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Energy Efficiency and Conservaton Block Grant SubmissionFunding Level Activity Community Impact* $75,000 Sustainability Coordinator Salary 1 FTE to coordinate internal and community -wide sustainability efforts $25,000 Municipal Building Energy Efficiency Revolving Loan Fund (RLF) TBD, based on building needs $25,000 Commercial & Residential Audit Grants: Grants to fund 50% of RESNET- or other certified audit 50 commercial audits 25 residential audits $25,000 Landlord & Homeowner Retrofit Grants: Grants up to $500 per home for energy- efficient improvements At least 20 residences served $200,000 Commercial Retrofit RLF: 20% match up to $10,000 for commercial energy- efficient improvements At least 20 businesses served $25,000 Municipal Building Audit Grants TBD, depending on building needs $50,000 Sustainability Education & Training Annual Growing Sustainable Communities Conference, Dubuque 2.0 support $100,000 Smarter City Implementation Development of Integrated Masterpiece on the Mississippi TO: FROM: SUBJECT: DATE: The Honorable Mayor and City Council Members Michael C. Van Milligen, City Manager Energy Efficiency & Conservation Block Grant (EECBG) Energy Efficiency & Conservation Strategy Submitted to Department of Energy January 28, 2010 Dubuque Ail-America City 111111 2007 Stimulus Coordinator Cori Burbach recommends City Council approval of the Energy Efficiency & Conservation Strategy for the $574,700 Energy Efficiency & Conservation Block Grant (EECBG) funds for the City received as a formula allocation through the American Recovery and Reinvestment Act (Stimulus Package). The City of Dubuque was allocated $574,700 in formula funds based on population size. In order to receive the funds, communities are required to submit a series of documents defining how they intend to spend the funds. The following is a summary of the Energy Efficiency & Conservation Strategy that was submitted to the Department of Energy. I concur with the recommendation and respectfully request Mayor and City Council approval. MCVM:jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Cori Burbach, Stimulus Coordinator MicISael C. Van Milligen Sustainability System $49,700 Efficient Transportation System Improvements Potential uses: GPS device purchase, ITS improvements, fleet monitoring equipment $574,700 TOTAL I concur with the recommendation and respectfully request Mayor and City Council approval. MCVM:jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Cori Burbach, Stimulus Coordinator MicISael C. Van Milligen Masterpiece on the Mississippi Dubuque bfril All-AmedcaCity 11111r 2007 TO: Michael C. Van Milligen, City Manager FROM: Cori Burbach, Stimulus Coordinator SUBJECT: Energy Efficiency & Conservation Block Grant (EECBG) Energy Efficiency & Conservation Strategy Submitted to Department of Energy DATE: January 27, 2010 INTRODUCTION The purpose of this memorandum is to request City Council approval of the Energy Efficiency & Conservation Strategy for the $574,700 EECBG funds the City received as a formula allocation through the American Recovery and Reinvestment Act (Stimulus Package). BACKGROUND As part of the United States American Recovery and Reinvestment Act approved in February 2009, the US Department of Energy issued both formula and competitive EECBG funds to local governments. The purpose of the EECBG program is to assist communities in creating and implementing strategies that: • Reduce fossil fuel emissions in a manner that is environmentally sustainable, and to the extent practicable, maximizes benefits for local communities; • Reduce total energy use of eligible entities; and • Improve energy efficiency in building, transportation and other appropriate sectors. The City of Dubuque was allocated $574,700 in formula funds based on population size. In order to receive the funds, communities are required to submit a series of documents defining how they intend to spend the funds. Certain requirements were placed on the way funds could be spent. DISCUSSION City staff worked to develop a spending plan that will have the maximum community impact possible while also establishing seed money so that municipal and commercial buildings will have access to energy efficiency grants and loans beyond the three -year term of the EECBG grant. Priority was also given to programs that would assist in the implementation of the Smarter City partnership. The following is a summary of the Energy Efficiency & Conservation Strategy that was submitted to the Department of Energy. Funding Level Activity Community Impact* $75,000 Sustainability Coordinator Salary 1 FTE to coordinate internal and community -wide sustainability efforts $25,000 Municipal Building Energy Efficiency Revolving Loan Fund (RLF) TBD, based on building needs $25,000 Commercial & Residential Audit Grants: Grants to fund 50% of RESNET- or other certified audit 50 commercial audits 25 residential audits $25,000 Landlord & Homeowner Retrofit Grants: Grants up to $500 per home for energy- efficient improvements At least 20 residences served $200,000 Commercial Retrofit RLF: 20% match up to $10,000 for commercial energy- efficient improvements At least 20 businesses served $25,000 Municipal Building Audit Grants TBD, depending on building needs $50,000 Sustainability Education & Training Annual Growing Sustainable Communities Conference, Dubuque 2.0 support $100,000 Smarter City Implementation Development of Integrated Sustainability System $49,700 Efficient Transportation System Improvements Potential uses: GPS device purchase, ITS improvements, fleet monitoring equipment $574,700 TOTAL *Community impacts are estimated based on service and equipment quotes obtained from local contractors. For revolving loan funds, impact is calculated for the three -year grant term. The RLFs will be replenished by savings experienced following energy efficiency retrofits, and thus funds will continue to be available for audits and retrofits beyond the initial life of the grant. In addition to the community impacts listed above, number of jobs created, energy saved, greenhouse gas reductions, and local and state funds leveraged with also be tracked. It is anticipated that these funds will leverage approximately $17 million in local and state funding. The Sustainability Office will work with City departments and partner organizations to develop processes for application, reimbursement and granting of funds, performance monitoring, and federally- required reporting. The attached documents, submitted to the US Department of Energy, provide further detail on the intended use plans. RECOMMENDATION: Staff recommends Council approval of the Energy Efficiency & Conservation Strategy for the $574,700 the City will receive as a formula Energy Efficiency Conservation Block Grant. cc: Cindy Steinhauser, Assistant City Manager Teri Goodmann, Assistant City Manager Will Hoyer, Stimulus Coordinator Dave Lyons, Smarter City Project Manager Jenny Larson, Budget Director Attachment D Energy Efficiency & Conservation Strategy for Units of Local Governments & Indian Tribes As detailed in Part 1 of this announcement, all applicants must submit an Energy Efficiency and Conservation Strategy (EECS). Units of local government and Indian tribes have the option of submitting the EECS no later than 120 days after the effective date of the award or at the time of application. Units of local government and Indian tribes who chose to submit the EECS at the time of application shall use the format contained in Attachment D. This form should be saved in a file named "UIC- Strategy.pdf" and click on "Add Optional Other Attachment" to attach. Grantee: City of Dubuque, Iowa Date: 01/18/2010 (mm /dd /yyyy) DUNS #: 93105302 Program Contact Email: cburbach @cityofdubuque.org 1. Describe your government's proposed Energy Efficiency and Conservation Strategy. Provide a concise summary of your measureable goals and objectives, which should be aligned with the defined purposes and eligible activities of the EECBG Program. These goals and objectives should be comprehensive and maximize benefits community -wide. Provide a schedule or timetable for major milestones. If your government has an existing energy, climate, or other related strategy please describe how these strategies relate to each other. The City of Dubuque's strategy focuses on several EECBG project activities: 1) Financial Incentive Programs, 2) the Energy Efficiency and Conservation Programs for Buildings and Facilities, 3) Technical Consultant Services, 4) Development and Implementation of Transportation Programs, and 5) Revolving Loan Funds (RLF) and Grants for Energy Audits and Retrofits, each as described in the EECBG Project Activity Sheets. This comprehensive approach to energy efficiency and reduced emissions across all sectors is in accordance with the Dubuque community's Sustainability Vision. In 2006, Dubuque's City Council officially adopted becoming a sustainable city as a top priority, and adopted a resolution in support of the U.S. Mayor's Climate Protection Agreement. Since this time Dubuque has involved the greater community in crafting a sustainability plan and has completed a GHG emissions inventory which will be formally adopted in the first quarter of 2010 and used in coordination with the City's EECS. Baseline emissions from the years 2003 and 2007 were 80,084 and 86,080 tons CO2e, respectively. EECBG project activities will support Dubuque's efforts to reduce energy consumption and GHG emissions, and to work toward the national goal of 80 percent GHG reduction by the year 2050. Dubuque's Goals for EECBG programs include: 1) Reduce total energy use and fossil fuel emissions from participating commercial, residential and municipal buildings by 15 %; 2) Reduce VMTs and GHG emissions from vehicles through feedback, convenient public transit, and traffic light synchronization; 3) Establish educational training program for local job development, and provide community sustainability education, and 4) Foster creation of green jobs through energy audits, efficiency upgrade contractors, historic preservation, etc. These goals will be accomplished by leveraging public and private funding sources. Expected benefits of the EEECS include direct and indirect jobs created, energy saved and GHG emissions reduced. Using the EECBG Estimated Benefits Calculator provided by the DOE, Dubuque's programs will create 6 direct jobs, retain 13, and create numberous indirect jobs, save nearly 5 million kWhs of energy use, and reduce GHG emissions by nearly 5,000 metric tons. Major Actions Timetable (Note: Some phases will occur simultaneously.): Phase la: Establish working groups to provide RLF and grant program guidance and establish a process to receive feedback from the community. (Quarter 1, Year 1) Phase lb: Work with technical consultants [IBM] to identify opportunities to increase energy efficiency in buildings through utility monitoring and instrumentation, reduce vehicle miles traveled and increase efficiency of parking. (Current, ongoing) Phase lc: Partner to design and implement green jobs training program to meet demand created by program. (Year 1) Phase 2: Establish revolving loan funds and grant funds for energy audits and upgrades. (Quarter 1, Year 1) Phase 3a: Implementation of loan and grant funds. Implement continuous monitoring, verification and inspection. (Ongoing) Phase 3b: Roll out public energy efficiency and monitoring campaign with consultant. (Current, ongoing) Phase 4: Creation and dissemination of sustainability model for communities under 200,000. (Year 2, ongoing) 2. Describe your government's proposed implementation plan for the use of EECBG Program funds to assist you in achieving the goals and objectives outlined in the strategy describe in question #1. Your description should include a summary of the activities submitted on your activity worksheets, and how each activity supports one or more of your strategy's goals /objectives. Dubuque's sustainability plan includes goals and action steps surrounding eleven key sustainability principles. Many of these include elements of energy efficiency and conservation, including "Regional Economy," "Smart Energy Use," "Resource Management," "Community Design," "Green Buildings," Healthy Local Food," "Reasonable Mobility," "Healthy Air," and "Clean Water." Themes among these goals include using energy more efficiently, reducing energy use, reducing greenhouse gas emissions, and using renewable energies. Mechanisms and actions to help work toward these goals include increasing public eco- awareness, financial incentives, policy and legislation, leadership within City operations and public - private partnerships. Activities included in Dubuque's strategy include the following: a. Establish financial mechanisms to support 1) commercial, 2) residential, and 3) municipal energy audit and retrofit projects: The City will establish energy audit grants for commercial and residential sectors. Revolving low- interest loan funds will be established for commercial, residential and municipal projects to encourage and help fund energy saving projects. The revolving loan mechanism will allow borrowers to repay loans through the cost savings realized from the projects. Through repayment, the funds will finance future projects. The City will partner with local contractors and utility providers to ensure auditors are RESNET- certified. These programs will support the City's message that energy conservation is the fastest and cheapest way to meet energy demand and will encourage the exploration of alternative energy sources only after conservation strategies have been implemented. b. Reduce energy consumption in existing homes and neighborhoods through retrofits. Residential and small business energy conservation are cornerstones of Dubuque's energy and environmental programs. All funded projects will require an energy audit to identify upgrades that will reduce energy most cost - effectively . Post - retrofit energy savings will be monitored to ensure that energy cost savings are being realized and tracked. The City will recommend the use of Energy Star Portfolio Manager, or a similar program, and provide training opportunities for those interested in using these tools to track savings. The program demonstrates the City's involvement and commitment to our citizens. c. Education. Public education is a key tool to achieve the maximum amount of energy and financial savings for residents and business owners. Comprehensive and targeted education will advertise availability of funding programs and provide decision making support and opportunities for participation for all Dubuquers. The City will partner with Dubuque 2.0, an initiative of the Dubuque Area Chamber of Commerce and Community Foundation of Greater Dubuque, to achieve community -wide awareness and engagement. d. Transportation. Transportation capital improvements and data collection are key to VMT and GHG reduction, and Dubuque's strategy includes re- designing the City's public transportation system in order to increase efficiency, convenience and ridership; facilitating ride -share and car -share programs and use of Federal tax incentives for commuters; traffic light synchronization; and promoting safe walking and biking options. e. Administration & leadership. A Sustainable Community Coordinator and City Green Team will provide direction and administration to the program. The City Council will continue to lead the community by example through their policy decisions and recommendations for program and project implementation. f. Establish a local jobs market supporting energy efficient and renewable technologies. Through existing partnerships among industry, local organizations and our community college, professionals will be trained to support the city's EECBG project and linked to energy audit and upgrade opportunities in the region. Partners include local utilities, colleges, businesses, industries, and non - profits and state and national organizations including the Iowa Office of Energy Independence, National