(4)
15,000
(13)
33,000 (14)
ti
?ORT4
V
0 7 Y LIGN'
April 27, 1989
Dulce Setterfield
Project Technical Representative
Bonneville Power Administration
P.O. Box C -19030
Seattle, WA 98109 -1030
Dear Dulce:
Please give me a call if you have any questions.
erely,
Sheila Hardy
Conservation Manager
cc: Ken Maike
Steve Hursh
CITY OF PORT ANGELES
321 EAST FIFTH ST P 0 BOX 1150 PORT ANGELES, WASHINGTON 98362
PHONE (206) 457 -0411
RECEIVED
MAY 11989
o,1cs
Enclosed are Smart Design budget forms for continuation of the City
of Port Angeles' program for 7/1/89 through 6/30/90. We plan to
run the program in cooperation with the Clallam County P.U.D. in
accordance with our workplan and the agreement between the two
utilities submitted with our original program application.
Our budget request is based on our experience with the program
during this budget period which has given us an idea of the length
of time and number of leads that turn into viable projects and our
list of possible buildings and estimates of which may actually
enter the design phase during the next year.
ENERGY SMART DESIGN ASSISTANCE PROGRAM
TERMS AND CONDITIONS
GENERAL CLAUSES
15.0201 -1 DEFINITIONS
15.0201 -2 PROJECT OVERSIGHT
15.0201 -3 DISPUTES
15.0201 -4 CONVICT LABOR
15.0201 -5 OFFICIALS NOT TO BENEFIT
15.0201 -6 COVENANT AGAINST CONTINGENT FEES
15.0201 -7 PERMITS AND LICENSES
15.0201 -8 NONDISCRIMINATION IN FEDERALLY- ASSISTED PROGRAMS
15.0201 -9 ENVIRONMENTAL PROTECTION
15.0201 -10 LIMITATION OF LIABILITY
15.0201 -11 ACKNOWLEDGMENT OF SUPPORT
15.0201 -12 STATEMENT OF FEDERAL FINANCIAL ASSISTANCE
15.0201 -13 TRAVEL
15.0201 -14 CONTRACTING OFFICER'S REPRESENTATIVE (COR)
15.0201 -15 PROJECT TECHNICAL REPRESENTATIVE (PTR)
15.0201 -16 REGULATIONS APPLICABLE TO FINANCIAL ASSISTANCE
15.0201 -17 RECIPIENT ADHERENCE TO TERMS AND CONDITIONS
SPECIFIC CLAUSES
15.0202 -1 BASIS OF PAYMENT
15.0202 -2 FAIR LABOR STANDARDS ACT
15.0202 -3 GOVERNMENT FURNISHED EQUIPMENT OR MATERIALS
15.0202 -4 MATERIAL HANDLING COSTS
15.0202 -5 REPAIR AND MODIFICATION COSTS
15.0202 -8 REIMBURSEMENT PAYMENT AND FINANCIAL REPORTING REQUIREMENTS
15.0202 -10 AUDIT AND RECORDS, A -102 RECIPIENTS
15.0202 -11 SUSPENSION OR TERMINATION, A -102 RECIPIENTS
15.0202 -12 SUBSTANTIAL INVOLVEMENT BETWEEN BPA AND THE RECIPIENT
15.0202 -14 SITE VISITS, A -102 RECIPIENTS
15.0202 -15 FIELD INSPECTOR
15.0202 -17 REPORTING PROGRAM TECHNICAL PERFORMANCE, A -102 RECIPIENTS
15.0202 -18 AVAILABILITY OF FUNDS
15.0202 -19 PATENT RIGHTS
15.0202 -24 EXPIRATION OF FUNDS
15.0202 -26 PAPERWORK REDUCTION
15.0202 -27 ORDER OF PRECEDENCE
15.0201 -1 DEFINITIONS
TERMS AND CONDITIONS
GENERAL CLAUSES
As used throughout this award, the following terms shall have the meaning
set forth below:
(a) The term "award" means this instrument, which can be either a grant or
cooperative agreement.
(b) The term "head of the agency" or "Secretary" as used herein means the
Secretary, the Under Secretary, any Assistant Secretary, or any other head
of the executive or military department or other Federal agency; and the
term "his duly authorized representative" means any person or persons or
board (other than the Contracting Officer) authorized to act for the head of
the agency or the Secretary.
(c) The term "Contracting Officer" means the person executing this award on
behalf of the Government, and any other officer or civilian employee who is
properly designated Contracting Officer; and the term includes, except as
otherwise provided in this award, the authorized representative of a
Contracting Officer acting within the limits of his authority.
(d) The term "Contracting Officer's Representative" means the individual
designated by the CO to perform administrative work connected with the
award. This title may be abbreviated COR. The COR is designated by the CO
for the day -by -day administration of the award and for the purpose of
securing compliance with drawings, specifications, conditions, and
provisions of the award. The COR is responsible for complete documentation
relating to the award throughout the duration of the project. This includes
needed correspondence, forms, records, reports, field data, photographs and
maintenance of the official award file and related required documentation.
This person is normally a contract specialist working directly for the CO.
(e) The term "Field Inspector" means the authorized representative of the
Project Technical Representative who performs inspection and review
functions for the PTR on specific awards.
(f) The term "Project Technical Representative" (PTR) means the individual
designated by the CO to perform technical award administration activities
on behalf of the CO within limits specified by the CO. This position is
the primary point of contact within BPA for award recipients on all matters
relating to the awards. Communication between BPA staff and award
recipients will be directed through this person. Normally, PTR's do not
have authority to commit the Government to any changes in the terms of the
awards. Generally the PTR's are responsible for monitoring the
contractor's performance in both financial and technical aspects during the
performance period, reviewing and certifying invoices, and making site
visits to the contractor's facility as necessary. The PTR will keep a
written record of the technical administration activities and forward a
copy to the CO at a rate of frequency as determined by the CO depending
upon the complexity of the subject matter and level of award activity. The
PTR shall advise the CO immediately when the recipient's lack of compliance
endangers successful award completion or when other corrective action is
necessary to protect BPA's best interests.
(f) Except as otherwise provided in this award, the term "subcontracts"
includes purchase orders under this award.
(g) The term "DOE" means the U.S. Department of Energy.
(h) The term "BPA" means the Bonneville Power Administration.
(i) The term "Recipient" means the individual or organization receiving
this award from BPA.
15.0201 -2 PROJECT OVERSIGHT
(End of Clause)
(AE)
The recipient is obligated to conduct such project oversight, as may be
appropriate, to manage the funds with prudence, and to comply with the
provisions outlined herein. The Project Director named on the face page is
responsible for the management and technical direction of the project and
for preparation of required reports.
(End of Clause)
(AE)
15.0201 -3 DISPUTES
(1) Except as otherwise provided in this award, any dispute concerning a
question of fact arising under this award which is not disposed of by a
modification to this award shall be decided by the Contracting Officer,
who shall reduce that decision to writing and mail, or otherwise furnish
a copy thereof to the Recipient. The decision of the Contracting Officer
shall be final and conclusive unless within 60 days from date of receipt
of such copy, the recipient mails, or delivers a written notice of appeal
to the Department of Energy Financial Assistance Appeals Board in
accordance with 10 CFR Part 1024 (See Rule 1). The decision of the
Department of Energy Financial Assistance Appeals Board shall be final
and conclusive unless determined by a court of competent jurisdiction to
have been fraudulent, or capricious, or arbitrary, or so grossly
erroneous as necessary to imply bad faith, or not supported by
substantial evidence. In connection with any appeal proceeding under
this clause, the recipient shall be afforded an opportunity to be heard
and to offer evidence in support of its appeal. Pending final decision
of a dispute hereunder, the recipient shall proceed diligently with the
performance of the award and in accordance with the Contracting Officer's
decision.
(2) This clause does not preclude consideration of law questions in
connection with decisions provided for in paragraph (1) above; provided,
that nothing in this award shall be construed as making final the
decision of any administrative official, representative, or board, based
on a question of law.
(End of Clause)
(AE)
15.0201 -4 CONVICT LABOR
In connection with the performance of work under this award, the recipient
agrees not to employ any person undergoing sentence of imprisonment except
as provided by Public Law 89 -176, September 10, 1965 (18 U.S.C. 4082(c)
(2)) and Executive Order 11755, December 29, 1973.
(End of Clause)
(AE)
15.0201 -5 OFFICIALS NOT TO BENEFIT
No member of or delegate to Congress, or resident Commissioner, shall be
admitted to any share or part of this award, or to any benefit that may
arise therefrom; but this provision shall not be construed to extend to
this award if made with a corporation for its general benefit.
(End of Clause)
(AE)
-5-
15.0201 -6 COVENANT AGAINST CONTINGENT FEES,
The recipient warrants that no person or selling agency has been employed
or retained to solicit or secure this award upon an agreement or
understanding for a commission, percentage, brokerage, or contingent fee,
excepting bona fide employees or bona fide established commercial or
selling agencies maintained by the recipient for the purpose of securing
business. For breach or violation of this warranty the Government shall
have the right to annul this award without liability or in its discretion
to deduct from the award amount or consideration, or otherwise recover, the
full amount of such commission, percentage, brokerage, or contingent fee.
(End of Clause)
(AE)
15.0201 -7 PERMITS AND LICENSES (6 -89)
Except as otherwise directed in writing by the Contracting Officer, the
recipient shall procure all necessary permits or licenses and abide by all
applicable laws, regulations and ordinances of the United States and of the
State, territory, and political subdivision in which the work under this
award is performed.
(End of Clause)
(AE)
15.0201 -8 NONDISCRIMINATION IN FEDERALLY- ASSISTED PROGRAMS
The recipient shall comply with 10 CFR Chapter II, Section 600.39 which
provides that "...no person shall on the ground of race, color, national
origin, sex, handicap, or age be excluded from participation in, be denied
the benefits of, be subjected to discrimination under, or be denied
employment, where the main purpose of the program or activity is to provide
employment or when the delivery of program services is affected by the
recipient's employment practices, in connection with any program or
activity receiving Federal assistance from BPA.
(End of Clause)
(AE)
15.0201 -9 ENVIRONMENTAL PROTECTION
The recipient shall insure that the facilities under its ownership, lease
or supervision which shall be utilized in the accomplishment of the project
are not listed on the Environmental Protection Agency's (EPA) list of
Violation Facilities and that it will notify BPA of the receipt of any
communication from the Director of the EPA Office of Federal Activities
indicating that a facility to be used in the project is under consideration
for listing by the EPA.
(End of Clause)
(AE)
15.0201 -10 LIMITATION OF LIABILITY
The recipient agrees to hold BPA harmless against any direct or
consequential damages claimed by the recipient or third parties arising
from or related to Recipient's performance, during the period of this award.
(End of Clause)
(AE)
15.0201 -11 ACKNOWLEDGMENT OF SUPPORT (12 -85)
Publication of the results of this award is encouraged. Any article which is
published shall include an acknowledgment that the research was supported, in
whole or in part, by BPA (including the award number), but that such support
does not constitute an endorsement by BPA of the views expressed in the
article.
(End of Clause)
(AE)
15.0201 -12 STATEMENT OF FEDERAL FINANCIAL ASSISTANCE (3 -89)
The recipient shall, when issuing statements, press releases, requests for
proposals, bid solicitations, and other documents describing projects or
programs funded in whole or in part with Federal money, clearly state (1) the
percentage of the total cost of the program or project which will be financed
with Federal money, and (2) the dollar amount of Federal funds for the project
or program.
(End of Clause)
(DOE /AE)
15.0201 -13 TRAVEL
(a) Domestic travel may be an appropriate charge to this award, and prior
authorization for specific trips is not required. In accordance with the
applicable cost principles, reasonable, necessary, and allowable travel
costs may be charged on an actual basis or per diem basis in lieu of actual
costs incurred, provided the method used results in charges consistent with
those normally allowed by the organization in its regular operations and
travel is at less than first class common carrier fare, unless otherwise
approved in advance by the Contracting Officer.
(b) Foreign travel may be charged to this award without prior approval if
detailed in the approved budget. If foreign travel is required, but not
detailed in the approved budget, it must be approved in writing by the
Contracting Officer prior to beginning the travel. Foreign travel will be
reimbursed on the same basis as domestic travel.
(End of Clause)
(AE)
15.0201 -14 CONTRACTING OFFICER'S REPRESENTATIVE (COR)
The Contracting Officer's Representative (COR) shall have all the rights,
powers, and privileges of the Contracting Officer necessary to the
administration of the award: provided, however, that the COR is not
empowered to execute modifications to the award, to make a final decision
of any matter which would be subject to appeal, or to suspend or terminate
for any cause the recipient's right to proceed.
(End of Clause)
(AE)
15.0201 -15 PROJECT TECHNICAL REPRESENTATIVE (PTR)
(a) The Project Technical Representative (PTR) is the authorized
representative of the Contracting Officer for technical actions performed
in relation to the award. This includes the functions of (1) inspection
and review of work performed; (2) witness of presentations or other
activities; (3) interpretation of technical program requirements; and (4)
approval of receipt reports and other materials.
(b) The PTR is not authorized to act for the Contracting Officer in the
following matters pertaining to the award: (1) modifications that change
the amount of award, technical requirement or time for performance; (2)
suspension or termination of the recipient's right to proceed; and (3)
final decisions on any matters subject to appeal.
(End of Clause)
(AE)
15.0201 -16 REGULATIONS APPLICABLE TO FINANCIAL ASSISTANCE
The Bonneville Power Administration's financial assistance function is managed
and executed solely in accordance with the Bonneville Power Assistance
Instructions (BPAI). Comments on the BPAI should be addressed to the Head of
Contracting Activity AE at the address below.
Copies of the BPAI may be obtained for $10.00 each. Requests should be sent
to:
General Accounting Section DSDS
Bonneville Power Administration
P.O. Box 3621
Portland, OR 97208
(End of Clause)
(AE)
15.0201 -17 RECIPIENT ADHERENCE TO TERMS AND CONDITIONS (12 -85)
The recipient's signature on the Notice of Financial Assistance Award
signifies the recipient's agreement to the terms and conditions of the award.
Should the recipient believe modification of any of the terms or conditions of
this award is necessary, an authorized official of the recipient must submit a
written request on its own behalf or on behalf of any subgrant recipient to
the contracting officer named on the face page of this award.
(End of Clause)
(AE)
15.0202 -1. BASIS OF PAYMENT
TERMS AND CONDITIONS
SPECIFIC CLAUSES
(a) Administrative Allowance: Flat Rate Basis. Payments for
administrative costs, as defined by Paragragh 3.1.1 of Section A, will be
provided on a flat rate basis, i.e. not based on actual costs. Payment for
all administrative activities will be based on the base administrative
allowance and the actual number of buildings provided design assistance
services (per building amount):
1. Base Administrative Allowance- The utility may draw down 50 percent
of the base amount upon award. The balance will be paid upon receipt
from the utility of their final Smart Design Program operating plan.
2. Per Building Amount- A payment of $1,000 (less applicable cost
share) will be paid for each building provided design assistance
services, until the maximum listed in the budget worksheet for the
selected option is reached. This per building payment will be based
upon the number of Building Design Assistance Reports listed on and
submitted with the Smart Design Program Activity Report. For utilities
operating under a group award, the per building administrative payment
will be determined by the cost share percentage of the particular
utility in whose service territory the building is located.
(b) Design Assistance Allowance: Cost Basis. Actual costs incurred by
recipients for design assistance (as defined by Paragraph 3.1.2 of Section
A) will be paid without fee or profit. Such payment shall not exceed
either:
1. 50% above the budgeted amount for that design assistance approach
unless the Contracting Officer approves (see budget worksheet and
Section A, paragraph 3.1), or
2. the total amount budgeted for design assistance as shown on Line B -4
of the budget worksheet.
(c) See Section A, Program Desription, paragraphs 3.1, 3.1.1 and 3.1.2, for
additional information.
(d) Adjustment: If the actual costs incurred for design assistance are
less than the estimates made at the time of the award, excess funds
obligated by Bonneville will be subject to refund or deobligation upon
completion of the budget period. Similarly, if the number of buildings
actually provided design assistance is less than that projected in the
budget on Line A.2.d, the excess funds obligated by Bonneville for
administrative costs, will be subject to refund or deobligation upon
completion of the budget period. However, excess funds may be carried
over into the next budget period, at Bonneville's option.
(e) There is no commitment for further Bonneville funding beyond the award
amount, except as provided by modification. Recipients are expected to
bring their projects to conclusion, including final reports, within the
funds provided. Bonneville is under no obligation to provide additional
funding if the project cannot be completed within the awarded amount.
15.0202 -2 FAIR LABOR STANDARDS ACT
The recipient will comply with minimum wage and maximum hours provisions
of the Federal Fair Labor Standard Act, as they apply to hospital and
educational institution employees of State and local governments.
(End of Clause)
(AE)
15.0202 -3 GOVERNMENT FURNISHED EQUIPMENT OR MATERIALS (6 -89)
(a) The recipient hereby releases and agrees to hold the Government, BPA,
or persons acting upon behalf of the BPA harmless for any and all
liability of every kind and nature whatsoever resulting from the receipt,
shipping, installation, operation, handling, use and maintenance of the
material furnished by the Government under this award.
(b) Neither the Government, BPA nor persons acting on behalf of BPA make
any warranty or other representation, express or implied, that the
material provided under this award will accomplish the results for which
it is requested or intended.
(End of Clause)
(AE)
15.0202 -4 MATERIAL HANDLING COSTS
The recipient agrees to pay for all costs of packing, normal and special
handling, crating and shipping, and agrees to coordinate the costs and any
payments with BPA.
(End of Clause)
(AE)
15.0202 -5 REPAIR AND MODIFICATION COSTS
The recipient will be responsible for any repair and modification costs to
any material received under this award.
(End of Clause)
(AE)
15.0202 -8 REIMBURSEMENT PAYMENT AND FINANCIAL REPORTING REQUIREMENTS (7 -89)
Payment for services performed under this award will be reimbursed after
performance of the services. Recipient requests for reimbursements, and
recipient financial reporting requirements shall be made as follows:
(a) Reimbursements. Standard Form 270, Request for Advance and
Reimbursement, shall be used when requesting reimbursement for costs
incurred on the project. An original and two copies should be submitted.
(b) Interim financial reporting.
(i) Status Report. A Standard Form 269 or 269(a), Financial Status
Report, shall be submitted within 30 days after the end of each
quarter. Recipients will use the SF 269(a) to document project
expenditures, whenever no program income is earned.
(ii) Reconciliation of Carry -over. Within 90 days after the end of
each budget period, the recipient shall submit a final Financial Status
Report (269 or 269(a)) which reports actual carry -over for that budget
period. Block 6 shall be marked "final The recipient shall also
submit a cover letter with the report which explains the reasons for
any variance between estimated and actual carry -over. (Minor
differences in estimates may be noted as such.)
(c) Final Cost Report. A final cost report shall be submitted within 90
days after the end of the project period. The format of the report shall
be the same as the budget as awarded. The final cost report shall compare
the amounts allocated in the award budget to the amounts expended for each
budget element, and shall indicate whether there is an unobligated balance
to be refunded to BPA.
(End of Clause)
(AE)
15.0202 -10 AUDIT AND RECORDS FOR A -102 RECIPIENTS (6 -89)
(a) General.
The Contracting Officer and the Comptroller General, through any authorized
representative shall have the right of access to any books, documents,
papers, or other records of recipients and subrecipients which pertinent to
the award, in order to make audits, examinations, excerpts and transcripts.
(b) Rights of access.
The rights of access will not be limited to the required retention periods
in (c) and (d) below, but shall last as long as the records are retained.
(c) Retention periods.
Except as otherwise provided, records must be retained for three years from
the starting date specified in paragraph (d).
(1) If any litigation, claim, negotiation, audit or other action
involving the records has been started prior to the expiration of the 3
year period, the records must be retained until completion of the action
and resolution of all issues which arise from it, or until the end of the
regular 3 year period whichever is the later.
(d) Starting date of retention periods.
(1) General. When the financial assistance is continued or renewed at
annual or other intervals, the retention period for the records of each
funding period starts on the date the recipient submits its last
expenditure report for that period. If assistance is continued or
renewed quarterly, the retention period for each year's records starts on
the day the recipient submits its expenditure report for the last quarter
of the Federal fiscal year. In all other cases, the retention period
begins on the day the recipient submits its final expenditure report.
(2) Real property and equipment records. The retention period for real
property and equipment begins from the date of disposition or replacement
or transfer at the direction of BPA.
(3) Records for income transactions after award support. Where there is
a requirement for the recipient to report program income after award
completion, the retention period for those records starts from the end of
the recipient's fiscal year in which the income was earned.
(4) Indirect cost rate proposals, cost allocation plans, etc.. Records
and supporting records for these types of documents or any similar
accounting computations of a rate at which a particular group of costs
are chargeable must be retained as follows:
(i) If submitted for negotiation,then the 3 year retention period for
the proposal, plans or other computations starts from the date of such
submission.
(ii) If not submitted for negotiation, then the 3 year retention
period starts from the end of the fiscal year (or other accounting
period) covered by the proposal, plan, or other computation.
(End of Clause)
(AE)
-13-
15.0202 -11 SUSPENSION OR TERMINATION, A -102 RECIPIENTS (6 -89)
This award may be suspended or terminated in accordance with the policy and
procedures set forth as follows:
(a) Definitions.
(1) Termination. Termination means the cancellation of BPA sponsorship,
in whole or in part, at any time prior to the date of completion.
(2) Suspension. Suspension is an action by BPA that temporarily
suspends BPA sponsorship under the award pending corrective action by the
Recipient or pending a decision by BPA to terminate the award.
(b) Termination or suspension for cause.
(1) Notice. Prior to issuing a termination or suspension notice,
efforts will be made by BPA and the recipient to informally resolve
disagreements. If informal efforts fail, BPA may issue a notice of
suspension or termination which will take effect 10 days after its issue
date. Beginning on the effective date of the notice, BPA may suspend the
award, withhold further payment, prohibit the recipient from incurring
additional obligations of funds pending corrective action by the
recipient or a decision by BPA to terminate.
(2) Authority to issue notice. The Contracting Officer is the exclusive
agent of BPA authorized to issue notices and take final actions regarding
suspension and termination actions.
(c) Termination for convenience. The recipient shall not incur new
obligations for the terminated portion of the award after the effective
date of termination, and shall cancel as many outstanding obligations as
possible. Bonneville shall allow full credit to the recipient for the BPA
share of the noncancellable costs, properly incurred by the recipient prior
to termination.
(End of Clause)
(AE)
15.202 -12 SUBSTANTIAL INVOLVEMENT BETWEEN BPA AND THE RECIPIENT
(a) Bonneville anticipates substantial involvement in administering this
agreement. The following activities will be most affected:
(1) Program Evaluation (Statement of Work, Paragraph 1.3.3.)
(2) Training for utility personnel (Statement of Work, Paragraph 1.5.)
(3) Provision of a regional promotion program (Statement of Work, Paragraph
1.5.)
(4) Require submission of technical reports to assist in the development of
funding allocations for future budget periods (Section D, Clause /D -2.6.)
(5) Provision of design assistance for Option 2 utilities (Statement of
Work, Paragraph 2.1.1.)
(b) The specific responsibilities of Bonneville and the recipient in the
conduct of the above activities are described in the agreement (see references
adjacent to the specific activity, above.) Where not otherwise described,
each party is obligated to act in a reasonable manner in fulfilling its
responsibilities under this agreement.
(c) Bonneville assumes no special liability in fulfilling its responsibilities
under this agreement.
15.0202 -14 SITE VISITS, A -102 RECIPIENTS (6 -89)
BPA and /or its designees shall conduct site visits only as warranted by
program or project needs. Technical assistance site visits shall be
provided for: (1) in response to recipient requests, (2) based on a
determined program need, (3) when recipients are designated "high risk"
under subpart 1.02.
(End of Clause)
(AE)
15.0202 -15 FIELD INSPECTOR
(a) The field Inspector will be appointed in a separate letter written to
the recipient by the Project Technical Representative. The Field Inspector
is the authorized representative of the Project Technical Representative
for:
(1) Performing the functions of:
(A) inspection and review of work performed;
(B) inspection and witness of tests or presentations or other
activities;
(C) interpretation of technical requirements;
(D) approval of recipient's reports, and materials or work performed;
and
(E) release of materials for shipment, if applicable.
(2) Provides technical inspection of the results of the project and
recommends corrections necessary to meet award specifications or
requirements of supplies or services performed.
(b) The Field Inspector is not authorized to act in the following matters
pertaining to the award: (1) modifications that change the award amount,
technical requirements or time for performance; (2) suspension or
termination of the recipient's right to proceed; and (3) final decisions on
any matters subject to appeal.
(End of Clause)
(AE)
15.0202 -17 REPORTING PROGRAM TECHNICAL PERFORMANCE. A -102 RECIPIENTS (6 -89)
(a) Frequency. A quarterly report shall be submitted no later than 30
days after the end of each quarterly reporting period. A final report on
the project must be submitted no later than 90 days after the expiration
date of the project period indicated on the face page, BPA 1813, Block 7.
(b) Format. Bonneville and the Recipient have mutually agreed that the
formats shown in Exhibits 2 and 3 are acceptable. However, the Recipient
may modify this format a long as the content is retained.
(c) Copies. An original and two copies of all required reports shall be
submitted to Bonneville's Project Technical Representative.
(d) Content. The report content shall be that prescribed in the Common
Rule, Subpart .40 and shall include the following:
A. Smart Design Program Activity Report
This report is shown at Exhibit 3 (sample).
B. Smart Design Program Services Summary
This report is shown at Exhibit 2 (sample). The report contains
three parts (sectons). Only the applicable sections corresponding to
completed activities shall be submitted.
(AE)
15.0202 -18 AVAILABILITY OF FUNDS
The amount initially obligated hereunder, hereinafter referred to as
"Obligated Funds presently the sum of indicated in Block 17(b)(3) of
the Notice of Financial Assistance, BPA 1813, shall be available for
payment of costs incurred by the recipient. Additional funds to support
the balance of the estimated cost of the project will be allocated to the
project as they become available.
(End of Clause)
(AE)
15.0202 -19 PATENT RIGHTS
(a) Definitions.
"Invention" means any invention or discovery that may be patentable or
otherwise protectable under Title 35 of the U.S. Code.
"Made," when used in relation to any invention, means the conception or
first actual reduction to practice of such invention.
"Nonprofit organization," means a domestic university or other domestic
institution of higher education or an organization of the type described
in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. 501
(c)) and exempt from taxation under section 501(a) of the Internal
Revenue Code (26 U.S.C. 501(a)), or any domestic nonprofit scientific or
educational organization qualified under a state nonprofit organization
statute.
"Practical application," means to manufacture, in the case of a
composition or product; to practice, in the case of a process or method;
or to operate, in the case of a machine or system; and, in each case,
under such conditions as to establish that the invention is being
utilized and that its benefits are, to the extent permitted by law or
Government regulations, available to the public on reasonable terms.
"Small business firm," means a domestic small business concern as defined
at Section 2 of Pub. L. 85 -536 (15 U.S.0 632) and implementing
regulations of the Administrator of the Small Business Administration.
For the purpose of this clause, the size standards for small business
contractors involved in Government procurement and subcontracting at 13
CFR 121.3 -8 and 13 CFR 121.3 -12 respectively shall be used.)
"Subject invention," as used in this clause, means any invention or
discovery of the recipient conceived or first actually reduced to
practice in the performance of work under this award.
(b) Allocation of Principal Rights. The recipient may retain the entire
right, title, and interest throughout the world to each subject invention
subject to the provisions of this clause and 35 U.S.C. 203. With respect
to any subject invention in which the recipient retains title, the
Government shall have a nonexclusive, nontransferable, irrevocable,
paid -up license to practice or have practiced for or on behalf of the
United States the subject invention throughout the world.
(c) Invention disclosures, election of title, and filing of patent
applications by Recipient.
(1) The Contractor shall disclose each subject invention to the
Federal agency within two months after the inventor discloses it in
writing to contractor personnel responsible for patent matters. The
disclosure to the agency shall be in the form of a written report and
shall identify the contract under which the invention was made and
the inventors(s). It shall be sufficiently complete in technical
detail to convey a clear understanding, to the extent known at the
time of the disclosure of the nature, purpose, operation, and
physical chemical, biological or electrical characteristics of the
invention. The disclosure shall also identify any publication, on
sale or public use of the invention and whether a manuscript
describing the invention has been submitted for publication and, if
so, whether it has been accepted for publication at the time of
disclosure. In addition, after disclosure to the agency, the
contractor shall promptly notify the agency of the acceptance of any
manuscript describing the invention for publication or of any on sale
or public use planned by the contractor.
(2) The contractor shall elect in writing whether or not to retain
title to any such invention by notifying the Federal agency within
twelve months of disclosure to the contractor, provided that in any
case where publication, on sale, or public use has initiated the
one -year statutory period wherein valid patent protection can still
be obtained in the United States, the period of election of title may
be shortened by the agency to a date that is no more than 60 days
prior to the end of the statutory period.
(3) The contractor shall file its initial patent application on an
elected invention within two years after election or, if earlier,
prior to the end of any statutory period wherein valid patent
protection can be obtained in the United States after a publication,
on sale, or public use. The contractor shall file patent
applications in additional countries within either ten months of the
corresponding initial patent application or six months from the date
permission is granted by the Commissioner of Patents and Trademarks
to file foreign patent applications where such filing has been
prohibited by a Secrecy Order.
(4) Requests for extension of the time for disclosure to the agency,
election, and filing may at the discretion of the funding Federal
agency, be granted.
(d) Conditions when the Government may obtain title.
The recipient shall convey to BPA upon written request, title to any subject
invention:
(1) If the recipient fails to disclose or elect the subject
invention within the times specified in paragraph (c), above, or
elects not to retain title. BPA may only request title within sixty
days after learning of the recipient's failure to report or elect
within the specified times.
(2) In those countries in which the recipient fails to file patent
applications within the times specified in paragraph (c), above;
provided, however, that if the recipient has filed a patent
application in a country after the times specified in c. above but
prior to its receipt of the written request of BPA, the recipient
shall continue to retain title in that country.
(3) In any country in which the recipient decides not to continue
the prosecution of any application for, to pay the maintenance fees
on, or defend in a reexamination or opposition proceeding on, a
patent on a subject invention.
(e) Minimum rights to recipient.
(1) The contractor shall retain a nonexclusive, royalty -free license
throughout the world in each subject invention to which the
Government obtains title except if the contractor fails to disclose
the subject invention within the times specified in c., above. The
contractor's license extends to its domestic subsidiaries and
affiliates, if any, within the corporate structure of which the
contractor is a party and includes the right to grant sublicenses of
the same scope to the extent the contractor was legally obligated to
do so at the time the contract was awarded. The license is
transferable only with the approval of the funding Federal agency
except when transferred to the successor of that party of the
contractor's business to which the invention pertains.
(2) The contractor's domestic license may be revoked or modified by
the funding Federal agency to the extent necessary to achieve
expenditious practical application of the subject invention pursuant
to an application for an exclusive license submitted in accordance
with applicable provisions in the Federal Property Management
Regulations and agency licensing regulations (if any). This license
shall not be revoked in that field of use or the geographical areas
in which the contractor has achieved practical application and
continues to make the benefits of the invention reasonably accessible
to the public. The license in any foreign country may be revoked or
modified at the discretion of the funding Federal agency to the
extent the contractor, its licensees, or its domestic subsidiaries or
affiliates have failed to achieve practical application in that
foreign country.
(3) Before revocation or modification of the license, the funding
Federal agency shall furnish the contractor a written notice of its
intention to revoke or modify the license, and the contractor shall
be allowed thirty days (or such other time as may be authorized by
the funding Federal agency for good cause shown by the contractor)
after the notice to show cause why the license should not be revoked
or modified. The contractor has the right to appeal in accordance
with applicable agency licensing regulations (if any) and the Federal
Property Management Regulations concerning the licensing of
Government -owned inventions, any decision concerning the revocation
or modification of its license.
(f) Recipient action to protect the Government's interest.
(1) The recipient agrees to execute or to have executed and promptly
deliver to BPA all instruments necessary to:
(i) Establish or confirm the rights the Government has
throughout the world in those subject inventions for which the
recipient elects to retain title; and
(ii) Convey title to the Government when requested under
paragraph (d), above, and to enable the Government to obtain
patent protection throughout the world in that subject invention.
(2) The recipient agrees to require, by written agreement, its
employees, other than clerical and nontechnical employees, to
disclose promptly in writing to personnel identified as responsible
for the administration of patent matters and in a format suggested by
the recipient each subject invention made under this award in order
that the recipient can comply with the disclosure provisions of
paragraph (c), above, and to execute all papers necessary to file
patent applications on subject inventions and establish the
Government's rights in the subject inventions. The disclosure format
should require, as a minimum, the information requested by
subparagraph (c)(1), above. The recipient shall instruct such
employees through the employee agreements or other suitable
educational programs on the importance of reporting inventions in
sufficient time to permit the filing of patent applications prior to
U.S. or foreign statutory bars.
(3) The recipient shall notify the Contracting Officer of any
decision not to continue the prosecution of a patent application, pay
maintenance fees, or defend in a reexamination or opposition
proceeding on a patent, in any country, not less than 30 days before
the expiration of the response period required by the relevant patent
office.
(4) The recipient agrees to include, within the specification of any
United States patent application and any patent issuing thereon
covering a subject invention, the following statement:
THIS INVENTION WAS MADE WITH GOVERNMENT SUPPORT UNDER
*FILL IN AWARD NUMBER AWARDED BY THE BONNEVILLE POWER
ADMINISTRATION. THE GOVERNMENT HAS CERTAIN RIGHTS IN
THIS INVENTION.
(g) Subcontracts.
The recipient shall include this clause suitably modified to identify the
parties, in all subcontracts regardless of tier, for experimental,
developmental, or research work to be performed by a small business firm or
a nonprofit organization. The subcontractor shall retain all rights
provided for the recipient in this clause, and the recipient shall not, as
part of the consideration for awarding the subcontract, obtain rights in the
subcontractor's subject inventions.
(h) Reporting on utilization of subject inventions.
The recipient agrees to submit on request periodic reports no more
frequently than annually on the utilization of a subject invention or on
efforts at obtaining such utilization that are being made by the recipient
or its licensees or assignees. Such reports shall include information
regarding the status of development, date of first commercial sale or use,
gross royalties received by the recipient, and such other data and
information as the Contracting Officer may reasonably specify. The
recipient also agrees to provide additional reports as may be requested by
the Secretary of DOE or a designee in connection with any march -in
proceeding undertaken by the Secretary of DOE or a designee in accordance
with paragraph (j) of this clause. To the extent data or information
supplied under this paragraph is considered by the recipient, its licensee,
or assignee to be privileged and confidential and is so marked, the
Government agrees that, to the extent permitted by law, it shall not
disclose such information to persons outside the Government.
(i) Preference for United States industry.
Notwithstanding any other provision of this clause, the recipient agrees
that neither it nor any assignee will grant to any person the exclusive
right to use or sell any subject invention in the United States unless such
person agrees that any products embodying the subject invention shall be
manufactured substantially in the United States. However, in individual
cases, the requirement for such an agreement may be waived by the Government
upon a showing by the recipient or its assignee that reasonable but
unsuccessful efforts have been made to grant licenses on similar terms to
potential licensees that would be likely to manufacture substantially in the
United States or that under the circumstances domestic manufacture is not
commercially feasible.
(j) March -in rights.
The recipient agrees that, with respect to any subject invention in which it
has acquired title, the Government has the right in accordance with the
procedures in OMB Circular A -124 to require the recipient, an assignee, or
exclusive licensee of a subject invention to grant a nonexclusive, partially
exclusive, or exclusive license in any field of use to a responsible
applicant or applicants, upon terms that are reasonable under the
circumstances, and if the recipient, assignee, or exclusive licensee refuses
such a request, the Government has the right to grant such a license itself
if the Secretary of DOE or a designee determines that
(1) Such action is necessary because the recipient, assignee, or
exclusive licensee has not taken, or is not expected to take within a
reasonable time, effective steps to achieve practical application of the
subject invention in such field of use;
(2) Such action is necessary to alleviate health or safety needs that are
not reasonably satisfied by the recipient, assignee, or their licensees;
(3) Such action is necessary to meet requirements for public use
specified by Federal regulations and such requirements are not reasonably
satisfied by the recipient, assignee, or licensees; or
(4) Such action is necessary because the agreement required by paragraph
(i), above, has not been obtained or waived or because a licensee of the
exclusive right to use or sell any subject invention in the United States
is in breach of such agreement.
(k) Special provisions for awards to nonprofit organizations.
If the recipient is a nonprofit organization, it agrees that
(1) Rights to a subject invention in the United States shall not be
assigned without the approval of the Contracting Officer, except where
such assignment is made to an organization that has as one of its primary
functions the management of inventions and which is not, itself, engaged
in or does not hold a substantial interest in other organizations engaged
in the manufacture or sale of products or the use of processes that might
utilize the invention or be in competition with embodiments of the
invention (provided that such assignee will be subject to the same
provisions as the recipient);
(2) The recipient shall not grant exclusive licenses under United States
patents or patent applications in subject inventions to persons other than
small business firms for a period in excess or the earlier of (i) 5 years
from first commercial sale or use of the inventions, or (ii) 8 years from
the date of the exclusive license excepting that time before regulatory
agencies necessary to obtain premarket clearance unless, on a case -by -case
basis, the Contracting Officer approves a longer exclusive license. If
exclusive field -of -use licenses are granted, commercial sale or use in one
field of use shall not be deemed commercial sale or use as to other fields
of use, and a first commercial sale or use with respect to a product of
the invention will not be deemed to end the exclusive period to different
subsequent products covered by the invention;
(3) The recipient shall share any royalties collected on a subject
invention with the inventor; and
(4) The balance of any royalties or income earned by the recipient with
respect to subject inventions, after payment of expenses (including
payments to inventors) incidental to the administration of subject
inventions, shall be utilized for the support of scientific research or
education.
(1) Communications. Reports required by this clause will be submitted by
the recipient and subcontractor in a format approved by the Contracting
Officer.
15.0202 -24 EXPIRATION OF FUNDS (6 -89)
The funds provided by this award or modification are valid only for the budget
period identified in Block 6 of the Notice of Financial Assistance, BPA 1813.
They may not be expended by the recipient after the expiration of the Budget
Period. However, the CO may authorize expenditure of such funds in subsequent
budget periods by written modification to the award.
(End of Clause)
(AE)
15.0202 -26 PAPERWORK REDUCTION (12 -85)
(a) This award is subject to the requirements of the Paperwork Reduction
Act of 1980 as implemented by the Office of Management and Budget rules,
"Controlling Paperwork Burdens on the Public," published at 5 CFR 1320 (47
FR 13666, 3- 31 -83) if the recipient will collect information from ten or
more respondents either:
(b) Any proposed information collection under (a) above shall be submitted
by the recipient to the contracting officer named on the face page of this
award at least 90 days prior to the intended date of information
collection. BPA will seek the requisite approval from the Office of
Management and Budget and will promptly notify the recipient of the
disposition of the request.
(End of Clause)
(AE)
15.0202 -27 ORDER OF PRECEDENCE (6 -89)
Any inconsistency in this award shall be resolved by giving precedence in the
following order: (a) Bonneville Power Assistance Instructions (BPAI); (b)
OMB circulars; (c) Financial assistance terms and conditions; (d) Project
Description /Performance work statement; and (e) other documents, exhibits,
and attachments to the award.
(End of Clause)
(AE)
6001m
(End of Clause)
(AE)
(1) At the specific request of BPA, or
(2) If the award requires specific BPA approval of the information
collection or the collection procedures.
-24-
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.01 GENERAL PRINCIPLES
9.0100 General.
TABLE OF CONTENTS
9.02 CASH DEPOSITORIES
9.0200 General.
9.0201 Requirements for A -102 recipients.
9.0202 Requirements for A -110 recipients.
9.03 BONDING
9.0300 General.
9.0301 Bonding requirements.
9.0302 Additional requirements for A -110 recipients.
9.04 RETENTION OF RECORDS
9.0400 General.
9.0401 Additional requirements for A -102 recipients.
9.0402 Access to records.
Page 9 -1
9.05 PROGRAM INCOME
9.0500 General.
9.0501 Program income.
9.0502 Monitoring program income.
9.06 FINANCIAL MANAGEMENT SYSTEMS
9.0600 General.
9.0601 Additional financial management standards for A -102 recipients.
9.0602 Additional financial management standards for A -110 recipients.
9.0603 Financial management system reviews.
9.0603 -1 Financial management system reviews for A -110 recipients.
9.07 FINANCIAL REPORTING
9.0700 General.
9.0701 Financial report forms.
9.0701 -1 Financial Status Report, SF -269 and 269A.
9.0701 -2 Federal Cash Transaction Report, SF -272 and 272A.
9.0701 -3 Request for Advance or Reimbursement, SF -270.
9.0701 -4 Outlay Report and Request for Reimbursement for
Construction Programs, SF -271.
9.0701 -5 Additional requirements for A -110 recipients.
