CCF Grantee Toolkit

Business license with Universal Business Identifier (UBI)

The grantee must have a business license with a Washington State Unified Business Identifier (UBI) number through the Department of Revenue (DOR). If not a municipality or Tribal government, the grantee must also be registered with the Secretary of State.

• DOR Business licensing and renewals FAQs

Employer Identification Number (EIN)

The grantee must have an employer identification number (EIN). An EIN is a federal tax identification number for businesses, tax-exempt organizations, and other entities that identify the organization to the Internal Revenue Service (IRS).

• IRS Employer Identification Number

Statewide Vendor (SWV) number

Grant funds are electronically transferred through the Office of Financial Management (OFM) using a Statewide Vendor (SWV) number provided by the grantee to Commerce. The SWV number for the entity receiving our funds must correspond to the contracting entity.

• OFM Vendor/Payee Services

Unique Entity ID (UEI)

This requirement only applies when the grantee is receiving federal funds. The Unique Entity ID (UEI) is now the authoritative identifier for those doing business with the federal government.

• US General Services Administration Unique Entity ID is Here

Tip: Washington APEX Accelerators offers assistance for UEI registration at no cost.

• UEI for State Grant Applicants

Washington operates under a biennial (two-year) budget. Each appropriation in the capital budget must lapse at the close of the biennium. Commerce cannot legally obligate funds from one biennium to another.

Commerce will request one reappropriation of any unspent funds, but Commerce cannot guarantee the Washington State Legislature will agree to extend funding.

As a result, the contract term is guaranteed for two years with two additional years contingent on reappropriation. Grant funds must be expended by the end of the contract term.

Funds appropriated in the capital budget and awarded through CCF programs may be used to pay for capital expenditures outlined by the Office of Financial Management capital budget instructions webpage.

Costs within the following cost categories are considered capital expenditures:

• Real property, and costs directly associated with such purchase, when purchased or acquired solely for the purposes of the project
• Design, engineering, architectural, and planning
• Construction management and observation (from external sources only)
• Construction costs, including, but not limited to, the following:
  • Site preparation and improvements
  • Permits and fees
  • Labor and materials
  • Taxes on project goods and services
  • Capitalized equipment
  • Information technology infrastructure
  • Landscaping
• Other costs authorized through the legislation.

Payments to the grantee are made on a reimbursement basis only. Unless authorized by the Washington State Legislature, only those project costs incurred after the date of contract execution may be reimbursed.

In Washington state, permitting and zoning regulations are managed at the local level (cities and counties) with state-level guidance and oversight. The process varies depending on the project and location.

There may be challenges in siting and obtaining permits at the local level. The grantee should engage as early as possible with the local jurisdiction to determine if their project complies with development regulations and zoning codes.

The grantee must provide written evidence of site control, either through outright ownership of the subject property or a long-term lease.

The grantee must also maintain site control for a minimum of the commitment period after the later of:

• the final grant payment; or
• the date when the facility is made usable to the public for the purpose intended by the Washington State Legislature, including the grantee having secured all required licenses, certifications, and/or permits.

The grantee must provide written evidence of continuing site control as may be requested by Commerce.

Commitment period

All real property owned or leased by the grantee that is acquired, constructed, or otherwise improved by the grantee using program funds must be held and used by the grantee for the purpose or purposes stated in the contract for a period identified as the commitment period.

The grantee is not prohibited from selling or transferring the property described in the contract, provided that:

• any such sale or transfer shall be subject to prior review and approval by Commerce;
• all proceeds from the sale shall be applied to the purchase price of a different facility or facilities of equal or greater value than the original facility; and
• any such new facility or facilities will be used for the purpose or purposes stated in the contract.

All projects are subject to compliance with Governor’s Executive Order 21-02 (PDF) (GEO 21-02) to protect historical and cultural resources to our state. There are several steps to this process, including consultations with the Department of Archaeology and Historic Preservation (DAHP) and with the Tribes in the project area.

If the project also receives federal funding and the federal Section 106 of the National Historic Preservation Act review will be completed, then the project may be exempt from GEO 21-02 requirements.

Finalization of the DAHP review and consultation with area Tribes, or a federal Section 106 review, must be completed before the contract will be executed and must be completed prior to the start of any work at the project site.