Trust for Historic Preservation, and ICLEI Local Governments for Sustainability. Leveraged funds include ARRA Green Jobs, Weatherization Assistance, Iowa Power Fund, CDBG, neighborhood stabilization, and workforce training funds, existing municipal building maintenance funds, utility rebates and incentives, and private investments. Dubuque will address regional issues and opportunities through the Iowa Metropolitan Coalition, comprised of the 10 largest communities in Iowa and the East Central Intergovernmental Agency, the region's Council of Government. The Assistant City Manager for Intergovernmental Relations and the Sustainable Community Coordinator will lead any discussions regarding prohibitive local, state, or federal policies impacting the success of the EECS. 3. Describe how your government is taking into account the proposed implementation plans and activities for use of funds by adjacent units of local government that are grant recipients under the Program (response not mandatory for Indian Tribes). Dubuque works closely with our local council of governments, East Central Intergovernmental Association (ECIA), which operates within Dubuque, Delaware, Jackson, Cedar and Clinton Counties. This partnership offers the opportunity to address issues such as transportation and economic development on a regional level. ECIA, the City of Dubuque, local utility providers and other partners are currently designing a simple framework to help local and regional businesses reduce their energy consumption and save money. Additionally, the City is a member of the Iowa Metropolitan Coalition, comprised of the 10 largest communities in Iowa. That Coalition will be used to share best practices, implement regional solutions, and address policy challenges. Dubuque's EECS encourages regional solutions to energy reduction and renewable energy issues. Dubuque is a member of the Dubuque Metropolitan Transportation Study Metropolitan Planning Organization and will utilize this forum to explore regional solutions to transportation issues in particular. Dubuque is also a member of ICLEI Local Governments for Sustainability and will utilize peer networking opportunities and technical tools provided by the organization to implement our EECS. Dubuque's Sustainable Community Coordinator is an active member of several regional and national peer networks including the Iowa Sustainability Coordiantors Network, the National Urban Sustainability Directors Network, the International Society of Sustainabililty Professionals and the International City/County Managers Association. Each of these organizations has developed networks and tools to coordinate across regions, states, and nations the work of EECBG entitlement communities. 4. Describe how your government will coordinate and share information with the state in which you are located regarding activities carried out with grant funds to maximize energy efficiency and conservation benefits (response not mandatory for Indian Tribes). Dubuque seeks to develop a system that will become the model for cities with populations under 200,000. The vast majority of cities in Iowa and the Midwest fall into this category. Communicating our process, results and best practices with our neighbors will provide a framework for other small cities to reduce their energy consumption and save money. The City of Dubuque and key implementation partners - including local utility companies, schools and universities, businesses and nonprofit organizations - will all participate in information sharing through their various networks. Leaders will contribute white papers and serve as speakers at local, regional and national conferences. Dubuque and its partners will continue to host an annual regional Growing Sustainable Communities conference, at which we can share the details of our successful EECS. The City of Dubuque has established a strong partnership with the Iowa Office of Energy Independence. We will continue our work with OEI to pursue maximization of energy efficiency, partner to provide mentorship to other small to mid -sized communities in Iowa, and provide them periodic updates on our efforts. City staff and local partners will continue to provide updates via reports and personal meetings with OEI, the Governor of Iowa and our legislators and will make ourselves available for speaking engagements and meetings to increase the collective knowledge and energy independence of communities of the State of Iowa. 5. Describe how this plan has been designed to ensure that it sustains benefits beyond the EECBG funding period. Benefits will be sustained through partnerships, permanence and profitability. Partnerships - Dubuque has a history of strong public - private partnerships and community engagement. It is these partnerships that have led to the continued success of many large -scale projects. Carrying out the EECS will be no exception. A community sustainability initiative cannot be accomplished by a governmental organization alone, and strong partnerships will ensure that programs continue and benefits are sustained long -term. Permanence - Dubuque's EECS institutionalizes energy efficiency programs through a Sustainability Office, revolving loan funds that will be managed by departments with direct ties to their intended customers, and energy management systems. Energy management systems will allow building users to monitor and manage their energy use in real time. The results will be continually evaluated to track performance and program implementation, and the program modified as necessary to meet project goals and reporting requirements. Data collected will include energy savings by building type, energy cost savings, number of buildings, dollars spent and leveraged, building square footage, audits performed and jobs created. Additionally, public education and outreach will expose every resident and business owner to energy efficiency and sustainability opportunities, ensuring that sustainable choices become part of the long -term culture of Dubuque. Profitability - The revolving loans are part of a self- sustaining program that helps fund energy efficiency projects, and is paid back through utility bill savings, allowing new projects to be funded. As energy bill savings are used to pay back the initial loan, new projects are funded. In this way, the funding is used more than once, and has the effect of a much larger fund. 6. The President has made it clear that every taxpayer dollar spent on our economic recovery must be subject to unprecedented levels of transparency and accountability. Describe the auditing or monitoring procedures currently in place or that will be in place (by what date), to ensure funds are used for authorized purposes and every step is taken to prevent instances of fraud, waste, error, and abuse. The project will be managed by the city's Sustainability Office. The Office is responsible for developing and implementing sustainability programs and practices targeted at city departments, employees, the business community and the general public. The Sustainable Community Coordinator will be responsible for the plan development and implementation, and will regularly present budget and metric results to the City Manager and City Council. The City Building Department will play a critical role in completing inspections to confirm that measures were installed according to project regulations. For all projects, the Sustainable Community Coordinator will work with the internal Green Team and external partners to ensure transparency and accountability. The City has hired a Stimulus Coordinator to work with departments to ensure that all funds are spent appropriately, reports are completed in a timely fashion, and efforts to maximize funds are taken. The Stimulus Coordinator will also work with the Sustainable Community Coordinator to communicate effects of the program to the general public, utilizing tools including newsletters and the City's ARRA website. The City of Dubuque has a well - established record of compliance with the requirements of all state and federal funds received. City staff prepare and submit quarterly reports on time. Staff conduct, as needed, environmental assessments and monitor contractor compliance with Davis -Bacon wage regulations, affirmative action and equal opportunity requirements. Because of success with grant compliance, the City has received awards including the 2008 and 2007 Distinguished Budget award from the Government Finance Officers Association (GFOA), and the 2006 Certificate of Achievement for Excellence in Financial Reporting award from GFOA. The Sustainable Community Coordinator will work closely with the Finance Department and Grant Administrator to ensure accountability and transparency. Existing systems for auditing and monitoring, created for past successfully- administered grants, will be used and built upon as necessary to ensure compliance by the City, its partners, and contractors. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach@cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach ProjectTitle: Energy Efficiency and Conservation Strategy Development /Sustainable Community Coordinator Activity: 1. Energy Efficiency and Conservation Strategy If Other: Sector: Publi If Other: Proposed Number of Jobs Created: 1.00 Proposed Number of Jobs Retained: 3.00 Proposed Energy Saved and /or Renewable Energy Generated: 0 Proposed GHG Emissions Reduced (CO2 Equivalents): 0.000 Proposed Funds Leveraged: $225,000.00 Proposed EECBG Budget: 75,000.00 Projected Costs Within Budget: Administration: $75,000.00 Project Contact First Name: Cori Last Name: Burbach Revolving Loans: $0.00 Subgrants: $0.00 Email: cburbach @cityofdubuque.org Metric Activity: O ther If Other: Strategic plan advancement Project Summary: (limit summary to space provided) Introduction. The City of Dubuque has hired a Sustainable Community Coordinator (Coordinator) to develop, implement, and monitor the success of the organization's Energy Efficiency Conservation Strategy. In order to achieve the strategy, an existing community - developed Sustainability Vision, greenhouse gas inventory, and strong public - private partnerships will be utilized. Principles. In partnership with community organizations and in collaboration with expert City staff the Coordinator has developed an EECS in accordance with the following principles. The work of the Coordinator in the coming three years will be based on these principles. 1. Programs and projects will leverage diverse funding sources. 2. The strategy will design financially sustainable programs and projects. 3. The strategy will include programs and projects that have long -term impacts. 4. Programs will be designed to leverage the resources of federal, state and local government, utilities, private sector and nonprofit organizations. Scope. Dubuque has identified "Smart Energy Use" as a key principle to reaching our sustainability vision of becoming a viable, livable and equitable community that values economic prosperity, social and cultural vibrancy and environmental integrity. Goals under "Smart Energy Use" include first improving energy efficiency in order to reduce total energy use and GHG emissions, followed by expanded use of renewable energy options. Another key sustainability principle identified is "Regional Economy" in which Dubuque strives to foster a strong and diverse local economy, including building a green economy, with jobs that 1) can't be exported, 2) pay a living wage, 3) present opportunities for advancement, and 4) enhance environmental quality and human health. Dubuque's EECS is based on a long -term vision for achieving energy efficiency and fostering a regional, green economy and will guide the work of the Coordinator. The strategy identifies opportunities to minimize energy consumption and cost, reduce greenhouse gas emissions and the community's carbon footprint, increase the use of clean energy resources, and build a strong green economy, including workforce development and green job opportunities, such as energy rating, weatherization, retro- commissioning, historic preservation, and other efficiency upgrades. The EECS will include projects to address energy efficiency in residential, commercial and public sectors. Collaboration /Partners. Dubuque is widely recognized for the strong public - private partnerships that lead to successful projects. The Coordinator and other key leadership work in collaboration with local partners including universities, colleges, organizations and businesses; regional partners such as electric and gas utilities; and national partners such as IBM and the Iowa Office of Energy Independence. Goals and Milestones. Goals of the program include increased energy efficiency, reduced energy consumption and reduced energy expenses through efficiency improvements; new jobs that will spur economic growth; community development and increased community knowledge of sustainability principles. The Coordinator will utilize ICLEI's Five Milestones Methodology, and will recognize each of these as milestones for our EECS process. Please see subsequent activity sheets for specific goals and milestones. Process. The Coordinator will utilize the work of the Dubuque Sustainability Task Force. She will lead an internal Green Team comprised of technical staff and department heads responsible for maintenance of municipal buildings. She will coordinate community outreach efforts with local partners, establish a performance management and reporting system with the City Stimulus Coordinator, and participate in regular collaborations and updates of organizations across Iowa who are receiving ARRA funding. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1. pdf, " "OH- CITY - Columbus- Project Activity page 2. pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach @cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Project Title: Municipal Building RLF Program Activity: 5. Energy Efficiency Retrofits If Other: Sector: Public If Other: Proposed Number of Jobs Created: 0.25 Proposed Number of Jobs Retained: o .25 Proposed Energy Saved and /or Renewable Energy Generated: 49918 kWh Proposed GHG Emissions Reduced (CO2 Equivalents): 51.000 Proposed Funds Leveraged: $1,276,000.00 Proposed EECBG Budget: 25, 000.00 Projected Costs Within Budget: Administration: Revolving Loans: $25,000.00 Subgrants: Project Contact First Name: Cori Last Name: Burbach Email: cburbach @cityofdubuque.org Metric Activity: Loans and Grants If Other: Project Summary: (limit summary to space provided) Introduction. The following describes a program to establish a self- sustaining revolving loan fund (RLF)that will enable the financing of energy efficiency upgrades to municipal facilities. Principles 1. The program will seek to fund projects that will earn ENERGY STAR ratings. 2. The program will fund projects that have long -term effects (economically and environmentally). 3. The program will be self- sustaining beyond the EECBG funding provided. 