9.0702 Processing financial reports.
9.0703 Review of financial reports.
1
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.08 MONITORING PROGRAM PERFORMANCE
9.0800 General.
9.0801 Performance reports.
9.0801 -1 Reporting requirements.
9.0801 -2 Frequency of reports.
9.0801 -3 Special reporting requirements.
9.0801 -4 Additional requirements for A -102 recipients
construction performance reports.
9.0801 -5 Waivers and extensions.
9.0802 Site visits and technical assistance.
9.0802 -1 Requirements for A -102 recipients.
9.0802 -2 Requirements for A -110 recipients.
9.0803 Processing and review of technical and progress reports.
9.0804 Other reports.
9.09 PAYMENT REQUIREMENTS
9.0900 General.
9.0901 Payment methods.
9.0901 -1 Letter of credit.
9.0901 -2 Advance payment.
9.0901 -3 Reimbursement by Treasury check.
9.0901 -4 Additional requirements for A -102 recipients
working capital advances.
9.0902 Withholding of payment.
9.0902 -1 Reserved.
9.0903 Assignment of payments.
9.0904 Payments to subrecipients.
9.10 BUDGET REVISION
9.1000 General.
9.1001 Budget changes for non construction projects.
9.1001 -1 Additional requirements for A -102 recipients.
9.1001 -2 Additional requirements for A -110 recipients.
9.1002 Budget changes for construction and combined construction/
nonconstruction projects.
9.1003 Requesting approval for changes.
9.1004 Review and approval of requests.
9.1005 Subrecipient requests.
9.11 CLOSEOUT PROCEDURES
9.1100 General.
9.12 PROPERTY MANAGEMENT STANDARDS
9.1200 General.
9.1201 Definitions.
9.1202 Applicability.
9.1203 Reporting requirements.
9.1204 Real property.
Pace 9 -2
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.1205 Federally -owned nonexpendable personal property.
9.1206 Property management standards.
9.1207 Title to nonexpendable personal property or equipment.
9.1207 -1 Additional requirements for A -102 recipients.
9.1208 Use of equipment or non expendable personal property.
9.1208 -1 Additional use requirements for A -102 recipients.
9.1209 Expendable personal property or supplies.
9.1210 Use of excess personal property.
9.1211 Disposition.
9.1211 -1 Disposition of non expendable property or equipment.
9.1211 -2 Disposition of supplies or expendable property.
9.1212 Copyrights, inventions, and patents.
9.1212 -1 Copyrights.
9.1212 -2 Patents and inventions.
9.1212 -3 Disposition.
9.13 PROCUREMENT STANDARDS
9.1300 General.
9.1301 Review of recipient's procurements system.
9.1302 Procurement standards.
9.1302 -1 States.
9.1302 -2 All other recipients.
9.1303 Procurement methods.
9.1303 -1 Procurement methods for A -102 recipients.
9.1303 -2 Procurement methods for A -110 recipients.
9.1303 -3 Contract provisions.
9.1303 -4 Special contract provisions for A -102 recipients.
9.1304 Payment of interest penalties.
9.1305 Review of specific transactions.
9.1305 -1 Review of specific transactions for A -102 recipients.
9.1305 -2 Review of specific transactions for A -110 recipients.
Page 9 -3
9.14 AUDIT REQUIREMENTS
9.1401 General discussion.
9.1402 Audit requirements for A -102 recipients.
9.1403 Audit requirements for A -110 recipients
9.1403 -1 Special requirements for individuals and for profit
organizations.
9.1404 Audits.
9.1405 Responsibilities.
9.15 RESERVED
9.16 RESERVED
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.17 NONCOMPLIANCE
9.1700 General.
9.18 SUSPENSION AND TERMINATION
9.1800 General.
9.1801 Suspension and termination for cause.
9.1802 Notification requirements.
9.1803 Suspension.
9.1804 Termination for convenience.
9.1804 -1 Special requirements for A -110 recipients.
9.1804 -2 Special requirements for A -102 recipients.
9.1805 Effect of termination.
9.1806 Subgrants.
9.1807 Special suspension and termination requirements
for A -102 recipients.
9.19 DISPUTES AND APPEALS
9.1900 General.
9.1901 Final determination.
9.1902 Right of appeal.
9.1903 Effect of appeal.
9.1904 Review on appeal.
9.20 CONTINUATION PROCEDURES
9.2001 Continuation awards.
9.2002 Continuation procedures.
9.2002 -1 Continuation of existing budget and /or project periods.
9.2002 -2 Creating new budget and /or project periods.
9.2002 -3 Carryover.
9.2003 Preparation of documents.
9.2004 Carryover balances.
9.2005 Annual reconciliation of continuing assistance awards.
9.21 POST EXPIRATION COSTS
9.2100 General.
9.22 DRUG -FREE WORKPLACE
9.2200 General.
Paae 9 -4
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.01 GENERAL PRINCIPLES
9.0100 General.
Page 9 -5
This subpart generally applies to all recipients. Where there are different
requirements for specific types of recipients the separate requirements are so
noted.
(a) The basic framework for establishing recipient and BPA roles and
responsibilities in the postaward phase is contained in these instructions.
The appropriate recipient type will be specified on the face sheet of the
award document and the applicable OMB circulars will be referenced so that
the recipient can determine the administrative standards (and cost
principles) applicable to the award. Where subagreements may be involved,
the CO must notify the primary recipient that it must specify the applicable
administrative standards (and cost principles) in each subaward. This is
termed "flowthrough." The applicable administrative standards (and cost
principles) are those which would apply to the organization regardless of
whether the financial assistance comes directly from BPA or from a primary
recipient.
(b) This paragraph summarizes those areas of postaward administration for
which the CO will be primarily responsible. Some of these areas require CO
attention in the preaward phase as well, e.g., cost sharing and matching,
and payment. It should also be noted that the C0's responsibilities are
carried out only in terms of how the primary recipient meets these
requirements and /or standards. Where financial assistance is made available
to a secondary recipient, the primary recipient will be responsible for
monitoring compliance.
(c) This Part will not repeat information referenced to the OMB Circulars.
C0's and PTR's must read the relevant references to the circulars, and the
information contained in this Part to obtain a complete understanding of the
rights and responsibilities of each party to the award.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.02 CASH DEPOSITORIES
9.0200 General.
Page 9 -6
Recipients and subrecipients shall comply with the standards governing cash
depositories for advance payments as outlined below for A -102 and A -110
recipients. Consistant with the national goal of expanding the opportunities
for minority business enterprises, recipients and subrecipients are encouraged
to use minority banks (a bank which is owned at least fifty percent by
minority group members). A list of minority owned banks can be obtained from
the Minority Business Development Agency, Department of Commerce, Washington,
DC, 20230.
9.0201 Requirements for A -102 recipients.
A recipient or subrecipient shall maintain a separate bank account only when
required by Federal State agreement (BPA). See BPAI 9.06 for additional
information on recipient financial management systems.
9.0202 Requirements for A -110 recipients.
Recipients subject to the administrative requirements of OMB Circular A -110
shall comply with the standards governing cash depositories for advance
payment as contained in Attachment A of that circular.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0300 General.
9.0301 Bonding requirements.
9.03 BONDING
Page 9 -7
Where an award calls for construction or facilities improvement under a
contract or subcontract exceeding $100,000, BPA may accept the normal bonding
and insurance practices of the recipient, provided its system assures the
safety of BPA funds. This determination may be made by the CO.
If during the business evaluation a determination is made that adequate
protection for BPA funds does not exist, the minimum requirements for bonding
are as follows:
(a) Bid guarantee. A bid guarantee will be obtained from each bidder
equivalent to five percent (5 of the bid price. The "bid guarantee" shall
consist of a firm commitment such as a bid bond, certified check, or other
negotiable instrument accompanying a bid as assurance that the bidder will,
upon acceptance of his bid, execute such contractual documents as may be
required within the time specified.
(b) Performance bond. A performance bond will be obtained from the
contractor(s) equivalent to one hundred percent (100 of the contract
price. A "performance bond" is one executed in connection with a contract
to secure fulfillment of all the contractor's obligations under such a
contract.
(c) Payment bond. A payment bond will be obtained from the contractor
equivalent to one hundred percent (100 of the contract price. A "payment
bond" is one executed in connection with a contract to assure payment as
required by law of all persons supplying labor and material in the execution
of work provided for in the contract.
9.0302 Additional requirements for A -110 recipients.
Additional bonding requirements for A -110 recipients may be imposed in certain
circumstances not withstanding 9.0301 above, in the following instances:
(a) Where BPA guarantees or insures the repayment of money borrowed by the
recipient, BPA at its discretion, may require adequate bonding and
insurance if the bonding and insurance requirements of the recipient are not
determined to be adequate to protect the interests of BPA.
(b) BPA may require adequate fidelity bond coverage where the recipient has
no coverage, and the bond is needed to protect BPA's interest.
(c) Where bonds are required in the situations outlined in paragraphs (a)
and (b) above, the bonds shall be obtained form companies holding
certificates of authority as acceptable sureties (31 CFR 223).
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0400 General.
9.04 RETENTION OF RECORDS
Page 9 -8
Recipients and subrecipients programmatic records, supporting documents,
statistical records, and all other records pertinent to a financial assistance
award shall be retained for a period of three (3) years. The 3 year period
shall be calculated as follows:
(a) If BPA support is continued or renewed at annual or other intervals,
the retention period for the records of each budget period shall commence on
the date the annual Financial Status Report or the final financial status
report submitted at the end of that budget period is submitted to BPA. In
all other cases, the retention period starts on the date the recipient
submits its final Financial Status Report (or equivalent) to BPA or, if the
requirement for such an expenditure report has been waived, the retention
period shall start on the day the report would have been due.
(b) Equipment records. The record retention period for the equipment
records required by 9.12 starts from the date of disposition or transfer of
the property by or at the direction of BPA.
(c) If any litigation, claim, negotiation, audit or other disputed action
involving the records has been started before the expiration of the
three -year period, the records shall be retained until such action and all
related issues are resolved, or until the end of the regular three -year
retention period, whichever is later.
(d) The record requirements applicable to contractor and subcontractor
records are specified in 9.1303 -3.
9.0401 Additional requirements for A -102 Recipients.
Additional retention requirements for A -102 Recipients and subrecipients may
be imposed in certain circumstances. Not withstanding 9.0400, the following
retention requirements are applicable:
(a) Records for income transactions after award and subaward support. In
some cases, recipients must report income after the period of award
support. Where there is such a requirement the CO shall so state in the
award. The retention period for the records pertaining to the earning of
such income starts from the end of the recipient's fiscal year in which the
income is earned.
(b) Indirect cost rate proposals, cost allocation plans, etc. and their
supporting records, and any similar accounting computations of these rates.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(1) If submitted for negotiation. If the proposal, plan or other
computation is required to be submitted to the Federal government (or to
the recipient) to form the basis for negotiation of the rate, then the
three year retention period for its supporting records starts from the
date of the submission.
(2) If not submitted for negotiation. If the proposal, plan or other
computation is not required to be submitted to the Federal government (or
t� the recipient) to form the basis for negotiation purposes, then the
three year retention period for the proposal plan, or computation and its
supporting records starts from the end of the fiscal year (or other
accounting period) covered by the plan, proposal, or other computation.
9.0402 Access to records.
Page 9 -9
BPA and the Comptroller General of the United States, or any of their
authorized representatives, shall have the right of access to any books,
documents, papers or other records of recipients and /or subrecipients which
are pertinent to the award in order to make audits, examinations, excerpts and
transcripts. This right of access is not limited to the required retention
period, but shall last as long as the records are retained.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0500 General.
9.05 PROGRAM INCOME
Pace 9 -10
(a) Program income is covered in BPAI Part 8.0505 and Attachment D to OMB
Circular A -110.
(b) Recipients and subrecipients shall be required to account for income
earned from activities supported by an awards and subawards and income
resulting from BPA support as indicated in this subpart and OMB Circular
A -110.
9.0501 Program income.
(a) The recipient shall report general program income on the Financial
Status Report (SF -269) or equivalent for the period earned or received
(depending on the accounting basis used). The recipient shall account for
general program income as prescribed in the terms and conditions of the
award. BPA shall have no right to any portion of general program income
earned or accrued after the project period ends or the award is terminated
unless the terms of the award or BPA regulations provide otherwise.
(b) Program income shall be used in accordance with the methods outlined in
8.0505. When used as specified by the CO, the income shall be applied to
the current budget period in which earned, unless the CO authorizes in
ID writing, a deferral to a later budget period.
(c) A subrecipient shall account to the recipient for general program
income in accordance with the terms and conditions of the subaward. Such
terms and conditions shall be consistent with the provisions of the subpart.
(d) A recipient or subrecipient shall maintain records of the source,
amount, and disposition of any income for which it is accountable to BPA.
9.0502 Monitoring program income.
(a) The recipient's earning and use of program income shall be monitored by
the PTR to determine whether projected earnings are in line with actual
earnings. Program income will be reported on the Financial Status Report
(FSR). Any questions concerning the earning of and use of program income by
the PTR should be directed to the CO for disposition instructions or
action. Depending on the alternative specified by the CO for use of that
income, overrecovery or underrecovery of funds may either put BPA in a
disadvantageous funding position or adversely impact the project.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -11
(b) This monitoring is especially necessary when program income is used as
a deduction from project costs prior to determining the BPA share, or when
program income is used to meet the cost sharing requirement. The
information obtained from this monitoring will not require any adjustments
in the current budget under a project that will be funded for more than 1
year, but should serve as an indication to the CO to reevaluate the
alternative(s) selected for the next award.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0600 General.
9.06 FINANCIAL MANAGEMENT SYSTEMS
Page 9 -12
Standards for recipient and subrecipient financial management systems are
outlined in this subpart and part 9.06. Except as provided in 9.0601,
recipient's financial management systems must meet the following minimum
standards:
(a) Financial reporting. Accurate, current, and complete disclosure of the
financial results of BPA sponsored activities must be made in accordance
with the financial reporting requirements of the award or subaward.
(b) Accounting records. Recipients and subrecipients must maintain records
that adequately identify the source and application of funds provided for
financially assisted activities. These records must contain information
pertaining to award and subawards and authorizations, obligations,
unobligated balances, assets, liabilities, outlays, expenditures, and income.
(c) Internal control. Effective control and accountability must be
maintained for all grant and subgrant cash, real and personal property, and
other assets. Recipients and subrecipients must adequately safeguard all
such property and must assure that it is used solely for authorized purposes.
(d) Budget control. Actual expenditures or outlays must be compared with
budgeted amounts for each award or subaward. Financial information must be
related to performance or productivity data, including development of unit
cost information whenever appropriate or specifically required in the award
or subaward.
(e) Allowable costs. Applicable OMB cost principles, BPA program
regulations, and the terms of the award and subaward will be followed in
determining the reasonableness, allowability, and allocability of costs.
(f) Source documentation. Accounting records must be supported by such
source documentation as cancelled checks, paid bills, payrolls, time and
attendance records, contract and subaward documents, etc.
(g) Cash management. Procedures for minimizing the time elapsing between
the transfer of funds from the U.S. Treasury and disbursement by recipients
and subrecipients must be followed whenever advance payment procedures are
used. Recipients must establish reasonable procedures to ensure the receipt
of reports on subrecipient's cash balances and cash disbursements in
sufficient time to enable them to prepare complete and accurate cash
transactions reports to BPA.
III
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0601 Additional financial management standards for A -102 recipients.
Paae 9 -13
(a) States. States must expend and account for award funds in accordance
with State laws and procedures for expending and accounting for their own
funds. Fiscal control and accounting procedures of the state, as well as
its subrecipients and cost -type contractors, must be sufficient to:
(1) Permit the preparation of reports required by the award and the
statutes authorizing the award.
(2) Permit the tracing of funds to a level of expenditures adequate to
establish that such funds have not been used in violation of the
restrictions and prohibitions of applicable statutes.
9.0602 Additional financial management standards for A -110 recipients.
(a) Individuals. Individuals whose financial management systems do not
meet the minimum standards of subpart 9.0600 shall maintain a separate bank
account for deposit of award or subaward funds. Disbursements by the
recipient and subrecipient from this account shall be supported by source
documentation such as canceled checks, paid bills, receipts, payrolls, etc.
9.0603 Financial management system reviews.
BPA may review the adequacy of an applicant's financial management system as
part of a preaward review or at any time subsequent to award. The CO shall
rely, to the extent possible, on readily available sources of information,
such as previous audit reports to make any preaward assessment of the adequacy
of the applicant's financial management system. The CO shall seek additional
information from the applicant or perform an on -site preaward review only if
necessary to assure prudent management of BPA funds.
9.0603 -1 Financial management system reviews for A -110 recipients.
Such reviews or audits shall be made by qualified individuals who are
sufficiently independent of those who authorize the expenditure of BPA funds
to produce unbiased opinions, conclusions and judgements. They shall meet the
independence criteria along the lines of Chapter 3, Part 3 of the GAO
publication, "Standards for Audit of Governmental Organizations, Programs,
Activities, and Functions Such audits shall
(a) Be conducted on an organization -wide basis to test the fiscal integrity
of financial transactions as well as compliance with the terms and
conditions of BPA grants and other agreements.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Page 9 -14
(b) Include an appropriate sampling of BPA agreements.
(c) Be conducted with reasonable frequency, on a continuing basis, or at
scheduled intervals. They shall be usually annual, but not less frequently
than every two years.
(d) Include systematic methods for timely and appropriate resolution of
audit findings and recommendations.
III 9.07 FINANCIAL REPORTING
BPAI
June 1. 1989 Transmittal 89 -1
9.0700 General.
PART 9 AWARD ADMINISTRATION
Pace 9 -15
This subpart outlines the reporting requirements, required forms, and
procedures for recipients to summarize expenditures, report the status of cash
advanced (including letter —of— credit), and request advances or reimbursements.
Deviations from these requirements are considered to be deviations from the
BPAI, and shall be documented in accordance with 1.0106. Supplementary or the
use of forms other than those required in this subpart must be authorized by
the HCA.
(a) A recipient shall report financial information to BPA as required by
the forms and the terms and conditions of the award. BPA may shade out or
instruct the recipient to disregard any line item BPA feels unnecessary for
its decisionmaking purposes.
(b) Recipients shall not be required to submit more than the original and
two (2) copies of the forms required under this subpart.
(c) Recipients may provide the required information in machine usable
format or computer format instead of the prescribed forms.
(d) Recipients need not apply the forms prescribed in this subpart in
dealing with their subrecipients.
9.0701 Financial report forms.
9.0701 -1 Financial Status Report, SF -269 and 269a.
(a) Recipients shall use the Standard Form 269 or 269a, Financial Status
Report, to report the status of funds for all non construction awards. (See
9.0701 -4 for use of the form for construction awards).
(b) Frequency and due date.
(1) BPA may prescribe the frequency for each project or program, however,
the report will not be required more frequently than quarterly. If BPA does
not specify the frequency, the the report will be submitted annually.
(2) Reports are due 30 days after the reporting period if due quarterly or
if due semi annually.
(3) Reports are due 90 days after the end of the award year if required on
an annual basis.
(4) Final financial status reports are due within 90 days after the
expiration or termination of the award (see 10.0501).
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0701 -2 Federal Cash Transaction Report, SF -272 and 272a.
Page 9 -16
For awards with letter -of- credit, Treasury check advances, or electronic
transfer of funds, recipients shall use the Standard Form 272 and where
necessary Standard Form 272a.
(a) These reports will be used by BPA to monitor cash advanced to
recipients and to obtain disbursement or outlay information for each award
from the recipients.
(b) BPA may require forecasts of Federal cash requirements in the "Remarks"
section of the report.
(c) When considered necessary and practical by BPA, recipients may be
required to report the amount of cash advanced in excess of three days needs
in the hands of subrecipients and provide explanations of the measures taken
by the recipient to reduce the excess balances.
(d) Frequency and due date. Recipients must submit the SF- 272/272a no
later than 15 working days following the end of the quarter. BPA may
require the report to be submitted within 15 working days following the end
of each month in instances where recipients receive advances totalling
$1,000,000 or more annually. Final federal cash transaction reports are due
within 90 days after the expiration or termination of the award (See
10.0504).
9.0701 -3 Request for Advance or Reimbursement, SF -270.
For awards using other than letter of credit payment procedures recipients
shall use the Standard Form 270. (This form shall not be used when
predetermined advances are made automatically.) BPA may specify the use of
this form for construction awards having advance or reimbursement payment
method provisions in lieu of the SF -271. See 9.0901 -2 for frequency of
reports. Final Requests for advance or reimbursement shall be within 90 days
of expiration or termination of the award (see 10.0502).
9.0701 -4 Outlay Report and Request for Reimbursement for Construction
Programs, SF -271.
In awards that support construction activities containing reimbursement,
letter -of- credit, electronic funds transfer, or treasury check payment methods
recipients shall use the Standard Form 271. (See 9.0701 -3 for allowable use
of the SF -270 for construction related awards.) BPA shall provide any
necessary special instructions.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(a) Frequency for submitting by A -102 recipients.
Paae 9 -17
BPA may prescribe the frequency of the report for each award. However, the
report shall not be required more frequently than quarterly.
(b) Frequency for submitting by A -110 recipients.
A -110 recipients shall be authorized to submit requests at least monthly.
(c) Additional requirements for A -102 recipients, construction awards.
When a construction award is paid by Treasury check advances based upon
periodic requests from the recipient, the advances will be requested on a
SF -270. BPA may substitute the Financial Status Report, SF -269 for the
SF -271.
(d) Final outlay reports and requests for reimbursement for construction
programs shall be due within 90 days after the expiration or termination of
the award (see 10.0503).
9.0701 -5 Additional requirements for A -110 recipients.
(a) When additional information is needed to comply with
legislative /statutory requirements, BPA shall issue instructions to require
recipients to submit such information under the "Remarks" section of the
mandated report. Such additional information requirements shall be cleared
by the HCA prior to issuing instructions to the recipient.
(b) When BPA has determined that a recipient's accounting system does not
meet the standards for financial management systems as contained in 9.06,
additional information further monitor awards may be obtained upon
written notice to the recipient until such a time as the financial
management system is brought up to standard.
9.0702 Processing financial reports.
The PTR will receive all financial reports and requests from the recipient.
Reports will be reviewed to determine that they are accurate and consistent
with the project budget and previous reports. If the report /request is
acceptable, the PTR will certify its acceptability. The original will be
forwarded directly to the General Vouchers Section, DSDG. Apparent
inaccuracies will be called to the attention of the recipient and attempts
made to correct the problem before transmitting the reports to the CO. One
copy of each report or request will be retained by the PTR, and one copy
forwarded to the CO under cover of Exhibit 9 -1. Such reports and requests
will be certified and forwarded directly by the PTR without review or approval
of other personnel. However, copies may be distributed to program personnel
by the PTR for program management purposes.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0703 Review of financial reports.
Paae 9 -18
(a) The PTR shall review the information provided in the FSR (SF -269, long
form) in conjunction with the approved budget, the progress report covering
the same period as the FSR, and financial (payment) reports in order to get
as complete a Picture as possible of the recipient's financial situation.
(b) Lines 10a, b, and m of the FSR provide information that may be checked
against the original budget to provide an indication of expenditure rates.
These figures also should bear a direct relationship to the progress
reported on goals and /or objectives in the current progress report. If the
progress report indicates a shortfall in goals and /or objectives while
expenditure rates are at or above planned levels, a review with the CO and
the recipient is in order.
(c) A review of "drawdown" information will serve as a double check on
expenditures for the period. The two amounts should be fairly close,
although some differences might be expected because of processing time (for
the report, on the one hand, and for payments, on the other) and the
reporting basis, i.e., cash or accrual.
(d) For projects in which program income is being generated, as well as in
projects requiring cost sharing, the PTR's review should be concerned with
whether income is being earned in line with expectations, whether the
recipient is applying it pursuant to the terms and conditions of the award,
and whether and to what extent the recipient is contributing it to the costs
of the project.
(e) The analysis of any other required or alternative financial reports,
e.g., the Request for Advance or Reimbursement (SF -270), should be
accomplished in a similar manner. The information on the SF -270 can be used
to compare outlays with the approved budget, with previous outlays, and with
the progress report as well as to judge the drawdown rate.
(f) The PTR should remember that any discrepancies or irregularities
apparent from the review are only indicators of possible problems and are
not conclusive. The PTR should use all available information to try to
understand the situation, obtaining additional information from the
recipient as necessary.
(g) CO's shall also review the periodic financial reports submitted by
recipients to determine that drawdowns and expenditures are in reasonable
balance to project activity, and if not, take remedial measures in
cooperation with PTRs. Such measures may include substituting the
reimbursement method of payment for advance payment.
(h) Unobligated funds reported by a recipient at the end of a budget period
should be taken into account by the CO when making a continuation award, if
any. (See 9.20 for continuations.) Unobligated funds remaining at the end
of a project period which will not be extended or renewed revert to BPA.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Date:
To
From
For the period
Exhibit 9 -1
Project Technical Representative
Subject: Financial Assistance Award Number: DE- FC /FG79 BP
Recipient
Financial Status Report
Request for Advance /Reimbursement
1. Financial Status Reports (Attach copies)
(SF -269, Financial Status Report)
(SF -271, Outlay Report and Request
for Reimbursement for Construction Programs)
(SF -272 and SF- 272 -A, Federal Cash
Transaction Report)
(a) Report submitted timely
(b) Expenditure rate or draw -down rate (LOC) appears to be
at anticipated level, and for items approved
in the approved project budget.
(c) Expenditure rate or draw -down rate appears to be
reasonable when compared to technical progress
reports.
(d) Program income (if applicable) is being generated
in line with award expectations.
(e) Report indicated financial management of
project is acceptable and in conformance
with the terms and conditions of the award
Contracting Officer
Contracting Officer's Representative
Pace 9 -19
Yes No*
(d) Report indicates that no follow -up action
is required at this time
*Any "No" answers shall be explained and recommendations provided in the
"Remarks" section or attached.
BPAI PART 9 A D ADMINISTRATION
June 1. 1989 Transmittal 89 -1
2 Request for Payments:
Exhibit 9 -1 (Con't)
(a) Amount requested appears reasonable
when compared with progress reports
(b) Funds on hand and requested are not in
excess of needs.
(c) Request was approved and has been
forwarded for payment.
(d) Date request forwarded for payment
3 Summary
All reports transmitted by this memorandum
appear accurate and acceptable
4. Financial Summary
(a) Total amount authorized by the award.
[NFAA, block 17(b)(3)]
(b) Total amount authorized for current budget period,
including modifications [NFAA, block 17(b)(1)]
Previous amount requested this budget period.
Amount of this request
Total amount requested including this request
(Amount on third line may not exceed amount
on first line).
Remarks (Check one):
(a) None
(b) Explanation (attached):
Recommended Action (check one):
(a) None
(b) Recommendation (attached):
Page 9 -20
III
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.08 MONITORING PROGRAM PERFORMANCE
9.0800 General.
Paae 9 -21
(a) Recipients are responsible for managing the day -to -day operations of
the award and oversight of subaward activities. Recipients must monitor and
report award and subaward activities to assure compliance with BPA and OMB
requirements, and that performance goals are being accomplished. Recipient
monitoring must cover each program, function or activity.
(b) The requirements for such performance reports shall be described in any
solicitation and shall be set forth in the terms and conditions of the
award. The award shall specify the objectives the recipient is to achieve
in performing the project, the report form or format to be used, and the
frequency of required performance reports.
9.0801 Performance reports.
9.0801 -1 Reporting requirements.
Recipients shall submit a performance (technical) report for each award. The
report shall be not more than the original and two copies, and shall contain
brief information on the following: (Recipients shall adhere to these
requirements in prescribing report requirements to subrecipients).
ill (a) A comparison of actual accomplishments to the objectives established
for the performance period. Where output of the project can be quantified,
such quantified data should be related to cost data for computation of unit
costs if that information is useful.
(b) The reasons for slippage if established goals were not reached or
achieved.
(c) Additional pertinent information, including when appropriate, analysis
and explanation of cost overruns or high unit costs.
9.0801 -2 Frequency of reports.
Recipients shall submit annual performance reports unless BPA specifies
quarterly or semi annual reports. Performance reports will not be required
more frequently than quarterly. Such performance reports shall be due within
the same time frames as required for financial reports (9.0701 -1).
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -22
9.0801 -3 Special reporting requirements.
Events may occur between the scheduled performance reporting dates which have
significant impact upon the award or subaward supported activity. In such
instances, the recipient shall notify BPA as soon as the following conditions
become known:
(a) Problems, delays, or adverse conditions which will materially impair
the ability of the recipient to meet the objectives of the award. This
report must include a statement of the action contemplated or taken to
correct the situation and any assistance needed by the recipient from BPA to
rectify the situation.
(b) Favorable developments which enable the recipient to meet time
schedules and objectives sooner, or at less cost than anticipated, or
producing more results than originally anticipated.
9.0801 -4 Additional requirements for A -102 recipients construction
performance reports.
In most instances, on -site technical inspections and certifications of
percentage completion data will be considered sufficient by BPA to monitor
progress under construction awards and subawards. BPA will require additional
formal performance reports only when deemed necessary. Such reports will not
be required more frequently than quarterly.
9.0801 -5 Waivers and extensions.
(a) A -102 recipients.
(1) BPA may waive any performance report required by this subpart if not
needed.
(2) The recipient may waive any performance report from a subrecipient when
not needed.
(3) If a justified request is submitted by the recipient, BPA may extend
the due date for any performance report.
(4) The recipient may extend the due date for any performance report from a
subrecipient if the recipient will still be able to meet its performance
reporting obligations to BPA.
(b) A -110 recipients.
BPA may waive the requirement for recipients to submit performance reports
with the financial reports under the following circumstances:
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(1) When the recipient is required to submit a performance report with a
continuation or renewal application.
(2) When BPA determines that on -site technical inspections and certified
completion data will be sufficient to evaluate construction projects.
(3) When BPA requests annual financial reports on a fiscal year basis,
but it is necessary to receive annual progress reports on a calendar year
basis.
9.0802 Site visits and technical assistance.
9.0802 -1 Requirements for A -102 recipients.
BPA shall conduct site visits only as warranted by program or project needs.
Technical assistance site visits shall be provided only (1) in response to
requests for recipients, or (2) when recipients are designated "high risk" in
accordance with 7.0102.
9.0802 -2 Requirements for A -110 recipients.
BPA shall make site visits as frequently as practicable to: (1) Review
program /project accomplishments and management control systems, and; (2)
provide technical assistance as may be required.
9.0803 Processing and review of technical and progress reports.
Page 9 -23
(a) The PTR will insure that technical and progress reports are received
from recipients on the schedule established in the award. If the reports
are not received as scheduled, the PTR is responsible for contacting the
recipient to determine why reports are late. PTR's will retain one copy of
the reports, and forward copies to program or managerial personnel.
Technical reports will not be forwarded to the CO unless requested.
(b) PTR's will report to the CO within 15 calendar days of receipt of the
reports as to the following: (Exhibit 9 -2 is a sample form memorandum which
may be used or modified for this purpose.)
(1) Whether progress is within the time schedule contemplated in the award
(2) Whether the project is being conducted in accordance with the terms
of the award
(3) Whether reports are received as scheduled or whether reports were
late. If reports were late, an explanation will be provided along with a
description of the PTR's action to obtain future reports on a timely basis.
(4) Whether the reports are adequate (if inadequate, the PTR shall
explain the inadequacies, and the actions being taken to correct them.)
BPAI PART 9 AW1iRD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Pace 9 -24
9.0804 Other reports
The PTR will advise the CO in writing of any significant occurrences
concerning the conduct of the project, the financial standing of the
recipient, or other incidents which may impact the project, either favorable
or unfavorable. If the recipient is not providing reports as scheduled, and
the PTR is unable to obtain them, the PTR will contact the CO and discuss
the matter before taking any further action.
1
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Date:
To
From
Subject: Financial Assistance Award Number DE- FC /FG79- BP
Recipient:
Technical and /or Progress Report Summary
1. The technical /progress (strike one) report due on
was received (enter dates). T have reviewed the
report and find that
(a) Progress is satisfactory
(b) Project'appears to be progressing in accordance
with the terms and conditions of the award
(c) Reports were submitted on time
(d) Contents of report are adequate
(e) Copy of report attached (if required by CO).
(f) Federally owned property inventory report
received and reviewed per BPAI 9.12 (annual
requirement)
*Any "No" answers are to be explained and recommendations provided below:
cc:
Project Manager
Remarks (check one):
a. None
b. Explanation:
Recommended Action (Check one):
a. None
b. I recommend:
Exhibit 9 -2
Prepared By: Date:
cc: Project Manager
Official File
Contracting Officer
Contracting Officer's Representative
Project Technical Representative
Page 9 -25
Yes No*
9.09 PAYMENT REQUIREMENTS
1
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0900 General.
Page 9 -26
(a) This subpart prescribes the methods under which BPA will make payment
to recipients. The methods and procedures for payment shall minimize the
time elapsing between the transfer of funds and disbursement by the
recipient or subrecipient in accordance with Treasury Regulations at 31 CFR
Part 205.
(b) The payment method for a specific award is stated in the award. The
recipient can change the payment method after the award only upon written
request and approval by the CO. The CO shall discuss the requested change
with the Certifying Officer before approving or disapproving the request.
(c) The recipient shall request payment on the forms specified in the award.
9.0901 Payment methods.
9.0901 -1 Letter of credit.
A letter of credit is an instrument certified by an authorized Federal
official that authorizes a recipient to draw funds needed for immediate
disbursement in accordance with the provisions of Treasury Circular 1075. The
recipient must comply with Treasury Circular 1075 guidelines (31 CFR Part 205)
and instructions from Disbursement Audit in making withdrawals under the
letter of credit and in reporting on cash disbursements and balances.
"Immediate" need has generally been defined to be not more than three days
cash requirements when the letter of credit method is used.
S.0901-2 Advance payment.
An advance payment is a payment made either Treasury check or electronic funds
transfer made to a recipient upon request before outlays are to made or
through the use of predetermined payment schedules.
(a) The timing and amount of cash advances to the recipient shall be as
close as is administratively feasible to the actual disbursement of funds by
the recipient.
(b) If a recipient meets the requirement for advance payment, the duration
of the project is 12 months or less, and the amount of the award is less
than $10,000, the entire award amount may be advanced in a single Treasury
payment.
(c) Cash management of advances must be handled in the following manner.
(1) Advance payments to a recipient are governed by the requirements of
Treasury Circular 1075 which states in Section 205.4(a):
III
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -27
Cash advances to a recipient organization shall be limited to the
minimum amounts needed and shall be timed to be in accord only with the
actual, immediate cash requirements of the recipient organization in
carrying out the purpose of the approved program or project. The timing
and amount of cash advances shall be as close as is administratively
feasible to the actual disbursements by the recipient organization for
direct program costs and the proportionate share of any allowable
indirect costs.
(2) Predetermined advance payment schedules or percentage advances
shall not normally be used in making payments. Rather, recipients shall
be required to make requests for advance payment based on the actual,
immediate cash needs.
(3) Advance payments should not normally be less than $5,000 in order
to avoid frequent requests for small advances and to control the costs
associated with requesting, issuing, and recording advances both by the
recipient and the Federal Government. When the advance by Treasury
check method is used, recipients are authorized to submit payment
requests at least monthly.
(4) In those instances in which excess advance funds have been
erroneously drawn, the recipient shall be required to make a prompt
refund. The only exceptions are when the advance funds will be
disbursed within 7 calendar days or are less than $10,000 and will be
disbursed within 30 calendar days.
(5) With the exception of State governments and instrumentalities of
States, interest earned by recipients on advance payments must be
promptly refunded to the Federal Government. Pursuant to the
Intergovernmental Cooperation Act of 1968 (Pub. L. 90 -577), States are
permitted to retain interest earned on advances of Federal funds with no
accountability to the Federal Government. However, States are required
to comply with the provisions of Treasury Circular 1075 regarding the
timing and amount of advances.
9.0901 -3 Reimbursement by Treasury check.
r
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Page 9 -28
Reimbursement by Treasury check is a payment made by issuing a Treasury check
or authorizing payment by electronic transfer of funds to a recipient upon
r''equest for reimbursement by the recipient.
Reimbursement shall be the preferred method of payment when the recipient does
not have a financial management system (9.06) enabling them to maintain
procedures to minimize the time elapsing between the transfer of funds to the
rlecipient and their disbursement.
(a) Recipients and subrecipients shall not be reimbursed for amounts that
are to be withheld from contractors to assure satisfactory completion of
contractual work under an award or subaward. Such amounts shall be paid
only after the recipient or subrecipient makes the final payment to the
contractor, including the amount withheld.
(b) BPA shall normally make payment within 10 days of a request for
reimbursement, unless the requet is improper or questionable.
5.0901 -4 Additional payment methods for A -102 recipients Working capital
I advances.
I n accordance with the criteria outlined in 8.0504 -4, BPA may provide funds on
a working capital advance basis. The procedure shall be as follows:
(a) BPA shall advance funds to the recipient to cover its estimated
disbursement needs for an initial period, generally geared to the
recipient's disbursing cycle.
(b) After the initial period, BPA shall reimburse the recipient for its
actual cash disbursements.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.0902 Withholding of payment.
(a) Unless otherwise required by Federal statute, BPA shall not withhold
payments for proper charges incurred by a recipient or subrecipient during a
budget period unless:
(1) The recipient has ,failed to comply with program objectives, award
conditions, or Federal reporting requirements, or BPA has made a
determination of noncompliance in accordance with 9.17. If BPA withholds
payment without suspension or termination of the award, BPA shall release
withheld payments to the recipient after compliance is achieved. If the
award has been suspended or terminated, payment adjustments shall be
governed by 9.18; or
(2) Indebtedness to the United States and collection of the debt will not
impair accomplishment of the project objectives: The recipient owes
money to the United States and collection of the debt by withholding
payments would not impair the accomplishment of program objectives.
Payment of the debt may also be accomplished by accounting adjustments to
cash balances in the possession of the recipient for which the recipient
is accountable to the Federal government.
(b) Payment shall not be withheld for proper charges made by a recipient
unless one of the above circumstances exist. Payment cannot be withheld as
an inducement to the recipient to complete the project or deliver a final
report. Any contemplated withholding of payment should be coordinated with
the CO and legal counsel.
(c) Before withholding any payment, BPA shall notify the recipient that
payments shall not be made for obligations incurred after a specified date,
which shall ordinarily be no sooner than 30 days from the date of the
notice, until the recipient corrects the noncompliance or pays the
indebtedness to the Federal government. (See also 9.17 for notification of
noncompliance.)
9.0902 -1 Reserved.
Page 9 -29
9.0903 Assignment of payments.
(a) With prior BPA approval and in accordance with written BPA
instructions, a recipient may assign to a bank, trust company or other
financing institution, including any Federal lending agency reimbursement by
Treasury check due from BPA under the following conditions:
(1) The award provides for reimbursement totaling $1,000 or more;
(2) The assignment covers all amounts payable under the award that have
not already been paid;
(3) Reassignment is not prohibited; and
BPAI PAT 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Pace 9 -30
(4) The assignee files a written notice of payment assignment and a true
copy of the instrument of assignment with BPA.
(b) Any interest cost resulting from a loan obtained on the basis of an
assignment are unallowable charges to BPA award funds or any required cost
sharing.
(c) Assignment of payments will be handled in the same manner as Assignment
of Claims as described in BAG 32.8.
9.0904 Payments to subrecipients.
Recipients shall observe the requirements of this section in making or
withholding payments to subrecipients except that the forms used by recipients
are not required.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.10 BUDGET REVISION
9.1000 General.
Page 9 -31
(a) This subpart sets forth the procedures to be followed for all
recipients to report budget revisions and request budget revision approvals.
(b) Subsequent to award, recipients and subrecipients are permitted to
rebudget within the approved direct cost budget to meet unanticipated
requirements. However, certain types of postaward changes in budgets shall
require the prior written approval of the CO.
(c) If costs are to be charged as direct costs after award and they are not
in the approved budget, specific prior written approval must be obtained
from the CO, the recipient, or the subrecipient, as appropriate, before such
costs are incurred by the recipient, subrecipient, or cost -type contractor.
9.1001 Budget changes for non construction projects.
Recipients and subrecipients are permitted to revise or rebudget within the
approved direct cost budget to meet unanticipated requirements and may make
limited budget changes subject to the restrictions in 9.1001 -1 and 9.1001 -2,
and the applicable cost principles.
Except as stated in other regulations or in an award, recipients or
subrecipients shall obtain prior approval whenever any of the following
changes are anticipated under a non construction award:
(a) Changes in the scope or the objective of the project or program that
will require a budget revision.
(b) The need for additional funding.
(c) Transfer or funds alloted for training allowances (ie. from direct
payments to trainees) to other budget catagories.
9.1001 -1 Additional requirements for A -102 recipients.
In addition to the requirements for all types of recipients listed above,
additional approvals are required for A -102 recipients when cumulative
transfers among direct cost catagories or, if applicable, among separately
budgeted programs, projects, functions, or activities exceed ten percent (10
of the current total approved budget, whenever BPA's share exceeds $100,000.
9.1001 -2 Additional requirements for A -110 recipients.
