Using COVID-Relief Funds for Facility Upgrades, Renovations, and Construction — U.S. Department of Education, ESSER (September 2, 2021)
Summary
Slides from a September 2, 2021 U.S. Department of Education webinar on the American Rescue Plan Elementary and Secondary School Emergency Relief (ESSER) Program, Using COVID-Relief Funds for Facility Upgrades, Renovations, and Construction, with presenters from the Department, the Environmental Protection Agency, the Department of Energy and the Maine Department of Education. The Department's FAQs say ESSER funds may pay for construction, renovation and HVAC upgrades that respond to COVID-19, subject to cost principles, prior written approval by the state and Davis-Bacon prevailing wage requirements. They say each state sets its own prior-approval process and that NEPA does not apply to local ESSER construction projects. Energy Department slides cite state plans such as Kentucky's $38,422,506 on indoor air quality, and Maine reports $16 million allocated to air quality.
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Cite this document
“Using COVID-Relief Funds for Facility Upgrades, Renovations, and Construction — U.S. Department of Education, ESSER (September 2, 2021).”
Original at www.ed.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/ppr-int-398dcf489eb57738-using-covid-relief-funds-for-facility-upgrades-renovations-and-construction-09-0-e30b85ea39/
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U.S. Department of Education
Attention!
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1
U.S. Department of Education
American Rescue Plan
Elementary and Secondary
School Emergency Relief
(ESSER) Program
Using COVID-Relief Funds for
Facility Upgrades,
Renovations, and Construction
September 2, 2021
2
U.S. Department of Education
Agenda
I. Introduction
II. Review of ESSER Construction and Remodeling Uses of Funds
III. Additional Department Communications
IV. EPA and DoE Resources
V. State and Local Examples
VI. Questions/Answers
VII. Closing
3
U.S. Department of Education
Presenters
• Sheila Brown, Program Analyst, U.S. Environmental Protection Agency
• Shelly Chasse-Johndro, M.Ed., Director of the Office of Federal Emergency Relief Programs
and State Ombudsman, Maine Department of Education
• Katy Hatcher, ENERGY STAR National Public Sector Manager, U.S. Environmental Protection
Agency
• Jane Hess, Attorney, Office of General Counsel, U.S. Department of Education
• Jaci Holmes, Federal State Legislative Liaison, Office of Federal Emergency Relief Programs
and State Ombudsman, Maine Department of Education
• Amy Jiron, Team Lead and Acting Commercial Buildings Integration Program Manager,
Department of Energy
• Ricky Martinez, Assistant Director of Facility Services, Salt Lake City School District
• Lakesha McKenzie, Team Lead for Technical Assistance and Communications, State and
Grantee Relations, Office of Elementary and Secondary Education, U.S. Department of
Education
4
U.S. Department of Education
Authorized Uses of Funds
• Inspection, testing, maintenance, repair, replacement, and upgrade projects to
improve the indoor air quality in school facilities, including mechanical and non-
mechanical heating, ventilation, and air conditioning systems, filtering,
purification and other air cleaning, fans, control systems, and window and door
repair and replacement.
• School facility repairs and improvements to enable operation of schools to
reduce risk of virus transmission and exposure to environmental health hazards,
and to support student health needs.
• Any allowable use of funds under Impact Aid, including but not limited to new
construction.
• LEAs should consider how to balance construction investments with other
priorities in order to ensure the LEA is broadly addressing the
academic, social, emotional and mental health needs of students.
5
U.S. Department of Education
Supporting Safe and Healthy Schools
• What are some examples of when LEAs are considering using ESSER funds for
the following:
• An HVAC project?
• CDC guidance for safe school operations include improving indoor air quality as
a COVID-19 prevention strategy, and many LEAs are considering ventilation
upgrades.
• Renovations?
• Renovation could enable LEAs to utilize additional space for in-person instruction
while maximizing social distancing.
• New construction?
• When renovating an existing building would not be cost-effective due to the poor
overall condition of the existing building.
• Some LEAs may also choose to use ESSER funds to support a portion of a new
construction project, such as its design.
6
U.S. Department of Education
Construction FAQs
B-6. May ESSER… funds be used for construction?
Yes. Construction is authorized under Title VII of the ESEA (Impact
Aid) and therefore is an allowable use of ESSER funds under sections
18002(c)(3) and 18003(d)(1) of the CARES Act, sections 312(c)(3) and
313(d)(1) of the CRRSA Act, and section 2001(e)(2) of the ARP Act.