4. The City will monitor and report impacts of EECBG programs and projects on an annual basis to residents and local, state, and federal partners. Scope. The City of Dubuque spends over $2,100,000 on energy expenses and maintenance annually. This program will establish a self- sustaining source of funds to continue current investment in energy- efficient retrofits at municipal facilities in order to work toward continuous improvement in reducing operating costs over time. The RLF model is self- sustaining, as energy efficiency savings resulting from one project are used to reinvest in another. A pre- determined portion of savings experienced as a result of audits and retrofits will be paid back to the RLF; this will ensure the self - sustainability of the fund and allow departments to realize the financial savings as well as the environmental benefits of the retrofit. Up to 50% or 10,000, whichever is lesser, of the combined audit and retrofit cost will be eligible for a low- interest loan through this program per municipal building. Eligible expenses may include: lighting retrofits (the number one use of electricity in commercial settings is lighting), Energy Star certified mechanicals improvements (HVAC), appliances, windows and doors. Retrofits will be performed according to RESNET standards. Department managers responsible for the management of municipal buildings benefiting from a revolving loan will be required to track energy savings over time using ENERGY STAR Portfolio Manager. Portfolio Manager training and oversight will be provided by the Sustainability Coordinator and Engineering Project Manager. Collaboration /Partners. The City has established a strong partnership with local electricity provider Alliant Energy and natural gas provider Black Hills Energy. The City is the municipal provider of water services. All three agencies will be engaged to take advantage of resources, expertise, and rebate programs when auditing municipal buildings and implementing improvements. Where appropriate, local engineers, architects and contractors with expertise in energy efficiency will also be engaged in the retrofit process. Goals. Goals include realized financial savings within City operations, and therefore efficient use of taxpayer dollars; achieving a goal of 15% energy savings within retrofitted buildings; and indirect job creation through the employment of local engineers and contractors. A minimum of three municipal facilities will be granted loans during the three -year period of the grant. These revolving loan funds will leverage separate EECBG funds designated as grants for building audits. Milestones will include identifying and training contractors and city staff, developing a loan application and award process, and tracking actual savings (through Energy Star Portfolio Manager, or similar program). Process. The RLF will be managed by the City Building Services and Sustainability Offices. An application process will be developed and grants will be disbursed on a rolling basis, as funds are available. Metrics measured include the monetary value of financial incentives provide and the total value of investments incentivized, and the actual GHG reductions realized. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1. pdf, " "OH- CITY - Columbus- Project Activity page 2. pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach@cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Project Title: Commercial Building RLF Program Activity: 4. Financial Incentive Program If Other: Sector: Public If Other: Proposed Number of Jobs Created: 2.00 Proposed Number of Jobs Retained: 2.00 Proposed Energy Saved and /or Renewable Energy Generated: 784,111 kWh Proposed GHG Emissions Reduced (CO2 Equivalents): 801.000 Proposed Funds Leveraged: $1,000,000.00 Proposed EECBG Budget: 200, 000.00 Projected Costs Within Budget: Administration: Revolving Loans: $200, 000.00 Subgrants: Project Contact First Name: Cori Metric Activity: Loans and Grants Last Name: Burbach Email: cburbach @cityofdubuque.org If Other: Project Summary: (limit summary to space provided) Introduction. The following describes a program to establish a self- sustaining revolving loan fund (RLF)that will provides incentives to commercial property owners and small business tenants to implement energy efficiency upgrades to their facilities and operating practices. Principles 1. The program will seek to fund commercial projects that will earn ENERGY STAR ratings. 2. The program will seek to maximize regional cooperation and benefits. 3. The program will be self- sustaining beyond the EECBG funding provided. 4. The City will monitor and report impacts of EECBG programs and projects on an annual basis to residents and local, state, and federal partners. Scope. This RLF will leverage public resources with private investments to create incentives for energy efficiency upgrades in the commercial sector. The RLF model is self- sustaining, as energy efficiency savings resulting from one project are used to reinvest in another. The repayment schedule may be set lower than anticipated savings from retrofitting measures, so that owners realize the financial savings as well as the environmental benefits of the retrofit while funds continue to be funneled back into the RLF. In Dubuque, statistics show that the average small business retrofit costs approximately $30,000. A 20% or $10,000 matching grant, whichever is less, will be made available through a low- interest revolving loan fund. Retrofits will be performed according to ENERGY STAR standards. Businesses receiving a loan will be required to show proof of a completed energy audit and track energy savings over time using ENERGY STAR Portfolio Manager, or similar. Priority funding will be given to properties located in the greater downtown district. Eligible expenses may include: lighting retrofits, Energy Star certified mechanicals (HVAC), appliances, windows and doors. This project will create both direct and indirect jobs including energy raters, contractors, specialization and loan administration. Collaboration /Partners. The City currently operates a highly successful RLF to address community blight. Collaboration with internal and external economic and community development staff will ensure EECBG funds are similarly managed and leveraged. The City will develop programs for advertising and dispersing these loans with local organizations such as Dubuque Main Street, Greater Dubuque Development Corporation, the Dubuque Area Chamber of Commerce . The funds provided by this grant will be leveraged by low interest loans from the SBA or local financial institutions that support energy efficiency, as well as private investment dollars, local utility provider rebates, and tax credits. Goals. Goals include providing loans to 40 local businesses, realizing the benefits of a strong local economy, including financial savings (based on 30% energy savings) and job creation as demand for energy efficiency upgrades increases. Objectives include enabling long -term economic prosperity as operating costs are reduced, and fostering a green economy through job creation. Milestones will include training contractors and employees, developing an application process for the loans, accepting the first round of loan recipients and tracking savings (through Energy Star Portfolio Manager, or similar). Process. The RLF will be a City program promoted by local business and economic development partners. An application process will be developed and grants will be disbursed on a rolling basis, managed by the Economic Development and Sustainability Offices. Businesses will be required to submit reports of energy savings, and opportunities for leveraged funds will be tracked and publicized. Community -wide energy and financial savings associated with GHG reduction and job creation will also be reported. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH-CITY-Columbus- Project Activity page 1.pdf," "OH- CITY - Columbus - Project Activity page 2.pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Project Title: Energy Efficiency Retrofit Grants to Property Owners Program Contact Email: cburbach@cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Activity: 4 • Financial Incentive Program If Other: Sector: Residenti If Other: Proposed Number of Jobs Created: o . 25 Proposed Number of Jobs Retained: 0. Proposed Energy Saved and /or Renewable Energy Generated: 98, 014 kWh Proposed GHG Emissions Reduced (CO2 Equivalents): 100.000 Proposed Funds Leveraged: $100, 000.00 Proposed EECBG Budget: 25, 000.00 Projected Costs Within Budget: Administration: Revolving Loans: Subgrants: $25,000.00 Project Contact First Name: Cori Metric Activity: Building Retrofits Project Summary: (limit summary to space provided) Last Name: Burbach Email: cburbach ®cityofdubuque.org If Other: Introduction. The following describes Dubuque's approach to developing a program to provide funding in the form of grants to homeowners and landlords to help them implement energy saving projects that reduce energy - related greenhouse gases (GHGs)emitted by the residence. Principles 1. The program will seek to fund projects that will yield desirable energy efficiency gains and financial savings for residents. 2. The program will seek to leverage regional cooperation and benefits (such as working with Operation New View, the local Community Action Agency). 3. The City will monitor and report impacts of EECBG programs and projects on an annual basis to residents and local, state, and federal partners. Scope. The program is designed to help achieve significant energy efficiency gains by Dubuque residents and landlords. By financing the sometimes prohibitive up -front costs of efficiency upgrades to residential properties, the program will incentivize the first step toward energy efficiency. The average up -front cost to weatherize and complete efficiency upgrades in a Dubuque home is estimated to be $6,000. Local utility companies currently provide a non - RESENT certified home audit to homeowners at no cost. This grant program will provide up to $500 in direct cash incentives for efficiency upgrades once an utility or RESNET audit have been completed. Eligible expenses may include items such as insulation, HVAC replacement, efficient windows and doors, and water leak fixes. As there is often little incentive for landlords to make energy efficiency improvements while renters pay utility costs, targeted outreach will be conducted towards the Dubuque Landlord Association. The City will partner with other organizations and provide information to residents regarding other financial incentives, including public and private rebates, loans and tax credits, such as those available through the ENERGY STAR program. This fund will leverage the work being done with Weatherization Assistance Program grants and other low- income energy assistance programs. Collaboration /Partners. This program will leverage energy efficiency gains that result from use of the Federal Weatherization Assistance Program funds, administered by Operation New View. This program will also build off of the established partnerships with local utility providers Alliant Energy and Black Hills Energy and IBM. Auditors and contractors trained through partner East Central Intergovernmental Agency's Green Jobs ARRA funding will also be utilized. Goals, Objectives and Milestones. Goals of the program include significant energy savings in the residential sector and creation of jobs as demand for energy efficiency upgrades increases. Objectives include long -term economic prosperity, as homeowners spend less each month on utilities and fostering a green economy through job creation. Milestones will include training contractors and auditors, identifying homes, conducting audits and upgrades, and tracking savings. Process. The Sustainable Community Coordinator and Housing Department will collaborate with local non - profits, utility providers, and neighborhood associations to develop an application process, advertise opportunity, and disperse funds. Energy and water retrofits will be contracted to local professionals. Homeowners will be required to submit proof of expenses and requested to share energy saving data in order to track community impact. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1.pdf, " "OH- CITY - Columbus- Project Activity page 2.pdf," and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach @cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Project Title: Grants for Commercial and Residential Energy Audits Activity: 3. Residential and Commercial Buildings and Audits If Other: Sector: Othe If Other: Commercial and Residential Proposed Number of Jobs Created: 0.25 Proposed Number of Jobs Retained: 0 .25 Proposed Energy Saved and /or Renewable Energy Generated: 1,261,443 kWh Proposed GHG Emissions Reduced (CO2 Equivalents): 1,288.000 Proposed Funds Leveraged: $55,000.00 Proposed EECBG Budget: 25, 000.00 Projected Costs Within Budget: Administration: Revolving Loans: Subgrants: $25,000.00 Project Contact First Name: Cori Last Name: Burbach Email: Metric Activity: Building Retrofits If Other: cburbach@cityofdubuque.org Project Summary: (limit summary to space provided) Introduction. The following describes Dubuque's approach to developing a program to help fund energy audits for commercial and residential property owners, including landlords, who have little incentive to invest in energy audits or efficiency technology. Principles 1. The program will seek to fund projects that will increase citizen knowledge and yield maximum energy efficiency gains and financial savings. 2. The program will seek to maximize impact by developing local partnerships. 3. The City will monitor and report impacts of EECBG programs and projects on an annual basis to residents and local, state, and federal partners. 4. Local government will identify funding streams that will sustain this grant program beyond the EECBG funding period. Scope. The program is designed to help achieve a long -term vision for achieving energy efficiency in Dubuque. By helping to cover the "soft cost" of an energy audit for commercial and residential properties, the program will help educate and incentivize the first step toward energy efficiency. The average cost of a RESNET- certified energy audit for a small business is $1200 and $800 for a residential property. Through current programs, funds are available to cover the cost of energy audits for low income property owners but commercial property owners and landlords or home owners above the income cap currently receive little to no financial incentive for energy audits. A basic energy audit is currently available to homeowners through local utility providers. 50% matching grants for homeowners and 25% matching grants for business owners will be provided with this funding. As water usage is considered a key energy -using activity in a home and community, home water audits will also be eligible for funding through this program. This grant program will leverage several new and existing programs. Locally, a loan program to implement the retrofits identified in the residential energy audit will be established through a portion of the City's EECBG allocation. Eligible expenses will include items such as insulation, HVAC replacement, and efficient windows and doors. A commercial building revolving loan fund program will make energy upgrades cost - effective for local businesses. Collaboration /Partners. Current efforts to provide energy audits to low- income residents represent opportunities for partnership exist and will be built upon. Partners in this successful program will include Dubuque 2.0, a non - profit engaging the community in a sustainability conversation, Operation New View, local utility providers and RESNET auditors, local contractors, financial institutions, and neighborhood and business associations. Goals, Objectives and Milestones. Goals of the program include significant energy savings in the commercial and residential sectors, and creation of jobs as demand for energy audits and upgrades increases. Objectives include long -term economic prosperity, as businesses and homeowners spend less each month on utilities and fostering a green economy through job creation. Milestones will include training energy auditors, outreach to homes and businesses, completion of energy and water audits and community impact measurement. Process. City Housing and Economic Development Departments will assist in managing the residential and business programs, respectively. Energy audits will be contracted to local energy raters. Metrics to be reported include number and monetary value of grants given, as well as the number audits performed, floor space audited and projection of savings, each by sector. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1. pdf, " "OH- CITY - Columbus- Project Activity page 2. pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: DUNS #: 93105302 Program Contact Email: cburbach@cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Project Title: Grants for Muncipal Energy Audits Activity: 6. Buildings and Facilities If Other: Sector: Other If Other: Commercial and Residential Proposed Number of Jobs Created: 0 Proposed Number of Jobs Retained: 0.25 Proposed Energy Saved and /or Renewable Energy Generated: Proposed GHG Emissions Reduced (CO2 Equivalents): 0.000 Proposed Funds Leveraged: $0.00 Proposed EECBG Budget: 25, 000.00 Projected Costs Within Budget: Administration: Revolving Loans: Subgrants: Project Contact First Name: Cori Last Name: Burbach Email: Metric Activity: Building Retrofits If Other: cburbach@cityofdubuque.org Project Summary: (limit summary to space provided) Introduction. The following describes Dubuque's approach to developing a program to fund energy audits for municipal buildings. Many municipal facilities, including several historic buildings, are in need of comprehensive energy audits and retrofits. Principles 1. The program will seek to fund projects that will yield maximum energy efficiency gains and financial savings. 2. The program will seek to maximize impact by developing local partnerships. 3. The City will monitor and report impacts of EECBG programs and projects on an annual basis to residents and local, state, and federal partners. 4. Local government will identify funding streams that will sustain this grant program beyond the EECBG funding period. Scope. The program is designed to achieve a long -term vision for achieving energy efficiency in Dubuque's municipal buildings and establish the City as a leader in energy efficiency and renewable energy exploration. Buildings include a variety of office, garage, community gathering space, and utility treatment and recreational facilities. By providing funding for energy audits, facility managers will be able to make smarter choices about the use of existing, regularly- budgeted maintenance funds. Eligible expenses will include items such as insulation, HVAC replacement, and efficient windows and doors. The Sustainable Community Coordinator will coordinate with the City's Green Team and Building Services and Engineering Departments to prioritize improvements and analyze opportunities for improvements in operating procedures. Collaboration /Partners. Opportunities for partnership include local utility providers, contractors, and architects. Collaboration by all City departments via the City Green Team will be integral to the success of the program. Goals, Objectives and Milestones. Goals of the program include significant energy savings in muncipal buildings, creation of jobs as demand for energy audits and upgrades increases. Objectives include long -term economic prosperity, as businesses and homeowners spend less each month on utilities and fostering a green economy through job creation. Milestones will include identifying or training energy auditors,performing audits and tracking savings. Process. The Sustainable Community Coordinator will work with the City Green Team, an internal work team established to explore and address sustainability policies, procedures, and projects, to identify priority buildings that will be audited. Energy audits will be contracted to local energy raters. The Coordinator will provide opportunities for building managers and department heads to participate in the audit process and establish systems (ENERGY STAR Portfolio Manager or other similar software) to ensure that building performance continues to be measured. Metrics to be reported include number and monetary value of grants given, as well as the number audits performed, floor space audited and projection of savings. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1.pdf," "OH- CITY - Columbus- Project Activity page 2.pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach ®cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Project Title: Sustainability Education and Training Development Activity: 14. Other If Other: Sustainability Ed. and Outreach Sector: All Sectors If Other: Proposed Number of Jobs Created: 0.5o Proposed Number of Jobs Retained: 4.00 Proposed Energy Saved and /or Renewable Energy Generated: 0 Proposed GHG Emissions Reduced (CO2 Equivalents): 0.000 Proposed Funds Leveraged: $300,000.00 Proposed EECBG Budget: 50, 000.00 Projected Costs Within Budget: Administration: Revolving Loans: Subgrants: Project Contact First Name: Cori Last Name: Burbach Email: cburbach®cityofdubuque.org Metric Activity: Workshops, Training, and Education If Other: Project Summary: (limit summary to space provided) Introduction. The following describes Dubuque's approach to implementing training and educational opportunities that will foster sustainable behavior by community residents and business owners. Principles 1. The program will seek to maximize regional collaboration and benefits. 2. The program will seek to create broad reaching effects. 3. Projects shall encourage partnerships between public and private sector groups, and develop collaboration and community involvement in energy efficiency efforts. Scope. Education and training are key components of economic recovery and building the foundation for a sustainable community. Dubuque's Sustainability Education and Training program will focus on creating jobs and building capacity among technical trades and increasing community knowledge of energy efficiency techniques, as well as financial and technical resources available. Projects will include large scale, regional events, such as the Growing Sustainable Communities Conference, that reach a mass audience. The annual conference will include a nationally recognized keynote speaker, and emphasize energy efficiency in the built environment and infrastructure and regional buyer - suppler systems. Topics may include historic preservation, environmentally sensitive deconstruction, energy rater certification, tax credits and rebates, ENERGY STAR certification for buildings, landfill diversion and renewable energy options. The conference will target regional business and government leaders. Additional outreach efforts will include print materials, public access television, collaboration with K -12 schools and colleges, and education provided via social networking and other innovative media. This program will be leveraged with funds from Iowa's newly created Community Grant Program for Energy Efficient Projects, which supports "projects for the development of a low -cost energy efficiency public awareness campaign, highlighting strategies and success stories," and local private and non - profit contributions and efforts. Collaboration /Partners. Each of the projects described above depend on multi- sector stakeholder collaboration for success. Public outreach and job training programs will include regional partners such as private companies; colleges and universities; local, regional and state government programs; and private sector partnerships. A community sustainability initiative lead by the Community Foundation of Greater Dubuque and the Dubuque Area Chamber of Commerce, Dubuque 2.0 will be a key partner in achieving a comprehensive sustainability education and engagement campaign. Goals, Objectives and Milestones. Targeted goals will help achieve the greater goal of community awareness regarding energy efficiency and sustainability. Objectives include fostering greater awareness of energy efficient technology and processes; fostering sustainable behavior and choices; and building a strong local economy through green jobs and an empowered workforce. Milestones will include number of training opportunities offered, education pieces produced, and number of sustainability- centered initiatives and programs created or expanded by community organizations. Process. Curricula and other outreach will be developed by a committee of multi- sector stakeholders. The City will partner with Dubuque 2.0 to conduct community engagement. Programs will be designed to be financially self- sustaining, as tuition /admission fees will support future programs. In addition funding from outside sources will be sought to supplement and grow these training opportunities. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1. pdf, " "OH- CITY - Columbus- Project Activity page 2. pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach @cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach Project Title: Smart City Implementation Activity: 2. Technical Consultant Services If Other: Sector: All Sectors If Other: Proposed Number of Jobs Created: 1.00 Proposed Number of Jobs Retained: 1.00 Proposed Energy Saved and /or Renewable Energy Generated: 2,622,822 kWh Proposed GHG Emissions Reduced (CO2 Equivalents): 2,679.000 Proposed Funds Leveraged: $13,700,000.00 Proposed EECBG Budget: 100, 000.00 Projected Costs Within Budget: Administration: $100,000.00 Revolving Loans: Subgrants: Project Contact First Name: David Last Name: Lyons Email: dlyons @cityofdubuque.org MetricActivity: Technical Assistance If Other: ID of Efficient Technology Project Summary: (limit summary to space provided) Introduction. The following describes a program to implement energy efficiency through the fastest, most economical strategies in order to address climate and security concerns while providing a means for economic competitiveness for the U.S. economy. Principles 1. The program will encourage partnerships between public and private sector groups, and develop collaboration and community involvement in energy efficiency efforts. 2. The program will seek to maximize efficiency through "whole system design" of energy infrastructure. 3. The program will have long -term impacts, save energy and money, and create jobs. 4. The program will create a replicable model for communities with populations under 200,000. Scope. The Smart Cities Project will work to maximize efficient energy use in all sectors through energy consumption analysis, energy efficiency opportunity analysis, energy management programs and behavior change. This program will address integrated infrastructure and "whole system design" including optimization of both new and old infrastructure. Each of the following steps represents a partnership between IBM and the City of Dubuque. Phase I will measure baseline energy consumption and GHG emissions, followed by determining metrics, over a period of six months. Phase II will be completed over 18 months and will include demonstrating proof of concept systems for ideas such as: sustainability measuring and modeling, smart energy metering pilot tests, an integrated "smart parking" pilot program, and a local "sustainability credit trade program." Phase III, long, will include rolling out effective pilot tests in large scale applications. All data that will be generated in the various pilot tests will be made available to the larger academic research community for experimentation and analysis. Collaboration /Partners. The City of Dubuque, IBM, Alliant Energy, Black Hills Energy, and Dubuque 2.0 are key partners to this program. During Phase I, partners needed for the subsequent phases will be identified and engaged. Partners will include the Regional Transit Authority and local private firms. Goals, Objectives and Milestones. Goals include local green job creation; measurable energy savings across all sectors; and measurable greenhouse gas emissions reductions. Objectives include creating a model for energy efficiency that can be replicated worldwide. Milestones will include reporting on metrics such as number of jobs created and any other pertinent metric information collected through pilot studies, such as energy use and GHG reductions resulting from smart metering. Process. Smart City Project Manager and Sustainable Community Coordinator will work directly with City staff, utility providers, IBM, and other partners to install smart meter technology in pilot households. IBM researchers will provide data analysis, and partners will collaborate to implement resident and community dashboards to track energy consumption first in the areas of water, electricity, natural gas, and vehicle miles traveled, and then expanding to other areas. Data will be provided and outreach will be conducted by Dubuque 2.0 to assist homeowners in making smarter decisions regarding energy consumption. Conclusions will be derived regarding best practices to incent and change human behavior. This model will be replicated in communities across the country with populations below 200,000. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1. pdf, " "OH- CITY - Columbus- Project Activity page 2. pdf, " and continue as needed. EECBG Activity Worksheet Grantee: City of Dubuque, Iowa Date: 01/18/2010 DUNS #: 93105302 Program Contact Email: cburbach@cityofdubuque.org Program Contact First Name: Cori Last Name: Burbach ProjectTitle: Efficient Transportation Programs Activity: 7 • Transportation If Other: Sector: Al Sector If Other: Proposed Number of Jobs Created: 1.0 Proposed Number of Jobs Retained: 1.00 Proposed Energy Saved and /or Renewable Energy Generated: Proposed GHG Emissions Reduced (CO2 Equivalents): o. 000 Proposed Funds Leveraged: $449,000.00 Proposed EECBG Budget: 49,700.00 Projected Costs Within Budget: Administration: Revolving Loans: Subgrants: Project Contact First Name: Cori Last Name: Burbach Email: cburbach @cityofdubuque.org Metric Activity: Transportation Project Summary: (limit summary to space provided) This activity includes development of programs to reduce energy consumption associated with mobility and transportation. If Other: Principles - 1. The program will seek to fund projects that yield the greatest reduction in transportation - related emissions. 2. The program will fund projects that have long -term effects. 3. The program will seek to maximize regional collaboration and benefits. Scope. The City of Dubuque's Sustainability Vision includes 11 principles. One of the 11, the "Clean Air" principle aims to reduce greenhouse gas emissions. The recommendations contained in the "Reasonable Mobility" principle include providing a variety of transportation options for the community. Currently, transportation - related emissions account for a significant portion of Dubuque's greenhouse gas emissions, and represent opportunity for reduction through various methods. A portion of the Smart City partnership with IBM will reduce vehicle miles traveled, and therefore reduced GHG emissions, by encouraging mobility options such as public transit, walking, biking, carpooling, or by combining trips. GPS devices and other technology will also assist in better measuring VMTs and identifying solutions to reduce the vehicle's impact on the environment. Challenges faced by Dubuque with this option include the steep terrain of bluffs near the Mississippi River, a transit system with limited routes and hours of operation, and a local culture that values or requires the freedom of car ownership. Solutions will address these challenges through projects such as working to make the roads safer for bicyclists and pedestrians through awareness campaigns and bicycle markings on roadways, as well as working to make public transit options more accessible and convenient for citizens of all ages. Additionally, this program will work to make the essential trips - those that cannot be eliminated - more efficient through programs such as traffic signal synchronization and technology that allows drivers to avoid heavy traffic via and find parking quickly using their mobile devices. Solutions will be designed with the greater Dubuque metropolitan area, including the tri -state Iowa - Illinois - Wisconsin area, in mind. Collaboration /Partners. Consultant and partner organizations will be engaged to help design solutions that will reduce Dubuque's transportation - related emissions. The City has a history of successful partnership with the organization Dubuque Metropolitan Area Transportation Study (DMATS) and the Regional Transit Authority and will continue to develop transit solutions that work regionally. These organizations, as well as local schools, institutions and major employers will be engaged as partners. Goals. Goals include achieving transportation related greenhouse gas emissions reductions by reducing total vehicle miles traveled within the Dubuque metropolitan area. Other goals include increased safety and driver awareness of bikes and pedestrians, increased public transit ridership, and reduced traffic congestion. Process. This program will be led by the City of Dubuque and a contracted consultant. Relevant stakeholders will be engaged for input and partnership. Recommendations of the DMATS Long Range Transportation Plan will be implemented by the City and RTA. Metrics to be reported include number of street -lane miles for which synchronized traffic signals were installed, number of new carpools and vanpools formed, decrease in vehicle miles traveled, and increase in transit ridership. If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY - Columbus- Project Activity page 1.pdf," "OH- CITY - Columbus- Project Activity page 2.pdf," and continue as needed. Grant Program Function or Activity (a) Catalog of Federal Domestic Assistance Number (b) Estimated Unob igated Funds New or Revised Budget Federal (c) Non - Federal (d) Federal (e) Non - Federal (f) Total (g) 1. EECS Devt/Sust. Coordinator 81.128 $60,850 b. Fringe Benefits $75,000 $75,000 2. Municipal Buiding RLF 81.128 c. Travel $5,631 $25,000 $25,000 3. Commercial Bldg RLF 81.128 $200,000 $200,000 4 EE Retrofit Grants to Property Owners 81.128 $25,000 $0 $25,000 5. Totals $0 $0 $325,000 $0 $325,000 6. Object Class Categories Grant Program, Function or Activity Total (5) EECS Devt/Sust. Coordinator Municipal Buiding RLF Commercial Bldg RLF EE Retrofit Grants to Property Owners a. Personnel $60,850 $60,850 b. Fringe Benefits $8,519 $8,519 c. Travel $5,631 $5,631 d. Equipment $0 e. Supplies $0 f. Contractual $0 g. Construction $25,000 $200,000 $25,000 $250,000 h. Other $0 i. Total Direct Charges (sum of 6a -6h) $75,000 $25,000 $200,000 $25,000 $325,000 j. Indirect Charges $0 k. Totals (sum of 6i-6j) $75,000 $25,000 $200,000 $25,000 $325,000 Section A - Budget Summa S ection B - Budget Categories 7. Program Income Applicant Name: City of Dubuque Previous Edition Usable Award Number: DE- SC0002422 Budget Information - Non Construction Programs Page 1 of 5 OMB Approval N9. 