In addition to the requirements for all types of recipients listed above, the
following additional approvals are required for A -110 recipients when:
BPAI PART 9 A1116 ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -32
(a) Transfer of funds budgeted for indirect costs to absorb increases in
direct costs or vice versa, if approval required by BPA.
(b) Cumulative transfers among direct cost catagories or„ if applicable,
among separately budgeted programs, projects, functions, or activities which
exceed five percent (5 of the current total approved budget, whenever
BPA's share exceeds $100,000. BPA shall not approve a transfer that would
cause the BPA share (or part thereof) to be used for purposes other than
intended.
9.1002 Budget changes for construction and combined
construction /non- construction projects.
(a) Recipients and subrecipients shall obtain prior approval for any budget
revision which will result in the need for additional funding.
(b) When an award or subaward provides funding for both construction and
non construction activities, prior approval must be obtained before making
any fund or budget transfers between construction and non- construction
activities or vice versa.
9.1003 Requesting approval for changes.
When a recipient wishes to make a budget revision which requires prior
approval by the CO, the recipient should submit a written request to the CO
which includes the following:
(a) The nature of, and rationale for, the revision.
(b) The proposed revised budget prepared in the same manner and on the same
form as the original budget submitted with the application.
(c) All pertinent information and supporting documentation concerning the
proposed revision which may be needed by the CO to review the request.
9.1004 Review and approval of request.
(a) CO's should assure that budget revision requests are reviewed by the
PTR and /or program manager to consider the possible programmatic impact of
any requested change. CO's will be responsible for responding to recipient
requests for prior approval of budget revisions. PTRs and other program
personnel may not approve or disapprove recipient requests.
(b) Retroactive budget approvals unless otherwise prohibited may be
provided at the discretion of the CO. As a general practice, requests for
retroactive approval should be granted only if extenuating circumstances
justify such an approval and /or an approval would have been made if the
budget revision request had been submitted in a timely manner.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(c) The CO is required to notify the recipient within 30 days after the
date of receipt of the request as to whether the budget revision(s) have
been approved or disapproved. Accordingly, upon receipt, the CO shall
promptly provide the program manager with a copy of the above
documentation. The CO should request the program manager to review the
package and provide a recommendation concerning its approval to the CO
within 2 weeks of receipt of the package. The CO will then review the
request in light of the program manager's recommendation, and on the basis
of this review notify the recipient in writing of the approval or
disapproval of its request. In the event that the CO does not concur with
the recommendation of the program manager, the CO should confer with the
program manager and come to an agreement concerning the revision prior to
notifying the recipient of a decision.
(d) If the request for the revision is approved, the program manager should
then initiate a Procurement Request, unless the revision is solely to
transfer funds between existing budget line items.
(e) Notification to recipient of approval or disapproval may be by letter
or modification to the award as appropriate.
9 1005 Subrecipient requests.
Page 9 -33
A request by a subrecipient for prior approval shall be addressed in writing
to the recipient. The recipient shall promptly review such request and shall
approve or disapprove the request in writing. A recipient shall not approve
any budget or project revision which is inconsistent with the purpose or terms
and conditions of the BPA award. If the revision requested by the
subrecipient would result in a change to the recipient's approved budget or
approved project which requires BPA prior approval, the recipient shall obtain
BPA approval before approving such revision.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
4 9.11 CLOSEOUT PROCEDURES
9.1100 General.
See BPAI Part 10 for procedures for closing financial assistance awards.
Pane 9 -34
9.1200 General.
9.1201 Definitions.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.12 PROPERTY MANAGEMENT
Pace 9 -35
This subpart sets forth the policies and procedures to be followed for
property management under all BPA supported financial assistance.
In addition to the terms defined in the OMB Circulars, the following are
provided:
"Acquired with BPA award funds" means that all or a portion of the acquisition
cost of an item of property is a direct charge to BPA award funds (whether the
cost is incurred under the award, a subaward, or a cost reimbursement
contract) or all or a portion of the acquisition cost is a direct cost being
used to meet a cost sharing requirement.
"Acquisition of property" means the purchase, construction, or fabrication of
property but does not include rental of property or minor alteration or
renovation of real property.
"Federally owned property" means any real or tangible personal property
(equipment or supplies) owned, leased or rented by BPA which is furnished by
BPA to a recipient for use during the project period, and any such property
acquired under an award which BPA is required by statute or by a determination
made in accordance with this Part to own.
"Personal property" means personal property of any kind except real property.
It may be tangible having physical existence such as equipment or supplies,
or intangible having no physical existence such as copyrights, patents and
inventions.
"Excess property" means property under the control of any federal agency that
has been determined by that agency to no longer be required for its needs, or
the discharge of its responsibilities.
"Exempt property" means tangible personal property acquired in whole or part
with BPA funds, and title to which is vested in the recipient without further
obligation to the federal government.
9.1202 Applicability.
(a) Except as provided in paragraph (b) and (c), this section applies to
real and personal property acquired with BPA award funds, and to real and
personal property furnished by BPA under an award.
(b) The requirements of this section apply to recipients and
subrecipients. The requirements of this section apply to personal property
acquired by a contractor under an award or subaward only when the award
requires ownership of the property to remain with the recipient,
subrecipient, or BPA.
BPAI PART 9 AM ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -36
(c) The requirements of this Subpart do not apply to:
(1) Property for which only use or depreciation allowances are charged;
(2) Property donated by a third party (whether or not counted as a
third -party in -kind contribution); and
(3) Property acquired for sale or rental rather than for use in the BPA
supported project.
(d) Recipients and subrecipients may use their own property management
standards and procedures if the requirements of this subpart are met.
(e) BPA may retain a proportionate interest and the right to direct the
transfer of title to property acquired by recipients and subrecipients in
accordance with the requirements of this subpart.
9.1203 Reporting requirements.
This ownership distinction is important in terms of Government rights to the
property and reporting requirements. For example, while recipients must
report annually on federally owned property, they generally need only provide
a listing of recipient owned property acquired under the award at closeout.
Further, the property management standards require that the recipient maintain
records, available for Government review, concerning recipient -owned
property. It is unnecessary as well as inappropriate for COS to require the
recipient to submit duplicate information to BPA for BPA records.
9.1204 Real property.
It is not contemplated that real property will be acquired or furnished under
BPA's financial assistance awards. In the event that an award is planned
which involves Federally -owned real property, contact the HCA.
9.1205 Federally -owned nonexpendable personal property.
If federally owned nonexpendable personal property has been provided under an
award, title remains vested in the federal government.
(a) The recipient must submit annually an inventory to the CO which list
such equipment in the custody of the recipient, or contractor under the
award, and will manage the property in accordance with the BPA's rules and
procedures.
(b) For federally owned nonexpendable personal property acquired with BPA
award funds, the recipient shall provide written notification of the results
of the inventory(ies) as required under this subpart.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Page 9 -37
(c) When the property is no longer needed, disposition shall be in
accordance with direction from BPA.
(d) Property that is federally owned must be marked to indicate federal
ownership.
(e) Use of federally owned property on non federally sponsored activities
shall be approved in writting by BPA.
9.1206 Property management standards.
Procedures for managing property or equipment acquired in whole or part with
award funds (until disposition takes place) will meet at a minimum the
following standards:
(a) Property records Property records shall be maintained that include a
description of the property, a serial number or other identification number,
the source of the property, who holds title, the acquisition date and
acquisition cost, the location, use and condition of the property, and any
other relative information.
(b) A physical inventory of the property must be taken and the results
reconciled with the property records at least once every two years.
(c) A control system shall be in effect to insure adequate safeguards to
prevent loss, damage, or theft of the property. Any loss, damage or theft
of property shall be investigated and fully documented If the property was
BPA furnished, BPA shall be promptly notified.
(d) Adequate maintenance procedures must be developed to keep the property
in good condition.
(e) If the recipient or subrecipient is authorized or required to sell the
property, proper sales procedures must be established to ensure the highest
possible return.
9.1207 Title to non expendable personal property or equipment.
Title to non expendable property or equipment acquired under an award or
subaward will vest in the recipient upon acquisition. This property is
considered to be "recipient owned" as opposed to "federally owned" (9.1205)
since the recipient has title. However, see 9.1202(e) for additional
direction. This will not apply to property or equipment loaned or furnished
by BPA.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1 Paae 9 -38
9.1207 -1 Special requirements for A -102 recipients.
States acquiring non expendable property or equipment under an award or
subaward are considered to have "clear title and are not subject to any
further conditions or obligations as to the use, management, or disposition of
equipment or non expendable property. Such equipment shall be used, managed,
or disposed of in accordance with state laws and procedures.
9.1208 Use of equipment or non expendable personal property.
With the exception of state governments (9.1207 -1) all other recipients shall
use the equipment or non expendable personal property acquired under an award
as follows:
(a) Equipment shall be used by the recipient and subrecipient in the
program or project for which it was acquired for as long as needed, whether
or not the project or program continues to be supported by BPA funding.
(b) Equipment no longer required for the original project or program may be
used in other projects or programs currently or previously supported by
federal funds.
(c) Shared use: Recipients shall make equipment available for shared use
on other projects or programs currently or previously funded by federal
funds, providing such use will not interfere with the work on projects or
programs for which it was originally acquired. User fees should be
considered if appropriate.
9.1208 -1 Additional use requirements for A -102 recipients.
(a) Notwithstanding the encouragement for recipients to earn program
income, recipients or subrecipients must not use equipment acquired with
award funds to provide services for a fee that will compete unfairly with
private sector firms providing equivalent services, unless specifically
permitted or contemplated by Federal statute.
(b) When acquiring replacement equipment or non expendable property, the
recipient or subrecipient may use the property to be replaced as a trade -in,
or sell the property and use the proceeds to offset the cost of the
replacement equipment, subject to BPA CO approval.
9.1209 Expendable personal property or supplies.
Title to supplies or expendable personal property acquired under an award
shall vest to the recipient or subrecipient upon acquisition.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Page 9 -39
9.1210 Use of excess personal property.
(a) Pursuant to Pub. L. 94 -519 and Federal Property Management Regulation
(FPMR) 101 43.320 and the BPA Personal Property Manual, Vol. 1, Chapter 22
(when published), excess personal property may be provided to BPA recipients
subject to the following:
(1) The recipient is an institution or organization which is a public
agency as defined in FPMR 101 44.001 -10, or is nonprofit and exempt from
taxation under Section 501 of the Internal Revenue Code of 1954.
(2) The award is a "project award i.e., an award made for a specific
purpose with a specific expiration date.
(3) A written determination is made by the CO that the use of excess
government property will result in a reduction in the cost of the award to
the Government or an enhancement of the product or the benefit from the
award.
(4) Authorization for the recipient to use excess property is contained
in the award.
(5) BPA must pay into the U.S. Treasury as miscellaneous receipts, an
amount equal to 25 percent of the original acquisition cost of the excess
property. The amount equal to 25 percent of the original acquisition cost
of the excess property shall be obtained from program or project funding.
It is the C0's responsibility to assure that these funds are available and
that the amount is paid into the U.S. Treasury.
(6) Excess property obtained by 8PA for other purposes shall not
subsequently be provided to a recipient unless the 25 percent of the
acquisition cost is paid by BPA into the U.S. Treasury.
(7) Title to excess property so furnished shall vest in the recipient,
and shall be accounted for and disposed of in accordance with 9.1205 and
9.1211.
(8) The amount of excess personal property (in terms of original
acquisition cost) transferred to one project recipient shall be limited to
the dollar value of the award. Exceeding this limit will require prior
approval by the HCA.
(9) All transfer orders submitted to the General Services Administration
(GSA) for excess personal property to be made available to recipients
shall be signed by the CO and state the name of the recipient, award
number, scheduled date of award expiration and purpose of the transfer,
and affirm that the transfer of the property is requested for use by a
recipient in accordance with the provisions of FPMR 101 -43. The transfer
order shall also state the amount paid into the U.S. Treasury as required
above.
AE
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(C) Date of award expiration;
(D) Dollar value of the award; and
Page 9 -40
(10) Records which are to be maintained by the CO on these transactions
are the:
(A) Total original acquisition cost of excess property furnished for
use by all project recipients.
(B) Original acquisition cost of each item furnished for use by each
project recipient;
(E) Original acquisition cost of excess property furnished expressed as
a percentage of the total dollar value of the award.
(c) Information on determining the availability of excess property,
requesting it, and arranging and paying for shipment may be obtained from
the appropriate Personal Property Manager. If the appropriate Personal
Property Manager is not known, contact the BPA Property Management Officer,
(d) Within 60 days after the end of each fiscal year, the amount of excess
property (in terms of original acquisition cost) provided to project
recipients must be reported by the CO to the Property and Equipment
Management Division, MA -932 for inclusion in a consolidated DOE report to
GSA.
9.1211 Disposition.
9.1211 -1 Disposition of non expendable property or equipment.
When recipients no longer have a need for the property as outlined in this
subpart, disposition shall be in accordance with the following:
(a) State governments. (See 9.1207 -1).
(b) A -102 recipients (excluding state governments).
(1) Items of equipment or property with a current per unit fair market
value (FMV)(as determined by the recipient) of less than $5000 may be
retained, sold, or otherwise disposed of with no further obligation to BPA.
(2) Items of equipment or property with a current FMV of more than $5000
may be retained, or sold. BPA shall have a right to an amount calculated
by multiplying the current market value or proceeds from the sale by BPA's
share of the award.
(3) In cases in which the recipient or subrecipient fails to take
appropriate disposition action, the CO may direct the recipient or
subrecipient to take appropriate disposition actions.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(c) A -110 recipients.
Pane 9 -41
(1) Items of equipment or non expendable property with a unit acquisition
cost of less than $1000 may be retained, sold, or otherwise disposed of
with no further obligation to BPA.
(2) Items of equipment or non expendable property with a unit acquisition
cost of more than $1000 may be retained by the recipient or subrecipient
for other uses and BPA shall be compensated by an amount equal to the
percentage of BPA participation in the cost of the original project or
program to the current FMV of the property.
(3) If the recipient has no further need for the property or equipment
and the property /equipment still has further use value, the recipient
shall request disposition instructions from the CO (see BPA Personal
Property Manual, Vol. 1 for additional instructions).
(4) The CO shall issue instructions to the recipient no later than 120
calendar days after the recipient's request. The following procedures
shall be followed:
(i) If instructed to dispose of, or if the CO does not issue
disposition instructions within the 120 days required, the recipient
shall sell the property and reimburse BPA in accordance with paragraph
(c)(2) above.
(ii) The recipient shall be permitted to deduct and retain from the BPA
share $100 or 100 of the proceeds, which ever is greater, for sales
administrative costs.
(iii) If the recipient is instructed to ship or transfer the property
elsewhere, the recipient shall be reimbursed by BPA an amount calculated
by applying, the percentage of the recipient's ,participation in the cost
of the original award to the current FMV, plus any reasonable shipping
or interim storage costs incurred by the recipient.
(iv) If the recipient is instructed to otherwise dispose of the
property, the recipient shall be reimbursed by BPA for such reasonable
costs incurred in the property's disposition.
9.1211 -2 Disposition of supplies or expendable property.
If there is a residual inventory of unused supplies or expendable equipment
upon termination or completion of the award, disposition shall be in
accordance with the following:
BPAI PART 9 Alt ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.1212 Copyrights, inventions and patents.
9.1212 -2 Patents and inventions.
9.1212 -3 Disposition.
(Reserved)
Paae 9 -42
(a) A -102 recipients. If the total aggregate FMV of the unused supplies or 0
expendable property exceeds $5000 and the supplies are not needed for any
other federally sponsored project or program, the recipient: or subrecipient
shall compensate BPA for its share in accordance with 9.1211 -1 above.
(b) A -110 recipients. If the total aggregate FMV of the unused supplies or
expendable property exceeds $1000 and the supplies are not needed for any
other federally sponsored project or program, the recipient or subrecipient
shall compensate BPA for its share in accordance with 9.1211 -1 above.
9.1212 -1 Copyrights.
Except as otherwise provided for in an award, the recipient or subrecipient is
free to copyright any books, publications, or other copyrightable materials
developed in the course of, or under a BPA award. However, BPA reserves a
royalty -free, non exclusive, and irrevocable license to reproduce, publish or
otherwise use for BPA purposes the copyright of any work developed under an
award, or subaward. This includes rights of copyright to which a recipient or
subrecipient, or contractor purchases ownership with award support.
If any project or program sponsored by BPA funds produces patentable items,
patent rights, processes or inventions such fact will be promptly and fully
reported to BPA. Unless there is prior agreement between BPA and the
recipient on the disposition of such items, BPA will determine whether
protection on the invention or discovery will be obtained. BPA will also
determine how the rights in the invention or discovery including rights
under any patent issued thereon will be allocated and administered in order
to protect the public interest consistant with "Government Patent Policy
(Presidential Memorandum for Heads of Executive Departments and Agencies, Aug.
23, 1971 and 36 FR 16889).
BPAI PART 9 AWARD ADMINISTRATION
June 1 1989 Transmittal 89 -1
i 9.13 PROCUREMENT STANDARDS
9.1300 General.
This subpart provides procurement standards for recipient procedures for the
acquisition of supplies, equipment, services and construction with BPA
funds. The standards outlined in this subpart do not relieve the recipient
from the contractual responsibilities under its contracts.
9.1301 Review of recipient's procurement system.
Thts subpart allows for review and certification of a recipient's procurement
system. That review may be relied upon in lieu of the review of individual
transactions under the system. If the CO feels that a procurement system
review is required, an inquiry should be made to determine if the recipient
has been subjected to one from another agency within the past 24 months. If
so, the prior review should be relied on. If there has not been a review
within the past 24 months, the CO should take steps to conduct the review, or
have it done by BPA Audit staff.
(a) A recipient or subrecipient may request that its procurement system be
reviewed by BPA to determine if its system meets these standards in order to
be certified. Generally, such reviews will occur where there is a
continuous high dollar funding, and third party contracts are regularly
awarded.
(b) A recipient or subrecipient may self- certify its procurement system.
Such self- certification will not limit BPA's right to survey the system.
BPA may wish to rely on written assurances from the recipient or
subrecipient that it is complying with the standards required by this
subpart.
9.1302 Procurement standards.
9.1302 -1 States.
When procuring property and services under an award, a state will follow the
same policies and procedures it uses for procurements from non federal funds.
The state will insure that each contract and /or purchase order includes any
clauses required by federal statute, executive orders and their implementing
regulations.
9.1302 -2 All other recipients.
Pace 9 -43
Recipient and subrecipient will use their own procurement procedures. Such
procedures shall adhere to the following standards.
(a) The procedures will reflect applicable state and local laws and
regulation, and where required conform to applicable federal law and
regulation.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1 Page 9 -44
(b) The recipient will maintain a code of conduct governing the performance
of their employees or agents in the award and administration of contracts
using federal funds. No employee, officer or agent of the recipient or
subrecipient shall participate in the selection, award or administration of
a contract in which federal funds are used if a conflict of interest, real
or apparent, would be involved. The standards of conduct shall provide for
penalties for violations of the standards by the recipient's officers,
employees or agents.
(c) Recipients and subrecipients will provide for a review of proposed
procurement actions to avoid the purchase of unnecessary or duplicate
items. Where appropriate, an analysis will be made to determine if lease
vs. purchase, consolidation or separation of procurements is the most
economical approach.
(d) Recipients and subrecipients will make awards only to responsible
contractors possessing the ability to perform successfully under the terms
and conditions of a proposed procurement. Consideration shall be given to
such matters as contractor integrity, record of past performance, and
financial and technical resources.
(e) All procurement actions will be conducted in a manner allowing for
effective competition to the maximum extent practical.
(f) Recipients and subrecipients will insure that all solicitations are
based upon clear and accurate descriptions of the technical requirements for
materials, equipment and /or services to be acquired. Such a description
shall not, in competitive procurements, contain features which unduly
restrict that competition.
(g) Recipients and subrecipients will maintain a system for contract
administration that provides for contractor compliance with the terms and
conditions of the award and performance in accordance with the
specifications or the project description (statement of work).
(h) Recipients and subrecipients are responsible for the settlement of all
contractual and administrative issues arising out of their procurements.
These issues include, but are not limited to, source evaluation, protests,
disputes and claims. Matters concerning violations of state, federal or
local law are to be referred to the jurisdiction having proper authority.
(1) Positive efforts shall be made by recipients and subrecipients to
utilize small, disadvantaged and minority -owned business enterprises for
sources of supplies, equipment, and services (2.0109).
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.1303 Procurement methods.
9.1303 -1 Procurement methods for A -102 recipients.
9.1303 -2 Procurement methods for A -110 recipients.
9.1303 -3 Contract provisions.
Page 9 -45
(a) States. When procuring property and services under an award, a state
will use the same methods and procedures it uses for procurements using
non federal funds.
(b) All other A -102 recipients shall follow the methods as described below
in 9.1303 -2.
Recipients and subrecipients will use their own procurement methods and
procedures which reflect applicable state and local laws and regulations,
provided that such methods confirm to the requirements of the applicable
federal laws and this subpart.
(a) Records. Recipients and subrecipients will maintain procurement
records to sufficiently detail the procurement action history. Such records
will include as a minimum:
(1) Rationale for the use of time and material, labor hours contracts.
(2) Basis for contractor selection.
(3) Basis for award cost or award price (required for A -110 recipients
in all procurements in excess of $10,000.)
(b) Price or cost analysis. Recipients and subrecipients must perform some
form of price or cost analysis in connection with every procurement action.
(c) Bonding requirements. Recipients and subrecipients shall follow, the
bonding requirements for construction or facility improvements as outlined
in 9.03.
Contracts under awards and subawards will include the following contract
clauses as appropriate: (This is not intended to be an all- inclusive list of
necessary or desirable contractural provisions)
(a) A clause or clauses containing administrative contractual or legal
remedies in instances where contractors violate or breach contract terms and
provide for such sanctions and penalties as appropriate (only for contracts
in excess of $10,000.).
BPAI PART 9 A RD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Pane 9 -46
(b) Suitable provisions for termination for cause and convenience by the
recipient and subrecipient. Such a clause should include the manner by
which the termination will be carried out and the basis for settlement.
(c) Compliance with EO 11375. "Equal Employment Opportunity" and as
supplemented in Department of Labor regulations (41 CFR Part 60). (All
construction contracts awarded in excess of $10,000 by recipients and their
contractors or subrecipients.)
(d) Compliance with the Copeland "Anti- Kickback" Act (18 USC 874) as
supplemented by Department of Labor regulations (29 CFR Part 3). (All
contracts and subawards for construction or repair).
(e) Compliance with the Davis -Bacon Act (40 USC 276a -a7) as supplemented by
Department of Labor regulations (29 CFR Part 5). (Construction contracts in
excess of $2,000 awarded by recipients and subrecipients when required by
Federal grant program legislation).
(f) Compliance with Sections 103 and 107 of the Contract: Work Hours and
Safety Standards Act (40 USC 327 -330) as supplemented by Department of Labor
regulations (29 CFR Part 5). (Construction contracts awarded by recipients
and subrecipients in excess of $2,000, and in excess of $2,500 for other
contracts which involve the employment of mechanics or laborers.)
(g) Access by BPA, the recipient, subrecipient, the Comptroller General of
the U.S., or any duly authorized representatives to any books, documents,
papers, and records of the contractor which are directly pertinent to that
specific contract for the purpose of making audit, examination, excerpts and
transcriptions.
(h) Compliance with all applicable standards, orders, or requirements
issued under Section 306 of the Clear Air Act (42 USC 1857(1i)), Section 508
of the Clean Water Act (33 USC 1368), Executive Order 11738, and
Environmental Protection Agency regulations (40 CFR Part 15). (Contracts,
subcontracts, and subawards in excess of $100,000.)
(1) In negotiated contracts whose value is more than $25,000, a clause
requiring the contractor to retain records for three years after final
payment is made under the contract. The provision must also require that if
an audit, litigation, or other action involving the records is started
before the end of the three -year period, the records must be retained until
all issues arising out of the action are resolved, or until the end of the
three -year period, whichever is later. If the contract is under a subaward,
the clause must require that the recipient, the subrecipient, and the
Federal government shall have access to applicable records.
A clause requiring the contractor to comply with applicable BPA
requirements concerning patents, inventions and copyrights (see BPAI
15.0202 -19).
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Page 9 -47
(k) A clause specifying the Federal cost principles applicable to a
contractor under a cost reimbursement contract.
9.1303 -4 Special contract provisions for A -102 recipients.
In addition to the clauses required above, A -102 recipients and subrecipients
will include the following clauses in their contracts:
(a) Clause or clauses giving notice of awarding agency (BPA) requirements
and regulations pertaining to financial and technical reporting.
(b) Mandatory standards and policies relating to energy efficiency which
are contained in the state energy conservation plan issued in compliance
with the Energy Policy and Conservation Act (P.L. 94 -163).
9.1304 Payment of interest penalties.
By agreement of the recipient or subrecipient and the contractor, if
consistent with the recipient's or subrecipient's usual business practices and
applicable state and local law, any recipient contract to which this section
applies may provide for the payment of interest penalties on amounts overdue
under such contract except that-
(1) In no case shall any obligation to pay such interest penalties be
construed to be an obligation of the Federal government, and
(2) Any payment of such interest penalties may not be made from BPA funds
nor be counted toward meeting a cost sharing requirement of a BPA award.
BPAI PART 9 Ail ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.1305 Review of specific transactions.
The CO may perform a review of a recipient's proposed contract and /or related
procurement documents prior to the recipient's award of a contract. Approval
of recipient contracts is permitted by the Circulars but is not required.
Therefore, if the CO desires to reserve the right to review and approve
recipient contracts, appropriate language must be inserted in the award to
alert the recipient that such review and approval is or may be required. The
circumstances under which such reviews may be performed are as follows:
9.1305 -1 Review of specific transactions for A -102 recipients.
(a) States. States will follow all state established procurement policies,
methods, and procedures.
(b) All other A -102 recipients.
.Pane 9 -48
(1) The proposed contract is expected to exceed $25,000 (unless otherwise
specified by the terms and conditions of the award), and is to be awarded
without competition or only one bid or offer is received in response to a
solicitation.
(2) The proposed contract is expected to exceed $25,000 and specifies a
"brand name" product.
(3) The recipient's procurement procedures or operations fail to comply
with one or more significant aspects of this subpart.
(4) The proposed award over $25,000 is to be awarded to other than the
low bidder under a sealed bid or the proposed contract modification
changes the scope or increases the contract amount by more than $25,000.
(c) An A -102 recipient or subrecipient will be exempt from the pre -award
review outlined above if BPA determines that the recipient's procurement
system complies with the required standards of this subpart.
(d) In reviewing proposed contracts under the (1) above, the CO should
assure that one of the following situations exists for non competitive
negotiation
(1) The item is only available from a single source;
(2) Public exigency or emergency will not permit a delay incident to
competitive solicitation;
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(3) After solicitation of a number of sources, competition is determined
to be inadequate; or
(4) BPA has authorized noncompetitive negotiation.
Page 9 -49
(e) On reviewing proposed contracts under (2) above, the CO should
ascertain why a "brand name" product was solicited rather than a product
with the salient features of the brand name product. Once the reason is
determined, the CO should then determine whether the use of a "brand name"
solicitation was reasonable.
(f) If a transactional review is required due to the recipient's
noncompliance with one or more significant aspects of this subpart, the CO
ordinarily should review those facets of the individual procurement which
would be affected by these deficiencies. If the recipient's deficiencies
are such that they affect the whole process, the CO should review the
documentation of the whole procurement process for each contractor proposed
for award by the recipient.
(g) If the CO, in the course of reviewing a procurement under any of the
above circumstances, finds anything to preclude approval of the procurement
in its proposed form, the CO shall notify the recipient, in writing, of the
deficiencies or irregularities, and indicate that award of the contract
shall not be made until such time as those deficiencies or irregularities
are corrected.
(h) A recipient's request for prior approval of a proposed transaction
shall include a copy of the proposed contract and any related procurement
documents, such as requests for proposals and invitations for bids, and
justification for noncompetitive procurement.
9.1305 -2 Review of specific transactions for A -110 recipients.
(1) The proposed contract is expected to exceed $5,000 (unless otherwise
specified by the terms and conditions of the award), and is to be awarded
without competition or only one bid or offer is received in response to a
solicitation.
(2) The proposed contract is expected to exceed $25,000 and specifies a
"brand name" product (not applicable to recipients covered by OMB Circular
A -110 or to individuals, for profit or foreign organizations unless
otherwise specified by the terms and conditions of the award).
(3) The recipient's procurement procedures or operations fail to comply
with one or more significant aspects of this subpart. (not applicable to
recipients covered by A -110 unless otherwise specified by the terms and
conditions of the award).
BPAI PART 9 AWAD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(4) The proposed award over $25,000 is to be awarded to other than the low
bidder under a sealed bid or the proposed contract modification changes the
scope or increases the contract amount by more than $25,000. (not
applicable to A -110 recipients unless otherwise specified by the award).
Paae 9 -50
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.14 AUDIT REQUIREMENTS
9.1401 General discussion.
Page 9 -51
The audit process is one of the major means by which the Government determines
whether resources are being (have been) used properly. Audits may be
performed by Federal, state or local auditors, Certified Public Accountants,
or internal auditors of recipient organizations under generally accepted and
approved audit standards.
Two basic types of audits and the resulting auditor reports provide much of
the information needed by the CO and other administrative personnel to
determine whether the recipient's accomplishments are satisfactory and award
instrument requirements are being met.
(a) Financial audits, generally the responsibility of the recipient through
the use of independent auditors, provide information on whether the audited
entity (a) is maintaining effective management controls over revenues,
expenditures, assets and liabilities; (b) is using proper accounting
procedures for managing resources, liabilities, and operations; and (c) is
fairly presenting accurate, reliable, and useful data in financial reports
required to be submitted to the awarding agency.
(b) Compliance audits, which may be accomplished by the audit staff of the
responsible Federal agency, the recipient's independent auditor, or both,
provide information on whether the audited recipient organization is
complying with specific laws and regulations concerning (1) the expenditure
of Federal funds, (ii) applicable cost principles governing the allowability
of reimbursable costs, and (iii) other financial requirements as required by
the terms and conditions of the award instrument.
(c) Any or all of these elements may be reviewed, at the discretion of the
Federal Government, during or after the period of financial assistance.
Audit coverage may be limited to a specific award(s) (termed a transactional
audit) or be applied to a sample of all awards within a specified time
period (termed a systems audit).
(d) All recipients are required to conduct (or arrange for the conduct of)
audits to determine the effectiveness of their financial management systems
and internal procedures for complying with the terms and conditions of their
award(s). Transactional audits of awards to individuals, for profit
organizations and foreign organizations ordinarily will be performed by (or
at the specific request of) the Federal Government.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1 Paae 9 -52
9.1402 Audit requirements for A -102 recipients.
OMB Circular A -128 establishes the audit responsibilities and standards
applicable to state and local governments, and Indian tribes. OMB circular
A -128 provides that recipients of more than $100,000 in Federal funds shall
submit one copy of the audit report within 30 days after issuance to a central
clearinghouse to be designated by the Office of Management and Budget. This
notice announces that the clearinghouse will be located at the Census Bureau,
Data Preparation Division, 1201 E. 10th Street, Jeffersonville, Indiana,
47312, Attn: Single Audit Clearinghouse (50 FR 50027)
9.1403 Audit requirements for A -110 recipients.
All recipients and subrecipients that are not for profit organizations covered
by OMB Circular A -110 shall conduct or provide for independent audits to be
conducted in accordance with OMB Circular A -110, Attachment F, paragraph 2h.
9.1403 -1 Special requirements for individuals and for profit organizations.
BPA may audit, or cause to be audited by a cognizant agency, awards or
subawards to individuals or for profit organizations whenever and in the
degree of detail deemed necessary by the awarding party. BPA shall rely on
available audit reports in determining the need for and scope of such audits.
9.1404 Audits.
(a) Recipients are responsible for arranging audits of their own activities
at least biennially. OMB Circular A -128 explicitly requires that Federal
agencies rely on the results of those audits to the extent possible. This
same principle applies to recipients covered by A -110 although less
explicity stated. As part of the Government -wide audit process, OMB has
established audit cognizance (this is based on the same principle and
results in the same or similar assignments as in indirect cost cognizance
see 8.0302(a)(3)). Therefore, in most cases, CO's will be reviewing audits
conducted by Federal or non Federal auditors outside BPA, and cognizant
agencies will be responsible for audit resolution, consulting with BPA as
necessary.
(b) When information available to CO's through recipient reports, audit
reports, and other means of monitoring indicate the need for additional
audit, CO's may request such services from BPA Internal Audit, or from
external audit organizations such as the Office of the Inspector General,
DOE (DOE -OIG).
(c) The following procedures will apply to audit resolution.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -53
(1) The CO should review the audit report, consulting with BPA Internal
Audit staff, and other officials, as appropriate, and for each finding and
recommendation determine what action is necessary to resolve it or whether
no action need be taken. The CO should attempt to resolve any disputed
audit findings through negotiation with the recipient. Should the parties
be unable to reach a negotiated resolution, the CO should prepare and
issue to the recipient a final decision concerning the audit findings. In
the final decision letter, the CO should advise the recipient of its right
to appeal any audit disallowances, even if that right has previously been
established in regulation or in an award document.
(2) After all appeal rights have lapsed or after any appeal has been
decided, the CO should advise the finance officer concerning any amounts
due BPA. The finance officer will then initiate collection action.
(3) Where BPA has cognizance for financial and /or compliance audits, the
BPA Internal Audit staff will keep a complete record of action taken on
audit findings and associated disallowed or questioned costs until a final
disposition has been made. Where recovery of funds is involved, the
record will be maintained until the funds are recovered, the debt
forgiven, or the finding is determined to be in error.
9.1405 Responsibilities.
(a) To effectively implement the audit requirements specified by A -128 and
A -110 within DOE, a memorandum of understanding was developed defining the
duties of C0's and the audit staff of the DOE -IG. For BPA awards the same
duties will be carried out by the BPA CO and BPA Internal Audit staff, as
specified in subparagraph (b) and (c) below. When more than one CO is
involved with a BPA funded recipient, coordination efforts, where necessary,
normally will be the responsibility of the CO awarding the most BPA dollars
to that recipient.
(b) C0's are responsible for:
(1) Assuring that all regulatory requirements and any special terms and
conditions are contained in the award instrument.
(2) Administering the award instrument to assure that the recipient
complies with all financial and compliance audit requirements.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal $9 -1
(3) Receiving audit reports and transmitting a copy to the BPA Internal
Audit staff in cases where no Federal agency has been assigned cognizance
by OMB.
(4) Performing an initial evaluation of financial and compliance audit
reports for adequate coverage and compliance with Federal audit standards
where DOE is the cognizant audit agency or no cognizance has been assigned.
(5) Advising the BPA Internal Audit staff of financial and compliance
audit reports which appear of questionable depth and quality.
(6) Resolving financial and compliance audit findings and recommendations
with the award recipient unless resolution is being handled by another
Federal agency exercising audit cognizance.
(7) Requesting either the BPA Audit Staff or the cognizant audit agency
to conduct special financial and compliance audit service as required.
(c) The BPA Internal Audit staff's responsibilities (provided here for
information purposes) are:
(1) Issuing BPA audit policies.
Page 9 -54
(2) Coordinating BPA audit policies with other Government activities as
required.
(3) Providing professional financial audit service and advice to CO's,
when possible: (1) upon request, or (2) in an alternative manner deemed
appropriate.
(4) Conducting audits, as required, of recipients for which DOE is the
assigned cognizant audit agency under OMB Circulars (i.e., indirect cost
rate audits and special audits requested by any Federal awarding agency).
(5) Conducting program audits of grants and cooperative agreements. The
BPA Internal Audit staff will use the results of financial audits when
deemed appropriate.
(7) Receiving and transmitting, as appropriate, copies of all financial
and compliance audit reports for which DOE or another Federal agency has
been assigned cognizance.
(8) Reviewing audit reports as a basis for oversight of the scheduling of
audits, quality of reports, and resolution of findings.
(9) Reviewing the Division of Materials and Procurement's implementation
of and compliance with established BPA audit policies.
BPAI PART 9 AWARD ADMINISTRATION
June 1, 1989 Transmittal $9 -1
(d) The table below identifies the required distribution of
recipient- initiated audit reports. The CO shall instruct recipients as to
the proper distribution requirements. Where cognizance has been assigned,
the recipient shall be instructed to send or provide for sending audit
reports concerning subrecipients or contractors under financial assistance
award to the cognizant agency which is designated for the subrecipient or
contractor rather than that designated for the primary recipient. Internal
distribution to the BPA Internal Audit staff of reports received directly by
the CO shall be made promptly.
Cognizance
Ass1anment
None
DOE
Other agency
Recipient
Distribution
2 copies to CO
2 copies to
DOE -IG
Copies to
Cognizant Agency
per Cognizant
Agency Instruc-
tions.
Internal BPA
Distribution
1 copy to CO
1 copy to BPA Internal
Audit
1 copy to CO (upon
receipt forwards one copy
to BPA Internal Audit)
1 copy to DOE -IG
(DOE -IG distributes to
other agencies)
Cognizant Agency
distributes to
DOE -IG which in turn
distributes to CO
(g) For identification of current cognizance assignments see:
Paae 9 -55
(e) The CO shall consult with cognizant agency personnel as necessary to
assist that agency in its cognizance responsibilities. The CO shall make
appropriate adjustments to BPA grants and and cooperative agreements as a
result of any cognizant agency resolution actions (e.g., recovery and
deobligation of disallowed costs that affect BPA awards).
(f) Initial evaluations of financial and compliance audit reports should be
made in accordance with the "Audit Guide for Department of Energy Grants"
(publication DOE /IG- 0005), the General Accounting Office "Guidelines for
Financial and Compliance Audits of Federally Assisted Programs," and the
Comptroller General's "Standards for Audit of Governmental Organizations,
Programs, Activities and Functions." In addition, the policy and procedures
of DOE Order 2300.1, AUDIT COMPLIANCE AND FOLLOWUP, of 6- 21 -88, should be
followed in the reporting of audit recommendations.
BPAI PART 9 RD ADMINISTRATION
June 1. 1989 Transmittal 89 -1 Pace 9 -56
(1) OMB Circular A -88 (Revised), "Indirect Cost Rates, Audit, and Audit 0
Followup at Educational Institutions," which includes a listing of
cognizance assignments for educational institutions.
(2) Federal Register, Vol. 45 (66338- 66343), which contains a listing of
cognizance assignments for State governments.
(h) Recipients are required to provide two copies of the latest audit
report covering their financial operations and compliance with Federal law
and regulation (unless already provided at the time of audit), if such an
audit was performed within the last 2 years. If no such audit has been
performed within the last two years, the recipient should be requested to
arrange for one and notify the CO in writing when the audit has been
initiated and when it is expected to be completed. When the audit is
completed, the recipient shall required to forward two copies of the audit
report to the CO.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.1700 General.
9.17 NONCOMPLIANCE
Page 9 -57
(a) Except for noncompliance determinations under 10 CFR Part 1040,
whenever the CO determines that a recipient has not complied with the
applicable requirements of this Part, the requirements of any applicable
program statute or rule, or with any other term or condition of the award,
the CO shall provide to the recipient (by certified mail, return receipt
requested) a written notice setting forth
(1) The factual and legal bases for the determination of noncompliance;
(2) The corrective actions and the date (not less than 30 days after the
date of the notice) by which they must be taken.
(3) Which of the actions authorized under paragraph (b) of this section
BPA may take if the recipient does not achieve compliance within the time
specified in the notice, or does not provide satisfactory assurances that
actions have been initiated which will achieve compliance in a timely
manner.
(b) If the recipient does not achieve compliance, or provide BPA with
satisfactory assurances of the initiation of actions intended to achieve
compliance, within the time specified in the notice under paragraph (a) of
this section, BPA may take any or all of the following actions:
(1) Convert the payment method used by the recipient from an advance
payment method to a reimbursement payment method;
(2) Withhold payment;
(3) Suspend the award;
(4) Terminate the award for cause;
(5) Disapprove renewal applications or other requests for extension of
time or additional funding for the same project;
(6) Decline to make a continuation award;
(7) Invalidate an award that was obtained fraudulently;
(8) Recover funds and tangible property up to the amount of the award;
(9) Determine that the recipient is not fully responsible as provided in
BPAI 7.01; and
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(10) Initiate such other legal actions as may be appropriate.
Page 9 -58
(c) BPA may take any of the actions set forth in paragraph (b) of this
section concurrent with the written notice required under paragraph (a) of
this section or with less than 30 days written notice to the recipient
whenever:
(1) There is evidence the award was obtained by fraud;
(2) The recipient ceases to exist or becomes legally incapable of
performing its responsibilities under the award;
(3) There is serious mismanagement or misuse of award funds necessitating
immediate action; or
(4) An immediate debarment in accordance with provisions to be written
later is warranted.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.18 SUSPENSION AND TERMINATION
9.1800 General.
This subpart sets forth the general policies and procedures for suspension
and termination of awards made to all recipients.
(a) Termination of financial assistance is the permanent withdrawal by
BPA of the recipient's authority to spend previously awarded funds before
that authority would otherwise expire.
(b) Suspension is an action by BPA which temporarily suspends financial
assistance pending corrective action by the recipient, or pending a
decision to terminate the agreement.