In addition to these requirements, the grantee must agree to comply with the following laws and regulations:

• RCW 27.44: Indian Graves and Records
• RCW 27.53: Archaeological Sites and Resources
• RCW 68.60: Abandoned and Historic Cemeteries and Historic Graves
• WAC 25-48: Archaeological Excavation and Removal Permits

Instructions for grantees

The 21-02 grantee instructions (PDF) include the processes for consulting both DAHP and the area Tribes to avoid adverse impacts to archaeology and historic resources. These consultations can occur simultaneously.

Commerce will delegate these consultations to the grantee. Your program manager will provide you the delegation of authority letter, which you will provide to DAHP and to area Tribes.

Note: There are other state agencies that do not delegate these consultations. If your project involves another state agency, connect with that agency to determine if they have their own cultural resource staff.

Inadvertent Discovery Protocol (IDP)

Complete the Inadvertent Discovery Protocol (PDF) (IDP), which includes identifying primary contacts as state agencies, county offices, and area Tribes.

Use this DAHP interactive map to identify area Tribes and this DAHP Tribal contact list to identify their Tribal Historic Preservation Officers (THPOs) or equivalent functionaries.

Department of Archeology & Historic Preservation Consultation

Complete the DAHP EZ/Project Review Form. In a single email, send the completed form, its required attachments, the delegation of authority letter provided to you by your program manager, and your completed IDP to DAHP at 2102@dahp.wa.gov.

DAHP typically responds within two weeks, but response time may take up to 30 days. If you do not hear back in 30 days, send a follow-up email to request an update.

DAHP will review your submission and can issue a broad range of responses. If DAHP requires more information, then you must respond to their request. You may be required to consult with DAHP to resolve adverse impacts.

The DAHP portion of GEO 21-02 is complete when you receive one of the following responses from DAHP:

• No cultural resources impacted
• No adverse impact
• Documentation of a resolution of adverse impacts

Tribal consultations

The grantee will be initiating consultation with a sovereign government. Communication should originate from the highest-ranking executive in the grantee organization.

Send the Delegation of Authority Letter (provided by your program manager) and a Tribal Consultation Letter (template provided by your program manager) to each Tribe by email.

Only a Tribe can determine if they want to consult on a project. If a Tribe requires more information, then you must respond to their request. You may be required to hire a professional archaeologist to address Tribal requests. You may be required to consult with the Tribes on avoidance strategies or methods to minimize harm.

Tribes can respond at any time before, during, and after project completion. If a Tribe responds once construction has begun, you may be required to halt construction activity until the Tribal consultation has concluded.

Allow the Tribes 30 days from the email date to respond with questions or concerns about your project. If a Tribe does not respond to the letters you sent within 30 days, inform your program manager.

Required documents

Send the following documents to your program manager. They will notify you when GEO 21-02 requirements have been met and will provide Tribal consultation records to DAHP.

• Inadvertent Discovery Protocol (PDF)
• EZ/Project Review Form completed by DAHP
• Additional responses from DAHP (if applicable)
• Copies of the consultation letters you sent to the Tribes
• Responses from the Tribes

The grantee must have the insurance coverage described in the table below. The intent of the required insurance is to protect Washington State should any claims, suits, actions, costs, damages, or expenses arise from any loss or negligent or intentional act of omission of the grantee, subgrantee, or agents of either while performing under the terms of the grant.

With prior approval from Commerce, a grantee who is a local government may provide the coverage described above under a self-insured/liability pool or self-insured risk management program.

Required documents

Send certificates of insurance for property insurance, general liability insurance, and fidelity insurance to your program manager.

Major facility projects receiving funding in a state capital budget must be designed, constructed, and certified to, at least the Leadership in Energy and Environment Design (LEED) Silver Standard.

Major facility project means:

• a construction project larger than five thousand gross square feet of occupied or conditioned space as defined in the Washington State Energy Code (WSEC); or
• a building renovation project when the cost is greater than fifty percent of the assessed value and the project is larger than five thousand gross square feet of occupied or conditioned space as defined in the WSEC.

Major facility projects do not include:

• projects for which Commerce and the design team determine the LEED Silver Standard or the Washington Sustainable School Design Protocol (WSSDP) to be not practicable; or
• transmitter buildings, pumping stations, and hospitals.