0348 $0 SF -424A (Rev. 4 -92) Prescribed by OMB Circular A -102 (a) Grant Program (b) Applicant (c) State (d) Other Sources (e) Totals 8. 13. Federal $0 $0 9. 17. 14. Non - Federal $0 $0 10. 18. 15. Total (sum of lines 13 and 14) $0 11. $0 $0 $0 $0 12. Total (sum of lines 8 -11) $0 $0 $0 $0 (a) Grant Program Total for 1st Year 1st Quarter 2nd Quarter 3rd Quarter 4th quarter 13. Federal $0 17. 14. Non - Federal $0 18. 15. Total (sum of lines 13 and 14) $0 $0 $0 $0 $0 (a) Grant Program Future Funding Periods (Years) (b) First (c) Second (d) Third (e) Fourth 16. 17. 18. 19. 20. Total (sum of lines 16 -19) $0 $0 $0 $0 Section C - Non - Federal Resources Section D - Forecasted Cash Needs Section E - Budget Estimates of Federal Funds Needed for Balance of the Project Section F - Other Budget Information 21. Direct Charges 23. Remarks This is 1 of 3 worksheets. Previous Edition Usable Authorized for Local Reproduction 22. Indirect Charges Page 2 of 5 SF -424A (Rev. 4 -92) Prescribed by OMB Circular A -102 General Instructions This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A, B, C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the later case, Sections A, B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a -k of Section B. Section A. Budget Summary Lines 1-4 Columns (a) and (b) For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the catalog program title and the catalog number in Column (b). For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the catalog program title on each line in Column (a) and the respective catalog number on each line in Column (b). For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should provide the summary totals by programs. Lines 1-4, Columns (c) through (g) For new applications, leave Columns (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year). Previous Edition Usable Authorized for Local Reproduction Instructions for the SF -424A Public Reporting Burden for this collection of information is estimated to average 3.0 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Please do not return your completed form to the Office of Management and Budget; send it to the address provided by the sponsoring agency. Authorized for Local Reproduction For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f). For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non - Federal funds. In Column (g) enter the new total budgeted amount (Federal and non - Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f). Line 5 —Show the totals for all columns used. Section B. Budget Categories In the column headings (a) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non - Federal) by object class categories. Lines 6a -i —Show the totals of Lines 6a to 6h in each column. Line 6j —Show the amount of indirect cost. Line 6k —Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants the total amount in column (5), Line 6k, should be the same as the total amount shown in Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1) -(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5. Line 7 —Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount. Show under the program narrative statement the nature and source of income. The estimated Page 3 apount of program income may be considered by the federal grantor agency in ae ermining the total amount of the grant. SF -424A (Rev. 4 -92 Prescribed by OMB Circular A -102 Section C. Non - Federal Resources Lines 8 -11 —Enter amounts of non - Federal resources that will be used on the grant. If in -kind contributions are included, provide a brief explanation on a separate sheet. Column (a) —Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary. Column (b) —Enter the contribution to be made by the applicant. Column (c) —Enter the amount of the State's cash and in -kind contribution if the applicant is not a State or State agency. Applicants which are a State or State agencies should leave this column blank. Column (d) —Enter the amount of cash and in -kind contributions to be made from all other sources. Column (e) —Enter totals of Columns (b), (c), and (d). Line 12 —Enter the total for each of Columns (b) -(e). The amount in Column (e) should be equal to the amount on Line 5, Column (f) Section A. Section D. Forecasted Cash Needs Line 13 —Enter the amount of cash needed by quarter from the grantor agency during the first year. Line 14 —Enter the amount of cash from all other sources needed by quarter during the first year. Line 15 —Enter the totals of amounts on Lines 13 and 14. Page 4 of 5 Section E. Budget Estimates of Federal Funds Needed for Balance of the Project Lines 16 -19 —Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants. If more than four lines are needed to list the program titles, submit additional schedules as necessary. Line 20 —Enter the total for each of the Columns (b) -(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line. Section F. Other Budget Information Line 21 —Use this space to explain amounts for individual direct object -class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency. Line 22 —Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Line 23— Provide any other explanations or comments deemed necessary. SF -424A (Rev. 4 -92 Previous Edition Usable Authorized for Local Reproduction Prescribed by OMB Circular A -102 Grant Program Function or Activity (a) Catalog of Federal Domestic Assistance Number (b) Estimated Unob igated Funds New or Revised Budget Federal (c) Non - Federal (d) Federal (e)_ Non - Federal (f)_ Total (q) 1 Commercial & Residential Energy Audits 81.128 $0 b. Fringe Benefits $25,000 $25,000 2, Municipal Energy Audits 81.128 c. Travel $25,000 $25,000 3 Sustainability Education and Traininn nevalnnmant 81.128 $50,000 $50,000 4. Dubuque Smart City Project 81.128 $10,000 $100,000 $10,000 $100,000 5. Totals $0 $0 $200,000 $0 $200,000 6. Object Class Categories Grant Program, Function or Activity Total (5) Program, Function or Acti% Municipal Energy Audits Sustainability ty Education and Traininn flouclnnmcnt Dubuque Smart City Project a. Personnel $0 b. Fringe Benefits $0 c. Travel $0 d. Equipment $0 e. Supplies $10,000 $10,000 f. Contractual $100,000 $100,000 g. Construction $0 h. Other $25,000 25000 $40,000 $90,000 i. Total Direct Charges (sum of 6a -6h) $25,000 $25,000 $25,000 $50,000 $125,000 j. Indirect Charges $0 k. Totals (sum of 6i-6j) $25,000 $25,000 $25,000 $0 $125,000 ection B - Budget Categories Section A - Budget Summa 7. Program Income Applicant Name: City of Dubuque Previous Edition Usable Award Number: Budget Information - Non Construction Programs Page 1 of 4 Authorized for Local Reproduction OMB Approval No. 0348 -0044 $0 SF -424A (Rev. 4 -92) Prescribed by OMB Circular A -102 (a) Grant Program (b) Applicant (c) State (d) Other Sources (e) Totals 8. Energy Audit Grants - Business and Residential 13. Federal $0 $0 9. Sustainability Education and Training Development 17. $100,000 $200,000 $300,000 10. Dubuque Smart City Project 18. $500,000 $500,000 $1,000,000 11. Transport Programs $0 $0 $0 $0 12. Total (sum of lines 8 - 11) $0 $600,000 $700,000 $1,300,000 (a) Grant Program Total for 1st Year 1st Quarter 2nd Quarter 3rd Quarter 4th quarter 13. Federal $0 17. 14. Non - Federal $0 18. 15. Total (sum of lines 13 and 14) $0 $0 $0 $0 $0 (a) Grant Program Future Funding Periods (Years) (b) First (c) Second (d) Third (e) Fourth 16. 17. 18. 19. 20. Total (sum of lines 16 -19) $0 $0 $0 $0 Section C - Non - Federal Resources Section D - Forecasted Cash Needs Section E - Budget Estimates of Federal Funds Needed for Balance of the Project Section F - Other Budget Information 21. Direct Charges 23. Remarks This is 2 of 3 worksheets. Previous Edition Usable 22. Indirect Charges Page 2 of 4 Authorized for Local Reproduction SF -424A (Rev. 4 -92) Prescribed by OMB Circular A -102 Instructions for the SF -424A Public Reporting Burden for this collection of information is estimated to average 3.0 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Please do not retum your completed form to the Office of Management and Budget; send it to the address provided by the sponsoring agency. General Instructions This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A, B, C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the later case, Sections A, B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a -k of Section B. Section A. Budget Summary Lines 1-4 Columns (a) and (b) For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the catalog program title and the catalog number in Column (b). For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the catalog program title on each line in Column (a) and the respective catalog number on each line in Column (b). For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should provide the summary totals by programs. Lines 1-4, Columns (c) through (g) For new applications, leave Columns (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year). Previous Edition Usable For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f). For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non - Federal funds. In Column (g) enter the new total budgeted amount (Federal and non - Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f). Line 5—Show the totals for all columns used. Section B. Budget Categories In the column headings (a) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non - Federal) by object class categories. Lines 6a -i —Show the totals of Lines 6a to 6h in each column. Line 6j —Show the amount of indirect cost. Line 6k —Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants the total amount in column (5), Line 6k, should be the same as the total amount shown in Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1) -(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5. Line 7 —Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount. Show under the program narrative statement the nature and source of income. The estimated amount of program income may be considered by the federal grantor agency in determining the total amount of the grant. Page 3 of 4 Authorized for Local Reproduction SF -424A (Rev. 4 -92 Prescribed by OMB Circular A -102 Section C. Non - Federal Resources Lines 8 -11 —Enter amounts of non - Federal resources that will be used on the grant. If in -kind contributions are included, provide a brief explanation on a separate sheet. Column (a) —Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary. Column (b) —Enter the contribution to be made by the applicant. Column (c) —Enter the amount of the State's cash and in -kind contribution if the applicant is not a State or State agency. Applicants which are a State or State agencies should leave this column blank. Column (d) —Enter the amount of cash and in -kind contributions to be made from all other sources. Column (e) —Enter totals of Columns (b), (c), and (d). Line 12 —Enter the total for each of Columns (b) -(e). The amount in Column (e) should be equal to the amount on Line 5, Column (f) Section A. Section D. Forecasted Cash Needs Line 13 —Enter the amount of cash needed by quarter from the grantor agency during the first year. Line 14 —Enter the amount of cash from all other sources needed by quarter during the first year. Line 15 —Enter the totals of amounts on Lines 13 and 14. Page 4 of 4 Previous Edition Usable Authorized for Local Reproduction Section E. Budget Estimates of Federal Funds Needed for Balance of the Project Lines 16 -19 —Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants. If more than four lines are needed to list the program titles, submit additional schedules as necessary. Line 20 —Enter the total for each of the Columns (b) -(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line. Section F. Other Budget Information Line 21 —Use this space to explain amounts for individual direct object -class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency. Line 22 —Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Line 23— Provide any other explanations or comments deemed necessary. SF -424A (Rev. 4 -92 Prescribed by OMB Circular A -102 Grant Program Function or Activity (a) Catalog of Federal Domestic Assistance Number (b) Estimated Unob igated Funds New or Revised Budget Federal (c) Non - Federal (d) Federal (e) Non - Federal (f) Total (q) 1. Efficient Transportation Sy 81.128 $0 $49,700 $49,700 2. $0 c. Travel $0 3. $0 d. Equipment $49,700 $0 4. e. Supplies $0 5. Totals $0 $0 $49,700 $0 $49,700 6. Object Class Categories Grant Program, Function or Activity Total (5) (1) (2) (3) (4) a. Personnel $0 b. Fringe Benefits $0 c. Travel $0 d. Equipment $49,700 $49,700 e. Supplies $0 f. Contractual $0 g. Construction $0 h. Other $0 i. Total Direct Charges (sum of 6a -6h) $49,700 $0 $0 $0 $49,700 j. Indirect Charges $0 k. Totals (sum of 6i -6j) $49,700 $0 $0 $0 $49,700 Section A - Budget Summa ection B - Budget Categories 7. Program Income Applicant Name: City of Dubuque Previous Edition Usable Award Number: DE- SC0002422 Budget Information - Non Construction Programs Page 1 of 4 Authorized for Local Reproduction OMB Approval No. 0348 -0044 $0 SF -424A (Rev. 4 -92) Prescribed by OMB Circular A -102 (a) Grant Program (b) Applicant (c) State (d) Other Sources (e) Totals 8. 13. Federal $0 $0 9. 17. 14. Non - Federal $0 $0 10. 18. 15. Total (sum of lines 13 and 14) $0 11. $0 $0 $0 $0 12. Total (sum of lines 8 -11) $0 $0 $0 $0 (a) Grant Program Total for 1st Year 1st Quarter 2nd Quarter 3rd Quarter 4th quarter 13. Federal $0 17. 14. Non - Federal $0 18. 15. Total (sum of lines 13 and 14) $0 $0 $0 $0 $0 (a) Grant Program Future Funding Periods (Years) (b) First (c) Second (d) Third (e) Fourth 16. 17. 18. 19. 