Federal Recovery Act: Reporting Requirements

1. Federal Recovery Act:Reporting Requirements Kathy Walters, Development Officer Starlette Hodge, Section Chief 919.733.2230

2. Recovery Act: Reporting Requirements What reporting is required for the Federal Recovery Act? • Total amount of funds received; and of that, the amount spent on projects and activities • A list of projects and activities funded by name to include: • Description • Completion status • Estimates on jobs created or retained • Estimates on energy saved/renewable energy generated • Estimates on carbon emissions reduced • Details on sub-awards and other payments

3. Recovery Act: Reporting Requirements Recipient Basic Requirements • Recipient’s “Data Universal Numbering System (D-U-N-S) number • Recipient’s “Central Contractor Registry information” • Recipient type • Amount received by recipient • Amount awarded to recipient • Award date • Award period • Recipient place of performance • Recipient area of benefit • Recipient officer names and compensation (Top 5) • Expenditure amount • Expenditure description

4. Recovery Act: Reporting Requirements Vendor B Basic Requirements • D-U-N-S or name and zip code of headquarters • Expenditure amount • Expenditure description • Award

5. Recovery Act: Reporting Requirements • No waivers to reporting will be granted • Reports are due the 5th of each month • Noncompliance could be treated as a violation of the award agreement • Finally, all the information will be available to the public through: www.Recovery.gov and www.NCRecovery.gov

6. Recovery Act: Reporting on Job Creation • Recipients are required to report on all jobs they have created or retained as a result of the Recovery Act, by project or activity • This information will be reported as two separate fields – a numeric field and a separate narrative with an expanded description of the job creation and reporting methodology • Recipients will report the number created and retained using a standard calculation, translating both full- and part-time employees into “full-time equivalents,”(FTEs). This calculation is performed by adding the total hours worked by all employees in the quarter and dividing by the total hours in a full-time schedule. • In some cases, recipients will not perform the work themselves, but will distribute the funding via a grant, loan or contract to another entity. In these cases, recipients will provide estimates of the jobs created or retained by those entities.

7. Assume that a recipient is preparing its first quarterly report and that the recipient’s Federal Recovery Act-funded work required two full-time employees and one part-time employee working half days for the quarter. Also assume that the recipient’s full-time schedule for the quarter is 520 hours (2,080 hours in a work-year divided by 4). To convert hours worked to number of FTEs for the first quarterly report, total all hours worked and divide by the number of hours in a full-time schedule for the quarter. In this example, full-time hours worked (520 hrs x 2 employees = 1,040 hrs) + part-time hours worked (260 hrs) ÷ number of hours in a full-time schedule for the quarter (520 hrs) = 2.5 FTEs reported in the first quarterly report. Because jobs are reported cumulatively each quarter, this same number of FTEs would be reported for the second quarter if the same number of employees worked the same number of hours. Recovery Act: Reporting on Job Creation

8. Job Estimated Example

9. Purpose The purpose of the N.C. Energy Office and Energy Efficiency and Conservation Block Grant programs is to assist eligible agencies in creating and implementing strategies to: • Reduce fossil fuel emissions in a manner that is environmentally sustainable and, to the maximum extent practicable, maximize benefits for local and regional communities; • Reduce the total energy use of the eligible entities; and • Improve energy efficiency in the building sector, the transportation sector and other appropriate sectors.

10. Period of Performance The period of performance will be 36 months. In keeping with the agenda of the Federal Recovery Act and supporting the goal of immediate investment in the economy, entities are required to obligate/commit all funds within 18 months from the effective date of the award. If funds are not obligated/committed within 18 months, the U.S. Department of Energy reserves the right to deobligate the funds and cancel the award. • State Energy Program close date is April 30, 2012. • Energy Efficiency & Conservation Block Grants close date is September 20, 2012.

11. DOE Principles The DOE has developed the principles to guide agencies during the program and project planning process: • Prioritize energy efficiency and conservation as the cheapest, cleanest and fastest ways to meet energy demand. • Maximize benefits over the longest possible terms by looking for ways to link energy efficiency efforts to long-term priorities (especially community economic development, community stabilization and poverty reduction efforts). • Invest funds in programs and projects that create and/or retain jobs and stimulate the economy while meeting long-term energy goals.

12. DOE Principles • Target programs and projects that will provide substantial, sustainable and measurable energy savings, job creation and economic stimulus effects. • Give priority to programs and projects that leverage federal funds with other public and private resources, including coordinated efforts involving other federal programs. • To the extent possible, develop programs and strategies that will continue beyond the funding period. • Ensure oversight, transparency and accountability for all program activities. • Enact policies that transform markets, increase investments and support program goals. • Develop comprehensive plans that benchmark current performance and set aggressive goals.