9.1801 Suspension and termination for cause.
BPA may suspend or terminate an award for cause on the basis of
(a) a noncompliance determination under 9.17; or
(b) a debarment of the recipient.
9.1802 Notification requirements.
Page 9 -59
Except as provided in 9.17, before suspending or terminating an award for
cause, the CO shall mail to the recipient (by certified mail, return receipt
requested) a separate written suspension or termination notice in addition to
that required by 9.17(a) at least ten days prior to the effective date of the
suspension or termination. Such notice shall include, as appropriate
(1) The factual and legal bases for the suspension or termination;
(2) The effective date or dates of the BPA action;
(3) If the action does not apply to the entire award, a description of
the activities affected by the action;
(4) Instructions concerning which costs shall be allowable during the
period of suspension, or instructions concerning allowable termination
costs, including in either case, instructions concerning any subawards or
contracts;
(5) Instructions concerning required final reports and other closeout
actions for terminated awards (see BPAI Part 10);
BPAI PART 9 AWARD ADMINISTRATION
,jive 1. 19$9 Transmittal 89 -1
(7) The dated signature of the CO; and
9.1803 Suspension.
Paae 9 -64
(6) A statement of the recipient's right to appeal a termination for
cause;
(8) A copy of the rules of the DOE Financial Assistance Appeals Board
(See Exhibit 9 -3).
(9) A copy of the notice to suspend or terminate will be sent to General
vouchers to stop payments.
(a) Unless BPA and the recipient agree otherwise, no period of suspension
shall exceed 90 days.
(b) BPA may cancel the suspension at any time, up to and including the date
of expiration of the period of suspension if the recipient takes
satisfactory corrective action before the expiration date of the suspension
or gives BPA satisfactory evidence that such corrective action will be taken.
(c) If the suspension has not been canceled by the expiration date of the
period of suspension, the recipient shall resume the suspended activities or
project unless, prior to the expiration date of the suspension, BPA notifies
the recipient in writing that the period of suspension shall be extended, or
that the award shall be terminated.
(d) As of the effective date of the suspension, BPA shall withhold further
payments and shall allow new obligations incurred by the recipient during
the period of suspension only if such costs were authorized in the notice of
suspension or in a subsequent letter.
(e) If the suspension is canceled or expires and the award is not
terminated, BPA shall reimburse the recipient for any authorized allowable
costs incurred during the suspension and, if necessary, may amend the award
to extend the period of performance.
9.1804 Termination for convenience.
9.1804 -1 Special requirements for A -110 recipients.
Either BPA or a recipient may terminate an award (or a portion thereof) when
both parties agree that the continuation of the project would not be
commensurate with the further expenditure of funds.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -61
9.1804 -2 Special requirements for A -102 recipients.
(a) If the recipient initiates a termination, the recipient must notify BPA
in writing and specify the reasons for the termination, the proposed
effective date of the termination, and, in the case of a partial
termination, a description of the activities to be terminated, and an
appropriate budget revision. If in the case of a partial termination BPA
determines that the remaining portion of the award will not accomplish the
purposes for which the award was made, BPA may terminate the award in its
entirety.
(b) BPA shall terminate an award or portion thereof under this paragraph
only if both parties agree to the termination and the conditions under which
it shall occur, and in the case of a partial termination, the portion to be
terminated.
9.1805 Effect of termination.
The recipient shall incur no new obligations after the effective date of the
termination of an award (or portion thereof), and shall cancel as many
outstanding obligations as possible. BPA shall allow full credit to the
recipient for the BPA share of obligations properly incurred by the recipient
but which cannot be cancelled after the effective date of the termination.
9.1806 Subgrants.
Recipients shall follow the policies and procedures in this section and in
BPAI 9.17 for suspending and terminating subawards.
9.1807 Special suspension and termination requirements for A -102 recipients.
The enforcement remedies identified in 9.17 and this subpart do not preclude
recipients or subrecipients from being subject to Debarment and Suspension
under Executive Order 12549.
9.1900 General.
9.1901 Final determination.
9.1902 Right of appeal.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.19 DISPUTES AND APPEALS
Paae 9 -62
Informal effort by the CO and PTR to resolve disputes is the most effective
solution to the differences that sometimes develop in the financial assistance
relationship. If these efforts fail, DOE has established procedures for
appealing disputes arising under financial assistance agreements to the
Financial Assistance Appeals Board. These procedures are stated at 10 CFR
Part 1024. The Board has jurisdiction over a dispute because the award
instrument provides the recipient the right to appeal disputes to the Board.
Since BPA wishes to assure maximum fairness in its dealings with recipients,
COs shall insert the clause in BPAI 15.0201 -3, Disputes, in each award.
Whenever practicable, BPA shall attempt to resolve informally any dispute over
the award or administration of a financial assistance award. At the
initiative of BPA or upon the written request of a recipient, BPA shall mail
(by certified mail) a brief written determination signed by the CO, setting
forth BPA's final disposition of any dispute which is not resolved
informally. Such determination shall contain the following information:
(a) A summary of the dispute, including a statement of the issues and of
the positions taken by BPA and the party or parties to the dispute;
(b) The factual, legal and policy reasons for BPA's disposition of the
dispute; and
(c) A copy of the rules of the Department's Financial Assistance Appeals_
Board.
Except as provided in 9.1904(a), the final determination of a CO may be
appealed to the Financial Assistance Appeals Board (the Board) in accordance
with the procedures set forth 10 CFR Part 1024 and reproduced as Exhibit 9 -3.
If the final determination involves a dispute over which the Board has
jurisdiction as provided 9.1904(b), the C0's determination shall state that,
with respect to such dispute, the determination shall be the final decision
unless, within 60 days, a written notice of appeal is filed with the Board.
If the final determination under 9.1901 involves a dispute over which the
Board has no jurisdiction as provided in 9.1904(a), the C0's determination
shall state that, effective immediately or on a later date specified therein
by the CO, the determination shall, with respect to such dispute, be the final
decision.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -63
9.1903 Effect of appeal.
The filing of an appeal with the Board shall not stay any determination or
action taken by BPA which is the subject of the appeal. Consistent with its
obligation to protect the interests of the Federal Government, BPA may take
such authorized actions as may be necessary to preserve the status quo pending
decision by the Board, or to preserve its ability to provide relief in the
event the Board decides in favor of the appellant.
9.1904 Review on appeal.
(a) The Board shall have no jurisdiction to review:
(1) Any preaward dispute (except as provided in paragraph 9.1904(b),
including use of any special restrictive condition pursuant to 7.0102;
(2) BPA denial of a request for a deviation under 1.0106;
(3) BPA denial of a request for a budget revision or other change in the
approved project under 9.10 or under another term or condition of the
award;
(4) Any BPA action authorized under 9.1700(b)(1), (2), (3) or (5) with
respect to recipient noncompliance.
(5) Any BPA decision about an action requiring prior BPA approval, under
9.0903, or 9.13 or under another term or condition of the award:
(6) A BPA decision not to make a continuation award, which decision is
based on the insufficiency of available funds;
(7) Any matter which is under the jurisdiction of the Patent Compensation
Board (10 CFR 780.3).
(8) Any matter which may be heard by the Invention Licensing Appeals
Board (10 CFR 781.65 and 781.66); or
(9) Any other dispute not described in 9.1904(b).
(b) In addition to any right of appeal established by program rule, or by
the terms and conditions of an award, the Board shall have jurisdiction to
review:
(1) A BPA determination that the recipient has failed to comply with the
applicable requirements of this part, the program statute or rules, or
other terms and conditions of the award;
(2) A BPA decision not to make a continuation award based on any of the
determinations described in 9.1904(b)(1);
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(3) Termination of an award for cause, in whole or in part, by BPA;
(4) A BPA determination that an award is void or invalid;
(5) The application by BPA of an indirect cost rate; and
(6) BPA disallowance of costs.
Paae 9 -64
(c) In reviewing disputes authorized under 9.1904(b), the Board shall be
bound by the applicable law, statutes, rules, including the requirements of
this part, and by the term and conditions of the award.
(d) The decision of the Board shall be the final decision of the Department.
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29764 Federal Register
DEPARTMENT OF ENERGY
10 CFR Part 1024
Procedures for Financial Assistance
Appeals
AGENCY: Financial Assistance Appeals
Board. DOE.
ACTION: Final rule. (Rules of Procedure).
SUMMARY: These regulations establish
procedures for financial assistance
recipients who desire to appe,ti from
adverse decisions made by DOE
financial assistance officers or
contracting officers. The purpose is to
provide a timely. lust, and inexpensive
resolution of disputes involving grants,
cooperative agreements, loan
guarantees. loan agreements, or other
financial assistance instruments. The
Financial Assistance Appeals Board has
been delegated the responsibility and
authority to consider and resolve such
disputes and to issue the final
Departmental decision thereon.
EFFECTIVE DATE: April 29. 1900.
FOR FURTHER INFORMATION CONTACT:
John B. Farmakides, Chairman.
Financial Assistance Appeals Board:
Webb Building. Room 1003. 4040 North
Fairfax Drive. Arlington, VA 22203.
Telephone: (703) 235 -2709.
SUPPLEMENTARY INFORMATION: These
regulations provide rules and
procedures for use by financial
assistance recipients who desire to file
appeals from decisions made by
financial assistance officers or
contracting officers. They do not provide
a right of appeal— merely the
"procedure" for handling an appeal.
They shall apply ',~here DGE program
regulations provide financial .,ssistance
recipients a right to appeal "final"
agency decisions issued by Department
grants officers or contracting officers.
In the Department's view, based on
the Federal Grants and Cooperative
Agreement Act of 1977 (Pub. 1.. 95- -224)
and the OMB guidance thereon, the need
for an orderly. informal, relatively
inexpensive and timely process for
resolution cf financial assistance
disputes is necessary. Accordingly,
these rules a :c intended to prnvwe such
a process For purposes of uniformly.
and where their concepts col ,cide with
this Board's policy, these regulations
adopt specific methods and piucedurev
of other Boards int lechne alternative
methods for pious cies appeals
depcndinv on t.,e s.ocu <ted informality
desired by almeiI .ni: an .,atoi:.ahc "0'1
the record" itvtrw for those appeals
involving u nenirra :u o: tuun and toe
opoorluu,ty fur t orrlertali r" t\ pe
Exhibit 9 -3,
Vol. 45. No. 88 Monday, May 5, 1900 Rules and Regulations
9 -65a
hearing or a full evidentiary hearing if
needed. These rules also adopt portions
of the procedural rules of the DOE Board
of Contract Appeals. especially in those
financtal assistance appeals that Involve
complex fact situations. lhe Board's
policy is to emphasize the informal
resolution of the appeal. and the
desirability of settlement whenever
possible.
Comments submitted in response to
the Board's request for comments as
first proposed at 45 FR 8920 (Friday,
February 8. 1980) were considered.
Suggestions were incorporated where it
was determined that they const tuted an
improsement over the proposed rules.
For example• one point raised was that
the proposed procedures v. ere too
informal and that they could not
accommodate the relatively complex
cases that may be expected (especially
those involving cooperative
agreements). This view was accepted in
part and adopted by providing in these
rules for the use of the more formal rules
of the Board of Contract Appeals v. here
this was found to be necessary. Other
comments accepted Included one vvh:c.h
pointed out that even is cases int olving
an amount under $10,000, the
opportunity to waive a written decision
should not be left to the appellant
atone —teat the respondent may need d
written decision for policy resolution
and for futt..re reference purposes.
Likewise, the rules were claritied to
provide for a Board detcrmin.tion
where the parties disagree on the ippeal
method to be used.
Several comments. d.rected to
provisions for the use of subpoenas: for
clarifying the opportunity for submission
of reply briefs; for the use of more
definitions: for a more explicit statement
on the availabilhty of disco'.ery; and for
specific identification of sanctions for
perjury. were found use fui but vtc:e not
directly adopted because the Board
found the rules as proposed to Le clear,
and sufficient to provide the tlexrbi!ity
needed. In view of the relative
informality of these procedut es. anti, :n
order to provide both p trues wt: i an
equal opportunity to de'clop the record.
the requirement far the appellant to
prepare an "appeal" file as Init:<uty
proposed was dropped. ln.te,w. each
party will develop its on case Initially,
with the Board exercising Its discretion
to require more docuinentatiun. If
needed.
The hoard considered e‘ cry comment
direfully and vv, +s impressed ut the
per.pect,se and c''dersianu o4
displayed and d: i ply tipple( kite.c of the
time and elfurt di. i,WOStratt'd.
DRAFTING INFORMATION: The principal
persons involved in drafting these
regulations are: John B. Farmakides,
Chairman; Carlos R. Garza. Vice
Chairman; and Beryl S. Gilmore.
Member. Department of Energy,
Financial Assistance Appeals Board.
Issued in Washington. D C. on April 29,
1980.
John B. Farmakides,
Chairman, Financial Assistance Appeals
Board.
Therefore, 10 CFR is hereby amended
by adding Part 1024 thereto to read as
follows:
PART 1024— PROCEDURES FOR
FINANCIAL ASSISTANCE APPEALS
See.
1024.1 Scope and purpose.
1024.2 Authority.
1024 3 General.
1024 4 Rules of procedure.
Authority: Department of Energy
Organization Act. Pub. L. 95-91.91 Stat 577
(42 U.S.0 7101. et seq E O. 10789. Pub L.
95- 224.92 Stat. 3 (41 U.S.C. 501 -509)
1024.1 Scope and purpose.
These procedures establish a process
permitting recipients of financial
assistance to appeal adverse final
decisions made by financial assistance
officers or contracting officers. The
objective is to provide a timely, just, and
inexpensive resolution of disputes
involving grants. cooperative
agreements, loan guarantees. loan
agreements, or other financtal
assistance Instruments.
41024.2 Authority.
The authority of the Board derives
from direct delc„et :on of the Secretary
to hear and decade finally for the
Department appeals from any decision
brought before it on disputes arising
under financial assistance agreements.
1024.3 General.
(a) A recipient or party to a grant,
cooperative agreement. loon guarantee
or agreement. or other such financial
assistance may hove a ri :ht to appeal
disputes with the Department. Such a
r ^Irt may bo set forth in s'i'ts tes, in
1)c ^artmental iegulations dt,riine with
the it pe of financial assistance
Involved, or in the agreement itself.
(h) Appeals are det.cdc•d by the
Financial Assistance Appeals Board in
Accordance with Coe proceuures set
forth in these regulation:; Decisions will
be by maloiity vote and will be the find
cicpositaon of the matter wit= the
Department.
(1) he Board is located in the
Washington, D.C. metropolitan area and
its address is: Webb G'uildtng, Room
Exhibit 9 -3
9 -65b
Federal Register Vol. 45, No. 88 Monday, Nlav 5, 1980 Rules and Regulations
Ie. 4040 North Fairfax Drive.
ington. Virginia 22203.
(2) The Administrative Judge assigned
to hear and develop the record on an
appeal has authority to act for the Board
with respect to such appeal within the
limits assigned and as set forth in these
rules.
(c) In order that a right to appeal may
be exercised in a timely manner. a
financial assistance recipient must
appeal. in writing. within 80 days after a
financial assistance officer, or
contracting officer has issued a "final
decision" on the matter.
(d) The appeal may take one of the
following three alternative courses.
depending on the amount of the claim
and degree of formality desired or
needed:
(1) The first method is to proceed on
the basis of a written record. without
any oral presen'ations. It is the quickest
and simplest process available to an
appellant. All appeals involving less
than 510,000 will be decided on this
basis, unless. on application made by
the appellant. or the respondent. the
Board rules otherwise. This method is
also available for appeals where t'ie
amount in dispute is more than S10.000 if
an election is made m accordance with
le 2. (See 1024 4)
,2) A second method is to use a
..onference• type hearin; in which the
written record is supplemented with an
informal oral preseihtation. It is the
second fastest process available to an
appellant and is conducted in a
relatively informal manner which may
require little, if any. testimony, and may
even be conducted by a telephcne
conference call where deemed
appropnate.
(3) The third method, and the most
time consuming is the use of an
adversary evidentiary hearing Bccause
of the procedural and logistical aspects
involved, this method is more expensive
and time consuming than the ether two
methods for both the appellant and
respondent. Generally, this method is
used only if there are complex facts in
dispute
(c) All three methods are d, shined to
be as informal as possible: nevertheless,
it should be recognized that the Board
must have an adequate record on which
to base a sound decision. V. '.tile an
orderly presentation of c.. ii. t• is
required. the hoard artr•- t ha as
flexible as pos-ible in 1;.. -t ^ts of
arriving at an impartial ir,cxpensn e and
'peditious resolution o, the matter.
�'!ha sr:%;ces of an attorney are not
.essarily required. ewe( rally as to the
first method.1 72f11.1 nt'houltl note,
however, that th.: respoeu"nt is
represented by an att,,rn, 1 lest nibs. :f
held. are transcribed. and witnesses are
required to present information or
evidence at such hearings under oath. In
each case. the Board shall issue a
written decision unless otherwise
requested by a party and the request is
approved.
II 1024.4 Rules of procedure.
The following rules of procedure shall
govern all financial assistance disputes
appealed to the Board in accordance
with this subpart:
Rule
1. Filing of an appeal;
acknowledgment
2. Selection of an appeal method
3. De. elopment of the record
4. Objections to evidence submitted
5. Alternative methods of appeal
6. Parties to the appeal
7. Representation before the Board
8. Dismissal for failure to meet
deadlines and other requirements
9. The Board's powers. functions, and
responsibilities
10. Ex parte communications
(communications outside the record)
11 Notice and location of hearings
12. Calculation of time periods.
Rule 1. Filing of an appeal;
acknowledgment
(a) A brief written notice of appeal.
along with a copy of the final acency
decision being appealed shall be
submitted within 60 days atter receipt of
the decision. The notice must Indicate
that an appeal is intended, and must
clearly state the issues in controversy,
and the relief requested. This notice. if
sufficiently detailed, nhav serve as the
appellant's initial complaint. See Rule
3(a).
(b) The appeal notice shall be mailed
or delivered to the financial Assistance
Appeals Board (for address see
1024 3(b)(1)l. with a copy to the official
whose decision is being appealed, and a
second copy to the Celli ral Counsel.
Department of Energy, ).Lashngten D.C.
20583.
(c) upon receiving the appeal notice.
the Board will promptly acknowled,e
receipt of the notice of appeal irtd will
notify the parties of the d :Lc docket-d.
Rule 2. Selection of an appeal method
Unless submitted earlier, within 2f) days
after the appellant rrreil,es the Board's
notice of dor.ketuhv. the appellant must
submit to the Board, with ccnv to
respondent, a letter eluting one of the
thtec methods a•:.ulable for procc•.sirtt
the appeal For disputes irvolh less
than $10,000, mr'Sod •'1" (a; :,ct forth in
Rule .i(e)) w'i'I a :itt)rilatir "lily ?7:71y
unless appel!ant spcc.;ic,tlly pc ti:;,ms
ar,d is grunted ti.c right to roc•rcd under
one of the other two methods In
exceptional circumst,ini es, the
29765
respondent may likewise request the use
of one of the other two methods. This
election letter must identify the attorney
or other person who will re•prsrnt the
appellant,if the notice of appeal did not
already do so. (See Rule 7(a)). In case
the parties disagree as to the appeal
method to be used. the Board will finally
decide.
Rule 3. Development of the record
(a) Appellant: Complaint.
(1) Within 30 days after receiving the
docketing notice from the Board, the
appellant shall:
(i) submit a complaint, or
(ii) submit a specific request (for
apporval by the Board). that the final
decision as issued by the financial
assistance officer or contracting officer,
together with the notice of apoeal.
adequately describe the matter in
dispute and will serve as the complaint.
(2) The complaint shall include• a
copy of the decision appealed from:
relevant portions of the apoiicaule
assistance agreements: a statement of
the amount, if any. in dispute: and. if the
appellant is proceeding under e.et :iod 1
or 2, a copy of any documents
supporting its claim. The documents
must be organized chronologically and
accompanied by an indexed list
identifying each document by date,
originator and addressee.
(3) to reduce tha burden on the
appellant. the appeilant may specify. in
an appropriate index. those relevant
documents already in the posses ton of
the respondent which the respondent
will then add to those documents
submitted in its answer.
(b) Respondent; Answer.
(1) Respondent shall submit an
answer within 50 days after receipt of a
complaint, or after receipt of a nonce
from the Board that the decision and
notice of appeal shall serve as the
complaint. The Board may enter a
general denial on behalf of the
respondent upon its failure to submit an
.answer within the time limitation.
(2) In its answer the respondent shall
submit to the Board. with copy to
appellant. two cnp.es of any documents,
other than those submittod by arpc!lant
in its complaint —which the iespondent
considers to be material. these should
be organized and indexed as required
under paragraph (a) of this Rule and
shill include those documents alrc..dv
in the nosesston of the flep.t,tment and
identified and requested by the
appellant lii accordance with paragraph
(a) of thus Rule.
(c) The Boi :rd. on its own mitiato.e. or
in response 10 an appropriate rcuue5t
from a party to the dispute. may order a
party to submit additional material
Exhibit .9 -3,
9 -65c
29766 Federal Register Vol 45. No. RD Monday. Mnv 5. 1080 Rules and Regulations
wherever the Board considers it useful
in resolving the dispute.
Rule 4. Objections to e.tdence submitted
(a} Any objection to a document or
other et idence submitted in the
complaint or answer shall be raised as
early as possible. The parties shall
attempt to resolve such objections
Informally between themselves before
asking the Board to intercede.
(b) For those appeals that are to be
resoled on the basis of a written record
under method 1. either party may object
to inclusion of materials or documents
at any point pnor to conclusion of the
briefing schedule.
(c) For those appeals that are
submitted for resolution using method 2.
either party may object to inclusion of
materials or documents at any time prior
to the conclusion of the hearing.
(d) For those appeals processed under
method 3, any materials or documerts
submitted shall not be included in the
record upon which the Board's decision
will be based unless they are
specifically offered and admitted into
evidence.
(e) The Board will use the Federal
Rules of Evidence as a guide in
determintng admissib ty of evidence
but may exercise its sound discretion
v. here appropriate.
Rule 5. Altemathe methods of appeal
(a) Method 1. Proceeding on the
written record —(1) Within 20 days after
the appellant recesses the responda it's
answer, the appellant :easy submit to the
Board (with a copy to respondent) a
brief or statement containing the
appellant's argsment in support of its
claim. Within 20 days after receipt of the
appellant's brief or statement. the
respondent may submit to the Board
(with a copy to the appellant) a brief or
statement containing the agency's
response. Appellant may submit a
further reply, but must do so within 10
days after appellant's receipt of
respondent s submission.
(2) Acce!eratinr: the procedure The
appellant may r house one ur more of the
fo "owing mechanisms ea speed the
proc ess
(i) The appellant may choose to
submit a single brie f or statement with,
or as part of, its election letter, and may
con',! 1 rte the election letter with its
notice of appeal.
(u) Where the appeal ins olves an
e^ cunt in dispute of less that StO.00x),
the appellant may, upon spec rfic
request. has tic Board issue a bre f
final order affirming or reserains; the
agency financial as•.istanc e cafe i r
contract ing (rife er di r_asmn, ss,thuut a
writti n di c soon
(3) Inadequate record
(i) If the Board decides that the
written record presented is inadequate.
the Board may present written questions
to the parties: rcqutre further briefing on
specified issues: require that oral
testimony be presented. or tike any
other action that it considers necessary
to det.elop a record upon which to base
a sound decision.
(ii) One or both parties may
sometimes bclte.e that an issue on
appeal requires more deselopmrnt than
has been achiesed on the written record.
Therefore. on request of either or both
parties. and if the Board agrees that it is
appropriate to further dcselop the
record. the Board may require the use of
further appropriate procecures as
applicable to hearings conducted
pursuant to paragraphs (b) or (c) of thts
rule.
(4) Record for dec :sron. The record
upon which the decisic' will be based
will consist of the co—plaint and answer
(after disposition of all object,ons), the
briefs or statements of the parties. and
any other documents or matertal
specifically allowed by the Board. A
decision will be issued as soon as
practicable (wheneser possible within
30 days) after all submissions are filed
or after the time for ftline has expired.
(b) Method 2: Conference hearing.
(1) Witness statement. Within 20 days
after the filing and receipt of
respondent's answer, each party shall
subnut a witness statement to the Board,
with a copy to the other party The
witness statement must contain a list of
anticipated witnesses. with a brief
summary of the expected testimony of
each. and a description of the
testimony's relevance to the specific
ass: es and to the matter in dispute The
statement may also contain a kt of
questions which the presiding Board
member may ask of the other party s
witness. or an tdentification of Issue
areas in which inquiry by the presiding
Board member would be appropriate.
The Board may on its own in ;t alive
reject undid./ repetitious. (envoy or
other..tt,e burdersome questions. and
may order a party to waken additional
witnesses, or to exclude mult,2le
witnesses who would testify on the
same matter.
(2) liespon',c to the t. rta.,s
statement. Within 15 day alter each
party recei.es the other's v.itncss
statement. each party r:ias respond by
submitting a suppiseu•r•al statement to
the Board, with a copy to the ether
party. '1 he sul,ple:at: et d scat, •••i nt niav
add to earlier information or may
present any wntta.n o1.;. i ,i,s to the
propose.] questi o: e sue twos, or to
the piuposed watnesscy
(3) The conference hearrn,t.
(t) As soon as preparations are
concluded. the Board will set a date for
a hearing. to be held at a time and place
determined by the Uuard to best ser
the interests of all concerned. On
request by either party, and for good
cause, the Board may, in its discretion,
change the time and place of the
hearing. The parties are responsible for
producing witnesses specified in the
witness statements at the time and place
set for the hearing conference A
transcript or other recording will be
made.
(ii) At the conference hearing. each
party may make a brief opening
statement. The witnesses will be
questioned based on their statements;
and the Board may inquire further of
each witness for information which may
or may not be included in the witness'
statement. At the end of each witness'
testimony. either party mar sug <eest
additional questions. which the Board
may ask. if no obiectiors thereto hale
been sustained. The Board may permit
or require the parties or their
representatives to comment fur:her on
issues of fact or law. Brief closing
statements will be permitted.
(iii) Except for opening and closing
statements. and any questions asked
during direct testimony. or as otherwise
specifically allowed by the Board. the
only oral communications in the record
will be those of t!'c Board member and
the witnesses. Generally, no
documentary evidence will be received
at a conference hearing Although the
conference hearing is ,riformal.
witnesses will be required to tc,t:fy
under oath
(4) Procedures aftr'r t' c' hearin; Upon
request. post hearing briefs may be
allowed to be submitted within an
appro ^Trite time as may be set by the
Board No rebuttal briefs shall be
Permitted.
(5) Record for dretswn. The record
upon which the decision will be based
will consist of the complatnt and answer
(after disposition of the obiectiuns), the
ha'arina, transcript. briefs of the parnes,
and any othe- such documerts
specifically admitted by the Board into
the record The Board t•. el ass se a
decision as soon as practicable
(whenever possible within 60 day s) ;after
all subrnisouns are fled or after the
time fur filing expired
(c) .1lcthod Full et:dtrtrnry
hcvrrn; —(1) Spcuul rc qu'rrnr nt. If t1•
a ppellant decides it is appropriate to
seek a full evidentiary It arena its
election letter •,u1anetid under Rule 2
must spec ihe.ii!y indicate this ihon.c.
This method 11. iy ,also be used where
the disputed matter uts ul.es a rumble'
ict situation or would require extensive
preparation. In such circumstances. the-
respondent my request. and the Board
may approve, the use of this method.
When this method is adopted. the Board
may use the Rules of Procedure of the
Board of Contract Appeals (10 CFR Part
1023) as may be needed to provide an
orderly proceeding
(2) Informal conference before the
hearing. Generally, the Board will
require the parties to appear at an early
prehearing conference (which, at the
option of the Board, may be conducted
by telephone conference call), to
consider any of the following• the
possibility of settlement, simplifying and
clarifying issues: stipulations and
admissions of facts, limitations on
evidence and witnesses that will be
presented at the hearing, agreement on
issues in dispute: and any other matter
that may aid in disposing of the appeal.
The Board, in its,discretion, may record
the results of the conference in a
document which will be made part of
the record, or may have the prehearing
conference transcribed.
(3) Record for decision The record
upon which the decision will be based
by the Board will consist of the
complaint and answer, other pleadings.
irders, stipulations that resulted from
prehearing conferences, the transcript
and testimony of any witness, any
additional papers or exhibits introduced
at the hearing, and the briefs of the
parties. The Board will issue a decision
as soon as practicable (whenever
possible within 120 days) after ail briefs
are filed or after the time for filing briefs
Rule 6. Parties to the appeal
Generally. the only parties to the
appeal are the financial assistance
recipient which recea'.ed the final
agency decision on which the appeal is
based, and the Department. However,
upon request the Board may allow a
third patty to present the case on appeal
or appear with a party in the case. w ren
the Board determines that the thira party
is a real party in interest.
Rule 7. Representation before the
Board
(a) The appellant An appellant may
appear before the Board in per'on or
through a representative The appellant's
notice of appeal, or the .ippcll .nt s
election letter submitted pur'.0 lrt to
Rule 2 must specify the name. aduress
and telephone number of the 4lppellant s
representative An attorney representing
ippell.int shall file a written not e -if
appearance If represented by someone
other than an attorney appellant sh, li
submit a dre,lani ■ion, s. nod by a
responsible crfu.al of the anpe■I ant. tliat
the person is authorised to ,ic t fur the
appellant
Exhibit 9 -3
9 -65d
Federal Reeister Vol. 45. No. 88 Monday. May 5, 1980 Rules and Regulations
(b) The respondent. As soon as
practicable, and no more than 20 days
after receiving the notice of appeal
under Rule 1. the attorney representing
the interest of the respondent shall file a
notice of appearance and shall serve the
notice on the appellant, or the
appellant s attorney.
Rule 8. Dismissal for failure to meet
deadlines and other requirements
(a) Whenever an appeal record
discloses the failure of any party to file
documents required by these rules,
respond to notices or correspondence
from the Board, or otherwise indicates
an Intention by that party not to
continue the prosecution or defense of
an appeal, the Board may issue an order
requiring the offending party to show
cause wny the appeal should not be
dismissed, or granted. as appropriate. If
the offending party does not, or is not
able to respond adequately, the Board
may take such action as it deems
reasonable and proper.
(b) If any party fails or refuses to obey
an order issued by the Board, the Board
may issue such orders as it considers
necessary to permit the lust and
expeditious conduct of the appeal,
including dismissal.
Rule 9. The Board's powers, functions,
and responsibilities
The Board has been delereited all
powers necessary for the performance of
its dunes, Including but not limited to the
authority to conduct hearings, call
witnesses, dismiss appeals with or
without prejudice, order the production
of documents and other evidence.
administer oaths and affirmations, issue
subpoenas. order depositions to be
taken, take official notice of facts within
general knowledge, and deride all
questions of fact and law. in dischai in
its functions. the Board shall provide ar
expeditious, lust. and relati.,•ly
inexpensive forum for resoh ing the
dispute.
Rule 10. Ex parte communications
(communicat.ons outside the record)
(a) Written ur oral commanications
with a Board member by one party
without the participation or n'it:ce to the
other about the r.:cnts of the appeal is
not permitted No member of the Board,
or the Board's staff. shall consider, nor
&hall any person directly or indirectly
itnoked in an .appeal. st hrnt any off the
record iufninl,ltinn. whether written or
oral, iclating to any matter at issue in an
appeal,
(b) Th r ,lc does not apply to
CGImTIu(lic atinis a.nonc members ,and
Etalf, nor to c omr,unicr,'ion' conr,crnul4
the Board's ,ic :••iinistr,ati e functions or
procedures.
29767
Rule 11. Notice and location of
hearings
Hearings will be held at such places
and at such times determined by the
Board to best serve the Interests of the
parties and the Board. In scheduling
hearings. the Board will consider the
desires of the parties and the
requirement for lust and inexpensive
determination of appeals without
unnecessary delay. The parties shall be
given at least 15 days notice of time and
place set for hearings.
Rule 12. Calculation of time periods
If a due date tor the filing of any paper
under these procedures falls on a
Sunday, Saturday, or Federal holiday,
then it shall be extended to the next
calendar working day.
)FR Doc 80 -13743 Filed 5-2-80 8 45 eml
BILLING CODE 6450 -01-M
Next page is 9 -66.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.2001 Continuation awards.
9.2002 Continuation procedures.
9.20 CONTINUATION PROCEDURES
NY
Paae 9 -66
A continuation award is an agreement between BPA and the recipient to continue
a project or program currently being funded. This may be accomplished by
either extending the existing budget or project periods or by creating new
budget and project periods. Such a continuation award may or may not include
additional funding.
(a) In order to allow a recipient to complete a project, BPA may extend the
project period and /or final budget period by revising the scheduled
expiration date without the need for competition. However, the amount of
continuation funding is subject' to the availability of program funds.
(b) When a project will be funded by BPA for more than one budget period,
it will not normally be necessary to extend budget periods. CO's should not
authorize the extension of one budget period and execute a continuation
award which would result in two budget periods operating concurrently.
(c) The schedule for receipt and review of continuation applications should
be established with a view to the timely issuance of continuation awards.
"Timely" means sufficiently prior to the beginning of the continuation
budget period in order that review, approval, negotiation, and award can all
be accomplished prior to the recipient's expected date of continuation
funding. (See BPAI Supplement 1, Project Managers Guide to Assistance
Preaward Activities, Subpart 2.5 for a table of typical financial assistance
lead times).
All continuation awards will require a continuation request from the
recipient. The requirements for detailed continuation requests and
justifications for continuation awards will be dependent upon whether or not
new budget or project periods are being established.
.(a)` If additional funding is required, the request shall contain a detailed
plan for conduct of the project and a detailed budget.
(b) In all cases the continuation request should also contain the
recipient's estimate of funds remaining unobligated (carryover) from the
current budget period. Unobligated funds may consist of unencumbered funds
in the recipient's possession as well as funds not yet requested from the
payment system. The timing of the continuation award and the submission of
the annual Financial Status Report (FSR) will be such that the FSR with the
actual unobligated balance will ordinarily not be available when the
continuation award is made; therefore, the CO will have to rely on the
estimates provided, with subsequent adjustment(s) as necessary.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Paae 9 -67
(c) Normally, unobligated funds should be retained by the recipient unless
there will be no further BPA funding or the CO has made a determination to
deobligate such funds -and may, upon issuance of an amended Notice of
Financial Assistance, BPA 1813, be carried over in accordance with 9.2002.
The options for the use of such carryover funds are as follows:
(1) Increase the amount of BPA funds that would otherwise be available to
the recipient in a subsequent budget period, or
(2) Reduce the amount of new funds made available by BPA.
(d) The recipient does not have authority to obligate those funds beyond
the expiration date of the current budget period as shown on the NFAA,
unless an extension of the current budget period or the reauthorization of
unobligated funds for use in a subsequent budget period has been made by a
continuation award.
9.2002 -1 Continuation of existing budget and /or project periods.
(a) Extending final budget and project periods will not require a detailed
application from the recipient if:
(1) The additional time necessary to complete the project is less than
18 months in total, and
(2) The recipient submits a written request for such an extension prior
to the expiration date of the project period, and a budget for the use of
any remaining funds or any additional funds requested.
(b) An application for continuation of a project by adding to or extending
a budget period within a previously approved project period does not
generally contain the same degree of detail as the initial application nor
does it undergo the same type of in -depth review. It will, however, be
required to contain information in sufficient detail to allow the CO and
project officer to determine the recipient's progress during the current
phase or the status of the project to date, as well as the recipient's
detailed plans for the conduct of the project for the upcoming budget period
and will require a detailed budget.
9.2002 -2 Creating new budget periods and /or project periods.
(a) Requests for continuation of awards by creating new project periods
will require a continuation application (SF -424 and attachments as
necessary) and must be accompanied by a justification from the program
office for continuing the award with the same party instead of selecting a
new recipient competitively.
(b) Applications shall also include the information as required in
9.2002(a) and (b) above.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.2002 -3 Carryover.
s
Page 9 -68
In all cases where the project will continue to be funded, it is desirable to
reauthorize or "carry over" those unexpended funds to the subsequent budget
period(s) rather than to extend one budget period prior to making the
subsequent award. There are several advantages to this approach. It allows
BPA and the recipient to maintain the integrity of the approved project
period. It also allows BPA to make appropriate funding adjustments within
programs if one recipient is unable to perform at the anticipated level, i.e.,
by reducing the amount of new funds to be obligated by BPA, while another
recipient may be able to use additional funds.
(a) The decision concerning whether to use the option set forth in
9.2002(c)(1) or (e)(2) above in a carry over situation should originate in
the program office. The responsible program manager should consider such
factors as (1) the nature of the program, (2) the recipient's justification
for using additional funds and its ability to increase its performance
effort, (3) the reason(s) why there are unspent funds available, (4)
possible use by other recipients of new funds freed up, and so forth. The
CO shall then review the proposed use of carryover to assure the selected
option is appropriate from a business management perspective.
(b) When the current FSR is received after the continuation or renewal
(annual or fourth quarter reports for those awards requiring quarterly
expenditure reporting), the CO must compare the actual unobligated balance
of funds reported by the recipient with the amount of BPA funds awarded on
on the continuation. At that time the following options may be exercised:
(1) If the estimated carryover balance has been used to reduce the BPA
funds needed for the next budget period, and if the actual balance is less
than the estimated balance,
(A) Supplement up to the level of funding BPA would have provided in
the absence of the balance, or
(B) Negotiate a reduced budget with the recipient so that no additional
BPA funds need to be obligated.
(2) If the estimated carryover balance has been used to increase the
amount of funding made available by BPA, and if the actual balance is less
than the estimated balance, revise the current authorized amount downward
to the level of the actually available unobligated funds and the funds
newly obligated for expenditure.
(3) If the actual balance is greater than the estimated balance and the
difference exceeds $5,000;
BPAI PART 9 RD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.2003 Preparation of documents.
(3) Any change in the terms and conditions of award.
(1) A face sheet (BPA 1813, Notice of Financial Assistance Award),
(2) The final negotiated budget for the modified project,
(3) Any changes to the terms and conditions,
(4) Any changes to the special conditions pertinent to the award, and
(5) The final negotiated project description, if applicable.
Page 9 -69
(A) Revise the current authorized amount upward to the level of
previously obligated and new funds actually available for expenditure if
the recipient requests permission in writing to use such additional
funds and can adequately justify their expenditure, or
(B) Deobligate funds from the current award in the amount by which the
actual balance exceeded the estimated balance.
(4) If the actual balance is greater than the estimated balance and the
difference is less than $5,000, the CO may
(A) Revise the current authorized amount upward to the level of
previously obligated and new funds actually available for expenditure if
the recipient requests permission in writing to use such additional
funds and can adequately justify their expenditure, or
(B) Deobligate funds from the current award in the amount by which the
actual balance exceeded the estimated balance, or
(C) Make no adjustments in the awarded amount until the next budget
period if applicable, or at modification, termination, or closeout of
the award.
(a) BPA Form 1813, Notice of Financial Assistance Award will be used to
document continuation, and revision actions. The NFAA shall be used for all
BPA awards involving:
(1) The obligation or deobligation of BPA funds;
(2) The authorization to expend (carry over) in the current budget period
BPA funds which remain unexpended from a prior budget period;
(b) After completion of negotiations if any, the CO will prepare and
execute a modification document. This document will consist of:
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
(c) The BPA 1813 is to be completed as follows (see 15.0102- 1813):
Page 9 -70
(1) At the top of the form in the line which begins "Under the authority
of Public Law...," insert in the space provided the number and name of the
Public Law which authorizes the award. This citation must include the
authorizing program legislation. On the line below, enter the title of
the pertinent program. These entries will normally be the same as those
on the original award.
(2) Blocks 1 -4. Same as original award.
(3) Block 5. This block shall always be completed for modifications.
Modifications for administrative purposes (no adjustment of award funds)
shall be numbered MOOXX, modifications making adjustments to award funds
shall be numbered- A00XX.
(4) Block 6. If a budget period is being changed, enter the starting
date and expiration date for the budget period as changed, and enter an
explanation in Block 20. If the budget period is not being changed enter
the dates from the current award.
(5) Block 7. If a project period is being changed, enter the starting
date and anticipated completion date for the project period as changed and
enter an explanation in Block 20. If the project period is not being
changed enter the dates from the current award.
(6) Blocks 8 9. Same as original award. (Block 9 will have a new PR
number if additional funds are being added or funds are being deobligated).
(7) Block 10. This block may be used at'the option of the CO. If it is
used, place an "X" in the box opposite the appropriate term.
(8) Blocks 11 -14. Same as original award.
(9) Block 15. Enter the accounting data from the PR, as indicated below:
(A) Block 15 (a). Enter the Organization code.
(B) Block 15 (b). Enter the Object code.
(C) Block 15 (c). Enter the Activity code.
(D) Block 15 (d). Enter the PL -6 number.
(10) Block 16. Same as original award.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 19$9 Transmittal 89 -1
Paae 9 -71
(11) Block 17. This block shall be completed in accordance with the
instructions provided below for each line. An entry should be made on
each line in block 17. If no dollar entry is appropriate a zero should be
entered to indicate there was no omission. Deobligations should be
denoted by the use of parentheses around the amount being deobligated,
e.g. (1,000).
(A) The following current budget period information shall be provided
in block (17)(a):
(1) Line a(1). Enter the amount of BPA funds obligated by this
action.
(2) Line a(2). Enter the amount of BPA funds not expended in prior
budget period(s) which are authorized by BPA to be carried over in the
current budget period. Note that line a(2) is the amount authorized
for carry over from the previous budget period to the current budget
period.
(3) Line a(3). Enter the amount of BPA funds previously obligated in
the current budget period, if applicable.
(4) Line a(4). Enter BPA's share of the total approved budget shown
on line a(6). The BPA share entered on line a(4) shall be equal to
the sum of lines a(1) a(2) a(3).
(5) Line a(5). Enter the recipient's share of the total approved
budget shown on line a(6).
(6) Line a(6). "Total approved budget" means the amount of costs
authorized to be incurred during the budget period by a recipient or
subrecipient, as well as the estimated value of in -kind contributions,
to carry out an approved project. The total approved budget consists
of BPA funds for both direct and indirect costs and any required cost
sharing. The total approved budget shall indicate the maximum amount
of funds BPA shall provide and the minimum amount or percentage of any
cost sharing the recipient is required to provide. Enter the total
approved budget for the current budget period which shall be equal to
the sum of lines a(4) a(5).
(B) The following information regarding cumulative BPA obligations
shall be provided in block 17(b):
(1) Line b(1). Enter the amount of BPA funds obligated in the
current budget period. The amount entered on line b(1) shall be equal
to the sum of lines a(1) a(3).
(2) Line b(2). Enter the amount of BPA funds obligated in prior
budget periods. The amount entered on line b(2) shall be equal to the
sum of all lines a(1) for all prior budget periods under the award.
(15) Block 21. To be completed by the recipient.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.2004 Carryover balances.
9.2005 Annual reconciliation of continuing assistance awards.
Page 9 -72
(3) Line b(3). Enter the amount of BPA funds obligated in the
project period to date. The amount entered on line b(3) shall be
equal to the sum of lines b(1) b(2).
(12) Block 18. This may be completed at the discretion of the CO. If
block 18 is competed, enter in the blank provided the amount which
represents the current estimate of total funds and dollar value of in -kind
contributions (both BPA and recipient shares) needed to carry out the
entire project. Include all funds and contributions previously provided,
those being provided by this action, and all anticipated future
obligations and contributions of both parties. If block 18 is not to be
completed, enter "NA."
(13) Block 19. Identifies the elements other than the NFAA which make up
the modification. These elements may be physically attached to the NFAA
or incorporated by reference.
(14) Block 20. Enter any explanation or advisory comments which are
applicable to this modification.
(16) In block 22, the CO shall sign and date the top line. The name and
title of the CO should be entered on the next two lines. Block 22 must be
signed prior to forwarding the award to the recipient. (See 8.1101 for
distribution of signed copies.)
C0's shall be prepared to identify to OMB the amounts of carryover balances
(e.g., the amounts of estimated, recipient unobligated balances available for
carryover into subsequent award periods). This presentation shall detail the
fiscal and programmatic (level of effort) impact in the following period.
C0's shall reconcile continuing awards at least annually and evaluate program
performance and financial reports. Items to be reviewed include:
(1) A comparison of the recipient's work plan to its progress reports
and project outputs,
(2) The Financial Status Report (SF 269),
(3) Request(s) for payment,
(4) Compliance with any matching, level of effort or maintenance of
effort requirement, and
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
Page 9 -73
(5) A review of federally owned property for which the recipient is
accountable.
This reconciliation will be accomplished when the CO reviews and initials the
financial and progress status reports refered to in 9.07 and 9.08, assuming
that all required information is available on these reports. Additional
documentation will be required if the status reports do not contain the
necessary information.
BPAI PART 9 AWARD ADMINISTRATION
June 1. 1989 Transmittal 89 -1
9.2100 General.
9.21 POST— EXPIRATION COSTS
Paae 9 -74
Unless a budget period is extended by a subsequent award or by an extension in
time, costs incurred after the expiration of a budget period are not
allowable. The CO may give the recipient express written consent for the
incurrence of closeout costs, e.g., report preparation following the
expiration of the final budget period of a project period. This should be
accomplished by extending the budget period and setting a budget ceiling on
the amount of costs to be incurred during the extended period. However,
awards to institutions of higher education will not require the prior written
consent of the CO for costs incurred for report preparation if incurred up to
90 days after the award expiration date. Such report preparation cost should
normally have been included in the originally negotiated budget.
BPAI PART 9 AWARD ADMINISTRATION
lino 1. 19 Transmittal 89 -1
9.2300 General.
(1345e)
9.22 DRUG -FREE WORKPLACE
Pang 9 -75
Recipients are required to conform with the requirements of clause 15.0202 -22,
Drug -Free Workplace Organizations, and /or with clause 15.0202 -23, Drug -Free
Workplace Individuals.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
TABLE OF CONTENTS
10.00 GENERAL DISCUSSION
10.01 INITIAL CLOSEOUT PROCEDURES
10.0101 General.
10.02 GENERAL CLOSEOUT
10.03 PROPERTY
10.0301 General.
10.0302 Real property.
10.0303 Nonexpendable personal property.
10.0303 -1 Federally owned.
10.0303 -2 Acquired with project funds.
10.0304 Expendable personal property.
10.0305 Intangible property. (Reserved)
10.04 PERFORMANCE
Paae 10 1
10.05 FINANCIAL
10.0501 Final Financial Status Report (SF -269).
10.0502 Final Request for Advance or Reimbursement (SF -270) or
equivalent.
10.0503 Final Outlay Report and Request for Reimbursement for
Construction Programs (SF -271).
10.0504 Final Federal Cash Transactions Report (SF -272).
10.0505 Remittance of unencumbered cash advanced to recipient.
10.0506 Audit.
10.506 -1 State and local government, institutions of higher education,
hospitals, and other non profit organizations.
10.0506 -2 Other recipients.
10.0506 -3 Closeout without audit.
10.0507 Special conditions for A -102 recipients.
10.0507 -1 Later disallowances and adjustments.
10.0507 -2 Collection of amounts due.
10.06 CLOSEOUT COMPLETION
10.0601 Notification to recipient.
10.0602 Official closeout.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
SUBPART 10.00 GENERAL DISCUSSION
(a) The closeout of a financial assistance agreement is the process by
which BPA determines that all applicable administrative actions and work
required by the agreement have been completed by the recipient and BPA.
(b) BPA will close out an award when it determines that all applicable
administrative actions and all required work of the award have been
completed. All BPA financial assistance awards ordinarily should be
closed out within 9 months after their dates of completion or
termination. The date of completion of a award is the date when all work
under the award is completed or the date in the award document or any
supplement or amendment thereto on which BPA financial assistance ends.
(c) BPA will notify recipients in writing before the end of the award
period of final reports that will be due, the dates by which they must be
received, and where they must be submitted. However, if it is possible
that the award will be extended late in the project period, such
notification may be delayed until the grant period actually expires.
Copies of any required forms and instructions for their completion shall
be included with this notification. The BPA actions that must precede
closeout are:
(1) Receipt of all required reports.
(2) Disposition or recovery of federally -owned or furnished property
(as distinct from property acquired under the award.)
(3) Adjustment of the award amount and the amount of Federal cash
paid the recipient.
Page 10 -2
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
10.0101 General.
SUBPART 10.01 INITIAL CLOSEOUT PROCEDURES
Page 10 -3
(a) The CO shall compile quarterly a list of those financial assistance
awards which are scheduled for completion in the following quarter.
Approximately 2 weeks after the scheduled date of completion of each award
on the list, the CO shall initiate the Verification of Financial
Assistance Award Completion (see Exhibit 10 -1) and enter the date such
verification was initiated in the blank provided opposite line 1 on the
Closeout Checklist Form (see Exhibit 10 -2). This verification shall
consist of contacting the cognizant PTR to make certain that all required
actions are complete. Upon completion of this verification, the CO shall
enter the date the verification was completed in the blank provided in
line 1. (For an award that has been terminated this step may be omitted.
However, the following closeout procedures should be initiated even if the
recipient has a right of appeal. If the right of appeal is exercised, the
remainder of the closeout process should be delayed until a final decision
is rendered.)
(b) The CO shall then send a copy of the Notice of Financial Assistance
Award in Process of Closeout letter (Exhibit 10 -3) to the recipient. The
letter requests that the recipient fill out, and return within a specified
period (but not later than 90 days after the date of the letter)
information essential to the closeout process.
(c) The CO then shall enter in the blank on line 2 on the Closeout
Checklist the date that these forms were transmitted to the recipient.
(d) The CO shall then send a request for a "Final Acceptance by Project
Technical Representative" memorandum, Exhibit 10 -5, and enter the date in
column 1, Item 3 of the checklist (Exhibit 10 -2). The PTR shall receive
from the recipient those completed documents requested by the CO in the
closeout letter, Exhibit 10 -3. When all documents are satisfactorily
completed, the Project Technical Representative will transmit these with
the memorandum of final acceptance, Exhibit 10 -5, to the CO.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
SUBPART 10.02 GENERAL CLOSEOUT
Page 10-4
Upon receipt of the documents requested in the Notice of Financial Assistance
Award in Process of Closeout, (Exhibit 10 -3), and the PTR's final acceptance
memo,(Exhibit 10 -5), the CO shall make the appropriate entries in the blanks
provided in the checklist and proceed to administratively close out each
aspect of the award: property, performance, and financial.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
10.0301 General.
SUBPART 10.03 PROPERTY
Paae 10 -5
The Notice of Financial Assistance Award in Process of Closeout, Exhibit
10 -3, requires the recipient to provide certain information on property (see
item 6 on the exhibit). Refer to 9.1211 for information regarding disposition
of property at the end of an award.
10.0302 Real property.
It is not anticipated that BPA financial assistance awards will involve the
acquisition or possession of real property. If real property is required for
a specific project, contact the HCA for further information.
10.0303 Nonexpendable personal property.
10.0303 -1 Federally owned.
The recipient is required to provide an inventory listing of all federally
owned nonexpendable personal property in the custody of the recipient (Exhibit
10 -3, item 6). Under awards to for profit organizations, individuals_ or
foreign organizations, this includes any nonexpendable personal property
acquired by the recipient with project funds unless statutory authority exists
to vest title in such recipient, and then only if explicitly provided in the
award. The CO shall forward a copy of this listing to the PTR under cover of
the Property Statement (see Exhibit 10 -6) and enter the date the package was
forwarded in the appropriate box on the checklist.
The appropriate personal property manager shall screen the property for
utilization in accordance with property management regulations. After this
screening is completed, the applicable personal property manager shall provide
written disposition instructions for the property to the CO, who shall in turn
forward these instructions in writing to the recipient. Upon completion of
disposition of the property, the PTR shall sign the Property Statement where
indicated and return it to the CO. The CO shall then enter the date the
statement was returned on line 10, second column, of the checklist.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
10.0303 -2 Acquired with project funds.
Page 10 -6
(a) Item 6(a) of Exhibit 10 -3 requires the recipient to indicate whether
it is in possession of any nonexpendable personal property acquired with
project funds.
(b) If the certificate indicates that there is no nonexpendable property
in the possession of the recipient, no further action is required by the
CO
(c) If there is property the recipient should indicate for each item
whether the property is no longer needed for the purposes authorized in
the award or other federally sponsored activities and whether the
recipient wishes to retain the property or obtain disposition
instructions. •In the first two instances, the CO need only place the list
in the file under the checklist. In the third instance, the CO shall
notify the PTR by memorandum that the recipient requested disposition
instructions for the listed property. The personal property manager shall
then provide the PTR with disposition instructions which the PTR will
forward to the CO. The CO will furnish the disposition instructions to
the recipient.
If the nonexpendable personal property identified is property where the
right to transfer title was reserved by BPA, the CO should request the PTR
to indicate whether the title is to be transferred. If the PTR indicates
that transfer of the property is desired, the PTR should include a
detailed destination and schedule for the desired transfer, the CO then
will notify the personal property manager who there should make an
independent determination as to the desirability of transferring title.•
The CO shall then forward the destination and schedule information to the
personal property manager. In any case where transfer of title will
occur, the personal property manager shall provide the CO with appropriate
transfer instructions for the property which the CO will forward to the
recipient. Under such a transfer, the recipient shall be reimbursed by
the benefiting Federal agency or other party in accordance with BPAI
9.1211.
10.0305 Intangible property. (patents, technical data, copyrights)
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
10.0304 Expendable personal property.
(Reserved)
Page 10 -7
If the transfer instructions are not issued by BPA within 120 days after
the end of BPA support of the project for which the property was acquired,
the recipient may proceed in accordance with the use and disposition
provisions of 9.1211, and BPA forfeits the right to transfer title until
such time as the recipient has no need for the property and requests
disposition instruction from BPA.
It should be noted that for all real property and nonexpendable personal
property acquired with project funds which will continue to be used by the
recipient after closeout of the award and for which the recipient is
accountable (1.e., in general, nonexempt nonexpendable personal property
with a unit acquisition cost of $1,000 or more for A -102 recipients, or
$300 or more for A -110 recipients), the CO shall assure that the personal
property manager has all the documentation necessary to track the property
until such time as the recipient compensates BPA for its share of the
value of the property or requests disposition instructions for such
property.
(a) If the recipient indicates that there is no residual inventory of
expendable personal property or such inventory does not exceed $1000 in
total aggregate fair market value (item 6(d), Exhibit 10 -3), no further
action concerning this property is required of the CO. However, if the
recipient indicates that an inventory exists which exceeds $1000 in total
aggregate fair market value, it also should indicate whether the property
will be used on other federally sponsored activities. If the recipient
indicates that the property will be used on such activities, the CO shall
acknowledge such use in writing to the recipient and take no further
action regarding the property.
(b) If the recipient indicates that the property is not needed on other
federally sponsored activities and will be retained or sold, the CO shall
notify the recipient in writing that it must compensate BPA in an amount
derived by using the computation set forth in BPAI 9.1211.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
1
SUBPART 10.04 PERFORMANCE
Pace 10 -8
Upon receipt of the final performance (technical, progress) report, the
PTR shall review the report and indicate on Exhibit 10 -5, whether the
report is considered to be satisfactory. If so, the PTR need only check
the appropriate box on the form. However, if the report is not considered
to be satisfactory, the PTR shall check the appropriate box and list those
areas considered to be deficient and explain why it is deficient in those
areas. The PTR also should provide remedial steps to be taken by the
recipient to make the report acceptable.
Once the memorandum is filled out, the PTR should return the memorandum
together with checklist items 3 through 9 of Exhibit 10 -2 to the CO. The
CO, upon receipt of the memorandum, shall enter the date the memorandum
was returned on line 3, second column on the checklist. If the PTR has
indicated on the memorandum that the final performance report is
satisfactory, the CO need only place the memorandum in the file under the
checklist.
In the event that the PTR indicates that the report is not satisfactory,
the CO shall advise the recipient in writing that the report is deficient
and shall set forth those areas of deficiency identified. The CO should
keep in mind that under a financial assistance award, the report is not a
deliverable or product of the award and that, therefore, the only valid
reason for finding a report unsatisfactory is that it is not in accordance
with the project description. This notice also shall indicate what
additional information is to be submitted to correct the deficiencies and
shall advise the recipient of a deadline by which this additional
information is to be received by the CO.
When the information is received from the recipient, the CO shall transmit
it to the PTR in the same manner as the original report indicating the
date transmitted to the PTR on the same line in the checklist as
previously.
The PTR should review the supplemental information and, if the report is
still deficient in light of the supplemental information, should initiate
the same procedure as set forth above to obtain the required information.
In the event that the information provided is still deficient, the CO,
after consultation with the PTR, may waive the requirement for that
information and continue with the closeout process. However, should the
supplemental information make the report acceptable, the PTR shall mark
the appropriate block on the form and return the form to the CO who shall
enter the date received on the checklist on the same line as previously
and place the memorandum in the file under the checklist.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal -1
Paae 10 -9
SUBPART 10.05 FINANCIAL
10.0501 Final Financial Status Report (SF -269).
All recipients must submit final Financial Status Reports (FSR) (SF -269) in
accordance with BPAI 9.07.
The PTR shall review the final FSR to assure that the BPA share of outlays and
unliquidated obligations reported for the project does not exceed the amount
of BPA funds authorized. If there is no apparent discrepancy in the amount
claimed, the CO shall enter on line 5 of the checklist the date the report was
received by the PTR from the recipient and then refer to the other financial
form or forms submitted by the recipient. However, should the total
expenditures and encumbrances claimed exceed the amount authorized in the
latest approved budget, the CO shall notify the recipient in writing that any
overexpenditures are the responsibility of the recipient and may not be
charged to this or any other Federal award. The CO then shall forward the
original and one copy of both the final Financial Status Report (or final cost
report) and the request for payment, as adjusted to reflect any
overexpenditures, to the General Voucher Section for payment.
10.0502 Final Request for Advance or Reimbursement (SF -270) or equivalent.
In those instances where letters of credit have not been used, the recipient
shall submit a final Request for Advance or Reimbursement Form (SF -270) in
accordance with BPAI 9.07. If the CO, after review by the Project Technical
representative finds no discrepancies in the final Financial Status Report or
final cost report, the CO shall then compare the final Request for Advance or
Reimbursement with the final Financial Status Report or final cost report to
assure that the common elements on the two forms coincide. Any discrepancies
shall be communicated to the recipient by the CO and resolved by telephone if
possible. If this is not possible, the CO shall require the recipient to
submit revised forms. Upon completion of this examination, the CO shall
review the request to assure that the cumulative amount received or requested
does not exceed the amount budgeted for the award or the amount of BPA
expenditures and encumbrances (outlays and unliquidated obligations) reflected
on the Final Financial Status Report or final cost report. If this review
reveals a discrepancy(ies), the CO shall notify the recipient in writing of
the discrepancy(ies) and allow a reasonable period of time for the recipient
to provide a written explanation. If the recipient fails to respond in the
allotted time, or if the explanation is not considered acceptable, the CO
shall make an adjustment on the SF -270 or final voucher which will cause the
request for reimbursement to be reduced correspondingly. The CO then shall
send the original and one copy of the corrected form to the General Voucher
Section for payment and notify the recipient of the reduction in the amount to
be paid.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1988 Transmittal 89 -1
10.0504 Final Federal Cash Transactions Report (SF -272).
10.0505 Remittance of unencumbered cash advanced to recipient.
Paae 10 -10
10.0503 Final Outlay Report and Request for Reimbursement for Construction
Programs (SF -271).
In those instances where the award is under a construction program and the
recipient has been submitting periodic Outlay Report and Request for
Reimbursement for Construction Programs forms (SF -271) throughout the project
period, the recipient is required to complete and submit a final SF -271. The
CO, after prior review of the Project Technical representative, shall review
the SF -271 to assure that the cumulative amount requested does not exceed the
amount budgeted for the award. If the total costs claimed for the award are
less than or equal to the amount budgeted, the CO shall then obtain the
signature of the PTR in Box 12b of the SF -271 and forward the original and one
copy of the form to the General Voucher Section, retaining one copy in the
award file with the checklist.
In those instances where funds are advanced to a recipient through a letter of
credit, or by direct Treasury check, and the recipient has been submitting
periodic Federal Cash Transactions Report forms (SF -272) throughout the
project period, the recipient shall complete and submit a final Federal Cash
Transactions Report. The CO, after prior review of the PTR shall review the
report and compare it with the final Financial Status Report (if required) to
assure that the common elements on both forms coincide. If they do not,
procedures set forth in subparagraph 10.0502 should be followed. Upon
completion of this review and resolution of any discrepancies, the CO shall
review the request to assure that the amount advanced does not exceed the
amount claimed for. the award. If this review indicates such a discrepancy,
the CO shall determine whether the recipient has forwarded a check in the
amount of the excess advance payment along with the required closeout
documents. If the recipient has not forwarded such a check, the CO shall
request the recipient to do so.
(a) Recipients who have cash on hand in excess of total encumbrances are
required to remit the excess funds to BPA when submitting the requisite
forms and reports (as described above) to the CO.
(b) The remittance should be in the form of a check made payable to the
Bonneville Power Administration. When the check is received, the CO shall
enter in the appropriate block on the checklist the date the check was
received and make a copy for the file. The CO shall immediately forward
the check to the Office of Financial Management.
(c) Cost adjustment. BPA will, within 60 days after receipt of the
financial reports described in 10.0501 through 10.0504, make upward or
downward adjustments to the allowable costs.
BPAI PART 10 AWARD CLOSEOUT
tune 1. 1989 Transmittal 89 -1
10.0506 Audit.
Paae 10 -11
(d) Cash adjustments.
(1) BPA will make prompt payment to the recipient for allowable
reimbursable costs.
(2) The recipient must immediately refund to BPA any balance of
unobligated (unencumbered) cash advanced that is not authorized to be
retained for use on other awards.
10.0506 -1 State and local governments, institutions of higher education,
hospitals and other nonprofit organizations.
(a) BPAI 9.14 provides the necessary guidance concerning recipient
responsibilities for audits.
(b) BPA will, to the extent possible, rely on the results of the audits
described in 9.14. CO responsibilities in the closeout process relating
to audits differ depending on whether the recipient has been assigned a
cognizant Federal audit agency.
(c) The CO shall determine whether there are any findings identified in
the report which might warrant further action. If there are none, the CO
shall notify the recipient in writing that no further adjustments will be
made in the total amount of allowable costs and shall also set forth the
final total award amount and the final total BPA share. In those
instances where adverse findings are identified in the report, the CO
shall notify the recipient in writing of these findings and shall offer
the recipient an opportunity to provide documentation which will resolve
the findings.
(d) If the recipient fails to provide this documentation within the time
period established by the CO in the notification, or should the recipient
provide documentation which is not adequate to resolve the findings, the
CO then shall contact the cognizant audit office for advice as to whether
the findings warrant further investigation in the form of an individual
audit of the award or other method of examination. If that office
indicates that such an action is warranted and will be pursued, the CO
shall provide that office with any information or assistance it may need
to initiate the action. The CO then shall notify the recipient in writing
that it will be contacted by a member of the cognizant office concerning
further inquiry into the findings under the audit. Upon completion of
this audit or other investigatory action, the CO, with the recipient,
shall resolve any findings which arose from the audit or investigation and
BPAI PART 10 AWARD CLOSEOUT
June 1, 1989 Transmittal 89-1
Page 10 -12
then notify the recipient formally in writing of any adjustments that will
be made to the award amount and BPA share and indicate the final total
award amount and the final BPA share amount. If any costs are disallowed,
the CO should advise the recipient of its right to appeal pursuant to 10
CFR Part 1024.
(e) When audit cognizance is assigned to another Federal agency, the CO
should rely on the cognizant agency to review and resolve audit findings.
The CO shall consult with cognizant agency personnel as requested to
assist that agency in its responsibilities.
10.0506 -2 Other recipients.
The procedure for arranging for audits of individuals, for profit
organizations, and foreign organizations is somewhat different from that for
the above recipients. These recipients shall be subject to individual audits
of each award as opposed to systems audits of their organizations. Normally,
such an audit will be conducted as part of the closeout process. However,
CO's may waive or defer a closeout audit if considered appropriate. When the
CO determines that there is a need for an audit, the CO will request the audit
from the BPA Internal Audit staff or other appropriate audit organizations.
The audit office then shall arrange for the audit. These recipients will not
be required to perform or arrange for such audits, unless requested to do so
by the CO. Once the report is received by the CO, the procedures for
resolving audit findings and establishing final obligation amounts are the
same as those indicated above.
10.0506 -3 Closeout without audit.
If BPA closes out an award without an audit or without benefit of an
organizationwide or single audit covering the full period of BPA support, the
recipient shall refund to BPA the amount of any costs subsequently disallowed
under the closed out award on the basis of any applicable audit report
received subsequent to closeout. This section applies to any class of
recipient.
10.0507 Special conditions for A -102 recipients.
10.0507 -1 Later disallowances and adjustments.
The closeout of an award does not affect:
(a) BPA's right to disallow costs and recover funds on the basis of a
later audit or other review;
(b) The recipient's obligation to return any funds due as a result of
later refunds, corrections, or other transactions;
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
(c) Records retention as required in 9.04.
(d) Property management requirements in 9.12; and
(e) Audit requirements in 9.14.
10.0507 -2 Collection of amounts due.
(3) Other action permitted by law.
Paae 10 -13
(a) Any funds paid to a recipient in excess of the amount to which the
grantee is finally determined to be entitled under the terms of the award
constitute a debt to the federal Government. If not paid within a
reasonable period after demand, BPA may reduce the debt by:
(1) Making an administrative offset against other requests for
reimbursements,
(2) Withholding advance payments otherwise due to the recipient, or
(b) Except where otherwise provided by statutes or regulations, BPA will
charge interest on an overdue debt in accordance with the Federal Claims
Collection Standards (4 CFR Ch. II). The date from which interest is
computed is not extended by litigation or the filing of any form of appeal.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
10.0601 Notification to recipient.
SUBPART 10.06 CLOSEOUT COMPLETION
Page 10 -14
The CO shall notify the recipient of closeout completion. For closeouts that
do not involve adjustments in the amount of BPA funds obligated under the
award, a letter notice should be provided to the recipient. For closeouts
involving an obligation or deobligation of BPA funds, the notice of closeout
should be made by an modification to the award document. In the event that
additional funds are to be obligated or funds are to be deobligated, a PR will
be submitted by the program office. In either case, the recipient must be
notified of the provisions of the closeout including financial settlement, BPA
recovery rights, and the period for recipient retention of records related to
the project.
10.0602 Official closeout.
Only after the items listed below have been completed may the award be closed:
(a) Receipt of all required reports
(b) Disposition or recovery of federally owned property
(c) Adjustment of the award amount and the amount of Federal cash paid
the recipient.
Upon completion of all the actions set forth in this Part 10, the CO shall
sign the checklist in the space provided. The award is then considered
officially closed out and the CO shall follow BPA procedures for retiring the
file.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
Exhibit 10 -1
FINANCIAL ASSISTANCE AWARD
VERIFICATION OF COMPLETION
TO: Project Technical Representative
FROM: Contracting Officer
Recipient:
Project Title:
Award Number:
According to our records this award is scheduled for completion
on Please verify this or provide
information on when actual completion is scheduled in the space below and
return this memorandum to me. Upon receipt of verification, this office will
notify the recipient that the award is in process of closeout.
VERIFICATION
or
1. Final Financial Status Report (if
applicable) or final cost report.
2. Final Payment Request and /or Final
Federal Cash Transactions Report (SF -272).
3. Remittance of Excess Cash on Hand or
Overpayment (if appropriate).
Page 10 -15
The subject award is scheduled for completion on as
stated above.
The subject award is scheduled for completion on in
accordance with the information provided below or attached.
Please indicate which of the following document have been received from the
recipient, and provide one copy of each with this verification when it is
returned.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
Exhibit 10 -1 (Cont)
4. Current Audit Report or Statement as to
Initiation and Estimated Completion Date
of Audit.
5. Final Performance (Technical, Progress)
Report.
6. Property Statement.
Sianed
Project Technical Representative
Date:
Paae 10 -16
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
Award number
Recipient
Exhibit 10 -2
FINANCIAL ASSISTANCE AWARD
CLOSEOUT CHECKLIST
DATE
ADMINISTRATIVE ACTIONS PRIOR TO CLOSEOUT DATE INITIATED COMPLETED REC'D
1. Verification of award completion by
cognizant PTR.
2. Notice of award in process of closeout.
3. Final Acceptance by Project Officer
Memorandum.
4. Property Certificate.
5. Final Financial Status Report (if
applicable) or final cost report.
6. Final Payment Request and /or Final
Federal Cash Transactions Report (SF -272).
7. Remittance of Excess Cash on Hand or
Overpayment (if appropriate).
8. Current Audit Report or Statement as to
Initiation and Estimated Completion Date
of Audit.
9. Final Performance (Technical, Progress)
Report.
10. Property Statement.
11. Notice of Award Closeout Completion.
All actions necessary to close out this award have been completed.
Contracting Officer Date
Page 10 -17
BPAI PART 10 -AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
Exhibit 10 -a
NOTICE OF FINANCIAL ASSISTANCE AWARD IN PROCESS OF CLOSEOUT
(Name and address of Recipient)
Responsible Recipient Official:
CLOSEOUT OF AWARD NO.
TITLE
Project Technical Representative's Name Routing
Bonneville Power Administration
Address of Project Technical Representative
Paae 10 -18
Our records indicate that this award expired (terminated) on
(date of expiration or termination). In order to facilitate administrative
closeout, it is requested that you return the following information
by (no longer than 90 days from date of letter) to:
1. A Final Financial Status Report (SF -269).
2. (a) If funds are due your organization, a final payment request on the
appropriate payment form used throughout the project period; or
(b) If excess funds have, been advanced to your organization, a check
drawn in the amount of the unencumbered cash advanced and made payable to
the Bonneville Power Administration.
3. A Final Federal Cash Transactions Report (SF -272) (if funds are advanced
through letters of credit or by direct Treasury checks).
4. A final performance (technical, progress) report prepared in accordance
with the attachments to OMB Circulars A -110 entitled "Monitoring and
Reporting of Program Performance," BPAI 9.08 for A -102 recipients, or
other term of the award.
BPAI PART 10 AWARD CLOSEOUT
June 1. 1989 Transmittal 89 -1
Exhibit 10 -3 (Cont)
5. Two copies of the latest audit report for the recipient organization
unless already provided at time of audit or a statement as to when such
an audit will be performed if it has been 2 years or more since the last
such audit of the recipient.
6. A final property report including:
a. An inventory listing of any equipment acquired with award funds
which has a unit acquisition cost of or more.
b. Disposition request or request for continued use of any property
purchased with award funds (listed in (6(a))(title vested in
recipient); and
c. A listing of any federally owned equipment and /or real property
currently in your custody provided by this award.
d. Whether a residual inventory of unused supplies remains and the
aggregate value of any such inventory.
All of the above documents shall be submitted with an original and two
copies. If any questions should arise concerning this matter, please contact
me at telephone number (503) 230-
cc:
Project Technical Representative
Disbursement Audit
Sincerely,
Contracting Officer
Paae 10 -19
CO shall insert $1,000 for A -102 recipients, and $300 for A -i10 recipients,
as appropriate.
BPAI PART 10 AWARD CLOSEOUT
June 1. 19B9 Transmittal 89 -1
Exhibit 10 -4
RESERVED
r
Paae 10 -2.4
L
BPAI PART 10 AWARD CLOSEOUT
AWARD NO.
RECIPIENT
TO: PROJECT TECHNICAL REPRESENTATIVE,
June 1. 1289 Transmittal 89 -1
Exhibit 10 —F
FINAL ACCEPTANCE BY PROJECT TECHNICAL REPRESENTATIVE
Paae 10 -21
The suvject award is in the process of being closed out. However, it cannot
be officially closed out until we receive written assurance from you that the
final performance (technical, progress) report (attached) is considered
satisfactory. Accordingly it is requested that you provide this information
where requested below:
The final Performance (Technical, Progress) Report has been received
and is is not l considered to be satisfactory. (If the report
is considered unsatisfactory, please indicate specific deficiencies
below:)
Attachment: Final Performance (Technical, Progress) Report
Signature Date
BPAI PART 10 AWARD CLOSEOUT
lone 1. 19$9 Transmittal 89 -1 Pane 1C-22
RECIPIENT
AWARD NO.
1346e
Exhibit 10 -6
PROPERTY STATEMENT
To the best of my knowledge and belief, the recipient has satisfactorily
accounted for real and tangible personal property for which it is accountable
to the Bonneville Power Administration under the terms of the award.
Signed:
Date:
Project Technical Representative
BPAI TABLE OF CONTENTS
,tune 1. 19B9 Transmittal 89 -1
CROSS REFERENCE
A -102 TO BPAI
OMB Circular A -102 (3 /8$,.
Reference Title BPAI Reference
6a Preaward policies 1.02, 2.0103
6b(1)(2) Advance Public Notice 2.0101
and Priority Setting
6b(3) Review by Policy Official 2.0117
6c Standard Forms for Applying 5.0104
for Federal Assistance
6d Debarment and Suspension 8.0101 -1
Paae TC -9
6e Awards and Adjustments to Awards 8.0400(c) and (d)
6f Carryover Balances 9.2002 -3; 9.2004
6g Special Conditions or Restrictions 7.0102
6h Waiver of "Single" State Agency Does not apply to BPA
Requirements programs
6i Patent Rights 15.0202 -16
7a Cash Management 8.0502(a), 8.0504 -2
7b Recipient Financial Management 7.0201(d), 9.0600
Systems
7c Financial Status Reports 9.0700, 9.0701
7d Contracting w /SB, DIS LSA Firms 9.1302 -2(i)
7e Program Income 8.0505, 9.05
7f Site Visits and Technical 9.0802 -1
Assistance
8a Closeout 9.11; 10.00
8b Annual Reconciliation of 9.2005
Contracting Assistance Awards
Or 4
BPAI TABLE OF CONTENTS
June 1. 1989 Transmittal 89 -1
CROSS REFERENCE
A -102 COMMON RULE TO BPAI
Reference Title BPAI Reference
1 Purpose and Scope of this Part 1.0101
2 Scope of Subpart 1.0102
3 Definitions 1.02
4 Applicability 2.0100, 2.0112
5 Effect on Other Issuances 1.0101
6 Additions and Exceptions 1.0106
.10 Forms for Applying for Grants 5.0104
11 State Plans Footnote (1)
.12 Special Grants or Subgrant 7.0102
Conditions for "High- Risk" Grantees
.20 Standards for Financial Management Systems 7.0201, 9.0600
.21 Payment
.22 Allowable Costs
.23 Period of Availability of Funds
.24 Matching or Cost Sharing
.25 Program Income
.26 Non Federal Audit
30 Changes
.31 Real Property
.32 Equipment
8.05
2.0112
8.07
8.0505, 9.0501
9.1401; 9.1402
9.1001
9.1204
9.1205, 9.1207
9.1208, 9.1209,
9.1210
.33 Supplies 9.1211 -2
Paae TC -10
Footnote (1): State plans not required by BPA financial assistance program
statutes.
BPAI TABLE OF COOFENTS
June 1. 19$9 Transmittal 89 -1
CROSS REFERENCE
A -102 COMMON RULE TO BPAI
(Continued)
Reference Title BPAI Reference
.34 Copyrights 9.1212
.35 Subawards to Debarred and Suspended Footnote (2)
Parties
.36 Procurements 9.13
.37 Subgrants Footnote (3)
.40 Monitoring and Reporting Program 9.0800
Performance
.41 Financial Reporting 9.0700, 9.0701
.42 Retention and Access Requirements 9.0400, 9.0402
for Records
.43 Enforcement 9.18
.44 Termination for Convenience 9.1804 -2
.50 Closeout 9.1100, 10.00,
10.03, 10.04,
10.05
.51 Later Disallowances and Adjustments
.52 Collection of Amounts Due
10.0507 -1
10.0507 -2
Paae TC -11
Footnote (2): BPA is not implementing this section of the Common Rule as
subawards and subjects typically made by BPA recipients are
minor and to mostly local small business and local governmental
agencies. Requiring compliance with this section of common role
would be administratively burdensome and yield little or no
significant benefits.
(3): BPA financial assistance generally does not provide for
subgrants.
I
November 9, 1988
Mr. Ken Maike
Energy Management Analyst
City of Port Angeles
P.O. Box 1150
Port Angeles, Washington 98362
Project: Energy Management, Technical Review and Training Services
Energy Smart Design Assistance Program
Subject: Fee Proposal
Dear Mr. Maike:
SCOPE OF WORK
AFPGF,FniN
We are please to submit a fee proposal for providing engineering services for the above
project.
It is our understanding that City of Port Angeles Light Department will be providing design
assistance services for approximately 7 new construction projects in the next year. Based
upon our telephone conversation this week, we are to provide technical review services of
the computer modeling and energy strategies suggested by Port Angeles City Light for
these projects on an "as- needed" basis. It is anticipated that the review for each project will
be broken down as follows:
Coffman Engineers, Incorporated
1601 Fifth Avenue Suite 900
Seattle, Washington 98101 -1625
206 623 0717 Fax 206 624 3775
SSO W Seventh Avenue Suite 700
Anchorage, Alaska 99501
907 276 6664 Fax 907 276 5042
Hours
Review Interpretation Inputs of Baseline Model 2
Review Tentative Strategies for project 2
Discuss observations and suggestions with you 1
Review Final Report 2
Discuss suggestions with you 1
Total 8
Mechanical
Structural
Electrical
Civil
Protect and
Construction
Management
r
Mr. Ken Maike
Energy Management Analyst
November 9, 1988
Page 2
It is also our understanding that we will also provide one day of training to you in our
offices relevant to how we have approached the design assistance process with our own
clients, the Washington State Energy Office and Bonneville Power Administration. This
session will take 8 hours or less, and will be tailored to your specific agenda.
As you have requested, I will be the single point of contact between Port Angeles Light and
Coffman Engineers.
FEE PROPOSAL
We propose to provide engineering services as outlined above under Scope of Work on a
time and expense basis not to exceed $600 per project, without prior authorization. The
one day of training will be provided in our Seattle office to Ken Maike and/or others on a
time and expense basis not to exceed $550, without prior authorization. My time will be
billed at $68.00 per hour.
Photocopying charges will be 0.10 per copy and outside expenses (telephone, etc.) will
be marked up 10 percent.
Any other services that may be required of us, such as hourly modeling, will be billed to
you, at the rates itemized below, against a maximum not -to- exceed budget agreed to at the
time. These rates will be in effect through December 31, 1989.
Senior Engineer $68.00 per hour
Energy Modeler $47.00 per hour
Clerical $29.00 per hour
PAYMENTS
Fees for services will be billed on a monthly basis..
SCHEDULE
We can begin work immediately upon notice to proceed. However, it is our understanding
that with the exception of the training discussed, there is no certainty as to when the various
projects may come in.
Upon your concurrence with this proposal, please sign and return one copy to this office
for our records.
Mr. Ken Maike
Energy Management Analyst
November 9, 1988
Page 3
Please contact me should you have any questions or need additional information. We
appreciate the opportunity of being of service to you and look forward to working on this
project.
Sincerely,
COFFIAN ENGINEERS, INC.
1/� l_%
Keith E. Elder, P.E.
Manager, Energy Systems Group
KEE:vlj
06201/11C34
APPROVED AND ACCEPTED BY:
City of rt Angeles
IL—
Signature
Mayor
Title
November 16, 1988
Date
Attest:
City Clerk
Date 11-16,-8140
MEMORANDUM
October 4, 1988
TO: City Manager, Mayor and City C
FROM:
RE:
R. E. Orton, City Light Directo
Agreement with the Clallam County P.U.D. No. 1 for
operation of the Energy Smart Design Assistance Program
ISSUE: Should the City Council approve an Agreement with the
Clallam County P.U.D. (P.U.D.) for the cooperative operation of the
Energy Smart Design Assistance Program?
BACKGROUND: Tonight Council is considering acceptance of a
Financial Assistance Award from the Bonneville Power Administration
(BPA) for operation of the Energy Smart Design Assistance Program
for new commercial buildings. Our strategy includes offering
program services countywide in cooperation with the P.U.D. The
designers and developers targeted by this program are common to
both the City and County and therefore, the joint effort eliminates
unnecessary overlap. A cooperative approach was reviewed by the
Utility Advisory Committee and approved by City Council in April.
ANALYSIS: The attached Agreement defines the responsibilities of
the two utilities in the operation of the Energy Smart Program.
City Light will act as the lead utility because our staff has the
required administrative and technical experience with the
commercial building sector.. The PUD will assist with program
referrals, marketing, initial contacts, data gathering and awards
for projects in the P.U.D. service territory.
For their efforts the P.U.D. will receive a general administrative
reimbursement of $2000 plus $200 per P.U.D. area project or a
projected maximum of $3000 during the budget period ending June 30,
1989. These payments will come from the $17,000 general
administrative allowance received by the City from the BPA Award.
The Agreement has been reviewed by the City Attorney. We expect
the P.U.D. Board of Commissioners to consider the agreement at
their meeting Monday, October 3.
RECOMMENDATION: The Light Department recommends that Council
authorize the Mayor to execute the Agreement with Clallam County
P.U.D. No.1 for operation of the Energy Smart Design Assistance
Pr�gram as a cqu/itywide effort.
Conservation Manager
Attachment (1)
MEMORANDUM
October 4, 1988
TO: City Manager, Mayor and City Cou
FROM: R. E. Orton, City Light Director
RE:
Award from Bonneville Power Administration (BPA) for the
Energy Smart Design Assistance Program
ISSUE: Should the City Council accept a Financial Assistance Award
from BPA for the operation of the Energy Smart Design Assistance
Program for new commercial buildings?
BACKGROUND: On April 19, 1988, Council authorized the City Light
Director to submit a grant proposal to Bonneville for the Energy
Smart Design Assistance Program. This program provides assistance
to designers and developers in selecting energy efficient measures
for installation in new commercial construction. The services
include computer analysis, costing and payback data on various
options and awards for buildings built to a standard at least ten
percent above the current Model Conservation Standards (MCS). A
summary of program objectives is attached.
Also included in the April 19 Council action was 1) approval for
the City to use participation in the Energy Smart Program to
satisfy the Bonneville MCS Surcharge Policy for the commercial
sector and 2) to operate Energy Smart as a cooperative effort with
the Clallam County P.U.D. No 1 (P.U.D.) with City Light acting as
the lead utility.
ANALYSIS: The Light Department submitted the grant proposal on
April 29 and have now received a grant Award for Council's
approval. The Award provides a maximum of $26,500 for the budget
period ending June 30, 1989. The budget includes $17,000 for
general administration and $9,500 for costs directly related to the
technical aspects of the design assistance.
The Agreement with the P.U.D. for the cooperative effort is also
on the agenda for Council's consideration. We will come to Council
for approval of selection of an Engineering /Architectural
consultant to provide limited technical support to City Light
Conservation staff at a later date.
RECOMMENDATION: The Light Department recommends that Council
authorize the Mayor to execute the Financial Assistance Award from
the Bonneville Power Administration to operate the Energy Smart
Design As ;istance Program.
Conservation Manager
Attachment (1)
COOPERATIVE AGREEMENT FOR OPERATION OF
THE ENERGY SMART DESIGN ASSISTANCE PROGRAM
THIS AGREEMENT, made October 3, 1988, between the City of
Port Angeles (City) and the Public Utility District No. 1 of
Clallam County (PUD), is for the purpose of defining the
responsibilities of the two utilities in the operation of the
Bonneville Power Administration's (BPA) Energy Smart Design
Assistance Program.
REPRESENTATIONS
1. A proposal for a cooperative program was submitted by
the City to Bonneville on April 29, 1988, in response to BPA
Program Solicitation No. DE- PS79- 88BP39138.
2. The PUD Board of Commissioners, on April 18,1 988, and
the Port Angeles City Council on April 19, 1988, approved
operation of the Program as a joint effort with Port Angeles City
Light being the lead agency.
3. The overall goals of operating the Energy Smart Program
will be to:
A. Provide assistance in energy- efficient design
options to the designers, developers and builders of new
commercial buildings in all areas of Clallam County.
B. Promote acceptance and incorporation of energy
efficiency levels exceeding the Model Conservation Standards
(MCS) in new commercial buildings in Clallam County.
C. Meet the BPA MCS Surcharge Policy requirements for
the commercial building sector in Clallam County PUD No. 1
and Port Angeles City Light service territories.
AGREEMENTS
In consideration of the promises, covenants, and conditions
set forth herein, the parties hereby agree as follows:
1. Term. The initial period of this Agreement shall be
for the first program budget period, from the date of award from
Bonneville through June 30, 1989. This Agreement shall be
automatically extended for successive program budget periods,
upon BPA approval of budget requests, either as written or with
modifications agreed upon by both utilities.
2. Citv's Duties.
A. The City will enter into a Cooperative Agreement
(Award) with BPA for operation of the cooperative Energy Smart
Design Assistance Program in service territories of the City and
the PUD. The Award is incorporated as part of this Agreement.
B. As lead utility, the City will represent the
interests of both utilities and serve as the single point of
contact with BPA. The City Conservation Manager will act as
Program Manager.
C. The City will be responsible for complying with
all utility obligations required by the Award except those
specifically designated as PUD responsibilities under this
Agreement. The City's responsibilities under the Award include
but are not limited to the following:
(1) Provide all services required for operating
the Program at the Option 2 level.
equipment
meetings.
(2) Provide all personnel, facilities and
necessary to offer program services.
(3) Attend required training and program
(4) Meet BPA requirements for reporting and
record keeping, access and maintenance.
(5) Promote the
designers and /or developers.
D. In addition, the
the following:
(1) Notification within two (2) working days of
new PUD area potential projects.
(2) Monthly summary of all contracts and
communications concerning PUD area projects.
(3) Copies of (a) Building Design Assistance
Reports on PUD projects; (b) correspondence with PUD
customers; (c) quarterly project reports to BPA; and (d)
program marketing materials and forms.
E. At the completion of any PUD project which
qualifies for a program design award, the presentation of the
award will be arranged with the PUD.
F. Program records related to PUD projects or the BPA
Award shall be open for examination by the PUD.
-2-
program
City will
services to local
provide the PUD with
3. PUD's Duties.
A. The PUD will provide initial contact and
communication outlining services available for PUD area projects.
B. The PUD will provide program referrals through PUD
customer service, conservation or other sections having contact
with potential commercial development, and will distribute
program marketing materials, as appropriate, through such
channels.
C. The PUD will coordinate with the City on obtaining
building permit activity data from Sequim, Forks and Clallam
County Building Departments.
D.
information
tenants as
comply with
The PUD will provide monthly utility billing
from the participating building owner and subsequent
required by the Award, section 2.2.5/C5, and will
all other terms of the Award.
E. The PUD will review and approve locally developed
marketing materials and program forms submitted to the PUD by the
City.
F. The PUD will participate in presentation of
program awards to projects built in the PUD service area.
G. The PUD will attend periodic coordination /informa-
tional meetings with the City as requested.
4. Contact Personnel. The City Conservation Manager or
his /her designee will act as point of contact with the PUD. The
PUD point of contact with the City will be the PUD's Conservation
Resources Supervisor.
5. Payment. The City will receive as payment for services
rendered under this Agreement those reimbursements received from
BPA for program participation as outlined in the Award. The
City, in turn, will pay the PUD within thirty (30) days of
receipt from BPA, $2,000 of the Base Administrative Allowance for
services rendered under this Agreement. Additionally, the City
will pay the PUD, within thirty (30) days of receipt from BPA,
$200 for each PUD area project design assistance agreement that
is executed.
6. Hold Harmless and Indemnification.
A. The City and PUD agree to hold each other harmless
from any claims, charges, or lawsuits that may in any way result
from the performance of this Agreement or that may in any way be
related to the Energy Smart Design Assistance Program.
B. The City and the PUD agree to indemnify and defend
each other against any claims or lawsuits that may in any way
-3-
result from the performance of this Agreement, or that may in any
way be related to the Energy Smart Design Assistance Program, and
that relate to application of said Agreement and /or Program
within their respective jurisdictions.
7. Termination. This Agreement may be terminated by
either party upon thirty (30) days' written notice.
WHEREFORE, the parties have caused this Agreement to be
executed by the subjoined duly authorized signatories.
CLALLAM COUNTY PUBLIC UTILITY CITY OF PORT ANGELES
DISTRICT NO. 1
By
Larr
Boar
Attes
LIGHT.71
Haas,
of C
President
iss na s
Hugh E. Si ry son, Secretary
Board of Commissioners
Date October 3, 1988
By
Attest
Date
1 r
Frank McPhee, Mayor
Michelle M. Maike
City Clerk
October 4, 1988
(4) BPA Share of Total Approved Budget
(5) Recipient Share of Total Approved Budget
(6) Total Approved Budget
19 TOTAL ESTIMATED COST OF PROJECT
US DEPARTMENT OF ENERGY BONNEVILLE POWER ADMINISTRATION
NOTICE OF FINANCIAL ASSISTANCE AWARD
(See Instructions on Reverse)
Under the authority of Public Law 96 -501 Pacific NW. Electric Power Planning
and sub ct Jo legislation regulations and poll ies applicable to (cite legislative program WO)
I. 6301 et seq. Federa ran and Cooperative Agreement
1. PROJECT TITLE
ENERGY SMART DESIGN ASSISTANCE PROGRAM
Option 2 Utility Agreement
3. RECIPIENT (Name address, zip code area code and telephone no.)
o A ngeles City Ligh
P.O. Box 1150
Port Angeles, WA 98362
8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.)
Sheila A. Hardy
(206) 457 -0411
11. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Sheila A. Hardy
(206) 457 -0411
13. BPA PTR (Name, address, zip code, telephone no.)
Dulce Setterfield TBA (206) 442 -1366
BPA Puget Sound Area, 201 Queen Anne,
Ave. North, Suite 400, Seattle, WA 98109
14. RECIPIENT TYPE
STATE GOV'T INSTITUTION OF HIGHER EDUCATION
__XLOCAL GOV'T HOSPITAL
INDIAN TRIBAL GOV'T OTHER NONPROFIT ORGANIZATION
15. ACCOUNTING AND APPROPRIATIONS DATA
a ORGANIZATION b OBJ NUMBER c ACTIVITY
RMCC 27 GNL
17. BUDGET AND FUNDING INFORMATION
a. CURRENT BUDGET PERIOD INFORMATION
(1) BPA Funds Obligated This Action
(2) BPA Funds Authorized for Carry Over
(3) BPA Funds Previously Obligated in this Budget Period
2. INSTRUMENT TYPE X
GRANT "COOPERATIVE
4. IN Dunt.N$ 8BP93021 5.
6. BUDGET PERIOD (From Thru) 17, PROJECT PERIOD (From Thru)
09/26/88 06/30/89, 09/26/88 0
9. PURCHASE REQUISITION NO.
79- 88BP39138
10. TYPE OF AWARD
96_50n
-n-
_n_
9 6,.500
_n_
9 6,500_
N/A
and Conservation Act
Act of 1977
XNEW
5;1 25
AGREEMENT
AMENDMENT NO
CONTINUATION
SUPPLEMENT
telephone no.)
RENEWAL REVISION
12. ADMINISTERED BY (Name, address, zip code,
Bonneville Power Administration
Attn: Dale Latham SRPA
P.O. Box 3621 FTS 429- 3609
Portland, OR 97208 (503)230- 3609
FOR PROFIT ORGANIZATION C P SP
INDIVIDUAL
OTHER (Specify)
d PL•6 NUMBER
K00672
b. CUMULATIVE BPA OBLIGATIONS
(1) This Budget Period
[Total of lines a (1) and a (3)]
(2) Prior Budget Periods
16. EMPLOYER I.D. NO. /SSN
91- 6001266
(3) Project Period to Date
[Total of lines b (1) and b (2)]
26, 5.0.0__
,o-_
7 A ,500_
(This is the current estimated cost of the project ft is not a promise to award nor an authorization to expend funds in this amount)
19. AWARD /AGREEMENT TERMS AND CONDITIONS
This award /agreement consists of this form plus the following
Budget and Special Conditions
Program Description (Section A)
Exhibit 1 Definitions
Exhibit 2 Program Services Summary
Exhibit 3 Activity Report
Exhihit_4 camp1 t= Consultation Worksheet
20. REMARKS The following documents are incorporated by reference: 1. Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments (Common
Rule); 2. OMB Circular A -102 (Revised 3/3/88); OMB Circular A -87; 4. Draft operating plan
dated April 29, 1988.
21. EVIDENCE OF R C PIENT ACCEPTANCE
a
b
c
d
e
(Signature of Authorized Recipient Official)
Frank McPhee, Mayor
(Name)
(VS2- SRPA- 4049m)
10 -4 -88
(Date)
g. Exhibit 5 Promotion
h. Exhibit 6 Technical Requirements
i. Exhibit 7 Energy Conservation Measures
(ECM's) Code List
j. Exhibit 8 SIC codes
k. Terms and_ConditionsKSection DI
22. AWARDED BY
(Signature)
(N m o S. Eatham
Contracting Officer
gg
(Dates
BUDGET WORKSHEET
Budget Period: Date of Award through June 30, 1989 Port Angeles City Light
Utility Name
A. Administrative Allowance
1. Level of Activity Chart:
PROGRAM OPTION BASE PER BUILDING MAXIMUM
AMOUNT ASSISTED (NOT TO EXCEED)
1
More Than
20 Buildings
Served per Year
2
Serve 20 or
Fewer Buildings
per Year
$20,000
$10,000
$1,000
$1,000
2. Administrative Allowance:
a. Service Option Selected: 1 2 xx
b. Base Administrative Allowance
(1) Amount from chart above: 10,000
(2) Cost share percentage (from Exhibit 1) X 100
(3) TOTAL BASE ADMINISTRATIVE ALLOWANCE 10,000
c. Amunt reimbursed per building:
(1) Per building amount: 1,000
(2) Cost share percentage (from Exhibit 1) X 100
(3) TOTAL PER BUILDING AMOUNT: _1_000
d. Estimated number of buildings
to be provided service: 7 x -000
line c(3)
3. TOTAL ADMINISTRATIVE ALLOWANCE (2.b.(3) 2.d)
$70,000
$25,000
S. a 2S
$17,00
Cannot exceed maximum of shown in the chart above for option selected
($70,000 for Option 1, $25,000 for Option 2).
B. Design Assistance Allowance
C. TOTAL ALLOCATION (ADMINISTRATIVE DESIGN ASSISTANCE):
Port Angeles City Light 8/11/88
Utility Name Date
7/22/88 -3663m
DESIGN ASSISTANCE APPROACH
NO. OF BUDGET TOTAL
BUILDINGS ITEM
1. Number of prescriptive building(s): 5 X $1,000* 5,000
2. Number of bin modeled buildings: 2 X $2,250* 4,500
3. Number of hourly simulation modeled buildings:
X $5,000* NA
4. TOTAL DESIGN ASSISTANCE ALLOWANCE 9,500
These amounts are only for purposes of estimating budgets. Payment for
each building will be made based on actual costs within the limits
described in Paragraph 3.1. In no case may the total costs for design
assistance exceed the total shown on line B4.
17,000 9,500 26,500
(Line A.3) (Line B.4)
A.
SPECIAL CONDITIONS
1 Port Angeles City Light will describe in their final operating plan or as
soon as they have signed subcontract(s), which firms with which they will
subcontract to perform energy modeling. This will include the name of the
firm, the modeling software which will be used and a statement certifying
that the firm's lead modeler meets the qualifications listed in the Smart
Design Program Technical Requirements.
2. Port Angeles City Light will supply with their final operating plan a copy
of the letter of agreement with Clallam County PUD No. 1 defining the role
each will undertake to provide Smart Design Program services.
PART 1 GENERAL
1.1 Scope
1.2.2 Specific
SECTION A
PROGRAM DESCRIPTION
ENERGY SMART DESIGN ASSISTANCE PROGRAM
OPTION 2 UTILITY AGREEMENT
SECTION A
OPTION 2 PROGRAM DESCRIPTION
To improve the energy efficiency of new commercial buildings in the
Pacific Northwest.
1.2 Objectives
1.2.1 General
A. To improve energy efficiency in new commercial buildings by
working through the region's utilities to provide energy design
assistance to commercial building designers and developers.
B. To effect changes in the region's energy codes by demonstrating
the economic benefits of energy efficiency improvements.
C. To make commercial building designers, developers, professional
educators, financial institutions, property managers and others
aware of the benefits of including energy efficiency measures in
the projects in which they are involved.
D. To support the use of energy- efficient electric products as a
means of promoting prudent electric load growth in the
commercial sector.
A. To attain efficiency levels exceeding the MCS for all buildings
receiving services under the Program. In 50 percent of those
buildings, attain as built efficiency levels which exceed the
MCS by at least 30 percent.
B. To provide site specific services including consultation, energy
design assistance, and awards to building designers.
C. To increase the acceptance of energy design practices among
building owners, developers, designers and contractors.
D. Provide design assistance to 25 percent of the new commercial
building starts within a participating utility service territory
in the third year of program operation. Smaller penetration is
expected during the first two years of program operation.
1
1.3 Background
2
SECTION A
OPTION 2 PROGRAM DESCRIPTION
The Bonneville Power Administration (Bonneville), a power marketing
agency within the United States Department of Energy (DOE), sells
electricity to 115 publicly -owned and eight investor -owned utilities in
the Pacific Northwest. In addition, Bonneville provides direct
electrical sales to certain industrial customers and conducts
out -of- region power sales.
Under the provisions of the Pacific Northwest Electric Power Planning
and Conservation Act of 1980 (the Act), Bonneville is authorized to
acquire electric power resources as required to meet the needs of its
customers. These resources include both conservation and generation.
Preference is given to conservation, or energy efficiency, because in
most cases it is the least cost electric power resource available to
the region.
The Act created a Regional Power Planning Council (Council) responsible
for developing and adopting 20 -year power plans which provide guidance
for Bonneville's resource activity within the region. In 1983, the
Council adopted its first Northwest Conservation and Electric Power
Plan (Plan). Efficient use of energy is an important focus of the Plan.
The Plan identifies Model Conservation Standards (MCS) for commercial
buildings as the most cost effective means for Bonneville to achieve
energy efficiency in the commercial sector. While the MCS for
commercial buildings is roughly equal to current construction practice,
Bonneville has established that cost effective energy savings (beyond
the MCS) can be achieved by including efficiency strategies in new
building designs. Also, Bonneville has identified new commercial
buildings as a lost opportunity resource.
The Energy Smart Design Assistance Program (Smart Design Program)
evolved from the Energy Edge design competition which began in the fall
of 1985. A working group consisting of representatives of public and
private utilities, state and local governments, architectural and
engineering firms, private contractors, and the Council has assisted
Bonneville with the development of the Smart Design Program.
A draft strategy was developed and made available to the public for
comment during December 1986 and January 1987. The comments were
evaluated and included within the final strategy which was approved by
the Bonneville Conservation Manager in March 1987, and summarized in a
Decision Document. A draft program description was written to
implement those strategies. It was available for public comment during
August 1987. The comments were evaluated and summarized in a Decision
Document in September 1987 and signed on October 8, 1987. The Final
Description of the Energy Smart Design Assistance Program dated
September 1987 reflects the decisions made.
1.3.1 References
SECTION A
OPTION 2 PROGRAM DESCRIPTION
"Energy Smart Design Assistance Program, Final Description" dated
September 1987
"Decision Document For The Energy Smart Design Assistance Program"
dated October 8, 1987.
1.3.2 Environment
This Program has been reviewed for compliance with the National
Environmental Policy Act (NEPA) and has been found to be the type of
action normally excluded from further environmental review (Federal
Register, Vol. 47, No. 36, February 23, 1982, p. 7977). The proposed
Program offers design assistance and information to program
participants and has no incentives for the installation of energy
conservation measures. To help the program participants avoid areas of
potential environmental effects Bonneville has developed
recommendations based on past experience in the existing commercial
buildings sector. These recommendations can be found in the Technical
Requirements located at Exhibit 6.
1.3.3 Program Evaluation
Bonneville may conduct an evaluation of this pilot program. The
evaluation will assess the successes and shortcomings of the program
design and delivery structure. It will also look at the number of
buildings provided design services and the efficiency levels that were
attained.
1.4 Government Furnished Property /Service
Bonneville will provide the following:
A. Formal classroom training for utility personnel. This training
will be conducted by a contractor selected by Bonneville and will
be required for utility personnel involved in the operation of the
Smart Design Program. Training will be conducted at various times
and places throughout the Bonneville service area.
3
B. Program Notebook(s) providing technical and non technical
information and guidance for utility program operators. These
documents will be provided at the formal classroom training
sessions listed above. The notebooks will include:
1. Technical Subjects
Basic information on building plans, energy modeling, energy
efficient products, energy management systems, lighting,
building envelope, windows, fans, pumps, space heating systems,
water heating, and ancillary systems.
2. Non Technical Subjects
SECTION A
OPTION 2 PROGRAM DESCRIPTION
Basic information on program objectives; program description;
the commercial development and design process; local program
promotion; sales and basic communications skills; program
management; program administrative procedures; and procedures
to follow when providing program services.
C. Indoor Air Quality information booklets as furnished by Bonneville.
D. A regional promotion program operated by a contractor selected by
Bonneville will include:
1. Promotional materials to mail or hand to commercial building
designers and developers describing the program services.
2. Presentation folders for use by program operators when
presenting program services and when presenting the technical
recommendations once the program services are provided.
3. Ad slicks for insertion by the participating utility in local
newspapers, local trade association newsletters and utility
publications.
4. Site signs to be used during the construction phase for each
participant building in the Smart Design Program whose building
owner or designated representative signs a letter of intent to
achieve the Energy Smart or Energy Edge Award efficiency
levels. Signs may be ordered by participating utilities as
needed.
5. Architectural plaques which may be ordered by the utility to
recognize buildings which participate in the program and
construct buildings that achieve the Energy Edge Award
efficiency levels.
6. Certificates which may be ordered by the utility to recognize
designers and developers whose buildings have achieved the
Energy Smart or Energy Edge Award level of efficiency.
4
1
SECTION A
OPTION 2 PROGRAM DESCRIPTION
1.5 Awardee Furnished Property /Service
1.5.1 The awardee shall furnish all other property and services required to
complete the tasks and deliverables identified in this Statement of
Work.
1.6 Relationship with the MCS Surcharge
PART 2 TASKS
The Smart Design Program serves as the commercial BPA /Utility MCS
Program which the Northwest Power Planning Council (Council) identified
in their Power Plan. This program will serve as an option for
utilities to avoid a surcharge for their commercial loads. The
Surcharge Policy lists reporting requirements in addition to
subscribing to this Program. See the "Model Conservation Surcharge
Policy" dated August 25, 1987, for additional information.
1.7 Definitions
See Exhibit 1 for a list of applicable definitions.
2.1 General Requirements
2.1.1 Prior to award, the awardee selected Option 2 for program delivery.
All work must be performed in accordance with the Smart Design Program
Technical Requirements (TR) found at Exhibit 6. As an option 2
awardee, the utility shall perform all tasks listed under General
Requirements and Specific Requirements in Part 2 of the Program
Description except the performance of hourly modeling for complex
buildings, optional services, or those which are beyond their
capability. Assistance may be requested from the Bonneville Area
Office Project Technical Representative (PTR) for ASP assistance for
those tasks.
5
2.1.2 All utilities shall:
6
SECTION A
OPTION 2 PROGRAM DESCRIPTION
A. Provide personnel and facilities to offer the services selected in
the budget worksheet.
B. Attend Bonneville sponsored training sessions for program
orientation and operation.
C. Attend program operator meetings called by Bonneville no more than
4 times per year and at least once each year.
D. Provide the services identified for the selected option. Specific
services to be offered under each option are found in Paragraph 2.2.
E. Maintain, for a minimum of three years following the budget period,
accurate and reliable records required by this program for
reporting and evaluation.
F. Report to Bonneville in accordance with the requirements in
Paragraph 2.2.10.
G. Agree to make program records (including photocopies of such
records) available to Bonneville or its contractors as needed for
evaluation and provide personnel to assist with intrepreting
utility records.
H. Ensure that Bonneville or its contractors, for each project where
design assistance is performed, has access to the building, design
documentation, design team members, developers and owners for
evaluation purposes.
I. Promote the program services to local designers and /or developers.
2.1.3 Changes to a different option will be allowed only at the beginning of
a new budget period, even though the actual number of buildings served
in the current budget period may differ from the number of buildings
listed as guidance for that option.
2.1.4 The Technical Requirements (Exhibit 6) will not be changed during the
budget period without a bilateral modification to the agreement.
However, Bonneville's Headquarters Conservation staff may, throughout
the budget period, issue "Interim Guidance" which provides Bonneville's
current intent. The recipient has the option of following the "Interim
Guidance" or adhering to the Technical Requirements as shown in the
agreement.
2.2 Specific Requirements
The utility (awardee) will fulfill the following specific requirements:
2.2.1 Operating Plan
A final operating plan will be submitted within 45 days following award
by Bonneville of the agreement. The plan will include:
A. Description of the approach to be used for providing services;
B. A list of modelers, other assigned personnel and retained
contractors who will support program activities, their experience
and qualifications, and their role in the program; specifically
describe how the lead modeler meets each of the minimum experience
requirements as shown in Exhibit 6, Technical Requirements,
Paragraphs 3 and 3.1;
C. A local promotion plan (See Paragraph 2.2.3); and
D. Identification of computer software tools to be used.
2.2.2 Kev Personnel
The utility will notify the Bonneville Project Technical Representative
(PTR) if the lead modeler changes.
2.2.3 Promotion
Each utility will promote the program services within their service
territory. Exhibit 5 lists sample activities which will meet the
intent of this requirement. The awardee has the option of performing
the activities listed on the Exhibit, performing others of a similar
nature, or a combination. A separate regional marketing /promotion
effort will be operated by a Bonneville contractor to support this
program.
2.2.4 Screen Inquiries
2.2.4.1 Inquiries concerning the availability of design assistance will be
screened to determine that:
A. The building is to be served by an eligible utility.
B. The building design and construction schedule has sufficient
flexibility and is at a stage where design assistance can
result in efficiency recommendations that can be incorporated
into the design.
C. The owner, developer, and design team have an interest in
receiving design assistance.
7
SECTION A
OPTION 2 PROGRAM DESCRIPTION
2.2.5 Consultation
SECTION A
OPTION 2 PROGRAM DESCRIPTION
2.2.4.2 If the project is part of a chain or franchise operation, the
Project Technical Representative (PTR) will be notified prior to
providing design assistance services. If another building in this
chain or franchise has previously been provided design assistance
through the program, it will be determined whether the project will
have the same specifications. If so, the results of the work
accomplished on the previous project will be provided in lieu of
further design assistance.
2.2.4.3 When it is apparent in the screening process that the appropriate
design assistance services exceed the utility's capability, the
results of this initial screening will be forwarded to the
Bonneville Area Office Project Technical Representative (PTR) with
a "Request for Assistance."
A. A meeting will be conducted with the building owner and /or the
design teas to review building design schematics and determine
the needs and capabilities of the design team. Anytime in the
consultation process it becomes apparent that the appropriate
design assistance activities exceed the utility's capabilities,
the consultation process will terminate. The results of the
initial screening and consultation will be forwarded to the
Bonneville Area Office Project Technical Representative (PTR)
with a "Request for Assistance
B. When identical buildings (or buildings of sufficient similarity
so as to produce nearly identical modeling results and ECM
recommendations) have previously been modeled, those modeling
results will be provided to the design team after consultation
in lieu of further design assistance.
C. The utility, as appropriate, will:
1. Determine which design assistance approach is appropriate
(prescriptive, bin or hourly simulation modeling) using the
Smart Design Program Technical Requirements (Exhibit 6,
Paragraph 5 and Figure 1, Basis for Selection of
Appropriate Means of Technical Assistance).
2. Determine needs of owner, scope of service and capabilities
of design team.
3. Identify the specific tasks that will be carried out
consistent with basic and optional service requirements
(Paragraph 2.2.6) and establish reimbursement levels.
4. Determine who will perform the identified tasks. To the
extent the building owner's design team meets the
experience qualifications in the Technical Requirements and
has the desire to complete any or all of the tasks
identified in Paragraph 2.2.6, the utility is encouraged to
subcontract with the design team lead to accomplish the
work.
8
2.2.6 Design Assistance
SECTION A
OPTION 2 PROGRAM DESCRIPTION
5. Prepare and execute a written agreement with the building
developer, owner, or their representative which describes
the work to be performed, the estimated cost for each task,
who will perform the task(s), and a schedule for completing
the work. This signed agreement will include a release
allowing Bonneville access to information on the project's
design specifications and the results of design assistance
services. The utility agrees to request monthly utility
billing information from the building owner and subsequent
tenants to use for evaluation and case studies. This
information will be subject to the provisions of the
Privacy Act of 1974. (A sample form is shown at
Exhibit 4. The awardee may use this form or design their
own form which contains the information listed above.) The
information required by the Smart Design Services Summary,
Part 1, shall be completed for each consultation (See
sample form at Exhibit 2. The awardee may use this form or
design thier own form). This information should be
retained by the utility and submitted with the completed
Building Design Assistance Report.
Design assistance shall be conducted in accordance with the Smart
Design Program Technical Requirements. An energy analysis of building
design documents shall be conducted to identify the energy efficiency
improvements that are appropriate and feasible. Optional services
limited to those specified in the Technical Requirements (TR) may also
be conducted (See Paragraph 2.2.6.B). The costs associated with
performing the design assistance services will be tracked and reported
to Bonneville. See page 3 of the Smart Design Activity Report,
Exhibit 3 and Part II of the Smart Design Program Services Summary,
Exhibit 2. The utility may use the formats shown on the samples or
design their own format. Also see Exhibit 7, ECM Code List, for
designations of Energy Conservation Measures.
A. Basic Services
1. Prescriptive Buildings
Those buildings which meet the requirements of a 'prescriptive
building' shall be assisted in accordance with the Technical
Requirements (TR). The building owner or their designated
representative shall be provided with a Building Design
Assistance Report as specified in the Technical Requirements.
Any resulting primary benefits such as equipment downsizing and
any secondary benefits such as improved marketability shall
also be identified and described. This report shall be
presented in person and the design options explained. Electric
products and technologies may be promoted when prudent.
2. Energy Modeled Buildings
a. Preliminary design plans and building specifications will
be reviewed to:
(1) Gather data necessary to perform the basic services;
9
2.2.7 Verification
10
SECTION A
OPTION 2 PROGRAM DESCRIPTION
(2) Determine the baseline energy consumption of the
proposed building, using methods specified in the
Technical Requirements;
(3) Identify architectural and engineering strategies
(including computer analysis for daylighting) for
improving the energy efficiency of the baseline
building using methods specified in the Technical
Requirements.
b. The building owner or their designated representative shall
be provided with a Building Design Assistance Report as
specified in the Technical Requirements. Any resulting
primary benefits such as equipment downsizing and any
secondary benefits such as improved marketability should be
identified and described. This report will be presented in
person and the design options explained. Electric products
and technologies may be promoted when prudent.
B. Optional Services
Optional services limited to those specified in the Technical
Requirements may be provided only by consent of the Contracting
Officer (CO). Basic services must also be selected if optional
services are provided.
A. After delivery of the Building Design Assistance Report, utilities
will perform a followup interview(s) in person or by telephone to
verify whether the design assistance recommendations will be
implemented. If the intent is to implement, the utility must
verify this before providing a site sign. If the ASP (Alternate
Service Provider) provides the design assistance services, either
the ASP or the utility may perform this followup interview at the
utility's discretion. Such interviews shall be initiated within 2
weeks of report delivery. If the decision is not made within the
initial two week period, the utility or ASP shall check
periodically until the decision on implementation is made. The
utility shall document their verification findings and report them
to Bonneville. The utility may use the Smart Design Program
Services Summary, Part II. shown at Exhibit 2, or design their own
format.
2.2.8 Awards
SECTION A
OPTION 2 PROGRAM DESCRIPTION
B. Upon completion of a project, utilities shall conduct a followup
site inspection and an interview(s) with the Design Team, owner, or
developer to determine whether or not the building incorporated the
design assistance recommendations and therefore meets the
requirements for an Energy Edge or Energy Smart Award (See
Paragraph 2.2.8). If implementation occurred and an award is to be
made, a report addendum including information listing installed
measures and updated estimated costs shall be included in a
"followup report" for award verification described in Paragraphs
2.1 and 2.2 of the Technical Requirements. Although not required,
specific measure information such as make, model, nameplate rating
and actual costs is desirable. A statement of this verification
must be made in writing and maintained with utility records prior
to granting of an award. The Smart Design Program Services
Summary, Part III, shown at Exhibit 2, may be used for this purpose.
Utilities shall offer the Energy Smart and Energy Edge Awards. The
awards shall be made to the design team, owner and /or developer when
the building meets or exceeds the requirements for these awards
specified in paragraphs 2.1 and 2.2 of the Technical Requirements.
Utilities shall notify the Bonneville Project Technical Representative
(PTR) at least two weeks prior to the presentation of any award.
Utilities may use discretion in establishing an internal policy
regarding which individual buildings shall receive recognition awards.
Two types of Smart Design Awards are available.
A. Energy Smart Awards For those who have constructed the electrical
portion of their buildings at levels at least 10 percent more
energy efficient than if constructed to the MCS. Publicity will
include certificates for the design team and owner /developer
recognizing the energy efficiency of their building.
B. Energy Edge Award For those who have constructed the electrical
portion of their buildings at levels at least 30 percent more
energy efficient than if constructed to the MCS. Recognition will
include:
1. Certificates of recognition for the design team and
owner /developer.
2. Architectural plaques that are to be permanently attached to
the buildings recognizing its energy efficient design.
Installation will be at the owner's expense.
11
2.2.9 Records
SECTION A
OPTION 2 PROGRAM DESCRIPTION
3. Publicity, on a selective basis to be determined by the
utility, for the design team and the owner and /or developer.
This publicity may include announcements or notices in regional
or national publications.
4. A press event, on a selective basis to be determined by the
utility, to publicize the opening of the building.
Utilities shall maintain the following records for a minimum of three
years unless other time periods are specified within this section. The
three year period will begin on the date the grantee submits to
Bonneville its last expenditure report for the annual budget period.
A. All data necessary to support the reports listed in Paragraph
2.2.10.
B. List of those contacts made and /or maintained as part of the Smart
Design Program including name, address and telephone number of each.
C. A description of buildings served through the Program including the
name, address and telephone number of each owner /developer and
design team member.
D. Electrical billing records of completed buildings which receive the
Program's services to the extent permitted by legal and regulatory
requirements for a period of 2 years following occupancy.
E. Level of assistance information such as the number of hours and
costs expended in providing services (i.e., consultation, modeling,
and followup, etc.) for each building participating in the program.
F. Copies of the full Building Design Assistance Report, including all
computer runs and other data used in the process.
G. Copies of the information required by the reports listed in
paragraphs 2.2.5, 2.2.6 and 2.2.7.
2.2.10 Reporting
Utilities shall submit quarterly and final financial and technical
reports. See Section D, clauses D 2.24 and D -2.6 for the specific
requirements.
12
PART 3 BUDGET
3.0.2 Budget Period
SECTION A
OPTION 2 PROGRAM DESCRIPTION
3.0.1 General
Program administrative and design assistance funding levels will be
evaluated prior to each new budget period. Bonneville will notify
utilities of any changes in the criteria for funding prior to the start
of each new budget period.
Utilities shall submit a new budget worksheet prior to the start of the
new budget period. A new budget allocation for each utility will then
be determined. The utility's past experience (i.e., their ability to
complete service to a maximum number of buildings within the budget
provided) in the Smart Design Program will be reviewed when new budget
levels are considered.
The initial budget period shall be from the date of award through June
30, 1989. Future budget periods shall consist of 12 months. The
entire project is envisioned to run through June 30, 1991.
3.0.3 Supplemental Funding
Supplemental funding may be requested if a showing of need is made by
the utility in their request to Bonneville. The justification shall
show the completion of a majority of budgeted buildings (i.e.,
submitted Building Design Assistance Reports) and evidence of
sufficient commercial starts to warrant additional effort.
A. Administrative Funding
Any supplemental funding is subject to the availability of funds
and Bonneville's Program needs. The only basis for changing the
administrative allocation will be an increase in the number of
buildings to be provided services. Such additional administrative
funds will be reduced by the current cost share, using the
percentages in effect from the Bonneville Final Conservation Cost
Sharing Principles at the time of supplemental funding.
13
3.1 Transfers Between Budget Items
14
SECTION A
OPTION 2 PROGRAM DESCRIPTION
B. Design Assistance Funding
Any supplemental funding is subject to the availability of funds
and Bonneville's Program needs. The design assistance allocation
may be changed only if:
1. more building projects are expected to be provided design
assistance services than were projected on the budget
worksheet, or
2. optional services are provided per Paragraph 2.2.6.B, and
there are insufficient funds from other budget items to offset
the extra costs of such services, or
3. the Contracting Officer has previously approved transfers
exceeding the 50% threshold described in Paragraph 3.1, there
are insufficient funds from other budget items to offset the
extra costs, and unique circumstances exist which justify the
higher costs, e.g., very large and complex buildings.
A. Funding may not be shifted between the design assistance and the
administrative allowance. Within the design assistance allowance,
actual costs per building may vary up to 50% above the amount
budgeted per building without Contracting Officer (CO) approval,
e.g., for bin modeled buildings the $2,250 budget per building may
be exceeded, but by no more than 50% ($3,375 Total) without
Contracting Officer approval. All costs incurred to model a
specific building (including basic services of daylighting computer
analysis and any award verification modeling runs) are subject to
this payment limit.
B. If the utility selects a design assistance approach to assist a
building which is different than the approach shown as guidance in
Figure 1 of the Technical Requirements for that building category
(e.g., a bin model is used where an hourly model is depicted or
vice versa), the budget limit will be determined by least complex
method, unless prior approval of the Contracting Officer (CO) is
obtained for use of a more complex model (e.g., hourly when
Figure 1 requires bin).
15
SECTION A
OPTION 2 PROGRAM DESCRIPTION
3.1.1 Administrative Allowance
A. Actual costs will not be paid for items covered by the
administrative allowance. Instead, a flat amount will be paid in
accordance with paragraph C, below. Administrative funding is
intended to cover a portion of a utility's costs for providing:
1. Consultations which do not, result in an agreement to perform
design assistance (Paragraph 2.2.5, Consultation),
2. Design assistance in those instances where a prescriptive
approach is used, once it becomes available (Paragraph
2.2.6.A.1),
3. Verification (Paragraph 2.2.7),
4. Travel not specifically incurred in performing design
assistance,
5. Record keeping and reporting (Paragraphs 2.2.9 and 2.2.10),
6. Equipment, computer charges, and software programs.
7. Any other tasks not specifically covered by Paragraph 3.1.2,
Design Assistance Allowance.
B. This administrative payment will be subject to further reduction
for partial requirements customers by the current cost share amount.
C. The amount of administrative funding will depend upon the option
selected and the number of buildings which are provided design
assistance services. The utility will be provided a base funding
amount according to the service option it selects.
The following schedule will be used to determine the administrative
funding base amount for each utility and the maximum amount a
utility can receive in a budget period.
PROGRAM OPTION BASE PER BUILDING MAXIMUM
AMOUNT ASSISTED, (NOT TO EXCEED)
1
More Than
20 Buildings
Served per Year
2
Serve 20 or
Fewer Buildings
per Year
$20,000
$10,000
16
$1,000
$1,000
SECTION A
OPTION 2 PROGRAM DESCRIPTION
$70,000
$25,000
3.1.2 Design Assistance Allowance (except when prescriptive services become
available and covered by the Administrative Allowance)
A. Only projects which are to be constructed in the service
territories of utilities which are current Bonneville firm energy
customers will qualify for design assistance services funds by
Bonneville.
B. The purpose of this allowance is to cover costs incurred by the
design team or utility in performing energy modeling of buildings
and optional services and for reporting recommended efficiency
strategies. It is recommended that:
1. The design team perform and be paid for performing the design
assistance services for which it is qualified, per the
Technical Requirements (TR), and for which it has the desire
to do the work.
2. The design team be reimbursed for data gathering required for
the basic services when the utility performs design
assistance.
SECTION A
OPTION 2 PROGRAM DESCRIPTION
C. Bonneville will provide payments for design assistance according
to the following:
1. All costs for the performance of design services (i.e.,
modeling, etc.) will be determined and specified in
agreements between the design team and /or developer /owner
(See Paragraph 2.2.5). Payment to a design team for
providing the information necessary to accomplish energy
modeling or other design services shall be paid from the
design assistance allowance. The utility will certify that
the Building Design Assistance Report has been delivered in
person to the building owner, or their designated
representative, and that all design assistance work has been
performed in accordance with the Technical Requirements.
2. Allowable costs for design assistance services are limited to
costs incurred in directly performing the design assistance
tasks (Paragraph 2.2.6), either by utility staff or by
contract. Costs specifically covered by the administrative
allowance shall not be reimbursed under design assistance,
whether they are performed by utility staff or by contract.
D. At no time may the activities accomplished under design
assistance exceed the total design assistance funding amount
shown on Line B -4 of the budget worksheet. Refer to paragraph
3.0.1, Supplemental Funding, for process to request additional
funds during a budget year.
E. Awardees who are operating other commercial building programs or
which have other commercial building programs operating within
their service territories will screen Smart Design Program
participant buildings to insure that duplicate payment from other
sources is not being received for tasks completed under Smart
Design.
3.2 Expiration of Funds
The funds provided by this award or modification are valid only for
the budget period identified in Block 6 of the face page of the
Notice of Financial Assistance Award. They may not be expended by
the recipient after the expiration of the Budget Period. However,
the Contracting Officer may authorize expenditure of such funds in
subsequent budget periods by written modification of the award.
17
3.3 Cost Sharing
Cost sharing, as defined by the Common Rule, Subpart A, is not required
for this program. However, the amount of the Administrative Allocation
will be determined by applying Bonneville's Final Conservation Cost
Sharing Principles.
3.4 Disposition of Non Expendable Property
(3999m)
Property purchased by the utility with funds from this agreement will be
considered the property of the utility upon acquisition. The utility
will retain unrestricted title to the property at the conclusion of the
project.
18
SECTION A
OPTION 2 PROGRAM DESCRIPTION
DEFINITIONS
EXHIBIT 1
page 1 of 2
A. "Building Owner" means the individual who makes the final
energy- related decisions and financial commitments for a building.
B. "Commercial Building" means any structure used for commercial
occupancy. It cannot be a residence unless it is a multi- family
dwelling at least four levels above grade. Included in this
definition is any occupied portion of a building which is separated
by partition walls and has discrete control of its heating,
ventilating, or cooling system and /or lighting system.
Included in this definition are office buildings, wholesale and
retail outlets, hotels and motels, large multi family dwellings,
restaurants, schools, hospitals, government buildings, and small
businesses. Also included in this definition are heating,
ventilating and air conditioning (HVAC), lighting, and building
envelope measures for buildings which contain manufacturing or
industrial processes.'