20. Total (sum of lines 16 -19) $0 $0 $0 $0 Section C - Non - Federal Resources Section D - Forecasted Cash Needs Section E - Budget Estimates of Federal Funds Needed for Balance of the Project Section F - Other Budget Information 21. Direct Charges 23. Remarks This is 3 of 3 worksheets Previous Edition Usable 22. Indirect Charges Page 2 of 4 Authorized for Local Reproduction SF -424A (Rev. 4 -92) Prescribed by OMB Circular A -102 Instructions for the SF -424A Public Reporting Burden for this collection of information is estimated to average 3.0 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Please do not return your completed form to the Office of Management and Budget; send it to the address provided by the sponsoring agency. General Instructions This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A, B, C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the later case, Sections A, B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a -k of Section B. Section A. Budget Summary Lines 1-4 Columns (a) and (b) For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the catalog program title and the catalog number in Column (b). For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the catalog program title on each line in Column (a) and the respective catalog number on each line in Column (b). For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should provide the summary totals by programs. Lines 1-4, Columns (c) through (g) For new applications, leave Columns (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year). Previous Edition Usable For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f). For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non - Federal funds. In Column (g) enter the new total budgeted amount (Federal and non - Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f). Line 5 —Show the totals for all columns used. Section B. Budget Categories In the column headings (a) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non - Federal) by object class categories. Lines 6a -i —Show the totals of Lines 6a to 6h in each column. Line 6j —Show the amount of indirect cost. Line 6k —Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants the total amount in column (5), Line 6k, should be the same as the total amount shown in Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1) -(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5. Line 7 —Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount. Show under the program narrative statement the nature and source of income. The estimated amount of program income may be considered by the federal grantor agency in determining the total amount of the grant. Page 3 of 4 Authorized for Local Reproduction SF -424A (Rev. 4 -92 Prescribed by OMB Circular A -102 Section C. Non - Federal Resources Lines 8 -11 —Enter amounts of non - Federal resources that will be used on the grant. If in -kind contributions are included, provide a brief explanation on a separate sheet. Column (a) —Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary. Column (b) —Enter the contribution to be made by the applicant. Column (c) —Enter the amount of the State's cash and in -kind contribution if the applicant is not a State or State agency. Applicants which are a State or State agencies should leave this column blank. Column (d) —Enter the amount of cash and in -kind contributions to be made from all other sources. Column (e) —Enter totals of Columns (b), (c), and (d). Line 12 —Enter the total for each of Columns (b) -(e). The amount in Column (e) should be equal to the amount on Line 5, Column (f) Section A. Section D. Forecasted Cash Needs Line 13 —Enter the amount of cash needed by quarter from the grantor agency during the first year. Line 14 —Enter the amount of cash from all other sources needed by quarter during the first year. Line 15 —Enter the totals of amounts on Lines 13 and 14. Page 4 of 4 Previous Edition Usable Authorized for Local Reproduction Section E. Budget Estimates of Federal Funds Needed for Balance of the Project Lines 16 -19 —Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants. If more than four lines are needed to list the program titles, submit additional schedules as necessary. Line 20 —Enter the total for each of the Columns (b) -(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line. Section F. Other Budget Information Line 21 —Use this space to explain amounts for individual direct object -class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency. Line 22 —Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Line 23— Provide any other explanations or comments deemed necessary. SF -424A (Rev. 4 -92 Prescribed by OMB Circular A -102 Other Will provide 50% match for residential and 25% match for commercial property audits, estimated at $800 and $1200, respectively; estimated to fund 30- 40 RESNET certified audits each $60,850 0 Fringe year $12,500 $12,500 Personnel 1 FTE to coordinate all aspects of EECBG programs $60,850 0 Fringe .14 of personnel costs $8,519 0 Travel Professional development and travel to meetings to coordinate with regional and state partners $5,631 0 Construction Will fund $10,000 or 20 %, whichever is less, of eligible building energy retrofits; expected to cover 15 -20 buildings per year at average retrofit cost of $30,000 /building $100,000 $100,000 City of Dubuque, Iowa Formula EECBG Budget Justification 424A Cateclory Detail /Justification Costs based on current salary. Municipal Building RLF Program 424A Category Detail /Justification Commercial Building RLF Program 424A Categ Detail /Justification Residential Energy Efficient Retrofit Grants 424A Category DetaiUJustification Grants for Commercial and Residential Building Audits DE -SC- 0002422 Sustainable Community Coordinator /EECS Development 2010 Cost $75,000 2010 Cost 424A Category Detail/Justification 2 $12,500 2011 C 2010 Cost 2011 Cost Construction TOTAL Will fund $10,000 or 50 %, whichever is less, of eligible building energy retrofits $12,500 $12,500 $12,500 $12,500 $25,0001 Cost based on recent contracts managed by Engineering Department on similar projects. 20 11 I U I AL $100,000 $100,000 $200,000 Cost of average retrofit based on data provided by local contractors and Engineering Department. 2010 Cost 2011 Cost 0 Construction TOTAL Will provide up to $500 in direct funding for energy efficient upgrades; expected to fund 25 properties each year $12,500 $12,500 $12,500 $12,500 $25,0001 Cost of average retrofit based on data provided by local contractors and Engineering Department. $12,500 $75,000 $25,000 I Other Will fund part of cost of hosting annual Growing Sustainable Communities conference $15,000 $15,000 Other Will fund part of Dubuque 2.0 community education and engagement campaign $5,000 $5,000 Supplies Will fund materials and resources associated with education and training $5,000 $5,000 Cost of average audit based on data provided by local contractors and auditors. Sustainability Education and Training Development 424A Catepory Detail /Justification 2010 Cost 2011 Cost TOTAL $25,000 $25,000 $50,000 Costs based on actual cost of Conference & supplies in 2 previous years. Dubuque 2.0 cos s based on actual 2010 -2011 budget & vendor estimates. Grants for Municipal Energy Audits 424A Category Detail /Justification Smarter Cities Implementation 424A Category Detail /Justification Fee for services included in current contract with consultant IBM. Efficient Transportation Systems 424A Category Detail /Justification Costs based on vendor quotes for GPS units & traffic signal upgrades. 2010 Cost 2011 Cost Grant funds TOTAL Will fund cost of municipal energy audits $12,500 $12,500 $12,500 $12,500 $25,000 I Cost of average audit based on data provided by local contractors and auditors. 2010 Cost 2011 Cost Consulting TOTAL Will fund cost of developing new "community dashboard" energy management system $100,000 $100,000 0 0 $100,000 I 2010 Cost 2011 Cost Equipment TOTAL Will fund purchase of equipment to better understand and coordinate vehicle movement $24,850 $24,850 $24,850 24,850 $49,700 I 'TOTAL $574,700 I NETL F 451.1 -EECBG (3/2009) OPI =320 (Previous Editions Obsolete) L BACKGROUND The Department of Energy (DOE) National Environmental Policy Act (NEPA) Implementing Procedures (10 CFR 1021) require careful consideration of the potential environmental consequences of all proposed actions during the early planning stages of a project or activity. DOE must determine at the earliest possible time whether such actions will require either an Environmental Assessment or an Environmental Impact Statement, or whether they qualify for a Categorical Exclusion. To comply with these requirements, an Environmental Questionnaire must be completed for each proposed action to provide DOE with the information necessary to determine the appropriate level of NEPA review. II. INSTRUCTIONS III. QUESTIONNAIRE A. PROJECT SUMMARY U.S. DEPARTMENT OF ENERGY ENVIRONMENTAL QUESTIONNAIRE Separate copies of the Environmental Questionnaire should be completed by the principal proposer and appropriate proposer's subcontractor. In addition, if the proposed project includes activities at different locations, an independent questionnaire should be prepared for each location. Supporting information can be provided as attachments. In completing this Questionnaire, the proposer is requested to provide specific information and quantities, when applicable, regarding air emissions, wastewater discharges, solid wastes, etc., to facilitate the necessary review. The proposer should identify the location of the project and specifically describe the activities that would occur at that location. In addition, the proposer will be required to submit an official copy of the project's statement of work (SOW) or statement of project objective (SOPO) that will be used in the contract/agreement between the proposer and DOE. 1. Solicitation/Project Number: DE -FOA- 0000013 2. Proposer: City of Dubuoue 3. Principal Investigator: Cori Burbach. Sustainability Coordinator Telephone Number: 563- 690 -3038 4. Project Title: EECBG Municipal Building RLF PRogram 5. Duration: 9/21/2009 - 9/20/2012 6. Location(s) of Performance (City/Township, County, State): City of Dubuque Dubuque County Iowa 7. Identify and select checkbox with the predominant project work activities under Group A -7b or A -7c. Group A -7b Page 1 ® Work or project activities does NOT involve new building/facilities construction and site preparation activities. This work typically involves routine operation, modification, and retrofit of existing utility and transportation infrastructure, laboratories, commercial buildings/properties, offices and homes, test facilities, factories /power plants, vehicles test stands and components, refueling facilities, greenspace infrastructure, or other existing facilities. Page 2 Group A -7c ❑ Work or project activities typically involves major building or facility construction, site preparation; the installation, replacement, or major modifications of energy system prototypes and infrastructure, access right -of -ways and roads; utility, greenspace, and transportation infrastructure, vehicle test facilities; commercial buildings /properties, fuel refinery/mixing facilities, factories /power plants; and other types of energy efficiency /conservation related systems, structures, and facilities. This work can require new or modified regulatory permits, environmental sampling and monitoring requirements, master planning, public involvement, and environmental impact review. ❑ Other types of work or project activities not listed. (please describe): 8. Summarize the objectives of the proposed work. List activities planned at the location as covered by this Environmental Questionnaire. This program will establish a self - sustaining source of funds to continue current investment in energy - efficient retroftis of municipal facilities in order to work toward continuous improvement in reducing operating costs over time. 9. List all other locations where proposed work or project would be performed by project's proposer and subcontractors. All municipal building in the city of Dubuque. 10. Identify major project operation related materials and waste that would be used, consumed, and produced by this project or activity. There are no major project operation related materials and waste that would be used, consumed, and produced by this project. 11. Provide a brief description of the project location (physical location, surrounding area, adjacent structures). There is no single project location; this is a financial incentive program for municipal buidings. 12. Attach a site plan or topographic map of the project work area. B. ENVIRONMENTAL IMPACTS This section is designed to obtain information for objectively assessing the environmental impacts of a proposed project. NEPA procedures require evaluations of possible effects (including land use, energy resource use, natural, historic and cultural resources, and pollutants) from proposed projects on the environment. 1. Land Use a. Characterize present land use where the proposed project would be located. ❑ Urban ❑ Industrial ❑ Commercial ❑ Suburban ❑ Rural ❑ Residential ❑ Forest ❑ University Campus ® Other b. Describe how land use would be affected by planned construction and project activities. ® No construction would be anticipated for this project. c. Describe any plans to reclaim/replant areas that would be affected by the proposed project. ® No land areas would be affected. d. Would the proposed project affect any unique or unusual landforms (e.g., cliffs, waterfalls, etc.)? 0 No ❑ Yes (describe) ❑ Agricultural ❑ Research Facilities e. Would the proposed project be located in or near a national park or wilderness area? ❑ No ❑ Yes (describe) If project work activities falls under item A -7b; then proceed directly to question B.6 (Atmospheric Conditions /Air Quality) and continue to fill out questionnaire. If project work falls under item A -7c; then proceed directly below to question B.2 (Construction Activities and/or Operations) and continue to fill out questionnaire. 2. Construction Activities and /or Operations a. Identify any roads, trails, or utility right of ways that traverse the proposed site or will be constructed and clearly mark them on project site maps. ❑ None b. Would the proposed project require the construction of settling ponds? ❑ No ❑ Yes (describe and identify location, and estimate surface area disturbed) c. Would the proposed project affect any existing body of water? ❑ No ❑ Yes (describe) d. Would the proposed project be located in or impact a floodplain or wetland? ❑ No ❑ Yes (describe) e. Would the proposed project be likely to cause runoff/sedimentation/erosion? ❑ No ❑ Yes (describe) 3. Vegetation and Wildlife Resources a. Identify any State- or Federal- listed endangered or threatened plant or animal species affected by the proposed project. ❑ None b. Would any foreign substances /materials be introduced into ground or surface waters, or other earth/geologic resource because of project activities? Would these foreign substances /materials affect the water, soil, and geologic resources? ❑ No ❑ Yes (describe) c. Would any migratory animal corridors be impacted or disrupted by the proposed project? ❑ No ❑ Yes (describe) 4. Socioeconomic and Infrastructure Conditions. a. Would local socio- economic changes result from the proposed project? ❑ No ❑ Yes (describe) b. Would the proposed project generate increased traffic use of roads through local neighborhoods, urban or rural areas.? ❑ No ❑ Yes (describe) c. Would the proposed project require new transportation access (roads, rail, etc.)? Describe location, impacts, costs. ❑ No ❑ Yes (describe) d. Would any new transmission lines and/or power line right -of -ways be required? ❑ No ❑ Yes (describe location, voltage, and length of line) Page 3 5. Historical/Cultural Resources a. Describe any historical, archeological, or cultural sites in the vicinity of the proposed project; note any sites included on the National Register of Historic Places. ❑ None b. Would construction or operational activities planned under the proposed project disturb any historical, archeological, or cultural sites? ❑ No planned construction ❑ No historic sites ❑ Yes (describe) c. Would the proposed project interfere with visual resources (e.g., eliminate scenic views) or alter the present landscape? ❑ No ❑ Yes (describe) For all proposed project work activities identified under item A -7b, respond to item B6 directly below and continue filling out environmental questionnaire. 