When the LEED Silver Standard is determined to be not practicable for a project, then it must be determined if any LEED standard is practicable for the project. If LEED standards or WSSDP are not followed for the project, Commerce shall report these reasons to the Department of Enterprise Services.

• RCW 39.35d: High performance public buildings

Required documents

Send the LEED Certification Declaration (Word) to your program manager.

The total in Attachment B: Project Budget must match the total in Attachment C: Certification of the Availability of Funds to Complete the Project described below.

Project budget

Grantees must provide project costs by line item as shown below. This will be included in Attachment B: Project Budget.

• Acquisition
• Architecture and engineering
• Construction
• Capitalized equipment

Grantees must provide final construction and equipment budgets supported by final construction and equipment bids.

Project funding

Grantees must provide the funding sources available to complete the project as shown below. This will be included in Attachment C: Certification of the Availability of Funds to Complete the Project of your contract.

Grantees must prove all other non-state sources of funds are committed and secured. Such non-state sources may consist of a combination of any of the following:

• eligible project expenditures prior to the execution of the grant
• cash dedicated to the project
• funds available through a letter of credit or other binding loan commitment(s)
• pledges from foundations or corporations
• pledges from individual donors
• the verified value of real property when acquired solely for the purposes of this project
• in-kind contributions, subject to approval by Commerce

Examples of proof of funding include a bank statement, formal letter of commitment or a loan.

Required documents

Send the following documents to your program manager:

• Final construction budget
• Final equipment budget
• Proof of all secured funding sources

The grantee must provide written evidence of site control, either through outright ownership of the subject property or a long-term lease. See additional information concerning site control in the section above.

Required documents

Send the following documents to your program manager:

• Proof of site control
• Copy of county assessor record
• If property is leased – Lease agreement
• If CCF funds will be used for acquisition – Copy of purchase and sale agreement
• If CCF funds will be used for acquisition – Copy of appraisal

Securitization is the process Commerce uses to secure the grant funds to the property or lease, by use of legal documents such as:

• Deeds of Trust
• Promissory Notes
• Covenants
• Lender’s Title Insurance Policy (purchased by the grantee and free and clear of unpaid taxes, liens or encumbrances, unless otherwise approved by the Commerce)

Projects for which the grant award or legislative intent documents specify that the state funding is to be used for pre-design or design only are exempt from the securitization process.

Instructions for grantees

A Commerce Securitization Officer will reach out to the grantee to provide technical assistance on the securitization process.

If an award is made and the grantee declines, the grantee must notify their program manager about their decision to decline the award as soon as possible so Commerce may process the closeout in a timely manner.

If an award is made and Commerce withdraws the funding before the contract is executed, the program manager will send a Withdrawn Letter to the grantee to close out the award.

Americans with Disabilities Act

The grantee must comply with the Americans with Disabilities Act (ADA), which provides comprehensive civil rights protection to individuals with disabilities in the areas of employment, public accommodations, state and local government services and telecommunications. All construction and rehabilitation projects must comply with ADA 28 CFR Part 35 – Nondiscrimination on the Basis of Disability in State and Local Government Services, as specified by the local building department.

Nondiscrimination requirements

The grantee must comply with all federal, state and local nondiscrimination laws, regulations and policies, including, but not limited to, not discriminate on the bases enumerated at RCW 49.60.530 (3): Contractors and subcontractors with state for public works or goods or services – Nondiscrimination requirements.

The Washington State Department of Labor & Industries (L&I) helps employers meet safety and health standards. L&I also administers public works statutes.

Construction contractors

Washington State requires all construction contractors to register with L&I. State law also requires construction contractors to be bonded and insured to protect the public.

The grantee must establish a binding agreement with a registered contractor. Grant awards are contingent on this requirement.

• L&I Hiring a Contractor
• Debarred Contractors List

Industrial insurance

Washington State law requires employers to carry industrial insurance for employees. Industrial insurance is for work related to injuries and illnesses, and pays for approved medical, hospital, and related services essential to an injured worker’s treatment and recovery. It also provides partial wage replacement for injured workers who are temporarily unable to work.

• Department of Revenue Industrial Insurance – includes a list of excluded employments
• RCW 51: Industrial Insurance

Public works statutes

For work done at the cost of Washington State, which includes all CCF-funded projects, the grantee must comply with Public Works Statutes.