C. "Design Assistance" means all services described in Section A, Part
2, Paragraph 2.2.6.
D. "New Commercial Building" means any structure that is consistent with
the commercial building definition and is in the planning or design
stage. Included in this definition are building renovations or
remodels if they result in change to a building that offer a fuel
choice decision or that requires building permits for efficiency
improvements.
E. "Technical Assistance" means the services provided under this Program
that are described in Section A, Part 2.
F. "Design Team" means the architect, engineer, or other individuals who
are part of the team hired by the commercial building owner or
developer to design a commercial building.
G. "Firm Energy Customer" means any utility which places firm loads upon
Bonneville during the current year (the year in which funds will be
applied.)
H. "Service Provider" means the individual or organization who provides
assistance to prescriptive buildings, performs the actual bin or
hourly simulation modeling or performs any optional services.
(Generally a utility, ASP, or the building's design team.)
I. "Alternative Service Provider (ASP)" means organizations (other than
electric utilities) under separate contract with Bonneville who will
assist utilities who select Option 2 or Option 3 by offering portions
of the design assistance when the local utility is unable to do so.
J
EXHIBIT 1
page 2 of 2
"Prescriptive Approach Building" means those buildings depicted on
Figure 1 of the Technical Requirements (Exhibit 6) as 'PRESCRIPTIVE'.
K. "As -Built Building" means the building after construction has been
completed such that design measures will not change.
L. "Architectural Plaques" means high quality, durable plaques which
recognize the building as meeting the energy efficiency levels for the
Energy Edge Award.
M. "Basic Services" means the services described in the Program
Description, Section A, Part 2, Paragraph 2.2.6.A.
N. "Technical Requirements" means the requirements which must be followed
when providing services for the Smart Design Program. These are found
at Exhibit 6.
Part 1. Consultation Project Reference No:
Contract #(5)IBldgw(4)ICalendar
Year(2)
A. Identification
Date:
SMART DESIGN PROGRAM
SERVICES SUMMARY SAMPLE FORMAT
(Complete for each building provided consultation service)
1. Building Name:
Address:
2. Developer's Name:
Telephone Number:
4. Architect's Name:
Telephone Number:
4. Engineer's Name:
Telephone Number:
5. Additional Contacts
Name
B. General
1. Serving Utility:
2. Building Type and Size: Select from attached SIC Code List. Indicate
if mixed use and list major uses in decending order of square footage.
Mixed Use 1_1
Building Type
C. Technical Approach Indicated:
EXHIBIT 2
Specialty Area Telephone Number
SIC Code guare Footag
3. Occupancy: Owner occupied Lease Chain Franchise
4. Project Schedule (Estimated Dates):
MM I DD I YY
Design Completion 1
Ground Breaking 1
Building Completion 1
Prescriptive 1_1 Bin 1_I Hourly 1_I
Person Completing Form:
Part II. Design Assistance
A. Building Characteristics:
SMART DESIGN PROGRAM
SERVICES SUMMARY SAMPLE FORMAT
(Complete for each building provided design service)
Project Reference No:
Building Name:
Address:
1. Gross Square Feet Conditioned Square Feet
2. Annual Operating Hours Occupied Unoccupied
(Unoccupied 8760 Occupied)
3. Temperature Set Points (design): Summer
4. Planned Fuel Type (by use): (Use codes from table)
Space Heating
Cooling
Water Heating
Identify "other" fuel types on the appropriate line.
5. Estimated Annual Energy Consumption: Electric BTU
Natural Gas BTU Oil BTU
Other BTU (Identify)
6. Projected Electricity Use:
kWh /Yr
B. Was the approach (i.e., prescriptive, bin or hourly) identified for this
building category in_Figure_1 of the Technical Requirements followed?
Yes l I No I
If no, explain reason:
1 1
Contract #(5)IB1dg #(4)ICalendar
Year(2)
Primary 1 Secondary
1
1
Fuel
1 Electric
1 Natural Gas
1 Propane
Oil
kW (Peak Demand): Summer
Winter
Winter
EXHIBIT 2
Types
(01) Solar (05) I
(02) Wood (08) 1
(03) *Other (07) 1
(04) 1
Part 11. Design Assistance (continued)
Project Reference No: 1
Contract #(5)IBldg #(4)ICalendar
Year(2)
Building Name:
Address:
C. Were all major loads for the building addressed with recommended
efficiency measures? Yes I_I No II
If no, list those load categories and the reason recommendations for
efficiency measures were not provided. Use the code from chart below to
identify category or list if not shown.
Load Category Reason
Space Heat (01)
Space Cool (02)
HVAC Aux (03)
Dom Hot Water (04)
Load Categories
Interior Lighting (05)
Exterior Lighting (06)
Vertical Transpt (07)
Misc. Equipment (09)
D. Recommended Energy Conservation Measures ECM's). Complete chart found on
next page.
E. ECM's intended to be installed. Indicate on chart on next page which
ECM's the building owner plans to incorporate into the building design.
F. Qualification for Award:
1. Percentage improvement over MCS projected:
MCS Use Estimated Use
Improvement
MCS Use
2. Award building would be eligible to receive:
Energy Edge 1 1 Energy Smart 1 1
EXHIBIT 2
Part I1. Design Assistance (continued)
SMART DESIGN PROGRAM
SERVICES SUMMARY
(Complete for each building provided design service)
Project Reference No: 1 I
Contract #(5)IBldg #(4)lCalendar
Year(2)
Building Name:
Address:
RECOMMENDED ENERGY CONSERVATION MEASURES (ECM's)
Complete with available information. List individual measures and estimates of savings or costs available for
them. Should information be available only as a package, list it by the last item in the package. See the
ECM Code List for ECM numbers.
ECM Description Estimated Annua
Quantity Electric Nat. Gas
Number Name kW kWh Therms
TOTALS
Total Estimated Savings shall account for ECM interaction.
Date: Person Completing Form:
Saving
Oil
Gallons
I Estimated Cost Will
Other Install
Unit? Per Unit Total Yes /No
SMART DESIGN PROGRAM
SERVICES SUMMARY SAMPLE FORMAT
(Complete for each constructed building provided design service)
Part III. Award Verification
Project Reference No: 1 I
Contracte(5)IBldg#(4)ICalendar
Year(2)
Building Name:
Address:
EXHIBIT 2
A. If the as -built building information is the same as indicated in Part II
check here 1_1 and continue to Section C. If changes have been made which
affect the energy consumption of the building or component prices, complete
all remaining sections.
B. Installed Energy Conservation Measures (ECM's). Complete the chart on the
next page. Indicate on each line whether this is a change from the
information shown on the chart completed in Part II, Recommended Energy
Conservation Measures.
C. Construction Process Dates
Design Completed:
Ground Breaking Occurred:
Building Construction Completed:
D. Award Eligibility
1. List the percentage improvement over MCS that the as -built building
is projected to attain:
MCS Use Estimated Use
MCS Use
Improvement
2. Building is eligible for the following award:
Energy Edge 1_1 Energy Smart 1_1
E. The utility would like to offer the award indicated above to the owner and
design team for this building.
Yes I 1 No I
SMART DESIGN PROGRAM
SERVICES SUMMARY
(Complete for each constructed building provided design service)
Part III. Award Verification (continued) Project Reference No: I I
Contract #(5)IB1dg #(4)lCalendar
Year(2)
Building Name:
Address:
INSTALLED ENERGY CONSERVATION MEASURES (ECM's)
Complete with available information. List individual installed measures and estimates of savings or costs availabl
for them. Should information be available only as a package, list it by the last item in the package. See the ECM
Code List for ECM numbers.
ECM Description Estimated Annual Savings I Estimated Cost Changed
Quantity Electric Nat. Gas Oil Other From Part II
Number Name kW kWh Therms Gallons Unit? Per Unit Total Yes /No
TOTALS
Total Estimated Savings shall account for ECM interaction.
Date: Person Completing Form:
Utility Name:
Utility Identification Number:
Period: From To
1. How any inquiries were received this quarter?
2. How many consultations were performed this quarter?
--I Check if none accomplished
3. How many Building Design Assistance Reports (BDARs) were completed this
quarter? (This number must be the same number used for determining
amounts shown on Standard Form
Hourly:
Bin:
Prescriptive:
Total:
SMART DESIGN ACTIVITY REPORT (SAMPLE)
(Page 1 of 4)
Smart Design Contract (last 5 digits)
--I Check if no reports completed during this quarter.
4. How many awards were presented this quarter?
Energy Smart:
Energy Edge:
1 1 Check if no awards were presented this quarter
EXHIBIT 3
SMART DESIGN ACTIVITY REPORT
(Page 2 of 4)
Utility Name:
Utility Identification Number:
Smart Design Contract (last 5 digits)
5. Identify chain stores or franchises which requested or received services
during the quarter being reported.
Chain or Franchise Location of Project Contact Telephone
Name (Street /Citv /State /Zip) Name Number
1 1 Check if no services were requested or supplied
EXHIBIT 3
6. Identify buildings recommended for case studies and publicity (a few good
examples).
Building Name/
Project Reference Type/Use Size (Square Feet)
Should be same reference number used on the Building Design Assistance
Summary
Utility Name:
Utility Identification Number:
Smart Design Contract (last 5 digits)
7. Design Assistance Summary. Reproduce this sheet if additional space is
needed.
Project Reference 1 Service Provided I Design 1 Per Building
Number 1 Prescriptive (P)/ 1 Assistance 1 Administrative
Name of Building 1 Bin (B) Hourly (H) 1 Service Costs 1 Reimbursement
SMART DESIGN ACTIVITY REPORT
(Page 3 of 4)
1 1 1
Total
EXHIBIT 3
Shall be same reference number used on Smart Design Program Services Summary
Limited to total shown on budget sheet for per building administrative
reimbursement
s
Utility Name:
Utility Identification Number:
SMART DESIGN ACTIVITY REPORT
(Page 4 of 4)
Smart Design Contract (last 5 digits)
8. Use this section to identify issues, solutions and opportunities for
enhancing the Smart Design Program. Include with this narrative any
special events which have occurred during the reporting period or are
scheduled to occur during the next reporting period.
EXHIBIT 3
Building Identification No.:
Building Name (Optional):
Design Assistance Task(s)
TOTAL ESTIMATED DESIGN
ASSISTANCE COSTS
Utility Name:
Utility Representative:
(SAMPLE)
CONSULTATION WORKSHEET
Estimated Costs
Who Performs
EXHIBIT 4
Schedule
It is agreed that the tasks listed above will be performed by those indicated
and on the schedule shown. Information on the building's design
specifications and the design process followed will be made available to
Bonneville or their representative, subject to considerations of the Privacy
Act of 1974, for purposes of evaluation and preparing case studies. The
building owner agrees to allow the servicing utility to provide monthly
electrical billing information to Bonneville or its contractors for evaluation
purposes for a period of two years following occupancy of the building.
Should this information on billing information not be releasable without
tenant approval following occupancy, the building owner further agrees to
allow the servicing utility to request from those tenants that the monthly
electrical billing information for their spaces to be supplied to Bonneville
or its contractor for the same consecutive time period.
Signature of:
Building Owner /Developer:
or representative
PROMOTION
EXHIBIT 5
This section identifies sample activities which each utility may perform
within their service territories to promote the services available through the
Smart Design Program. The actual activities utilities pursue may vary from
this list.
A. Identify local building designers, developers and other parties
interested in commercial building efficiency and develop a local
marketing strategy which reflects methods to be used to reach the
target groups.
B. Develop and maintain a mailing list, including telephone numbers, of
those identified in (A) and make this available to Bonneville upon
request.
C. Conduct personal briefings with local building designers and
developers on the purpose and availability of the services.
D. Maintain contact with these groups to assist in program promotion and
to receive feedback on how well the program is functioning.
iaa
ENERGY SMART DESIGN ASSISTANCE PROGRAM
TECHNICAL REQUIREMENTS FOR UTILITIES
(REVISED AUGUST 22, 1988)
PREPARED BY THE
COMMERCIAL PROGRAMS BRANCH
OFFICE OF CONSERVATION AND POWER RESOURCES
BONNEVILLE POWER ADMINISTRATION
WITH ASSISTANCE FROM
THE NEW COMMERCIAL STEERING GROUP
EXHIBIT 6
TECHNICAL REQUIREMENTS FOR UTILITIES
ENERGY SMART DESIGN ASSISTANCE PROGRAM
INDEX
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 1
PARAGRAPH TITLE PAGE
1 PURPOSE 2
1.1 DEFINITIONS 2
2 AWARDS 2
2.1 ENERGY SMART AWARDS 3
2.2 ENERGY EDGE AWARDS 3
3 MODELER QUALIFICATIONS 3
3.1 SPECIFIC EXPERIENCE 4
4 TECHNICAL APPROACH 5
4.1 PURPOSE 5
4.2 INITIAL SCREENING 5
4.3 SERVICE SELECTION 5
4.4 LATITUDE IN MODEL SELECTION 6
4.5 SELECTION OF MODELING TOOLS 6
5 MODELING /DESIGN SERVICES 7
5.1 PRESCRIPTIVE APPROACH 7
5.2 HOURLY METHOD 7
5.3 BIN METHOD 7
5.4 OPTIONAL SERVICES 7
6 USE OF MODELS 8
6.1 BASELINE DEFINED 8
6.2 ANALYSIS OF MEASURES 9
7 ACCEPTABLE SOFTWARE 12
8 BUILDING DESIGN ASSISTANCE REPORT 12
8.1 GENERAL 12
8.2 SPECIFIC ELEMENTS OF THE REPORT 13
9 REFERENCES 14
9.1 POSSIBLE REFERENCES FOR INCLUSION 15
FIGURE 1 BASIS FOR SELECTION OF APPROPRIATE
MEANS OF TECHNICAL ASSISTANCE 16
TABLE 1 SERVICE LIVES OF ENERGY CONSERVATION
MEASURES 17
TABLE 2 EQUIPMENT SERVICE LIFE 19
APPENDIX 1 ENVIRONMENTAL RECOMMENDATIONS 22
APPENDIX 2 COMMON PRACTICE MATRIX 26
441
1.1 Definitions
2. Awards
TECHNICAL REQUIREMENTS
ENERGY SMART DESIGN ASSISTANCE PROGRAM
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 2
1. Purpose
This document describes technical requirements for utility providers of
Energy Smart Design Assistance Program (Smart Design Program) services
under contract to Bonneville. Specific methods for providing appropriate
types of design assistance and for execution of this design assistance
are defined herein.
"MCS- equivalent code" means a building energy code which produces
buildings with energy use equal to that of buildings built under a
codified version of the Model Conservation Standards (MCS).
"Design Team" means the architect, engineer, or other individuals who are
part of the team hired by the commercial building owner or developer to
design a commercial building.
"Alternative Service Provider (ASP)" means organizations other than
electric utilities under separate contract with Bonneville who will
assist utilities who select Option 2 or Option 3 by offering portions of
the design assistance when the local utility is unable to do so.
"Service Provider" means the individual or organization who provides
assistance to prescriptive buildings, performs the actual bin or hourly
simulation modeling or performs any optional services. (Generally a
utility, ASP, or the building's design team.)
"Measure" means an individual item or a grouping of like items (i.e.,
ballasts and lamps) which is considered for incorporation into a building
project and modeled with a computer program to project its energy
consumption.
"Modeler's Guidance" means that the information in that section is
provided for the benefit of the service provider as a suggestion and is
not required.
Awards will be available to buildings which are constructed to improve on
baseline performance such that they meet the requirements shown in
paragraphs 2.1 and 2.2. If used in conjunction with shell, HVAC, and /or
lighting conservation measures, energy management systems (EMS's) may be
used to qualify for awards.
3. Lead Modeler Qualifications
R 10 X
R 30 X
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 3
2.1 Energy Smart Awards
A project qualifies for the Energy Smart Award when the estimated
electrical energy use of the building is at least 10 percent below that
for the same building constructed to meet the MCS or to an MCS equivalent
code. If local codes define buildings which exceed the estimated MCS
performance levels by X percent as determined by Bonneville's Code
Equivalency Determination Procedure, then the estimated electrical energy
use reduction, R, necessary to qualify for this award shall be:
If X is greater than 10 percent, then a project which meets local code
automatically is eligible for this award.
Prior to granting of the award, an inspection, performed by utility
personnel or by other Bonneville- approved personnel, shall verify that
the completed building contains all energy efficiency measures necessary
for the attainment of the performance level defined above.
2.2 Energy Edge Awards
A project qualifies for the Energy Edge Award when the estimated
electrical energy use of the building is at least 30 percent below that
for the same building constructed to meet the MCS or to an MCS- equivalent
code. If local codes define buildings which exceed the estimated MCS
performance levels by X percent as determined by Bonneville's Code
Equivalency Determination Procedure, then the estimated electrical energy
use reduction, R, necessary to qualify for this award shall be:
If X is greater than 30 percent, then a project which meets local code
automatically is eligible for this award.
Prior to granting of the award, an inspection, performed by utility
personnel or by other Bonneville- approved personnel, shall verify that
the completed building contains all energy efficiency measures necessary
for the attainment of the performance level defined above.
The Design Team and Developer /Owner shall agree to provide additional
information on the building in order to write a case study for promotion
of the building.
The lead modeler responsible for energy consumption estimates shall have
broad experience including the variety and breadth of situations modeled,
familiarity with modeling tools, references, and exposure to building
design. The specific qualifications may be satisfied by several people
possessing different skills and experiences which, when taken together,
meet the intent of the "lead" requirements. The requirement is for an
experienced person to assume responsibility for the direction and content
of modeling. Tasks may be performed by a less experienced person, a
novice modeler, under the direct guidance of, and subject to review by, a
lead modeler.
Should a building configuration, feature, or conservation measure be
encountered, with which the modeler has no previous experience, the work
shall be reviewed by a modeler whose experience does include modeling of
this configuration, feature, or conservation measure.
3.1 Specific Experience
Minimum qualifications for the lead modeler shall include each of the
following (or its equivalent):
OPTION 2 UTILITIES OPTION 1 UTILITIES /ASP MODELERS
Required of
those who would support design
services at the Option 2
service level
A. Demonstrated capability in the modeling of:
Basic commercial
features, such as
internal gains,
multiple zones
central HVAC,
envelope measures
which affect thermal
transmission and window
shading coefficients.
B. Breadth of Modeling Experience:
2 Years of Practice and
5 buildings Modeled
C. Model Familiarity:
Competent use of
one or more acceptable bin
type models (See Paragraph 7)
such that results are
readily accepted
by peers in design field
and resulting designs
have led to satisfactory
buildings
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 4
Required of those who would
support design services at
the Option 1 service level
and of ASP modelers
The basic commercial
features listed under
"minimal" as well as
more complex items, i.e.,
refrigeration system heat
recovery, heat pumps,
building mass, or daylighting
4 or more Years of Practice and
12 buildings modeled
Facility with two or more
acceptable bin -type models
and two or more acceptable
hourly models such that
situations not addressed
by one model of a type
are largely addressed by
another of that type.
OPTION 2 UTILITIES
D. Design Background:
Direct involvement in
the design of at least
two constructed
commercial or institu-
tional buildings.*
Direct involvement in
the design of at least
four constructed
commercial or institu-
tional buildings.*
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 5
OPTION 1 UTILITIES /ASP MODELERS
*Since modelers will play a significant role in measure selection, the
lead modeler shall have participated directly in an engineering or
architectural role and shall have demonstrated, at minimum, a journeyman
level of skill during this participation. Such direct participation in
design requires that the person have actively assisted in the definition
of building configuration and /or the selection of building features and
sizing of building equipment.
References and work products shall be available at the place of business
for examination by Bonneville to verify each of the experience
requirements.
4. Technical Approach
4.1 Purpose
A building complexity screening process is intended to minimize the use of
hourly simulation models in favor of bin -type modeling or a prescriptive
approach unless the building or the measure(s) warrant the higher level of
effort. Screening of buildings for assignment of appropriate levels of
design assistance allows the best use of program funds. It is important
to insure sufficient accuracy without excessive and costly level of
detail, consumption of time, and modeling complexity.
4.2 Initial Screening
During initial screening, buildings need to be categorized according to
features readily apparent for all projects at or before the schematic
design stage. Thus, floor area, building purpose, and planned "special"
design features shall determine the type and extent of design services
available, because little other definitive information is likely to be
available at the concept stage, when design assistance can be most
effective.
4.3 Service Selection
The extent of technical assistance varies depending on building size and
complexity as defined in Figure 1. This figure is a guide for selection
of the method of building energy use analysis and of the method of
selection and evaluation of energy conserving measures for the building.
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 6
Note: Figure 1 is based on the following rationale.
The different analytical approaches correspond to size ranges for the
various types of buildings listed on the figure. As the size of each
building type increases, the complexity of the analytical approach
also increases. The simplest buildings are placed on the left side
of the figure; building complexity increases with distance from the
left -most entry. Thus buildings near the left of the figure may be
addressed using simple (prescriptive, intermediate, bin -type
analysis), or complex (hourly simulation) methods depending upon the
square footage of the building. As building complexity increases,
simple options in the range of available services are progressively
eliminated until only the most complex analytical methods are
suggested for the most complex building types, regardless of size.
4.4 Latitude in Model Selection
A. (Available only to Option 1 Utilities and ASP's) A "tolerance band"
between zones on Figure 1, which correspond to the various approaches, may
replace rigid zone boundaries shown on the Figure at the option of
qualifying service providers. Rather than separating prescriptive and
bin -type approaches at the specific square footage value indicated, the
separation may be defined by that specific value +15 percent. The
selection of modeling tool complexity shall be left to the discretion of
the modeler, who must be capable of comparing the advantages of the more
complex analysis option to the cost savings of the simpler analysis option.
B. Given the circumstances of a specific building, a modeler may use a
model different than that specified in Figure 1. Such a decision shall
consider the specific circumstances of the building and the qualifications
of the modeler and shall not only be for convenience. Exceptions to the
guidance of Figure 1 must be documented in the Building Design Assistance
Report (BDAR) or the Smart Design Program Services Summary along with the
reasons for the exception.
4.5 Selection of Modeling Tools
Selection of modeling tools funded by the Program shall be based solely on
provisions of Paragraphs 4.2 and 4.3 and 4.4. Preference of the design
team for modeling tools which do not meet these provisions will not be
considered in their selection.
The selection of a modeling tool shall be based on the requirements for
proper simulation of the building and of the measures proposed to be
included. A model which cannot properly address features or
characteristics of a particular building shall not be selected for use on
the model of that building in favor of more suitable software for the
convenience of the model operator.
The model selected must also be one with which the modeler is already
familiar (i.e., one which the modeler has used sufficient times to fully
understand its operation and results). Experience gained in the operation
of one modeling tool will not always apply to the operation of other
software with differing data input characteristics, calculation methods
and assumptions, and building feature applicability. For this reason,
unfamiliar models shall not be used.
441
5.3 Bin Method
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 7
5. Modeling /Design Services
5.1 Prescriptive Approach
Measures for small, simple buildings will be selected from a prescribed
list rather than by individual modeling of each building. These measures
are currently under development by Bonneville. These Technical
Requirements will be modified to include these measures when they become
available, estimated to be July 1, 1989. During the initial operating
year and until the prescribed list is available and added to these
Technical Requirements, bin -type models will be used on all buildings
where prescriptive measures are indicated in Figure 1.
In any case, individual modeling will be acceptable in some cases: small
buildings which include complex systems (such as refrigeration or process
loads) or other special features (such as daylighting) may need bin or
hourly modeling. It will be at the modeler's discretion to determine the
appropriate technical approach for such buildings.
5.2 Hourly Method
As indicated on Figure 1, the largest (40,000 ft or larger) and most
complex buildings shall be modeled using approved hourly simulation
models. Such extensive modeling must account for complex HVAC systems,
unusual occupancy characteristics, architectural features such as
structural sass or daylighting, and unusual internal gains or process
loads.
Remaining buildings which are neither small and simple nor large and
complex shall be simulated using bin -type software, as indicated on
Figure 1.
5.4 Optional Services
Some optional services may be appropriate for particular buildings.
However, such services may only be performed if approved by the
Contracting Officer. These services include:
A. Daylighting Studies
If, a) the baseline model indicates that lighting loads will
exceed 50% of the entire electrical load of the building,
OR
b) this load is sufficiently large for potential cost savings
to justify the expense of scale modeling of the building,
AND
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 8
If c) the owner /developer is willing to consider extensive
alterations to the building "footprint" and to the size,
placement, and configuration of windows,
THEN
daylighting analysis involving scale modeling can be pursued
with Contracting Officer (CO) approval.
Note: Computer analysis of daylighting will be considered part of
the basic design assistance services and not an optional service.
6. Use of Models
When computer modeling is used, initial MCS and "redesigned"
configurations of the building must be modeled. Various intermediate
configurations must be modeled as well during the course of measure
selection. (See Paragraph 6.2)
The initial MCS model is necessary to estimate the baseline building
energy consumption for comparison to that of the final building design
for award purposes (See Paragraph 2). Subsequent models are then used to
compare measure levelized costs and savings to establish the value of
various measures, in terms of payback or life cycle cost.
6.1 Baseline Defined
The MCS (as defined in the Model Conservation Standards Equivalent Code
June 1987) establishes the definition of the baseline conditions.
Note (Modeler's Guidance): Note that MCS Building ventilation rates
in most cases correspond to the non smoking levels from ASHRAE
Standard 62 -81. These rates shall be used unless the building owner
or representative specifies that the building or a portion of the
building be supplied with higher ventilation rates or an MCS
equivalent code allows a different ventilation rate.
A proposed building which appears not to meet local codes and /or which
does not meet MCS (or equivalent) shall be modeled using inputs which
reflect these standards. Evaluation of energy savings for the final
configuration shall proceed from the MCS baseline of the initially
proposed building. The building owner and design team shall be informed
if assumptions used for the MCS baseline differ from the initially
proposed building configuration. Savings information in kw /kwh will be
determined for the baseline MCS building to the recommended building
configuration. Savings information showing costs in dollars may also be
presented for the baseline MCS building or the proposed building (if
different from the MCS baseline configuration) to the recommended
configuration.
Note (Modeler's Guidance): Where not addressed by MCS (see tables in
chapter 53 of the Northwest Energy Code, June 1987) or specified by
local code, Bonneville recommends that the base case HVAC systems be
"standard" versions of efficient systems proposed as measures. These
may be selected from the common practice matrix in Appendix 2. For
mixed use buildings Bonneville recommends zoning by use and serving
each user /occupancy with its appropriate respective HVAC system. It
is also recommended that when the proposed system is a heat pump, the
base case should contain a heat pump as well, though not necessarily
of the same efficiency or type.
Performance comparisons between an appropriate baseline and the proposed
redesigned building, to define eligibility for performance awards, are
discussed in Paragraphs 2, 2.1, and 2.2.
6.2 Analysis of Measures
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 9
Building load components shall define opportunities for energy savings.
Proposed measures or combinations of measures shall at minimum address
the largest of these load components. Energy modeling of various
conservation strategies will be accompanied by sufficient cost
information to allow estimation of the cost of conserved energy.
The analysis procedure shall include these steps:
a. A baseline model shall be assembled and operated. Individual loads
shall be identified in order of size.
b. It is preferred that measures be selected which address each of the
largest loads. If a load is not addressed (e.g., a conservation
measure is not examined) the reason for this omission shall be
documented in the Smart Design Program Services Summary, Part II.
c. Interactive effects of energy conservation measures ECM's) may be
analyzed by either of the two preferred methods rolling baseline or
with all ECM's in place -or a third method described by the utility
in the Building Design Assistance Report (BDAR).
The process of analysis for the two preferred methods are as follows:
Both methods
(a) Begin by performing a separate energy analysis for each ECM and
determining its "non- interactive" energy savings. Sum the
"non- interactive" energy savings. Determine each ECM's impact by
dividing the ECM's energy savings by the total "non- interactive"
energy savings.
Measure Cost
(b) Determine average cost per annual estimated kwh saved of each
ECM by using the following formula:
Method #1
Annual Kwh Saved* X Measure Life
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 10
This is admittedly a crude prioritization method. Bonneville would
prefer use of levelized cost or life cycle cost in order to
accommodate financial and operating cost considerations. However,
this information allows measures to be considered in order of
relative cost effectiveness; measures which can provide the greatest
savings for the least cost shall receive highest priority for further
analysis.
Perform a "rolling baseline" analysis. The analysis of each ECM
establishes a new baseline for the analysis of the next ECM. This
procedure shall begin with the ECM having the lowest average cost per
annual kwh saved when modeled individually. This process shall
continue until all measures have been added to the baseline and a
final model configuration, reflecting the interaction of all
measures, shall have been reached.
Method #2
Perform an energy analysis for the building with all ECM's in place.
Call this energy savings E. The interactive savings of each measure
shall be determined by applying the proportional contribution of the
measure in the non- interactive savings package total to the
interactive package total for each ECM. That is, for each ECM
multiply E by its respective percentage impact as determined in (a)
above. This number is then the interactive energy savings for each
ECM.
Method #3
-OR-
A method different from either #1 or #2 may be used. However, it
must be described in the Building Design Assistance Report (BDAR) the
method which was used and why it was selected rather than the two
preferred methods.
Should the developer select some, but not all of the measures simulated
in step c, above, an additional interactive model which includes only
selected measures shall form the basis for the final assessment of
building energy consumption which is included in the BDAR.
Note: If demand charges are in effect or other fuels are to be analyzed, it
may be preferable to use the "appropriate unit of fuel" or the saved" for
the information presented to the developer and the design team.
��a
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 11
Note (Modeler's Guidance): If a fossil fueled HVAC system is
initially considered for installation, an alternative electric HVAC
system may be identified and included in an alternative version of
the final interactive model configuration. If such a comparison
(analysis) is presented, costs for both equipment and system
installation shall be estimated. Thus, fuel use and capital costs of
the fossil fueled system can be compared to corresponding energy use
and capital costs of the electric HVAC system. The
cost effectiveness of various other types of HVAC systems (i.e. heat
pumps, resistance heating, fossil fueled boilers, absorption
chillers, etc.) can also be compared once measure selection is
complete.
Any hand calculations used in defining the value of measures and the
energy use of the building must be included in the process and presented
in the Building Design Assistance Report referenced in Paragraph 8 in the
same manner as computer calculations are presented. Discuss relevant
simplifying assumptions, such as assumed infiltration rates, assumed
component efficiencies, selection of weather file location, treatment of
building mass, etc.
Discuss the extent to which the model had to be adapted to the building,
if this was necessary. Identify which assumptions served to compensate
for model limitations but which may also adversely affect model accuracy.
Energy use or energy savings estimates based on "experience operating
history, test results, or statistics, rather than on mathematical
modeling, shall also be presented, with supporting documentation which
clearly demonstrates their relevance to the project.
Data output sheets from computer analysis shall be filed with the service
provider for later reference. Copies may be included with this report if
it is of interest to the owner or designer.
Test results, or other past experience used to establish the value of an
energy conservation measure (ECM), or to estimate the energy consumption
of a building configuration, must be included in this analysis process
and presented in the report referenced in Paragraph 8.2(C). The
relevance of tests or other performance demonstrations to the building
design must be clearly documented. This requirement is particularly
applicable to measures which do not lend themselves to software
simulation, such as energy management control systems.
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 12
7. Acceptable Software
The following modeling programs are acceptable. However, other programs
or other versions of the listed programs may be used with approval from
the Bonneville technical representative (COTR or PTR). Only commercially
available software specifically created for building simulation, as
opposed to "home grown" programs or spreadsheet adaptations will be
considered. The marketed software tends to be more widely used and
therefore exposed to more situations and more extensively "de- bugged
It also is usually better- supported and more thoroughly documented.
Results are more easily compared to the work of others and analysis
methods are more readily transferable to other similar projects.
For Bin -type analysis:
Simplified Energy Analysis ASEAN 1I, Version 2.1
Carrier HAP BESA
Trakload, Version 3.1 VCACS, Version 9
For Hourly simulation:
Trace 500 ESP -II
Blast ADM -2, Version 4
DOE 2.1 (several versions) PC -DOE
AXCESS ESAS
MICRO -DOE 2
8. Building Design Assistance Report
8.1 General
The report shall include sketches of the building and description of its
surroundings when available, a thorough description of the impact of
measures on affected building systems, an economic analysis, with a
fuel -use comparison if appropriate, a summary table for the results of
software modeling, additional details on modeling methods, and
supplemental information on proposed measures.
8.2 Specific Elements of the Report
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 13
Each Report shall address each of the following topic elements:
A. Sketches of the Project
The site sketch of the building, if available, shall show building
shape and orientation. Characteristics of surroundings shall be
shown also, if available, but may be described in writing. These
characteristics shall include features which may have an impact on
energy use in the building and /or daylighting or solar loading issues
such as: adjacent bodies of water or other topographic or geologic
features and all contiguous building sites, with structures when
applicable.
B. Building System Description and Measure Information
Describe the affected building system(s), such as lighting, HVAC, or
envelope, before and after installation of the measure(s). Describe
materials and /or equipment proposed to save energy, including
applicable performance specifications. Include a brief narration, in
layman's terms, of how the measure is expected to save energy.
Sketches with temperatures, flows, etc. would be ideal.
C. Uniform Economic Analysis
An economic analysis shall be presented. Bonneville recommends that
a present value and annual life cycle cost of the baseline and final
redesigned building configurations be presented using the ASTM /NBS or
the ASHRAE Life Cycle Cost method. Other methods which provide
information describing simple payback, internal rate of return, etc.
may be presented. Ideally, this analysis will be run for each
individual measure considered in the course of building redesign.
This life -cycle cost method (ASTM /NBS), described in the
"Comprehensive Guide for Least -Cost Energy Decisions is available
at a cost of eleven dollars, from:
The Superintendent of Documents
U.S. Government Printing Office,
Washington, D.C. 20402
Ask for stock #003- 003 02790 -7. The publication is the National
Bureau of Standards Special Publication 709. The Library of Congress
Catalog number is 86- 600605.
A PC- compatible diskette, containing software described in the
booklet, can be purchased at a cost of six dollars from:
PC Software Interest Group
1030D East Duane Avenue
Sunnyvale, CA 94086
Telephone (408)730 9291
Disk #983
44x
You might also check with the nearest U.S. Government Bookstore for
copies or ordering.
The analysis, based on input from building savings estimates and
measure cost quotes, can be performed by the design team, the service
provider, or the local utility.
The fuel use comparison, if performed, shall be included in this
analysis. Costs associated with electric and fossil fueled HVAC
systems shall be estimated and included in the analysis.
Factors for levelization of costs shall reflect measure life values
shown on Table 1 or Table 2 unless approval of the Bonneville Project
Technical Representative (PTR) is obtained.
D. Summary of Modeling Results
Present, in a table, estimates of initial energy use, energy use
estimates for the various configurations of the building examined,
and the final energy use estimate, accounting for measure interactive
effects, for the proposed building configuration.
E. Modeling Methods The Estimate of Energy Savings
Discuss relevant simplifying assumptions. Data output sheets from
computer analysis may be included with this report if it is of
interest to the owner or designer.
F. Environmental Recommendations
9. References
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 14
The service provider shall include a copy of the Environmental
Recommendations (Appendix 1) with this report.
Service providers may wish to maintain a "library" of references which
can provide background information on energy conserving measures and
techniques. The "library" shall not be used by clients as a sole means
of measure selection. This library may include any sources of
information which the provider of services understands sufficiently to
discuss with developers and Architectural Engineering firms. It should
be noted that, since selection of measures may depend upon the
developer's understanding of these measures, this background material may
have some impact on which measures are actually installed. Thus,
references shall consist of clear descriptions of measures, preferably
written in layman's terms. Paragraph 9.1 lists the references of which
Bonneville is aware.
9.1 Possible References for Inclusion:
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 15
The Design of Energy- Responsive Commercial Buildings by the Solar Energy
Research Institute
Energy Graphics Booz -Allen Hamilton, Inc.
TVA Energy Design Guidelines may need to be adapted to the Northwest
Comercial Building Design: Integrating Climate, Comfort, and Cost Van
Nostrand Reinhold, 1987
How to Reduce Energy Costs in Your Building Center for Information
Sharing Publication
"Lighting Energy Management for Offices and Office Buildings" and
"Lighting Energy Management in Retailing both publications of the
National Lighting Bureau
Small Office Building Handbook, Burt, Hill, Kosar, Rittleman Associates
Energy Guide for Oregon Grocers, by the Oregon Department of Energy
Electrical Design Library, from the National Electrical Contractors
Association
Food Services Checklist, from Oregon State University
Total Energy Management, from the National Electrical Manufacturers'
Association
California Energy Conservation Standards, from "Title 24"
Mechanical and Electrical Equipment for Buildings, 7th edition, B. Stein,
Reynolds, McGuinness
Sun, Wind, and Light: Architectural Design Strategies, G.Z. Brown.
Inside Out: Design Procedures for Passive Environmental Technologies,
G.Z. Brown, Reynolds, Ubbelohde
Climatic Design, D. Waton, Labs
Sources of Daylighting information include:
Daylighting, Fuller Moore
Daylighting in Architecture, B. Evans
Daylighting, C. Robbins
I3uilding 'type Nan- Refrig. Assembly- Office Lodging
8rilding
Square
Footage x1000
5
a
10
15
20
25
30
35
40
45
50
4840T
Warehouse Church, Hotel/
Nan-Grocery ',heater Mbtel
Retail Auditorium
PRESCRIPTIVE
Figure 1 Basis for Selection of Appropriate Mans of Technical Assistance
Nursing
Home
Basic
Services
Residen-
tial only
Builds
School s
Nat
T IC§W
NANV
Im
Grocery kiburant Fast Food Enctiozed Nuing
Restuarant Retail Hone with
Mall or EXtINIS ire
Other Health
Kati Care
use Faci1ties
HOIJRLY
Hospital Buildings
w /Special
Features
(see below)
Special features inclulde: Structural mass, Water Loop Heat Purl) Systems, Siaultaneous Heating and Cooling, Refrigeration Systen Heat Recovery,
Non Structural Active Thermal Storage *steins, Dayliiiting, Building Structures Above Five Stories In I1 t, Demand Charges, Carl)lex Zoning, Complex HVAC
Vstens
EXHIBIT 6
Technical Requirements
Revised 9 -22 -88
Page 16
Energy Conservation Measure
LIGHTING b:
Energy Efficient Fluorescent Lamp 5
Efficient Fluorescent Lamp with
built -in ballast 2
Energy Efficient Ballast 12
Electronic Ballast 10
Metal Halide Lamp 3
Low Pressure Sodium Lamp 5
High Pressure Sodium Lamp 5
Parabolic Fixture 20
Dimming Systems 20
On -off Switching 7
Motion Sensor 10
HVAC:
Table 1a
SERVICE LIVES OF ENERGY CONSERVATION MEASURES
Economizer 11
Chiller Strainer Cycle System 15
Air -to -Air Packaged Heat Pump 10
Water -to -Air Packaged Heat Pump 15
Ice Thermal Energy Storage 19
Water Thermal Energy Storage 20
Plate Type /Heat Pipe Recovery System 14
Rotary Type Heat Recovery System 11
Heat Recovery from Refrigeration Condensers 11
Low Leakage Damper 9
Variable Inlet Vane Variable Air Volume System 11
Variable Pitch Fan for Cooling Tower 13
Make -up Air Unit for Exhaust Hood 10
Air Destratification Fan:
paddle type 10
high inlet /low discharge type 15
Air Curtain 10
Deadband Thermostat 13
Spot Radiant Heat 10
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 17
Operational
Service Life
(years)
a "Service Life Of Energy Conservation Measures Bonneville Power
Administration (July 14, 1987); prepared by Xenergy, Inc., and Ecotope,
Inc.
b Lighting service lives initially reported in hours were converted to years
using a factor of 4,000 hours /year. This was done for convenience in
summarizing the lifetimes of all ECMs and does not reflect any assumed
usage patteri of the equipment.
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 18
TABLE 1
SERVICE LIVES OF ENERGY CONSERVATION MEASURES
(continued)
Energy Conservation Measure Service Life (years)
CONTROLS
Computer Logic EMS 13
Electronic Controls 11
Time Clocks 10
MOTORS, DRIVES, AND TRANSFORMERS
Standard Electric Motor 15
High Efficiency Electric Motor 17
Variable Speed DC Motor 18
Variable Speed Drive -Solid State 15
Variable Speed Drive -Belt Type 10
Efficient AC Electric Transformer 15
DOMESTIC HOT WATER
Heat Pump Water Heater 10
Point -of Use Water Heater 12
Solar Water Heater 15
REFRIGERATION
Unequal Parallel Refrigeration 14
Condenser Floating Head Pressure Control 10
Automatic Cleaning System for Condenser Tubes 15
Hot Gas Bypass Defrost 10
Polyethylene Strip Curtain 3
Refrigeration Case Cover 11
BUILDING ENVELOPE
Double Glazing 20
Heat Mirror 18
Low Emissivity Coating 14
Solar Shade Film 7
Tinted and Reflective Coating 14
Equipment Item
Table 2
EQUIPMENT SERVICE LIFE a
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 19
Median
Years
AIR CONDITIONERS:
Window Unit 10
Residential single or split package 15
Commercial through- the -wall 15
Water cooled package 15
Computer Room 15
HEAT PUMPS:
Residential air -to -air b
Commercial air -to -air 15
Commercial water -to -air 19
ROOF -TOP AIR CONDITIONERS:
Single -zone
Multizone
15
15
BOILERS, HOT WATER (STEAM):
Steel water -tube 24(30)
Steel fire -tube 25(25)
Cast iron 35(30)
Electric 15
BURNERS 21
FURNACES:
Gas- or oil -fired 18
UNIT HEATERS:
Gas or electric
Hot water or steam
RADIANT HEATERS:
Electric
Hot water or steam
13
20
10
25
AIR TERMINALS:
Diffusers, grilles, and registers 27
Induction and fan -coil units 20
VAV and double -duct boxes 20
a Obtained from a nationwide survey conducted in 1977 by ASHRAE TC 1.8
(RP 186).
b Data removed by TC 1.8 because of changing technology
Median
Equipment Item Years
AIR WASHERS 17
DUCT WORK 30
DAMPERS 20
FANS:
Centrifugal 25
Axial 20
Propeller 15
Ventilating roof mounted 20
COILS:
DX, water, or steam 20
Electric 15
MEAT EXCHANGERS:
Shell- and -tube 24
RECIPROCATING COMPRESSORS 20
PACKAGE CHILLERS:
Reciprocating 20
Centrifugal 23
Absorption 23
COOLING TOWERS:
Galvanized metal 20
Wood 20
Ceramic 34
AIR COOLED CONDENSERS 20
EVAPORATIVE CONDENSERS 20
INSULATION:
Molded 20
Blanket 24
Table 2
EQUIPMENT SERVICE LIFE
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 20
Table 2
EQUIPMENT SERVICE LIFE
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 21
Median
Equipment Item Years
PUMPS:
Base mounted 20
Pipe mounted 10
Sump and well 10
Condensate 15
RECIPROCATING ENGINES 20
STEAM TURBINES 30
ELECTRIC MOTORS 18
MOTOR STARTERS 17
ELECTRIC TRANSFORMERS 30
CONTROLS:
Pneumatic 20
Electric 16
Electronic 15
VALVE ACTUATORS
Hydraulic 15
Pneumatic 20
Self- contained 10
Appendix 1
Environmental Recommendations
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 22
Bonneville Power Administration (Bonneville) has conducted several
environmental reviews related to energy conservation measures used in
commercial, institutional, and industrial buildings. On the basis of these
reviews and the experiences gained under the commercial energy efficiency
programs it has operated, Bonneville has developed the following list of
environmental recommendations. These recommendations shall be provided to the
design team when they receive a Building Design Assistance Report from the
utility or Alternative Service Provider. The decision to accept or reject
these decisions rests with the individual with authority to make final design
decisions for the building.
Recommendations
1. Indoor Air Quality (IAQ)
Energy efficient design should ensure that indoor air quality is not
adversely affected. To accomplish this, the following should be
considered:
a. Design mechanical ventilating systems to the current ASHRAE 62
standard.
b. Buildings built to be naturally ventilated should provide appropriate
amount of openable windows and doors in order to supply sufficient
amounts of outside air.
c. Intake and exhaust air vents should be placed so that the exhaust air
or polluting sources outside are not drawn into the building through
the intake air vent (e.g., air intakes away from such areas as
parking garages or loading docks).
d. Building materials containing either no or small amounts of harmful
outgasing substances should be used (e.g., low formaldehyde glue
plywood and particle board, non formaldehyde based adhesives, etc.).
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 23
2. High Pressure Sodium (HPS) Lamps
Indoor HPS lighting applications should be limited to:
a. Buildings such as warehouses and parking garages that have:
(1) Warning signs and danger signals illuminated by light sources
with good color rendition such as incandescence, fluorescence,
or metal halide;
(2) Low visual demand activities; and
(3) Occupancy patterns of short duration (i.e., typically not
exceeding 4 consecutive hours and /or 20 hours a week exposure).
b. High bay areas (lights 20 feet or more above the floor surface) that
have:
(1) Warning signs and danger signals illuminated by light sources
with good color rendition such as incandescence, fluorescence,
or metal halide; and
(2) At least one incandescent, fluorescent or metal halide fixture
for each HPS fixture (corresponding fixtures shall have similar
lumen output).
c. Areas using rotating equipment should consider the stroboscopic
effect. HPS should be minimized in areas with rotating machinery
when the flicker index is 0.1 or less. This can be accomplished by
having luminaries alternately wired on three -phase systems (see 1984
Illuminating Engineering Society (IES) Lighting Handbook, Reference
Volume, page 8 -51).
d. Office spaces and classrooms should avoid use of HPS.
3. Low Pressure Sodium (LPS) Lamps
LPS lamps should not be installed indoors.
'4. Solar Domestic Water (Potable) Heating Systems
Toxic transfer fluids should not be permitted. Toxic transfer fluids
include, but are not limited to, methoxy propanol, isopropyl alcohol,
ethylene glycol and methyl alcohol. Heat transfer media such as food
grade propylene glycol and certain fluorocarbon products are relatively
non -toxic (depending on their use). All proposals to install systems
using acceptable transfer media need to be approved by a state code
official or their delegate.
6. Urea Formaldehyde Foam Insulation (UFFI)
UFFI should not be used.
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 24
5. Material Containing Asbestos
Any materials containing asbestos should be avoided. This includes
insulating materials, siding, flooring, ceiling tiles, etc.
7 Projects Involving Subsurface Resources (e.g., geothermal, well water)
Projects affecting subsurface resources should consult with Federal,
state, and local officials having jurisdiction over use of such
resources. Early contacts during the design phase of a project will
reduce needless delays during construction. Some information that will
probably be necessary is:
a. Project purpose, location and description including well site(s),
pipeline route and target facility.
b. Amount of water to be pumped, well size and depth, bottom -hole
temperature, heat transfer mechanisms, and method of water discharge.
c. Construction necessary for system installation, land surface to be
affected (e.g., forest, waterways, existing right -of -way) and current
zoning of the area.
d. Description of terrain and developed conditions within the project
area.
e. Description of the type, quantity, and disposal of the anti corrosion
and /or anti scaling agents expected to be used in the system.
The following agencies should be contacted for activities conducted in:
Idaho:
Montana:
Oregon:
Washington:
Department of Water Resources and the United States
Environmental Protection Agency.
Department of Natural Resources and the Department of
Health and Environmental Sciences.
Department of Environmental Quality and the Department of
Water Resources.
Department of Ecology and the Washington Department of
Natural Resources, Division of Geology and Earth Resources.
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 25
8. Swimming Pools
Buildings which will have swimming pools should insure adequate
ventilation is provided. The current ASHRAE 62 standard includes
ventilation rates for swimming pools and surrounding deck areas.
Offices
APPENDIX 2
COMMON PRACTICE MATRIX
BUILDING TYPES
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 26
Small office, less than 5,000 SF, usually residential conversions.
Medium office, 5,000 square feet to 30,000 square feet.
Large high -rise office, greater than 30,000 SF, more than three stories.
Large low -rise office, greater than 30,000 SF, less than or equal to three
stories.
Groceries
One of a kind grocery, small local "Mom- and Pop," neighborhood grocery,
Convenience grocery, 24 -hour (extended hours), franchises.
Large grocery store.
Retail
Small detached retail, single use,
Small integrated retail, part of a large multi -use office or retail building.
Large -low retail, single use (Examples K -Mart, Bi -Mart, etc.).
Large -high retail, single use (Examples Meier Frank, Sanger Harris, etc.).
Enclosed Shopping Center -low, suburban shopping mall, multi- tenant, with open
mall area.
Shopping Center -high, 3 stories or more, multi- tenant.
Restaurants
Full service restaurant
Fast food restaurant
Bar /Lounge
Medical
Medical office, medical, dental, chiropractic, examination rooms, X -ray.
Residential
Hotel, greater than three stories, laundry, restaurant, lounge facilities.
Motel, less than or equal to three stories, detached structure and facilities.
Warehouses
Assemblv Regular use, movie theatres, sports, etc.,
on a constant basis.
Assembly Sporadic use, facilities such as coliseums,
have frequent vacancies.
Laundries, full service commercial laundries
Schools West of Cascades
4!
Schools East of'Cascades
facilities which are used
churches, etc., which
BUILDING TYPE
1. Small office
2. Medium office
3. Large high -rise office
4. Large low -rise office
5. One of a kind grocery
6. Convenience grocery
7. Large grocery store
8. Small detached retail
9. Small integrated retail
10. Large -low retail
EQUIPMENT 1
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 27
Forced air electric furnace, ducted
single zone, direct expansion cooling
Constant volume roof -top unit with
direct expansion cooling
Vane controlled variable air volume
with electric reheat and chiller (COP
as in MCS, Table 53.6)
Packaged variable air volume with
electric reheat and direct expansion
cooling
Packaged unit with direct expansion
cooling
Packaged unit with heat recovery from
freezer cases and direct expansion
cooling
Custom packaged unit with heat recovery
from freezer cases and direct expansion
cooling
Packaged roof -top unit single zone with
direct expansion cooling and electric
forced air furnace
Packaged roof -top unit constant volume
single zone with direct expansion
cooling and electric heat
Packaged roof -top unit single zone with
direct expansion cooling
1 Central electric resistance heating is assumed unless otherwise
specified. If no cooling is to be provided in the proposed building, then
it is not to be modeled. All baseline building equipment is to be modeled
with the efficiencies described in the MCS Equivalent Code. Air supply
systems are assumed to be constant volume unless otherwise specified.
BUILDING TYPE
11. Large -high retail Vane controlled variable air volume
with electric terminal reheat and
direct expansion cooling
12. Enclosed shopping center -low Packaged roof -top unit constant volume
single zone with direct expansion
cooling
13. Open shopping center -low Packaged roof -top unit constant volume
single zone with direct expansion
cooling
14. Shopping center -high Hydronic heat pump for zone heating and
cooling. Electric boiler and cooling
tower for primary water loop.
15. Full service restaurant Packaged roof -top unit with direct
expansion cooling
16. Fast food restaurant
17. Bar /Lounge
18. Medical office
19. Hotel
20. Motel
EQUIPMENT 1
EXHIBIT 6
Technical Requirements
Revised 8 -22 -88
Page 28
Packaged roof -top unit with direct
expansion cooling
Packaged roof -top unit with direct
expansion cooling
Packaged roof -top unit constant volume
with electric terminal reheat and
direct expansion cooling
Four -pipe fan coil, electric boiler and
central chiller
Thru- the -wall units with direct
expansion cooling and electric
resistance heating
21. Warehouses Unit heaters, no space cooling
1 Central electric resistance heating
specified. If no cooling is to be
it is not to be modeled. All basel
with the efficiencies described in
systems are assumed to be constant
(VS2- SRPA- 5001m)
is assumed unless otherwise
provided in the proposed building, then
ine building equipment is to be modeled
the MCS Equivalent Code. Air supply
volume unless otherwise specified.
SMART DESIGN PROGRAM
ENERGY CONSERVATION MEASURE (ECM) CODE LIST
Measure Code Number
Building Envelope
Ceiling insulation 1011
Floor insulation 1021
Wall insulation 1031
Sash mounted storm windows 1051
Storm windows 1061
Double pane sliding doors 1071
Caulking 1091
Weatherstripping 1101
Install glazing modifications 1122
Install shading modifications 1132
Install moveable insulation 1142
Install air curtains 1152
Dock shelter /seals 1183
Roof sprinkler 1193
Reduce infiltration /exfiltration 1212
Other 1221
Lighting
Delamp light fixtures and disconnect ballasts 2011
Install energy efficient lamps 2021
Install energy efficient ballasts 2031
Install efficient fixtures 2041
Photocell or timeclock control of exterior lighting 2051
Daylighting 2062
Install switching for selective control illumination 2071
Exit sign lamp replacement 2081
Install motion sensors 2083
Install exterior efficient lighting 2091
Other 2093
Domestic Water Heating
Insulate water heater tank 4011
Install time clock to turn off
water heater during unoccupied periods 4022
Insulate hot water pipes 4041
Install heat pump water heater 4052
Install solar water heater 4062
Install circulating pump control 4072
Install point -of -use water heater 4082
Install "packaged" heat recovery devices 4092
Chemical dishwashing system 4103
Other 4105
EXHIBIT 7
Page 1 of 2
HVAC
Power
Refrigeration
Miscellaneous
Insulate ductwork 1041
Night setback /set -up 3011
Economizer 3022
Insulate bare pipes 3031
Install duct and pipe insulation 3032
Replace resistance heating with heat pump 3042
Install low leakage dampers 3052
Reduce minimum outside air by control modifications 3062
Reduce ventilation during unoccupied period 3072
Reset hot and cold deck temperatures 3082
Utilize zone optimization in reheat systems 3092
Install "packaged" heat recovery devices 3102
Air destratification system 3113
Chiller optimizer 3132
Chiller strainer cycle system 3143
Install time clocks on circulating pumps 3152
Multiple chiller optimization 3173
Dead band thermostats 3182
Use separate make -up air for exhaust hoods 3193
Radiant heating 3203
Optimize cooling tower control (i.e., coolant /air
flow modulation) 3213
Thermal storage (ice, chilled water, hot water) 3223
VAV conversion 3233
Increase condensing unit efficiency 3242
Other 3250
Motor resizing 5022
High efficiency motors 5032
Variable speed drives 5042
Variable speed motors 5053
Transformers (economic replacement criteria) 5073
Other 5083
Optimize defrosting control 6022
Optimize capacity control 6032
Reduce heat gains to refrigerated space 6042
Other 6053
Energy Management Control System 7062
Other 7063
EXHIBIT 7
Page 2 of 2
Measure Code Number
USE -CODE BLDG- USE- DESCRIPT1ON
A. RETAIL STORES
B. OFFICE
521 LUMBER AND OTHER BUILDING MATERIALS
523 PAINT, GLASS, AND WALLPAPER STORE
525 HARDWARE STORE
526 RETAIL NURSERIES AND GARDEN STORE
531 DEPARTMENT STORE
533 VARIETY STORE
539 MISCELLANEOUS GENERAL MERCHANDISE STORE
554 GASOLINE SERVICE STATION
557 MOTORCYCLE DEALER
559 AUTOMOBILE DEALER
565 CLOTHING STORE
566 SHOE STORE
569 MISCELLANEOUS APPAREL ACCESSORIES
571 FURNITURE AND HOME FURNISHINGS STORE
572 HOUSEHOLD APPLIANCE STORE
573 RADIO, TELEVISION, MUSIC STORE
591 DRUG OR PROPRIETARY STORE
592 LIQUOR STORE
593 USED MERCHANDISE STORE
594 MISCELLANEOUS SHOPPING GOODS STORE
599 RETAIL STORES, (NEC)*
600 GENERAL OFFICE
601 BANKS
C. RESTAURANT
STANDARD INDUSTRIAL CLASSIFICATION (SIC)
CODE LIST
581 GENERAL RESTAURANT
582 FAST FOOD
D. WAREHOUSE
422 PUBLIC WAREHOUSE
(NEC) Not Elsewhere Classified
EXHIBIT 8
Page 1 of 3
E. HOTEL /MOTEL
F. FOODSTORE
G. SCHOOL
H. MEDICAL
701 HOTELS, MOTELS TOURIST CENTER
702 ROOMING AND BOARDING HOUSES
541 GROCERY STORE
542 MEAT MARKETS AND FREEZER PROVISIONERS
544 CANDY, NUT CONFECTIONARY STORE
545 DAIRY PRODUCT STORE
546 RETAIL BAKERY
547 CONVENIENCE STORE
549 MISCELLANEOUS FOOD STORE
821 ELEMENTARY AND SECONDARY SCHOOL
822 COLLEGE OR UNIVERSITY
823 LIBRARY INFORMATION CENTER
824 CORRESPONDENCE AND VOCATIONAL SCHOOL
829 SCHOOLS EDUCATIONAL SERVICES (NEC)*
801 OFFICES OF PHYSICIANS
802 OFFICES OF DENTISTS
803 OFFICES OF OSTEOPATHIC PHYSICIANS
804 OFFICES OF OTHER HEALTH PRACTITIONERS
805 NURSING AND PERSONAL CARE FACILITIES
806 HOSPITALS
807 MEDICAL AND DENTAL LABORATORIES
808 OUTPATIENT CARE FACILITIES
809 HEALTH AND ALLIED SERVICES (NEC)*
(NEC) Not Elsewhere Classified
EXHIBIT 8
Page 2 of 3
I. OTHER
EXHIBIT 8
Page 3 of 3
721 LAUNDRY, CLEANING, AND GARMENT SERVICES
722 PHOTOGRAPHIC STUDIOS, PORTRAIT
723 BEAUTY SHOPS
724 BARBER SHOPS
726 FUNERAL SERVICE AND CREMATORIES
729 MISCELLANEOUS PERSONAL SERVICES
732 CREDIT REPORTING AND COLLECTION
733 MAILING, REPRODUCTION, STENOGRAPHIC
734 SERVICES TO BUILDINGS
735 NEWS SYNDICATES
736 PERSONNEL SUPPLY SERVICES
737 COMPUTER AND DATA PROCESSING SERVICES
739 MISCELLANEOUS BUSINESS SERVICES
753 AUTOMOTIVE REPAIR SHOPS
764 REUPHOLSTERY AND FURNITURE REPAIR
769 MISCELLANEOUS REPAIR SHOPS
783 MOTION PICTURE THEATERS
791 DANCE HALLS, STUDIOS, AND SCHOOLS
793 BOWLING AND BILLARD ESTABLISHMENTS
799 MISCELLANEOUS AMUSEMENT, RECREATIONAL SERVICES
835 CHILD DAY CARE
866 CHURCH /RELIGIOUS ESTABLISHMENT
999 NONCLASSIFIABLE ESTABLISHMENTS
D -1. GENERAL
D -1.1. PROJECT OVERSIGHT
D -1.2. DISPUTES
D -1.3. SUSPENSION OR TERMINATION (August, 1988)
D -1.4. CONVICT LABOR
D -1.5. OFFICIALS NOT TO BENEFIT
D -1.6. COVENANT AGAINST CONTINGENT FEES
D -1.7. PERMITS AND LICENSES
D -1.8. NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS
D -1.9. CIVIL RIGHTS ACT OF 1964 (P.L. 88 -352)
D -1.10. CIVIL RIGHTS ACT OF 1964 (42 U.S.C. 2000d)
D -1.11. PRIVATE GAIN
D -1.12. ENVIRONMENTAL PROTECTION
D -1.13. REHABILITATION ACT OF 1973
D -1.15. LIMITATION OF LIABILITY
D -1.16. ACKNOWLEDGMENT OF SUPPORT
0 -1.18. TRAVEL
D -1.19. CONTRACTING OFFICER'S REPRESENTATIVE (COR)
D -1.20. PROJECT TECHNICAL REPRESENTATIVE
D -1.21. REGULATIONS APPLICABLE TO FA
D -1.22. RECIPIENT ADHERENCE TO TERMS AND CONDITIONS (12 -85)
D -1.23. ORDER OF PRECEDENCE
ea
SECTION 0
TERMS AND CONDITIONS
GENERAL CLAUSES
1
SECTION D
TERMS AND CONDITIONS
SPECIFIC CLAUSES
2
SECTION D
TERMS AND CONDITIONS
D -2.1. DEFINITIONS
D -2.2. BASIS OF PAYMENT
D -2.3. NATIONAL HISTORIC PRESERVATION ACT
D -2.4. HATCH ACT
D -2.6. REPORTING PROGRAM TECHNICAL PERFORMANCE
D -2.10. EXPIRATION OF FUNDS
D -2.11. FIELD INSPECTOR
D -2.12. SUBSTANTIAL INVOLVEMENT BETWEEN BPA AND THE RECIPIENT
D -2.24. REIMBURSEMENT PAYMENT AND FINANCIAL REPORTING REQUIREMENTS (07 -88)
D -1. GENERAL
D -1.2. DISPUTES
(BPAI 15.0201 -2)
SECTION D
TERMS AND CONDITIONS
GENERAL CLAUSES
SECTION D
TERMS AND CONDITIONS
Award will be made on Bonneville's Form 1813, and will incorporate the Statement
of Work, all necessary terms and conditions, and appropriate sections of the
offeror's proposal.
D -1.1. PROJECT OVERSIGHT
(BPAI 15.0201 -1)
The Recipient is obligated to conduct such project oversight, as may be
appropriate, to manage the funds with prudence, and to comply with the
provisions outlined herein. The Project Director named on the face page is
responsible for the management and technical direction of the project and for
preparation of required reports.
(a) Except as otherwise provided in this award, any dispute concerning a
question of fact arising under this award which is not disposed of by a
modification to this award shall be decided by the Contracting Officer, who
shall reduce that decision to writing and mail, or otherwise furnish a copy
thereof to the recipient. The decision of the Contracting Officer shall be
final and conclusive unless within 60 days from date of receipt of such copy,
the Recipient mails, or delivers a written notice of appeal to the Department of
Energy Financial Assistance Appeals Board in accordance with 10 CFR Part 1024
(See Rule 1). The decision of the Department of Energy Financial Assistance
Appeals Board shall be final and conclusive unless determined by a court of
competent jurisdiction to have been fraudulent, or capricious, or arbitrary, or
so grossly erroneous as necessary to imply bad faith, or not supported by
substantial evidence. In connection with any appeal proceeding under this
clause, the Recipient shall be afforded an opportunity to be heard and to offer
evidence in support of its appeal. Pending final decision of a dispute
hereunder, the Recipient shall proceed diligently with the performance of the
award and in accordance with the Contracting Officer's decision.
(b) This clause does not preclude consideration of law questions in connection
with decisions provided for in paragraph (1) above; provided, that nothing in
this award shall be construed as making final the decision of any administrative
official, representative, or board, based on a question of law.
3
D -1.4. CONVICT LABOR
(BPAI 15.0201 -4)
ea
4
SECTION D
TERMS AND CONDITIONS
D -1.3. SUSPENSION OR TERMINATION
(August, 1988)
This award may be suspended or terminated in accordance with the Common Rule,
Subparts .43 and .44.
(a) Termination or suspension for cause.
(1) Notice. Prior to issuing a termination or suspension notice, efforts
will be made by Bonneville and the Recipient to informally resolve
disagreements. If informal efforts fail, Bonneville may issue a notice of
suspension or termination which will take effect 10 days after its issue
date. Beginning on the effective date of the notice, Bonneville may suspend
the award, withhold further payment, prohibit the Recipient from incurring
additional obligations of funds pending corrective action by the Recipient
or a decision by Bonneville to terminate.
(2) Authority to Issue Notice. The Contracting Officer is the exclusive
agent of Bonneville authorized to issue notices and take final actions
regarding suspension and termination actions.
(b) Termination for Convenience. The Recipient shall not incur new obligations'
for the terminated portion after the effective date, and shall cancel as many
outstanding obligations as possible. Bonneville shall allow full credit to the
Recipient for the Bonneville share of the noncancellable costs, properly
incurred by the Recipient prior to termination.
In connection with the performance of work under this award, the recipient
agrees not to employ any person undergoing sentence of imprisonment except as
provided by Public Law 89 -176, September 10, 1965 (18 U.S.C. 4082(c)(2)) and
Executive Order 11755, December 29, 1973.
SECTION 0
TERMS AND CONDITIONS
0 1.5. OFFICIALS NOT TO BENEFIT
(BPAI 15.0201 -5)
No member of or delegate to Congress, or resident Commissioner, shall be
admitted to any share or part of this award, or to any benefit that may arise
therefrom; but this provision shall not be construed to extend to this award if
made with a corporation for its general benefit.
0 -1.6. COVENANT AGAINST CONTINGENT FEES
(BPAI 15.0201 -6)
The Recipient warrants that no person or selling agency has been employed or
retained to solicit or secure this award upon an agreement or understanding for
a commission, percentage, brokerage, or contingent fee, excepting bona fide
employees or bone fide established commercial or selling agencies maintained by
the recipient for the purpose of securing business. For breach or violation of
this warranty, the Government shall have the right to annul this award without
liability or in its discretion to deduct from the award amount or consideration,
or otherwise recover, the full amount of such commission, percentage, brokerage,
or contingent fee.
D -1.7. PERMITS AND LICENSES
(BPAI 15.0201 7)
Except as otherwise directed in writing by the Contracting Officer, the
Recipient shall procure all necessary permits or licenses and abide by all
applicable laws, regulations, and ordinances of the United States and of the
State, territory, and political subdivision in which the work under this award
is performed.
D -1.8. NONDISCRIMINATION IN FEDERALLY- ASSISTED PROGRAMS
(BPAI 15.0201 -8)
The Recipient shall comply with 10 C.F.R. Chapter I1, Section 600.39, which
provides that no person shall on the ground of race, color, national
origin, sex, handicap, or age be excluded from participation in, be denied the
benefits of, be subjected to discrimination under, or be denied employment,
where the main purpose of the program or activity is to provide employment or
when the delivery of program services is affected by the Recipient's employment
practices, in connection with any program or activity receiving Federal
assistance from Bonneville.
4 g
5
D -1.11. PRIVATE GAIN
(BPAI 15.0201 -11)
D -1.12. ENVIRONMENTAL PROTECTION
(BPAI 15.0201.12)
ea
6
SECTION D
TERMS AND CONDITIONS
D -1.9. CIVIL RIGHTS ACT OF 1964 (P.L. 88 -352)
(BPAI 15.0201 -9)
The Recipient shall comply with Title VI of the Civil Rights Act of 1964 (P.L.
88 -352) and in accordance with Title VI of that Act, no person in the United
States shall on the ground of race, color or national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the applicant receives
Federal financial assistance and will immediately take any measures necessary
to effectuate this agreement.
0 -1.10. CIVIL RIGHTS ACT OF 1964 (42 U.S.C. 2000d)
(BPAI 15.0201 -10)
The Recipient shall comply with Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d) prohibiting employment discrimination where (1) the primary
purpose of the award is to provide employment, or (2) discriminatory
employment practices will result in unequal treatment of persons who are or
should be benefiting from the financially assisted activity.
The Recipient shall establish safeguards to prohibit employees from using
their positions for a purpose that is, or gives the appearance of, being
motivated by a desire for private gain for themselves or others, particularly
those with whom they have family, business, or other ties.
The Recipient shall insure that the facilities under its ownership, lease or
supervision which shall be utilized in the accomplishment of the project are
not listed on the Environmental Protection Agency's (EPA) list of Violation
Facilities and that it will notify Bonneville of the receipt of any
communication from the Director of the EPA Office of Federal Activities
indicating that a facility to be used in the project is under consideration
for listing by the EPA.
D -1.13. REHABILITATION ACT OF 1973
(BPAI 15.0201 -13)
This award is subject to the provisions of the Rehabilitation Act of 1973,
Public Law 93 -112. The Recipient, therefore, agrees that "No otherwise
qualified handicapped individual in the United States (as defined in Section
7(6) of the Act), shall solely, by reason of his handicap, be excluded from
the participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal financial
assistance."
D -1.15. LIMITATION OF LIABILITY
(BPAI 15.0201 -15)
The Recipient agrees to hold Bonneville harmless against any direct or
consequential damages claimed by the Recipient or third parties arising from
or related to Recipient's performance, during the period of this award.
D -1.16. ACKNOWLEDGMENT OF SUPPORT
(BPAI 15.0201 -16)
Publication of the results of this award is encouraged. Any article which is
published shall include an acknowledgment that the research was supported, in
whole or in part, by Bonneville (including the award number), but that such
support does not constitute an endorsement by Bonneville of the views
expressed in the article.
D -1.18. TRAVEL
(BPAI 15.0201 -18)
(a) Domestic travel may be an appropriate charge to this award, and prior
authorization for specific trips is not required. In accordance with the
applicable cost principles, reasonable, necessary, and allowable travel costs
may be charged on an actual basis or per diem basis in lieu of actual costs
incurred, provided the method used results in charges consistent with those
normally allowed by the organization in its regular operations and travel is
at less than first class common carrier fare, unless otherwise approved in
advance by the Contracting Officer.
(b) Foreign travel may be charged to this award without prior approval if
detailed in the approved budget. If foreign travel is required, but not
detailed in the approved budget, it must be approved in writing by the
Contracting Officer prior to beginning the travel. Foreign travel will be
reimbursed on the same basis as domestic travel.
D -1.19. CONTRACTING OFFICER'S REPRESENTATIVE (COR)
(BPAI 15.0201 -19)
SECTION D
TERMS AND CONDITIONS
The Contracting Officer's Representative (COR) shall have all the rights,
powers, and privileges of the Contracting Officer necessary to the
administration of the award: provided, however, that the COR is not empowered
to execute modifications to the award, to make a final decision of any matter
which would be subject to appeal, or to suspend or terminate for any cause the
Recipient's right to proceed.
7
D -1.21. REGULATIONS APPLICABLE TO FINANCIAL ASSISTANCE
SECTION D
TERMS AND CONDITIONS
0 1.20. PROJECT TECHNICAL REPRESENTATIVE
(BPAI 15.0201 -20)
(a) The Project Technical Representative is the authorized representative of
the Contracting Officer for technical actions performed in relation to the
award. This includes the functions of (1) inspection and review of work
performed; (2) witness of presentations or other activities; (3)
interpretation of technical program requirements; and (4) approval of receipt
reports and other materials.
(b) The Project Technical Representative is not authorized to act for the
Contracting Officer in the following matters pertaining to the award; (1)
modifications that change the amount of award, technical requirements or time
for performance; (2) suspension or termination of the Recipient's right to
proceed; and (3) final decisions on any matters subject to appeal.
Bonneville's financial assistance function is managed and executed solely in
accordance with the Bonneville Power Assistance Instructions (BPAI). Comments
on the BPAI should be addressed to the Contracts Manager, E -11 at the address
below.
Copies of the BPAI may be obtained for $10.00 each. Requests should be sent
to:
General Accounting Section
Bonneville Power Administration
P.O. Box 3621 DSOG
Portland, Oregon 97208
D -1.22. RECIPIENT ADHERENCE TO TERMS AND CONDITIONS (12 -85)
The recipient's signature on the Notice of Financial Assistance Award
signifies the recipient's agreement to the terms and conditions of the Award.
Should the recipient believe modification of any of the terms or conditions of
this award is necessary, an authorized official of the recipient must submit a
written request on its own behalf or on behalf of any subgrant recipient to
the contracting officer named on the face page of this award.
D -1.23. ORDER OF PRECEDENCE
In the event of an inconsistency between provisions of this award, the
inconsistency shall be resolved by giving precedence in the following order:
(a) Bonneville Power Assistance Instructions (BPAI), (b) Referenced OMB
Circulars and Common Rule, (c) Specific Clauses, (d) General Clauses, (e)
Program Description, (f) Technical Requirements, (g) revisions to the proposal
incorporated into the award in order of most recent date, and (h) project
proposal.
4
8
D -2.1. DEFINITIONS
(BPAI 15.0202 -1)
SPECIFIC CLAUSES
As used throughout this award, the following terms shall have the meaning set
forth below:
(a) The term "award" means this instrument, which can be either a grant or
cooperative agreement.
(b) The term "head of the agency" or "Secretary" as used herein means the
Secretary, the Under Secretary, any Assistant Secretary, or any other head of
the executive or military department or other Federal agency; and the term
"his duly authorized representative" means any person or persons or board
(other than the Contracting Officer) authorized to act for the head of the
agency or the Secretary.
(c) The term "Contracting Officer" (CO) means the person executing this award
on behalf of the Government, and any other officer or civilian employee who is
properly designated Contracting Officer;•and the term includes, except as
otherwise provided in this award, the authorized representative of a
Contracting Officer acting within the limits of his authority.
(d) The term "Contracting Officer's Representative" means the individual
designated by the CO to perform administrative work connected with the award.
This title may be abbreviated COR. The COR is designated by the CO for the
day -to -day administration of the award and for the purpose of securing
compliance with drawings, specifications, conditions, and provisions of the
award. The COR is responsible for complete documentation relating to the
award throughout the duration of the project. This includes needed
correspondence, forms, records, reports, field data, photographs and
maintenance of the official award file and related required documentation.
This person is normally a contract specialist working directly for the CO.
(e) The term "Project Technical Representative" (PTR) means the individual
designated by the CO to perform technical award administration activities on
behalf of the CO within limits specified by the CO. This position is the
primary point of contact within Bonneville for award Recipients on all matters
relating to the awards. Communication between Bonneville staff and award
Recipients will be directed through this person. Normally, Project Technical
Representatives do not have authority to commit the Government to any changes
in the terms of the awards. Generally the Project Technical Representative is
responsible for monitoring the contractor's performance in both financial and
technical aspects during the performance period, reviewing and certifying
invoices, and making site visits to the contractor's facility as necessary.
The Project Technical Representative will keep a written record of the
technical administration activities and forward a copy to the CO at a rate of
frequency as determined by the CO depending upon the complexity of the subject
matter and level of award activity. The Project Technical Representative
shall advise the CO immediately when the Recipient's lack of compliance
endangers successful award completion or when other corrective action is
necessary to protect Bonneville's best interests.
9
SECTION D
TERMS AND CONDITIONS
10
SECTION 0
TERMS AND CONDITIONS
(f) Except as otherwise provided in this award, the term "subcontractors"
includes purchase orders under this award.
(g) The term "DOE" means the U.S. Department of Energy.
(h) The term "Bonneville" means the Bonneville Power Administration.
(i) The term "Recipient" means the individual or organization receiving this
award from Bonneville.
D -2.2. BASIS OF PAYMENT
(a) Administrative Allowance: Flat Rate Basis. Payments for
administrative costs, as defined by Paragragh 3.1.1 of Section A, will be
provided on a flat rate basis, i.e. not based on actual costs. Payment
for all administrative activities will be based on the base administrative
allowance and the actual number of buildings provided design assistance
services (per building amount):
1. Base Administrative Allowance The utility may draw down
50 percent of the base amount upon award. The balance will be paid
upon receipt from the utility of their final Smart Design Program
operating plan.
2. Per Building Amount- A payment of $i (less applicable cost
share) will be paid for each building provided design assistance
services, until the maximum listed in the budget worksheet for the
selected option is reached. This per building payment will be based
upon the number of Building Design Assistance Reports listed on and
submitted with the Smart Design Program Activity Report. For
utilities operating under a group award, the per building
administrative payment will be determined by the cost share
percentage of the particular utility in whose service territory the
building is located.
(b) Design Assistance Allowance: Cost Basis. Actual costs incurred by
recipients for design assistance (as defined by Paragraph 3.1.2 of Section
A) will be paid without fee or profit. Such payment shall not exceed
either:
1. 50% above the budgeted amount for that design assistance approach
unless the Contracting Officer approves (see budget worksheet and
Section A, paragraph 3.1), or
2. the total amount budgeted for design assistance as shown on Line
B -4 of the budget worksheet.
(c) See Section A, Program Desription, paragraphs 3.1, 3.1.1 and 3.1.2,
for additional information.
D -2.3. NATIONAL HISTORIC PRESERVATION ACT
(BPAI 15.0202.4)
D -2.4. HATCH ACT
(BPAI 15.0202 -5)
11
SECTION D
TERMS AND CONDITIONS
(d) Adjustment: If the actual costs incurred for design assistance are
less than the estimates made at the time of the award, excess funds
obligated by Bonneville will be subject to refund or deobligation upon
completion of the budget period. Similarly, if the number of buildings
actually provided design assistance is less than that projected in the
budget on Line A.2.d, the excess funds obligated by Bonneville for
administrative costs, will be subject to refund or deobligation upon
completion of the budget period. However, excess funds may be carried
over into the next budget period, at Bonneville's option.
(e) There is no commitment for further Bonneville funding beyond the award
amount, except as provided by modification. Recipients are expected to
bring their projects to conclusion, including final reports, within the
funds provided. Bonneville is under no obligation to provide additional
funding if the project cannot be completed within the awarded amount.
The Recipient will assist the Federal grantor agency in its compliance with
Section 106 of the National Historic Preservation Act of 1966 as amended (16
U.S.C. 470), Executive Order 11593, and the Archeological and Historic
Preservation Act of 1966 (16 U.S.C. 469a -1 et seq.) by (a) consulting with the
State Historic Preservation Officer on the conduct of investigations, as
necessary, to identify properties listed in or eligible for inclusion in the
National Register of Historic Places that are subject to adverse effects (see
36 CFR Part 800.8) by the activity, and notifying Bonneville of the existence
of any such properties, and (b) by complying with all requirements established
by Bonneville to avoid or mitigate adverse effects upon such properties.
If the Recipient is a state or local government, it shall comply with the
provisions of the Hatch Act which limit the political activities of employees.
D -2.6. REPORTING PROGRAM TECHNICAL PERFORMANCE
(BPAI 15.0202 -14)
SECTION 0
TERMS AND CONDITIONS
(a) Frequency. A guarterlv report shall be submitted no later than 30
days after the end of each quarterly reporting period. A final report
on the project must be submitted no later than 90 days after the
expiration date of the project period indicated on the face page, BPA
1813, Block 7.
(b) Format. Bonneville and the Recipient have mutually agreed that the
formats shown in Exhibits 2 and 3 are acceptable. However, the
Recipient may modify this format as long as the content is retained.
(c) pies. An original and two copies of all required reports shall be
submitted to Bonneville's Project Technical Representative.
(d) Content. The report content shall be that prescribed in the Common
Rule, Subpart .40 and shall include the following:
A. Smart Design Program Activity Report
This report is shown at Exhibit 3 (sample).
B. Smart Design Program Services Summary
This report is shown at Exhibit 2 (sample). The report contains
three parts (sections.) Only the applicable sections corresponding
to completed activities shall be submitted.
0 -2.10. EXPIRATION OF FUNDS
(BPAI 15.0202 -20)
The funds provided by this award or modification are valid only for the budget
period identified in Block 6 of the face page. They may not be expended by
the Recipient after the expiration of the budget period. However, the CO may
authorize expenditure of such funds in subsequent budget periods by written
modification to the award.
12
SECTION D
TERMS AND CONDITIONS
D -2.11. FIELD INSPECTOR
(BPAI 15.0202 -13)
(a) The Field Inspector if one is required for this award will be appointed in
a separate letter written to the recipient by the Project Technical
Representative. The Field Inspector is the authorized representative of the
Project Technical Representative for:
(1) Performing the functions of
(A) Inspection and review of work performed;
(B) Inspection and witness of tests or presentations or other
activities;
(C) Interpretation of technical requirements;
(D) Approval of recipient's reports, and material or work performed;
and
(E) Release of material for shipment, if applicable.
(2) Provides technical inspection of the results of the project and
recommends corrections necessary to meet award specifications or
requirement of supplies or services performed.
(b) The Field Inspector is not authorized to act in the following matters
pertaining to the award: (1) modifications that change the award amount,
technical requirements or time for performance; (2) suspension or termination
of the recipient's right to proceed; and (3) final decisions on any matters
subject to appeal.
4 a
13
14
SECTION D
TERMS AND CONDITIONS
D 2.12. SUBSTANTIAL INVOLVEMENT BETWEEN BPA AND THE RECIPIENT
(a) Bonneville anticipates substantial involvement in administering this
agreement. The following activities will be most affected:
(1) Program Evaluation (Statement of Work, Paragraph 1.3.3.)
(2) Training for utility personnel (Statement of Work, Paragraph 1.5.)
(3) Provision of a regional promotion program (Statement of Work,
Paragraph 1.5.)
(4) Require submission of technical reports to assist in the development
of funding allocations for future budget periods (Section D,
Clause /D -2.6.)
(5) Provision of design assistance for Option 2 utilities (Statement of
Work, Paragraph 2.1.1.)
(b) The specific responsibilities of Bonneville and the recipient in the
conduct of the above activities are described in the agreement (see references
adjacent to the specific activity, above.) Where not otherwise described,
each party is obligated to act in a reasonable manner in fulfilling its
responsibilities under this agreement.
(c) Bonneville assumes no special liability in fulfilling its responsibilities
under this agreement.
(VS2- SRPA- 3500m)
15
SECTION D
TERMS AND CONDITIONS
D -2.24 REIMBURSEMENT PAYMENT AND FINANCIAL REPORTING REQUIREMENTS (07 -88)
With the exception of the base administrative allowance, payment for services
performed under this award will be reimbursed after performance of the
services. Recipient requests for reimbursements, and recipient financial
reporting requirements shall be made as follows:
(a) Reimbursements. Standard Form 270, Request for Advance and
Reimbursement, shall be used when requesting reimbursement for costs
incurred on the project. An original and two copies should be submitted.
(b) In addition to submitting required documents for advance payments, the
recipient shall submit the following financial reports:
(i) Status Report. A Standard Form 269, Financial Status Report, shall
be submitted within 30 days after the end of each quarter. The
Financial Status Report will document the recipient's actual cost share
as well as costs charged to Bonneville's share.
(ii) Final Cost Report. A final cost report shall be submitted within
90 days after the end of the project period. The format of the report
shall be the same as the budget as awarded. The final cost report shall
compare the amounts allocated in the award budget to the amounts
expended for each budget element, and shall indicate whether there is an
unobligated balance to be refunded to BPA.