6. Atmospheric Conditions /Air Quality a. Identify air quality conditions in the immediate vicinity of the proposed project with regard to attainment of National Ambient Air Quality Standards (NAAQS). This information is available under the NAAQS tables from the U.S. EPA Air and Radiation Division. g. Attainment Non - Attainment 0 ® ❑ SO,, ® ❑ PM ® ❑ CO ® ❑ NO ® ❑ Lead ® ❑ b. Would proposed project require issuance of new or modified major source air quality permits? ® No ❑ Yes (describe) c. Would the proposed project be in compliance with the National Emissions Standards for Hazardous Air Pollutants? ❑ No (explain) ® Yes d. Would the proposed project be classified as either a New Source or a major modification to an existing source? O No ❑ Yes (describe) e. Would the proposed project be in compliance with the New Source Performance Standards? ❑ Not Applicable ❑ No (explain) ® Yes f. Would the proposed project be subject to prevention of significant deterioration air quality review? ® Not applicable ❑ No (explain) ❑ Yes (describe) What types of air emissions, including fugitive emissions, would be anticipated from the proposed project? No air emissions are anticipated from the proposed project. h. Would any types of emission control or particulate collection devices be used? O No ❑ Yes (describe, including collection efficiencies) i. If no control devices are used, how would emissions be vented? IF any, emissions are anticipated to be vented acoordint to proper procedure. Page 4 7. Hydrologic Conditions/Water Quality a. What is the closest body of water to the proposed project area and what is its distance from the project site? Mississippi River; up to 2 miles b. What sources would supply potable and process water for the proposed project? Additional potable and process water are not required for anticipated modifications. c. Quantify the daily or annual amount of wastewater that would be generated by the proposed project. Additional wastewater will not be generated by the proposed project. d. Identify the local treatment facility that would receive wastewater from the proposed project. ® No discharges to local treatment facility e. Describe how wastewater would be collected and treated. Wastewater will not be collected and treated for this project. f. Would any run -off or leachates be produced from storage piles or waste disposal sites? ® No ❑ Yes (describe source) g. Would project require issuance of new or modified water permits to perform project work or site development? ® No ❑ Yes (describe) h. Where would wastewater effluents from the proposed project be discharged? ® No wastewater produced i. Would the proposed project be permitted to discharge effluents into an existing body of water? No ❑ Yes (describe water use and effluent impact) Would a new or modified National Pollutant Discharge Elimination System (NPDES) permit be required? • No ❑ Yes (describe) k. Would the proposed project adversely affect the quality or movement of groundwater? ® No ❑ Yes (describe) 8. Solid and Hazardous Wastes a. Describe and estimate major nonhazardous solid wastes that would be generated from the project. Solid wastes are defined as any solid, liquid, semi- solid, or contained gaseous material that is discarded or has served its intended purpose, or is a manufacturing or mining by- product (40 CFR 260, Appendix I). No major nonhazardous solid wastes will be generated by this project. b. Would project require issuance of new or modified solid waste and/or hazardous waste related permits to perform project work activities? ® No ❑ Yes (explain) c. How and where would solid waste disposal be accomplished? ❑ On -site (identify and describe location) • Off -site (identify location and describe facility and treatment) Dubuque Metropolitan Area Solid Waste Agency d. How would wastes for disposal be transported? Municipal solid waste pick -up e. Describe and estimate the quantity of hazardous wastes (40 CFR 261.31) that would be generated, used, or stored under this project. Page 5 f. How would hazardous or toxic waste be collected and stored? ® None used or produced g. None If hazardous wastes would require ofd site disposal, have arrangements been made with a certified TSD (Treatment, Storage, and Disposal) facility? ® Not required ❑ Arrangements not yet made ❑ Arrangements made with a certified TSD facility (identify): C. DESCRIBE ANY ISSUES THAT WOULD GENERATE PUBLIC CONTROVERSY REGARDING THE PROPOSED PROJECT. ® None IV. CERTIFICATION BY PROPOSER I hereby certify that the information provided herein is current, accurate, and complete as of the date shown immediately below. SIGNATURE: TYPED NAME: TITLE: ORGANIZATION: City of Dubuque V. REVIEW AND APPROVAL BY DOE I hereby certify that I have reviewed the information provided in this questionnaire, have determined that all questions have been appropriately answered, and judge the responses to be consistent with the efforts proposed. PROJECT MANAGER: SIGNATURE: DATE: / / month day year TYPED NAME: Cori Burbach Sustainable Community Coordinator DATE: 1 / 20 / 2010 month day year Page 6 NETL F 451.1 -EECBG (3/2009) OPI =320 (Previous Editions Obsolete) I. BACKGROUND U.S. DEPARTMENT OF ENERGY ENVIRONMENTAL QUESTIONNAIRE The Department of Energy (DOE) National Environmental Policy Act (NEPA) Implementing Procedures (10 CFR 1021) require careful consideration of the potential environmental consequences of all proposed actions during the early planning stages of a project or activity. DOE must determine at the earliest possible time whether such actions will require either an Environmental Assessment or an Environmental Impact Statement, or whether they qualify for a Categorical Exclusion. To comply with these requirements, an Environmental Questionnaire must be completed for each proposed action to provide DOE with the information necessary to determine the appropriate level of NEPA review. II. INSTRUCTIONS Separate copies of the Environmental Questionnaire should be completed by the principal proposer and appropriate proposer's subcontractor. In addition, if the proposed project includes activities at different locations, an independent questionnaire should be prepared for each location. Supporting information can be provided as attachments. In completing this Questionnaire, the proposer is requested to provide specific information and quantities, when applicable, regarding air emissions, wastewater discharges, solid wastes, etc., to facilitate the necessary review. The proposer should identify the location of the project and specifically describe the activities that would occur at that location. In addition, the proposer will be required to submit an official copy of the project's statement of work (SOW) or statement of project objective (SOPO) that will be used in the contract/agreement between the proposer and DOE. III. QUESTIONNAIRE A. PROJECT SUMMARY 1. Solicitation/Project Number: DE -FOA- 0000013 2. Proposer: City of Dubuque 3. Principal Investigator: Cori Burbach. Sustainability Coordinator Telephone Number: 563- 690 -3038 4. Project Title: EECBG Energy Efficiency Retrofit Grants to Property Owners 5. Duration: 9/21/2009- 9/20/2012 6. Location(s) of Performance (City/Township, County, State): City of Dubuque 7. Identify and select checkbox with the predominant project work activities under Group A -7b or A -7c. Group A -7b Dubuque County Iowa Page 1 ® Work or project activities does NOT involve new building/facilities construction and site preparation activities. This work typically involves routine operation, modification, and retrofit of existing utility and transportation infrastructure, laboratories, commercial buildings /properties, offices and homes, test facilities, factories /power plants, vehicles test stands and components, refueling facilities, greenspace infrastructure, or other existing facilities. Group A -7c ❑ Work or project activities typically involves major building or facility construction, site preparation; the installation, replacement, or major modifications of energy system prototypes and infrastructure, access right -of -ways and roads; utility, greenspace, and transportation infrastructure, vehicle test facilities; commercial buildings /properties, fuel refinery/mixing facilities, factories /power plants; and other types of energy efficiency /conservation related systems, structures, and facilities. This work can require new or modified regulatory permits, environmental sampling and monitoring requirements, master planning, public involvement, and environmental impact review. ❑ Other types of work or project activities not listed. (please describe): 8. Summarize the objectives of the proposed work. List activities planned at the location as covered by this Environmental Questionnaire By helping to cover the sometimes prohibitive up front costs of efficiency upgrades to residential properties, the program will incentivize the first step toward energy efficiency. 9. List all other locations where proposed work or project would be performed by project's proposer and subcontractors. Homes and rental properties in the city of Dubuque. 10. Identify major project operation related materials and waste that would be used, consumed, and produced by this project or activity. There are no major project operation related materials and waste that would be used, consumed, and produced by this project. 11. Provide a brief description of the project location (physical location, surrounding area, adjacent structures). There is no single project location; this is a financial incentive program for homes and rental property. 12. Attach a site plan or topographic map of the project work area. B. ENVIRONMENTAL IMPACTS This section is designed to obtain information for objectively assessing the environmental impacts of a proposed project. NEPA procedures require evaluations of possible effects (including land use, energy resource use, natural, historic and cultural resources, and pollutants) from proposed projects on the environment. 1. Land Use a. Characterize present land use where the proposed project would be located. ® Urban ❑ Industrial ❑ Commercial ❑ Suburban ❑ Rural ® Residential ❑ Forest ❑ University Campus ❑ Other b. Describe how land use would be affected by planned construction and project activities. ® No construction would be anticipated for this project. c. Describe any plans to reclaim/replant areas that would be affected by the proposed project. ® No land areas would be affected. d. Would the proposed project affect any unique or unusual landforms (e.g., cliffs, waterfalls, etc.)? ® No ❑ Yes (describe) e. Would the proposed project be located in or near a national park or wilderness area? ❑ Agricultural ❑ Research Facilities Page 2 El No ❑ Yes (describe) If project work activities falls under item A -7b; then proceed directly to question B.6 (Atmospheric Conditions /Air Quality) and continue to fill out questionnaire. If project work falls under item A -7c; then proceed directly below to question B.2 (Construction Activities and/or Operations) and continue to fill out questionnaire. 2. Construction Activities and /or Operations a. Identify any roads, trails, or utility right of ways that traverse the proposed site or will be constructed and clearly mark them on project site maps. ❑ None b. Would the proposed project require the construction of settling ponds? ❑ No ❑ Yes (describe and identify location, and estimate surface area disturbed) c. Would the proposed project affect any existing body of water? ❑ No ❑ Yes (describe) d. Would the proposed project be located in or impact a floodplain or wetland? ❑ No ❑ Yes (describe) e. Would the proposed project be likely to cause runoff/sedimentation/erosion? ❑ No ❑ Yes (describe) 3. Vegetation and Wildlife Resources a. Identify any State- or Federal - listed endangered or threatened plant or animal species affected by the proposed project. ❑ None b. Would any foreign substances /materials be introduced into ground or surface waters, or other earth/geologic resource because of project activities? Would these foreign substances /materials affect the water, soil, and geologic resources? ❑ No ❑ Yes (describe) c. Would any migratory animal corridors be impacted or disrupted by the proposed project? ❑ No ❑ Yes (describe) 4. Socioeconomic and Infrastructure Conditions. a. Would local socio- economic changes result from the proposed project? ❑ No ❑ Yes (describe) b. Would the proposed project generate increased traffic use of roads through local neighborhoods, urban or rural areas.? ❑ No ❑ Yes (describe) c. Would the proposed project require new transportation access (roads, rail, etc.)? Describe location, impacts, costs. ❑ No ❑ Yes (describe) d. Would any new transmission lines and/or power line right -of -ways be required? ❑ No ❑ Yes (describe location, voltage, and length of line) 5. Historical/Cultural Resources Page 3 a. Describe any historical, archeological, or cultural sites in the vicinity of the proposed project; note any sites included on the National Register of Historic Places. ❑ None b. Would construction or operational activities planned under the proposed project disturb any historical, archeological, or cultural sites? ❑ No planned construction ❑ No historic sites ❑ Yes (describe) c. Would the proposed project interfere with visual resources (e.g., eliminate scenic views) or alter the present landscape? ❑ No ❑ Yes (describe) For all proposed project work activities identified under item A -7b, respond to item B6 directly below and continue filling out environmental questionnaire. 6. Atmospheric Conditions /Air Quality a. Identify air quality conditions in the immediate vicinity of the proposed project with regard to attainment of National Ambient Air Quality Standards (NAAQS). This information is available under the NAAQS tables from the U.S. EPA Air and Radiation Division. Attainment Non - Attainment 0 ® ❑ so. ® ❑ PM ® ❑ CO ® ❑ NO ® ❑ Lead ® ❑ Page 4 b. Would proposed project require issuance of new or modified major source air quality permits? ® No ❑ Yes (describe) c. Would the proposed project be in compliance with the National Emissions Standards for Hazardous Air Pollutants? ❑ No (explain) ® Yes d. Would the proposed project be classified as either a New Source or a major modification to an existing source? ® No ❑ Yes (describe) e. Would the proposed project be in compliance with the New Source Performance Standards? ❑ Not Applicable ❑ No (explain) ® Yes f. Would the proposed project be subject to prevention of significant deterioration air quality review? ® Not applicable ❑ No (explain) ❑ Yes (describe) g. What types of air emissions, including fugitive emissions, would be anticipated from the proposed project? No air emissions are anticipated from the proposed project. h. Would any types of emission control or particulate collection devices be used? ® No ❑ Yes (describe, including collection efficiencies) i. If no control devices are used, how would emissions be vented? If any, emissions are anticipated to be vented acoordint to proper procedure. 7. Hydrologic Conditions/Water Quality a. What is the closest body of water to the proposed project area and what is its distance from the project site? Mississippi River; up to 2 miles b. What sources would supply potable and process water for the proposed project? Additional potable and process water are not required for anticipated modifications. c. Quantify the daily or annual amount of wastewater that would be generated by the proposed project. Additional wastewater will not be generated by the proposed project. d. Identify the local treatment facility that would receive wastewater from the proposed project. ® No discharges to local treatment facility e. Describe how wastewater would be collected and treated. Wastewater will not be collected and treated for this project. f. Would any run -off or leachates be produced from storage piles or waste disposal sites? 