• L&I Public Works Projects
• RCW 39.04: Public Works
• RCW 39.10 Alternative Public Works contracting procedures

Prevailing wage law

Prevailing wages are required for work upon all CCF-funded projects. It is the responsibility of the grantee to act as the Awarding Agency for the purpose of responsibly spending the public money received.

• L&I Awarding Agencies
• RCW 39.12: Prevailing wages on public works

For more information on how to comply with prevailing wage law, access The Washington State Prevailing Wage Law booklet (PDF). Contact the L&I Industrial Relations Specialist at PW1@Lni.wa.gov if you have questions about this requirement.

Apprenticeship

For projects with total construction costs in excess of $1,000,000, the grantee must comply with apprenticeship requirements.

• RCW 39.04.320: Apprenticeship training programs
• Public works contracts, RCW 39.04.350: Bidder responsibility criteria—Sworn statement
• RCW 39.12.055: Prohibition on bidding on future contracts

Contact L&I at Apprentice@Lni.wa.gov if you have questions about this requirement.

Commerce may hold back up to 10% of grant funds until the grant-funded project is completed.

Once the facility has been completed and satisfactory evidence of completion is submitted to Commerce, the remaining grant funds will be reimbursed. Evidence of completion includes a Certificate of Occupancy issued by the appropriate local permitting office or comparable evidence for projects without occupiable space.

The Certificate of Occupancy or other evidence of completion should be submitted to Commerce with the final request for reimbursement.

Projects involving remodeling, repairing or painting a residential property or child-occupied facility built before 1978 must employ a certified lead-based paint firm to manage lead-based paint activities.

• Lead-Based Paint
• RCW 70A.420: Lead-based paint

Campaign disclosure and contribution

Political activities of grantee employees and officers are limited. No funds may be used for working for or against ballot measures or for or against the candidacy of any person for public office.

• Federal Hatch Act, 5 USC Ch. 15: Political Activity of Certain State and Local Employees
• RCW 42.17A: Campaign disclosure and contribution

Ethics in public service

Municipal officers are prohibited from directly or indirectly receiving a financial benefit from a contract if the contract is made by, through or under the supervision of the municipal officer, in whole or in part. Any contract entered into in violation of this prohibition is void. Specific restrictions apply to contracting with current or former state employees.

• RCW 42.52: Ethics in public service
• RCW 42.23: Code of ethics for municipal officers-Contract interests

Public Records Act

All materials relating to the conduct of government or the performance of any governmental or proprietary function prepared, owned, used or retained by Commerce or its functional equivalents are considered public records and may be subject to a public records request.

• RCW 42.56: Public Records Act (PRA)

Records maintenance

The grantee must maintain books, records, document, data, and other evidence relating to the grant agreement. The grantee must retain such records for a period of six years following the date of final payment.

Copyright Act

Unless otherwise provided, all materials produced under a grant agreement will be considered works for hire, as defined by the Copyright Act and are thus owned by Commerce. In the event that the materials are not considered works for hire, the grantee assigns all rights, titles and interests of all materials to Commerce from the moment of creation of such materials.

Funds will be made available once a contract is executed and, if applicable, securitization is complete. Funds are reimbursement based and cannot be advanced. Reimbursement costs are those the grantee has already incurred and paid.

The grantee may draw down funds as frequently as once per month. All reimbursement requests will be submitted through the Secure Access Washington Contracts Management System.

• Commerce Contract Portal

Tip: Statewide Vendor numbers without payment activity six months may be purged from the system. Contact the Office of Financial Management Payee Registration to keep your registration active and prevent payment delays.

Project status reports

With each reimbursement request, the grantee will submit a completed project status report. Reimbursement requests will not be processed without a completed report. If awarded funds are expended before completion of construction on the project identified in the contract’s scope of work, submission of a project status report must be provided every two months following the last paid reimbursement request. Updated reports will be due until the project is in operations.

If the grant is fully expended, the program manager will send a Closeout Letter to the grantee. If the grant is not fully expended and the grantee has no plans to expend the remaining grant funds, or the contract has reached the term and the grant funds are not expended, the program manager will proceed with a de-obligation process.

As part of this process the grantee must sign and return the closeout letter to their program manager.