13. Additional Requirements and Information Buy American Provision • Section 1605 of the Federal Recovery Act requires that iron, steel and manufactured goods used in public buildings or public works projects be manufactured in the United States. The contractor agrees to abide by this provision and shall keep records of such purchases for inspections by the North Carolina and federal agencies. The contractor must obtain written exception from this provision from the agency issuing the contract.

14. Additional Requirements and Information Davis-Bacon Act • Proposals shall provide written assurance that all laborers and mechanics on projects funded directly by or assisted in whole or in part by and through the Federal Recovery Act are paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by subchapter IV of Chapter 31 of title 40, United States Code (Davis-Bacon Act). For guidance on how to comply with this provision, see http://www.dol.gov/esa/whd/contracts/dbra.htm. • Weekly wage and salary reports are required.

15. Additional Requirements and Information • All laborers and mechanics employed on the work site must be paid, unconditionally, at least once a week. Covered employers must submit a certified payroll on a weekly basis. The employer must sign the certified payroll, affirming that the information is complete and accurate. Falsification of the certified payroll record can result in debarment from future contracts for up to three years and/or criminal penalties.

16. Additional Requirements and Information National Environmental Policy Act (NEPA) • All projects receiving financial assistance from the U.S. Dept. of Energy are restricted from taking any action for projects that would have an adverse effect on the environment or limit the choice of reasonable alternatives prior to the Energy Department providing a final NEPA determination.

17. Additional Requirements and Information Local newsprint outlets Public agencies using recovery funds for the purpose of soliciting bids, proposals and construction projects, including design services exceeding $5,000, must advertise the opportunity in the local newsprint outlets, including minority and women owned outlets.

18. Additional Requirements and Information Historically Underutilized Business (HUB) Participation • It is the policy of this state to encourage and promote the use of small contractors, minority contractors, physically handicapped contractors and women contractors in state purchasing of goods and services. All ARRA recipients shall cooperate in efforts to encourage the use of small contractors, minority contractors, physically handicapped contractors and women contractors in achieving the purpose of Article NCGS 143-48(a). • Agencies using funds are required to make their best effort to notify at least one HUB of the opportunity to participate by submitting a bid. • ARRA recipients contracting goods or services must report their utilization of HUBs as a percentage of total contract award on their monthly reports, due by the 5th.

19. Additional Requirements and Information Contractor Recovery Act: Reporting Requirements The contractor is notified that this project will be financed with ARRA funds. The contractor shall ensure that all subcontracts and other contracts for goods and services for an ARRA-funded project have the mandated provisions of this directive in their contracts. Pursuant to Title XV, Section 1512 of the ARRA, the state shall require that the contractor provide reports and other employment information as evidence to document the number of jobs created or jobs retained by this contract from the contractor’s own workforce and any subcontractors. No direct payment will be made for providing said reports, as the cost for same shall be included in the various items in the contract.

20. Additional Requirements and Information Posting with the Local Employment Security Commission • In addition to any other job postings the contractor normally utilizes, the N.C. Office of Economic Recovery & Investment (OERI) requires that the contractor shall post with the local Employment Security Commission office all positions for which he intends to hire workers as a result of being awarded this contract. Labor and semiskilled positions must be posted for at least 48 hours before the hiring decision. All other positions must be posted a minimum posting of five days before the hiring decision. The contractor and any subcontractor shall report the new hires in the manner prescribed by the Employment Security Commission and the OERI.  

21. Additional Requirements and Information Required Contract Provision to Implement Federal Recovery Act (ARRA) Section 902 Section 902 of the ARRArequires that each contract awarded must include a provision that provides the U.S. Comptroller General and his representatives with the authority to: Examine any records of the contractor or any of its subcontractors, or any state or local agency administering such contract, that directly pertain to, and involve transactions relating to, the contract or subcontract; and Interview any officer or employee of the contractor or any of its subcontractors, or of any state or local government agency administering the contract, regarding such transactions.

22. Additional Requirements and Information N.C. Office of Budget and Management Access to Records • N.C. Office of Economic Recovery and Investment (OERI) requires that the contractor and subcontractor allow the N.C Office of Budget and Management internal auditors and state agency internal auditors access to records and employees pertaining to the performance of any contract awarded by a public agency.

23. Additional Requirements and Information Prohibitions on Use of Funds Use of Federal Recovery Act funds is prohibited for projects that will lead to the development of such activity as casinos or other gambling establishments, aquariums, zoos, golf courses, swimming pools or any other activity specifically prohibited by the Act.

24. Cost Sharing Cost sharing is not always required. However, leveraging of funds by grantees is encouraged in order to maximize the total additional energy-related benefits resulting from the program.

25. Registration Process To request a D-U-N-S number if you do not already have one, go to: www.dnb.com/US/duns_update/. To register with Central Contractor Registration (CCR) go to: http://www.ccr.gov/. NOTE: It can take up to 21 days to complete the D-U-N-S and CCR steps.

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