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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 2 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 3 (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. 4 (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). 7 (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 8 (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. 1 it 11 ,I ;''.ii. +t1•'11;, i i. ,�►/l��m''' 11 fit 0: it iU'ii+s.“1:4.. iii'`ii i' 1', ,..11ki1i! 1;1 n i.. ::1111 0 LiC,11 4jD. 0 E a 0 LLI Ilttt• t�'�' p. l Ili 1 t .e ,`..i S izit anii' 1 3 `iu��tE,a:El��•�i:.3:15.�••� 1 1, a.'1i 1 '.,t'..... �r:t3 111 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.