The broad Impact Aid definition of “construction” includes new
construction as well as remodeling, alterations, renovations, and
repairs under which many activities related to COVID-19 would likely
fall. These types of activities are also subject to a number of
additional Federal requirements, as detailed in the following
slide(s).
Note: Slides throughout this presentation may be paraphrased for presentation purposes. The Use of Funds Guidance, which applies to ESSER and
GEER awards, can be found here:
https://oese.ed.gov/files/2021/05/ESSER.GEER_.FAQs_5.26.21_745AM_FINALb0cd6833f6f46e03ba2d97d30aff953260028045f9ef3b18ea602db4b32b1
d99.pdf and additional HVAC guidance can be found here: https://oese.ed.gov/files/2021/06/HVAC_Use-of-funds-F06-17-2021.pdf
7
U.S. Department of Education
FAQs: Additional Federal Requirements
It is the responsibility of an SEA, LEA, or other subgrantee to assure that:
1) individual costs comply with the Cost Principles in 2 CFR Part 200, subpart E (e.g., the cost
must be “necessary and reasonable” (2 CFR §§ 200.403-200.404);
2) Individual costs meet the overall purpose of the CARES Act, CRRSA Act, or ARP Act
programs, which is “to prevent, prepare for, and respond to” COVID-19;
3) individual costs are consistent with the proper and efficient administration of those
programs. Under these general principles, any construction activities, including renovations
or remodeling, that are necessary for an LEA to prevent, prepare for, and respond to COVID-
19 could be permissible, though the burden remains on grantees and subgrantees to
maintain the appropriate documentation that supports the expenditure;
4) construction projects obtain the required prior written approval by an LEA’s SEA (or the
Department for State projects) (See Title VII of the ESEA and 2 CFR § 200.439(b).); and
5.) approved construction projects comply with applicable Uniform Guidance
requirements, Davis-Bacon prevailing wage requirements, and all of the Department’s
applicable regulations regarding construction at 34 CFR §§ 76.600 and 75.600-75.618.
8
U.S. Department of Education
FAQs: Renovation and HVAC Projects
B-7. May ESSER…funds be used for renovation, including for such projects as
making improvements to a school facility to improve indoor air quality (such as
heating, ventilation, and air conditioning (HVAC) systems), and projects that
would promote social distancing and safe in-person instruction?
Yes. ESSER funds may be used to make necessary improvements, for example to
improve air quality and support social distancing, so that teachers and students may
safely return to and continue in-person instruction. This might include renovations
that would permit an LEA to clean effectively (e.g., replacing old carpet with tile
that could be cleaned more easily) or create a learning environment that could
better sustain social distancing (e.g., bringing an unused wing of a school into
compliance with fire and safety codes in order to reopen it to create more space
for students to maintain appropriate social distancing).
9
U.S. Department of Education
FAQs: Renovation and HVAC Projects
If an LEA uses funds for HVAC systems, the Department’s regulation at 34 CFR §
75.616(c) requires the use of American Society of Heating, Refrigeration and Air
Conditioning Engineers (ASHRAE) standards. A State, SEA, or LEA might also
consider using ESSER funds to establish a program for assessing and improving
HVAC systems. Such a program could also require verification that proper
ventilation is occurring, such as through the use of carbon dioxide (CO2) monitors.
10
U.S. Department of Education
FAQs: Renovation and HVAC Projects
Please note that the Environmental Protection Agency (EPA) has a variety of publications
that can assist education leaders in improving the indoor air quality in schools. EPA
resources on indoor air quality in schools can be accessed at: https://www.epa.gov/iaq-
schools. The EPA has information available at: https://www.epa.gov/coronavirus/air-
cleaners-hvac-filters-and-coronavirus-covid-19 on some indoor air filtration devices that use
bipolar ionization technology, which has the potential to create ozone. EPA states that
ozone generators should not be used in occupied spaces. If choosing to use a device that
incorporates bipolar ionization technology, EPA recommends using a device that meets UL
2998 standard certification (Environmental Claim Validation Procedure (ECVP) for Zero
Ozone Emissions from Air Cleaners) and notes that there are many air cleaning devices that
do not use bipolar ionization. In addition, the CDC provides information on improving
ventilation in schools at: https://www.cdc.gov/coronavirus/2019-ncov/community/schools-
childcare/ventilation.html and in buildings at: https://www.cdc.gov/coronavirus/2019-
ncov/community/ventilation.html.
11
U.S. Department of Education
Process for Prior Approval
Does the Department determine the process that States must use for granting
prior approval to their LEAs for capital expenditures?
• No. The process an SEA uses for granting prior approval to an LEA to use ESSER
funds for capital expenditures (including HVAC projects) such as minor remodeling,
renovation, or construction is left to the discretion of the SEA. Neither the
Department nor the Uniform Guidance specifies the process that must be used.
• An SEA has the flexibility to establish its own reasonable process that ensures that
the expenditures meet the applicable statutory and regulatory requirements,
including those in Subpart E of the Uniform Guidance (2 CFR Part 200).
12
U.S. Department of Education
Process for Prior Approval
Does the Department determine the process that States must use for granting
prior approval to their LEAs for capital expenditures? (continued)
• For example, an SEA could:
• Use or modify the current procedures that it already uses for prior approval
categories for other Federal programs under the Uniform Guidance.
• Consider getting a building expert (engineer, inspector, architect) who knows
applicable State, local, and Federal requirements to assist with its review of
prior approval requests. The expert could be acquired on a limited basis through
procurement or perhaps an interagency agreement with another State agency,
such as a Public Works office or another agency with authority over facilities.
• Consult with other States that have facilities programs for suggestions on how
to implement an efficient process for prior approvals for facilities expenditures.
• (continued on next slide)
13
U.S. Department of Education
Process for Prior Approval
Does the Department determine the process that States must use for granting
prior approval to their LEAs for capital expenditures? (continued)
• For example, an SEA could:
• Develop a checklist of items that an LEA seeking prior approval should provide. This could include:
• The name of the school facility the LEA is proposing to repair, construct, or modernize.
• The identification of the LEA’s interest in, or authority over, the school facility involved, such as an ownership
interest or a lease arrangement.
• Sources and amounts of funds available for the proposed project.
• A statement signed by an appropriate independent local official that: (1) the renovation or construction project
meets the applicable Federal, State, or local requirements with respect to health and safety, environmental
standards, Historic Preservation, and other requirements (see FAQ B-6 and 34 CFR Part 75) and (2) any
deficiency that requires renovation or construction is necessary (e.g., because it threatens the health and safety
of occupants of the facility or prevents the use of the facility). An appropriate local official may include a local
building inspector, a licensed architect, or a licensed structural engineer.
• A description of the need for funds as related to COVID-19 including a cost estimate and other details needed to
support the reasonableness and allowability of the expenditure under the applicable statute ARP Act and cost
principles in the Uniform Guidance (e.g., the original construction date and the dates and descriptions of any
other major renovations of the school facility).
• Applicable assurances and certifications (see FAQ B-6 for applicable requirements that must be met for any
renovation or construction project).
14
U.S. Department of Education
Process for Prior Approval
Does the Department determine the process that States must use for granting
prior approval to their LEAs for capital expenditures? (continued)
• Please note that some HVAC upgrades may constitute “minor remodeling” and the Department’s
applicable regulations regarding construction at 34 CFR §§ 76.600 and 75.600-75.618 would not
apply.
• Minor remodeling means minor alterations in a previously completed building, for purposes
associated with the coronavirus. The term also includes the extension of utility lines, such as water
and electricity, from points beyond the confines of the space in which the minor remodeling is
undertaken but within the confines of the previously completed building.
• The term does not include permanent building construction, structural alterations to buildings,
building maintenance, or repairs. However, minor remodeling projects that constitute capital
assets under the Uniform Guidance still require prior approval consistent with 2 CFR 200.439.
15
U.S. Department of Education
Prior Approval and Bidding
Is SEA prior approval required before LEA bidding is advertised?
• No. SEA prior approval is not required before LEA bidding is advertised under applicable
Department requirements.
• The provisions in 34 CFR §§ 75.600-617 are “as applicable” and every provision does not apply to
every project. Some have cited 34 CFR § 75.605, which states in relevant part that: “Before
construction is advertised or placed on the market for bidding, the grantee shall get approval by
the Secretary of the final working drawings and specifications.”
• This provision applies to direct construction projects that require approval from the Department,
not those that require approval under the Uniform Guidance from an SEA. Therefore, an LEA
ESSER project that an SEA is approving and has been initiated or is already underway should not
have to be rebid.
16
U.S. Department of Education
Prior Approval Timeline
When must SEA prior approval occur?
• SEA approval can come at any point in the project timeline until the point that reimbursement
using ESSER funds occurs.
• As described in the response to the first question, States have the flexibility to develop or refine
their own prior approval processes to ensure that an allowable expenditure is reasonable and
necessary and is otherwise in line with program, Uniform Guidance, and other applicable
requirements. Ideally the SEA review process is complete as soon as possible on a project’s
timeline, but a State may utilize this flexibility at any point in the project process.
• This continuum includes up until the point when the Federal funds are actually approved for
reimbursement.
17
U.S. Department of Education
Applicability of NEPA
Is NEPA applicable to LEA construction projects funded with ESSER funds?
• No. NEPA is not applicable to LEA construction projects that are funded with ESSER funds.
• 34 CFR § 75.601 requires an applicant to submit an environmental assessment of the impact on
the proposed construction that is consistent with relevant provisions of the National
Environmental Policy Act (NEPA). This provision only applies to construction projects that are
operated and managed by the Department and require direct approval from the Department.
Due to the nature of the ESSER funds, the Department does not: have a decision-making role in
planning the specific projects, or directly manage the implementation or procurement for LEA
projects such as the HVAC projects or have the power to act on any environmental effects
revealed by an environmental assessment.
18
U.S. Department of Education
Applicability of NEPA
Is NEPA applicable to LEA construction projects funded with ESSER funds?
(continued)
• In addition, the Department does not exercise control over the use of the funds for any
individual project, as long as the project continues to meet all statutory and other applicable
requirements (such as the Uniform Guidance and the Department’s administrative regulations).
As a result, these types of LEA ESSER projects are not considered as a “major Federal action”
under the NEPA provisions and are not subject to 34 CFR§ 75.601.
• While NEPA is not applicable, the Department highly encourages States to require some type of
environmental assessment for LEA projects that involve breaking new ground such as for
expanding the size of an existing facility or replacing an outdated facility. This may already be
required by some State laws and is a prudent step that would help to assess any potential
environmental ramifications of expanding or replacing school facilities and ensure compliance
with any applicable State, local or Federal environmental requirements.
• .
19
U.S. Department of Education
Federal Partners: EPA & DoE
• Sheila Brown, Program Analyst, U.S. Environmental Protection Agency
• Katy Hatcher, ENERGY STAR Program Public Sector National Program
Manager, U.S. Environmental Protection Agency
• Amy Jiron, Team Lead and Acting Commercial Buildings Integration
Program Manager, U.S. Department of Energy
20
Energy Savings + Healthy Indoor Air:
A Winning Combination for Schools
Tracy Washington Enger
EPA, Indoor Environments Division
U.S. Department of Education
Good Indoor Air Quality Is Important in Schools
• IAQ affects the health, productivity, performance and comfort of
students, teachers and staff.
• Poor IAQ in a school building can cause students and staff to
suffer adverse health effects, including respiratory infections,
asthma and allergies.
• Managing the environmental quality of school facilities can
improve student performance, as well as teacher and staff
productivity.
• Good IAQ starts on the drafting table, when the building is first
designed, and continues through materials selection, actual
construction, ongoing maintenance, and projects to renovate and
upgrade the facility.
The Value of IAQ Preventive Maintenance:
Saving Costs with Healthy, Reliable and
Efficient School Buildings
Tools and Resources for Taking Action in Schools
Quality HVAC Integrated Energy Energy
HVAC Management Solutions Efficiency
Inspect HVAC systems regularly.
Establish a maintenance plan. Protect IAQ during energy efficiency upgrades and
Change filters regularly and ensure condensate pans building renovations.
are draining.
Conduct regular HVAC maintenance and tune-ups.
Provide outdoor air ventilation according to ASHRAE
standards or local code. Install programmable thermostats.
Clean air supply diffusers, return registers and outside Consider performing post-construction commissioning for
air intakes. HVAC systems.
Keep unit ventilators clear of books, papers and other Control moisture in building assemblies, mechanical
items. systems and occupied spaces.
ROI Considerations
• Holistic approach to combining IAQ and energy efficiency has
benefits.
• Energy savings
• Reduced maintenance expenses
• Less surprise expenses for better planning
• Less unexpected equipment down-time
• Cost avoidance from
• Missed school days due to IAQ related illnesses such as
asthma, upper respiratory system related issues, etc.
26
Value Proposition
• Define your program goals.
• Create a value proposition to secure buy-in.
• Use financing tools to make the business case.
Example Goals
Reduce energy use and/or costs by
XX% by XX date.
Reduce IAQ-related complaints by XX%
by XX date.
27
Value Proposition
Align Your Goals with the Core Mission
• The bold goal my program is
focused on is creating healthy
learning environments for our
students, protecting the health
of custodial staff, and increasing
the lifespan of the facilities by
implementing preventive
maintenance best practices as
part of a comprehensive indoor
air quality management
program.
By developing and implementing a
preventive maintenance plan, PA • In addition, implementing
preventive maintenance
Area School District saved practices keeps our facilities in
$500,000 in reactive / emergency good working order and helps
maintenance costs within the first 2 extend the life of our equipment
years. and assets, which will save
money in the long run.
28
Value Proposition
• Talk to your decision makers
about the air quality in your
schools.
• Ensure common practices for
EE and IAQ are handled
holistically
• Share these resources
(Mobile App, etc.)
29
EPA Resources to Get You Started!
IAQ Tools for Schools Framework for Effective
IAQ Tools for Schools IAQ Management
Action Kit Mobile App
IAQ Master Class IAQ Tools for
Energy Savings Plus Health Guide Schools Preventive
Professional Training
and Interactive Air Quality Planner Maintenance
Webinar Series
www.epa.gov/iaq-schools Guidance
30
Thank
U.S. Department of Education
You!
Tracy Washington Enger
U.S. Environmental Protection Agency,
Washington, DC
enger.tracy@epa.gov
ENERGY STAR for
Schools
Managing Energy Efficiency and Indoor Air Quality
Together
Caterina (Katy) Hatcher
ENERGY STAR National Public Sector Manager
hatcher.caterina@epa.gov
Manage Energy Efficiency and
Indoor Air Quality Together!
13
• 275,000 buildings last year
• Nearly 25% of all floorspace
• 37 state & local benchmarking policies
• One foreign government (Canada)
U.S. Department of Education
Management Tool
Assess whole building Track changes in energy, water,
energy and water greenhouse gas emissions, and
consumption, plus waste cost over time
Track green power Create custom reports
purchase
Share/report data with Apply for ENERGY STAR
others certification
U.S. Department of Education
Hundreds of metrics, including:
Energy use Water use Waste & 1-100 GHG
Source, site, Water use Materials ENERGY emissions
weather intensity, Waste intensity, STAR score Indirect,
normalized, Water Score diversion rate direct, total,
demand (for Multifamily) avoided
U.S. Department of Education
ENERGY STAR Certification and IAQ
• Benchmark building in ENERGY STAR Portfolio Manager
• Achieve an ENERGY STAR score of 75 or higher
• Minimum meet ASHRAE 62.1 and 55, meet IESNA
Lighting Handbook
• Application must be verified by a licensed professional
• Re-apply annually to keep current but monitor energy use
and IAQ continuously.
1 to 100 Energy Performance Scale
National Average Superior Energy
Management!
1 50 75 100
17
U.S. Department of Education
EPA’s ENERGY STAR Tools and Resources
to Help School Districts
• Portfolio Manager
• Competition Guide
• Treasure Hunt maps
• ENERGY STAR certification
• Online help/training
• Implementation support
• …and more!
energystar.gov
U.S. Department of Education
School District Highlights
• Benchmarked all facilities
• Effective communication with stakeholders
• Preventive maintenance and retro-commissioning
• Implemented return to learn plan
• Additional cleaning
• Social distancing • Partner of the Year – Energy
• Equipment maintenance/preventive maintenance Management 2012 to 2020
• Focus on ERVs and air handlers • Partner of the Year – Climate
• Air filters Communicator 2014 to 2016
• Focus on IAQ • 80% of Eligible Buildings are
• Runtimes for ventilation Currently ENERGY STAR Certified
• Equipment is calibrated
• Ensure CO2 control is working properly
• CO detectors
• Humidity sensors
• Filter status
• Monitor trends 19
U.S. Department of Education
DMPS ESSER II Funds Use
• Ventilation Improvements
• Humidity Control
• Drinking Fountain Replacement
20
U.S. Department of Education
School District Highlights
• Full review of all ventilation systems
• Measured airflow and documented findings for all • Partner of the Year –
facilities Energy Management
2017 to 2020
• Moved from MERV8 to MERV13 filtration • 2021 WELL Health-
Safety Rating seals
• Provided HEPA & UV light advanced filtration are awarded to all
FCPS facilities –
system to spaces with special ventilation/filtration International WELL
Building Institute
requirements • 2021 – Deferred goal
achievement status
• Employ air cleaners to allow for normal
operations to resume
• Continuous monitoring and preventive maintenance • 200 schools
with a strong customer feedback system ENERGY STAR
certified
• CLICK HERE to get the full report
21
U.S. Department of Education
EPA’s ENERGY STAR Tools and Resources
to Help School Districts
• Portfolio Manager
• Competition Guide
• Treasure Hunt maps
• ENERGY STAR certification
• Online help/training
• Implementation support
• …and more!
hatcher.caterina@epa.gov
U.S. Department of Education
Back to *Better* Schools
DOE Building Technologies Office and Weatherization and Intergovernmental Programs Office
U.S. Department of Education
COVID…a big problem with an energy efficiency connection.
“Schools face tough decisions when it comes to putting federal relief funding to
good use. As a one-time infusion, we believe this funding is uniquely well-suited
Approximately 100,000 U.S. public K-12 schools and for facilities investments, which can increase health and well-being, lower
13,000 school district house 50 million students carbon emissions, and reduce operating costs in the long run.”
-Thank you Anisa Heming!
and 3 million teachers.
Center for Green Schools at the U.S. Green Building Council
U.S. public K-12 schools consume 65 TWh of “States and district facilities managers need independent sources of
electricity, 140 TBtu of natural gas annually, information and technical assistance to guide their decisions on facilities
resulting in between $5 and $10 billion in utility bills standards, policy, practice, and procurement. The Department of Energy
and contributing 33 million metric tons of carbon will be a valuable partner to states and districts as they work to deliver
healthy and efficient modern facilities across all communities.”
dioxide equivalent emissions (0.6% of U.S.
greenhouse gas emissions). -Thank you Mary Filardo!
21st Century Schools Fund
"Our K-12 public schools represent an opportunity for 1 in 6 Americans to walk in
Building ventilation investments the door of a clean energy success story every day. We applaud the DOE’s
improve air quality and can either leadership in convening public and private partners to support our K-12 sector in
making the transition to clean energy and ensuring our young people are
increase or reduce energy prepared to shape and lead the clean energy transition."
Jonathan Klein,
consumption. UndauntedK12
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 2
U.S. Department of Education
How to Save $$, Improve Comfort & Provide Healthy Conditions
Upgrades at Parkway West High School in Chesterfield, Missouri
• Optimize HVAC supply air
temperature
• Optimize air flow
• Increase outside air
• Add CO2 control and balance outside
air delivery based on ventilation
requirements
• Balance heating and cooling water
systems for better pump operation
• Balance heating system (water)
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 3
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 4
Several states described spending of
prior/current ESSER funds towards
HVAC, ventilation, and/or indoor air
quality improvements in their State
Plan.
Examples: Delaware, Kentucky, Michigan
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 5
State Status of Descriptions of prior/current ESSER spending in the
ARP ESSER State Plan
State Plan
Delaware Approved $26,209,039 on indoor air quality / HVAC
$6,417,665 on facility repairs
Kentucky Approved $38,422,506 on improve indoor air quality
Michigan* Under $143,105,465 on indoor air quality, including HVAC
review system upgrades
* The Michigan Department of Environment, Great Lakes, and Energy (EGLE) offered the Michigan K-
12 Public School HVAC Assistance Program, to provide air quality assessment tools, webinars, and
best practices, as well as to receive recommendations for remediation of identified issues.
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 6
U.S. Department of Education
Most states* describe plans to improve
HVAC, ventilation, and/or indoor air
quality in their State Plan.
Examples: South Carolina, Hawaii, California
* At least 30 out of the 44 State plans submitted (as of 9/1/2021).
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 7
U.S. Department of Education
Back to *Better* Schools: DOE, Education and EPA
Who? DOE, Ed, EPA, LBNL, and you!
What? DOE, Ed and EPA providing a consolidated suite of tools and technical
assistance to support efficient healthy school facility investments.
When? Starting now! Sign up online or by e-mailing EHSC@lbl.gov.
Why? These investments can:
o Reduce school energy expenditures,
o Improve comfort and safety,
o Ensure continuity of operations and resilience,
o Enable accessibility and transparency into facility status,
o Ease operation,
o Create pathways for better teacher retention and productivity.
As a participant, you:
- Commit to efficient and healthy upgrades in your school(s)
- Engage in peer-to-peer learning
- Participate in the development of technical resources to simplify and scale
technical solutions, i.e. purchasing templates
U.S. Department of Education
Back to *Better* Schools: DOE, Education and EPA
Seeking schools to demonstrate best practices :
HVAC Inspection and Maintenance for IAQ
Schools and their school districts that implement an inspection and maintenance policy to ensure adequate ventilation
and effective filtration for good indoor air quality (IAQ).
Efficient HVAC for IEQ
Schools and their school districts that use technical specifications for HVAC retrofits, upgrades, and/or replacement,
resulting in reduction in energy costs and improvements in energy efficiency and indoor environmental quality (IEQ).
Ongoing Monitoring and Analytics for HVAC performance
Schools and their school districts that use energy management and information system (EMIS) to improve HVAC
performance and operation through fault detection and diagnostics, benchmarking, and commissioning.
Teamwork to Support Strategic Investments in Efficient Healthy Schools
School and their school districts with a formal collaboration between facilities personnel, school administration, and
the community for strategic planning and investment in efficient healthy buildings.
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 9
U.S. Department of Education
What else are we doing for school facilities?
• Continue existing relationships through the Better Buildings Challenge for K-12 school districts.
• Consolidate information on existing programs and financing mechanisms.
• Piloting virtual school audits with Asset Score.
• Convening school stakeholders:
o to align messaging,
o work collectively to solve identified needs and barriers, including across school type and region,
o provide solutions to help de-carbonize schools. and
o especially provide support in disadvantaged communities.
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 10
U.S. Department of Education
Thank you!
Amy Jiron, amy.jiron@ee.doe.gov
Mariana Egea-Casalduc, mariana.egea-casalduc@ee.doe.gov
Carl Shapiro, carl.shapiro@ee.doe.gov
Rengie Chan, wrchan@lbl.gov
Join the Efficient Healthy Schools Campaign!
U.S. DEPARTMENT OF ENERGY OFFICE OF ENERGY EFFICIENCY & RENEWABLE ENERGY 11
U.S. Department of Education
State Partners: Maine & Utah
• Shelly Chasse Johndro, Director of the Office of Federal Emergency Relief
Programs and State Ombudsman, Maine Department of Education
• Jaci Holmes, Federal State Legislative Liaison, Maine Department of
Education
• Ricky Martinez, Assistant Director of Facility Services, Salt Lake City
School District
54
Construction, Renovation, HVAC
Maine Department of Education
Office of Federal Emergency Relief Programs (OFERP)
U.S. Department of Education
Getting Started, Background
• Team Research
• Nationwide Examples and Resources
• Federal Programs Experience
• UGG, EDGAR and CFR
• Electronic Grant Management System
• Small, independent organization that has supported the Department for 20+ years
• Office of School Facilities and Transportation
• Title 20-A Maine Revised Statutes, §15905-A. Approval of nonstate funded projects
56
U.S. Department of Education
Resources and Support
• COVID-19 Toolkit
• https://www.maine.gov/doe/covid-19/toolkit
• Federal Emergency Relief Programs (under construction)
• https://www.maine.gov/doe/covid-19/fedrelief
• Biweekly Office Hours
• Open to all
• One-on-One Technical Assistance
• Virtual, Considerations, Follow-up questions
• Highlight FAQ B-6 and B-7
• Document the determination of essential needs
57
U.S. Department of Education
Maine’s Process – ESSER Application
• Certified Assurances
• “The SAU will comply with the provisions of all applicable acts, regulations and assurances; the
following provisions of Education Department General Administrative Regulations (EDGAR) 34
CFR parts 76, 77, 81, 82, 84, 97, 98, and 99; the OMB Guidelines to Agencies on Governmentwide
Debarment and Suspension (Non procurement) in 2 CFR part 180, as adopted and amended as
regulations of the Department in 2 CFR part 3485; and the Uniform Guidance in 2 CFR part 200, as
adopted and amended as regulations of the Department in 2 CFR part 3474.
• Develop project(s) utilizing allocation
• provide a project description, alignment to an allowable use, the narrative to justify the necessity,
and document a reasonable budget
58
Maine’s Process – Project Review
• While construction is generally allowable, it is the responsibility of a Governor,
SEA, LEA, or other subgrantee to assure that individual costs:
• comply with the Cost Principles in 2 CFR Part 200, subpart E (e.g., the cost must be “necessary and
reasonable” (2 CFR §§ 200.403-200.404));
• meet the overall purpose of the CARES Act, CRRSA Act, or ARP Act programs, which is “to prevent, prepare
for, and respond to” COVID-19; and
• are consistent with the proper and efficient administration of those programs. Under these general principles,
any construction activities, including renovations or remodeling, that are necessary for an LEA to prevent,
prepare for, and respond to COVID-19 could be permissible, though the burden remains on grantees and
subgrantees to maintain the appropriate documentation that supports the expenditure.
59
U.S. Department of Education
Maine’s Process – Capital Improvement
• Internal Checklist that defines Capital Improvement
• School Construction Project defined in Maine Revised Statutes, Title 20-A, Section 15901
• If yes, the project warrants a Construction Form
• Breaking new ground, changing the footprint of the building, on-site addition to existing schools
• Has heating, plumbing and electricity
• Is permanent (i.e. designed to last a decade in Maine weather)
• Project is part of another construction project that uses state funds/revolving renovation fund
• Project required drawings/architectural design
60
U.S. Department of Education
ESSER Application Construction Form
• State Statues, Definitions, ESSER FAQs, EDGAR, UGG and CFR
• Identification Information: SAU Name, Contact Person, Email
• ESSER funding sources and amounts proposed for the project
• Narratives addressing:
• steps conducted to obtain the Commissioner and/or local voters' approval
• how the project is functional, economical, and not elaborate
• how the SAU will maintain the facility and/or has the support of the community to continue the
maintenance of the facility
• Applicable assurances and certifications are provided, which a SAU authorized official must
certify, such as:
• complete the project in a reasonable time period and consistent with the approved plans and
specifications
• maintain appropriate documentation that supports expenditures for the proposed School Construction
Project including Davis-Bacon prevailing wage requirements
• procure a qualified individual or firm, for example a licensed architect or professional engineer, through
a Request for Qualifications Process
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U.S. Department of Education
Maine Examples
Renovation Construction
• Additional Classroom Space • 3 new K-Classrooms
• growth in enrollment - need • Analyzed existing space which
additional instructional space limits options for return to full-
• relocated teacher's room, and stages time instruction while following
as teaching space social distancing
• construct walls in the current library • expected to begin fall 2021 and
space and oversized classroom completed start of 2022-23
school year
• cost $89,100 for constructions
services, addition of a sprinkler • cost $1,200,000 for
system, and the purchase and design, equipment, labor and
installation of a divider curtain in the
material costs
gymnasium
62
U.S. Department of Education
LD 705: Improve Air Quality
& Ventilation
• As the result of State Legislative Document 705, now Resolve 2021,
Chapter 114, the State Board of Education is required to amend rule
Chapter 60, 61 and 125 to require standards governing air quality
and ventilation for all public schools including schools with
mechanical and non-mechanical ventilation systems.
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U.S. Department of Education
LD 705: Continued
• Therefore, the State Board of Education is proposing in a targeted
rulemaking for Chapter 60, 61 and 125 the following language to
each of the rules in the appropriate location:
• “The school administrative unit will utilize the best- available practice
national standard s of the American Society of Heating, Refrigerating
and Air Conditioning Engineers (ASHRAE) for inspection, maintenance,
ventilation and filtration.”
• Maine’s school administrative units by statute are required to follow
ASHRAE standards.
64
U.S. Department of Education
Maine Examples
$16 million has been allocated to air quality
• Unit ventilators and heating controls ensuring adequate
ventilation and air
• Update HVAC system with new rubber flex connectors
• Equipment to add fresh air to spaces not currently ventilated
• Install Air Handling Units
• Install bipolar ionization system
• Rooftop HVAC units that allow the highest level of air filtration
through HEPA filters
• Purchase stand-alone air purifiers for classrooms
65
U.S. Department of Education
Contacts
• Jaci Homes, Federal State Legislative Liaison
• Jaci.holmes@maine.gov
• Shelly Chasse-Johndro, Director of Office Federal Emergency
Relief Programs
• Shelly.chassejohndro@maine.gov
• Monique Sullivan, ARP Coordinator
• Monique.Sullivan@maine.gov
• Karen Kusiak, CARES and CRRSA Coordinator
• Karen.Kusiak@maine.gov
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U.S. Department of Education
Ricky Martinez Assistant Director Of Facility Services
Salt Lake City School District
K-12 24,020 Students, 38 Facilities, 4,600,000 sq ft
ESSER Funds/IAQ
• HVAC Equipment
• Filters
• Cleaning Equipment & Products
• Employees
This Photo by Unknown Author is licensed under CC BY-SA
U.S. Department of Education
Questions
• What is Davis Bacon and when does it apply?
• Is replacing a roof an allowable use of funds?
• Can ESSER funds be used for mold, radon or asbestos abatement projects in
order to improve indoor air quality?
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U.S. Department of Education
Thank you for participating in today's
webinar.
If you have additional questions that
were not addressed in today's
presentation, please send them to
your State email box,
[STATE].oese@ed.gov.
A recording of this webinar will be
posted on the ARP ESSER Resources
page:
https://oese.ed.gov/offices/american-
rescue-plan/american-rescue-plan-
elementary-and-secondary-school-
emergency-relief/resources/
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