0 No ❑ Yes (describe source) g. Would project require issuance of new or modified water permits to perform project work or site development? ® No ❑ Yes (describe) h. Where would wastewater effluents from the proposed project be discharged? ® No wastewater produced i. Would the proposed project be permitted to discharge effluents into an existing body of water? 0 No ❑ Yes (describe water use and effluent impact) j. Would a new or modified National Pollutant Discharge Elimination System (NPDES) permit be required? ® No ❑ Yes (describe) k. Would the proposed project adversely affect the quality or movement of groundwater? ® No ❑ Yes (describe) 8. Solid and Hazardous Wastes a. Describe and estimate major nonhazardous solid wastes that would be generated from the project. Solid wastes are defined as any solid, liquid, semi - solid, or contained gaseous material that is discarded or has served its intended purpose, or is a manufacturing or mining by- product (40 CFR 260, Appendix I). No major nonhazardous solid wastes will be generated by this project. b. Would project require issuance of new or modified solid waste and/or hazardous waste related permits to perform project work activities? ® No ❑ Yes (explain) Page 5 c. How and where would solid waste disposal be accomplished? ❑ On -site (identify and describe location) O Off -site (identify location and describe facility and treatment) Dubuque Metropolitan Area Solid Waste Agency d. How would wastes for disposal be transported? Municipal solid waste pick -up e. Describe and estimate the quantity of hazardous wastes (40 CFR 261.31) that would be generated, used, or stored under this project. ® None f. How would hazardous or toxic waste be collected and stored? None used or produced g. If hazardous wastes would require off -site disposal, have arrangements been made with a certified TSD (Treatment, Storage, and Disposal) facility? Not required ❑ Arrangements not yet made ❑ Arrangements made with a certified TSD facility (identify): C. DESCRIBE ANY ISSUES THAT WOULD GENERATE PUBLIC CONTROVERSY REGARDING THE PROPOSED PROJECT. ® None IV. CERTIFICATION BY PROPOSER 1 hereby certify that the information provided herein is current, accurate, and complete as of the date shown immediately below. SIGNATURE: i 1 . C % )‘V - / DATE: 1 / 20 / 2010 month day year TYPED NAME: Cori Burbach TITLE: Sustainable Community Coordinator ORGANIZATION: City of Dubuque Page 6 V. REVIEW AND APPROVAL BY DOE I hereby certify that I have reviewed the information provided in this questionnaire, have determined that all questions have been appropriately answered, and judge the responses to be consistent with the efforts proposed. PROJECT MANAGER: SIGNATURE: DATE: / / month day year TYPED NAME: NETL F 451.1 -EECBG (3/2009) OPI =320 (Previous Editions Obsolete) I. BACKGROUND The Department of Energy (DOE) National Environmental Policy Act (NEPA) Implementing Procedures (10 CFR 1021) require careful consideration of the potential environmental consequences of all proposed actions during the early planning stages of a project or activity. DOE must determine at the earliest possible time whether such actions will require either an Environmental Assessment or an Environmental Impact Statement, or whether they qualify for a Categorical Exclusion. To comply with these requirements, an Environmental Questionnaire must be completed for each proposed action to provide DOE with the information necessary to determine the appropriate level of NEPA review. II. INSTRUCTIONS III. QUESTIONNAIRE A. PROJECT SUMMARY U.S. DEPARTMENT OF ENERGY ENVIRONMENTAL QUESTIONNAIRE Separate copies of the Environmental Questionnaire should be completed by the principal proposer and appropriate proposer's subcontractor. In addition, if the proposed project includes activities at different locations, an independent questionnaire should be prepared for each location. Supporting information can be provided as attachments. In completing this Questionnaire, the proposer is requested to provide specific information and quantities, when applicable, regarding air emissions, wastewater discharges, solid wastes, etc., to facilitate the necessary review. The proposer should identify the location of the project and specifically describe the activities that would occur at that location. In addition, the proposer will be required to submit an official copy of the project's statement of work (SOW) or statement of project objective (SOPO) that will be used in the contract/agreement between the proposer and DOE. 1. Solicitation/Project Number: DE -FOA- 0000013 2. Proposer: City of Dubuque 3. Principal Investigator: Cori Burbach, Sustainability Coordinator Telephone Number: 563- 690 -3038 4. Project Title: EECBG Commercial Buiding RLF Program 5. Duration: 9/21/2009- 9/20/2012 6. Location(s) of Performance (City/Township, County, State): City of Dubuque Group A -7b Dubuque County Iowa 7. Identify and select checkbox with the predominant project work activities under Group A -7b or A -7c. Page 1 ® Work or project activities does NOT involve new building/facilities construction and site preparation activities. This work typically involves routine operation, modification, and retrofit of existing utility and transportation infrastructure, laboratories, commercial buildings /properties, offices and homes, test facilities, factories /power plants, vehicles test stands and components, refueling facilities, greenspace infrastructure, or other existing facilities. B. ENVIRONMENTAL IMPACTS 1. Land Use Group A -7c ❑ Work or project activities typically involves major building or facility construction, site preparation; the installation, replacement, or major modifications of energy system prototypes and infrastructure, access right -of -ways and roads; utility, greenspace, and transportation infrastructure, vehicle test facilities; commercial buildings /properties, fuel refinery/mixing facilities, factories /power plants; and other types of energy efficiency /conservation related systems, structures, and facilities. This work can require new or modified regulatory permits, environmental sampling and monitoring requirements, master planning, public involvement, and environmental impact review. ❑ Other types of work or project activities not listed. (please describe): 8. Summarize the objectives of the proposed work. List activities planned at the location as covered by this Environmental Questionnaire. This program will leverage public resources with private investments to create incentives for energy efficiency upgrades in the commercial sector. 9. List all other locations where proposed work or project would be performed by project's proposer and subcontractors. Commercial properties in the city of Dubuque. 10. Identify major project operation related materials and waste that would be used, consumed, and produced by this project or activity. There are no major project operation related materials and waste that would be used, consumed, and produced by this project. 11. Provide a brief description of the project location (physical location, surrounding area, adjacent structures). There is no single project location; this is a financial incentive program for commercial buildings. 12. Attach a site plan or topographic map of the project work area. This section is designed to obtain information for objectively assessing the environmental impacts of a proposed project. NEPA procedures require evaluations of possible effects (including land use, energy resource use, natural, historic and cultural resources, and pollutants) from proposed projects on the environment. a. Characterize present land use where the proposed project would be located. ® Urban ❑ Industrial ® Commercial ❑ Suburban ❑ Rural ❑ Residential ❑ Forest ❑ University Campus ❑ Other b. Describe how land use would be affected by planned construction and project activities. ® No construction would be anticipated for this project. c. Describe any plans to reclaim/replant areas that would be affected by the proposed project. ® No land areas would be affected. d. Would the proposed project affect any unique or unusual landforms (e.g., cliffs, waterfalls, etc.)? ® No ❑ Yes (describe) e. Would the proposed project be located in or near a national park or wilderness area? ❑ Agricultural ❑ Research Facilities Page 2 ® No ❑ Yes (describe) If project work activities falls under item A -7b; then proceed directly to question B.6 (Atmospheric Conditions /Air Quality) and continue to fill out questionnaire. If project work falls under item A -7c; then proceed directly below to question B.2 (Construction Activities and/or Operations) and continue to fill out questionnaire. 2. Construction Activities and /or Operations Page 3 a. Identify any roads, trails, or utility right of ways that traverse the proposed site or will be constructed and clearly mark them on project site maps. ❑ None b. Would the proposed project require the construction of settling ponds? ❑ No ❑ Yes (describe and identify location, and estimate surface area disturbed) c. Would the proposed project affect any existing body of water? ❑ No ❑ Yes (describe) d. Would the proposed project be located in or impact a floodplain or wetland? ❑ No ❑ Yes (describe) e. Would the proposed project be likely to cause runoff/sedimentation /erosion? ❑ No ❑ Yes (describe) 3. Vegetation and Wildlife Resources a. Identify any State- or Federal - listed endangered or threatened plant or animal species affected by the proposed project. ❑ None b. Would any foreign substances /materials be introduced into ground or surface waters, or other earth/geologic resource because of project activities? Would these foreign substances /materials affect the water, soil, and geologic resources? ❑ No ❑ Yes (describe) c. Would any migratory animal corridors be impacted or disrupted by the proposed project? ❑ No ❑ Yes (describe) 4. Socioeconomic and Infrastructure Conditions. a. Would local socio- economic changes result from the proposed project? ❑ No ❑ Yes (describe) b. Would the proposed project generate increased traffic use of roads through local neighborhoods, urban or rural areas.? ❑ No ❑ Yes (describe) c. Would the proposed project require new transportation access (roads, rail, etc.)? Describe location, impacts, costs. ❑ No ❑ Yes (describe) d. Would any new transmission lines and/or power line right -of -ways be required? ❑ No ❑ Yes (describe location, voltage, and length of line) 5. Historical/Cultural Resources a. Describe any historical, archeological, or cultural sites in the vicinity of the proposed project; note any sites included on the National Register of Historic Places. ❑ None b. Would construction or operational activities planned under the proposed project disturb any historical, archeological, or cultural sites? ❑ No planned construction ❑ No historic sites ❑ Yes (describe) c. Would the proposed project interfere with visual resources (e.g., eliminate scenic views) or alter the present landscape? ❑ No ❑ Yes (describe) For all proposed project work activities identified under item A -7b, respond to item B6 directly below and continue filling out environmental questionnaire. 6. Atmospheric Conditions /Air Quality a. Identify air quality conditions in the immediate vicinity of the proposed project with regard to attainment of National Ambient Air Quality Standards (NAAQS). This information is available under the NAAQS tables from the U.S. EPA Air and Radiation Division. Attainment Non- Attainment 0 ® ❑ SO ® ❑ PM,p 0 ❑ CO 0 ❑ NO ® ❑ Lead ® ❑ b. Would proposed project require issuance of new or modified major source air quality permits? ® No ❑ Yes (describe) c. Would the proposed project be in compliance with the National Emissions Standards for Hazardous Air Pollutants? ❑ No (explain) ® Yes d. Would the proposed project be classified as either a New Source or a major modification to an existing source? ® No ❑ Yes (describe) e. Would the proposed project be in compliance with the New Source Performance Standards? ❑ Not Applicable ❑ No (explain) ® Yes f. Would the proposed project be subject to prevention of significant deterioration air quality review? ® Not applicable ❑ No (explain) ❑ Yes (describe) g. What types of air emissions, including fugitive emissions, would be anticipated from the proposed project? No air emissions are anticipated from the proposed project. h. Would any types of emission control or particulate collection devices be used? ® No ❑ Yes (describe, including collection efficiencies) i. If no control devices are used, how would emissions be vented? If any, emissions are anticipated to be vented acoordint to proper procedure. Page 4 7. Hydrologic Conditions/Water Quality a. What is the closest body of water to the proposed project area and what is its distance from the project site? Mississippi River; up to 2 miles b. What sources would supply potable and process water for the proposed project? Additional potable and process water are not required for anticipated modifications. c. Quantify the daily or annual amount of wastewater that would be generated by the proposed project. Additional wastewater will not be generated by the proposed project. d. Identify the local treatment facility that would receive wastewater from the proposed project. No discharges to local treatment facility ►5 e. Describe how wastewater would be collected and treated. Wastewater will not be collected and treated for this project. f. Would any run -off or leachates be produced from storage piles or waste disposal sites? ® No ❑ Yes (describe source) g. Would project require issuance of new or modified water permits to perform project work or site development? • No ❑ Yes (describe) h. Where would wastewater effluents from the proposed project be discharged? ® No wastewater produced i. Would the proposed project be permitted to discharge effluents into an existing body of water? No ❑ Yes (describe water use and effluent impact) j. Would a new or modified National Pollutant Discharge Elimination System (NPDES) permit be required? ® No ❑ Yes (describe) k. Would the proposed project adversely affect the quality or movement of groundwater? ® No ❑ Yes (describe) 8. Solid and Hazardous Wastes d. How would wastes for disposal be transported? Municipal solid waste pick -up a. Describe and estimate major nonhazardous solid wastes that would be generated from the project. Solid wastes are defined as any solid, liquid, semi - solid, or contained gaseous material that is discarded or has served its intended purpose, or is a manufacturing or mining by- product (40 CFR 260, Appendix I). No major nonhazardous solid wastes will be generated by this project. b. Would project require issuance of new or modified solid waste and/or hazardous waste related permits to perform project work activities? ® No ❑ Yes (explain) e. Describe and estimate the quantity of hazardous wastes (40 CFR 261.31) that would be generated, used, or stored under this project. ® None Page 5 c. How and where would solid waste disposal be accomplished? ❑ On -site (identify and describe location) • Off -site (identify location and describe facility and treatment) Dubuque Metropolitan Area Solid Waste Agency f. How would hazardous or toxic waste be collected and stored? g. ►5 None used or produced If hazardous wastes would require off -site disposal, have arrangements been made with a certified TSD (Treatment, Storage, and Disposal) facility? ® Not required ❑ Arrangements not yet made ❑ Arrangements made with a certified TSD facility (identify): C. DESCRIBE ANY ISSUES THAT WOULD GENERATE PUBLIC CONTROVERSY REGARDING THE PROPOSED PROJECT. ® None IV. CERTIFICATION BY PROPOSER I hereby certify that the information provided herein is current, accurate, and complete as of the date shown immediately below. SIGNATURE: TYPED NAME: Cori Burbach TITLE: Sustainable Community Coordinator ORGANIZATION: City of Dubuque PROJECT MANAGER: DATE: 1 / 20 / 2010 month day year Page 6 V. REVIEW AND APPROVAL BY DOE I hereby certify that I have reviewed the information provided in this questionnaire, have determined that all questions have been appropriately answered, and judge the responses to be consistent with the efforts proposed. SIGNATURE: DATE: / / month day year TYPED NAME: