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Home My WebLink AboutA4329 - CALIF ENERGY COMMISSION LED RETROFIT . * i n ir) n n i California Energy Commission CALIFORNIA ENERGY COMMISSION LED Retrofit Loan AGREEMENT #4329 ENERGY CONSERVATION ASST. R19963, 12-20-00 ESTIMATED LOAN AMORTIZATION SCHEDULE— LOAN NUMBER 808-000-ECA ORGANIZATION CITY OF PALM SPRINGS LOAN AMOUNT $ 226, 048 . 00 ANNUAL INTEREST RATE 6% NUMBER OF PAYMENTS 22 ESTIMATED FIRST DISBURSEMENT DATE 06/02/2001 ESTIMATED PROJECT COMPLETION DATE 06/O1/2001 ASSUMED FIRST PAYMENT DATE 12/22/2001 DATE TRANSACTION AMOUNT ACCRUED PRINCIPAL UNPAID INTEREST REDUCTION PRINCIPAL 06/02/2001 DISBURSEMENT 226 , 048 . 00 226, 048 . 00 12/22/2001 PAYMENT NO . 1 14 , 232 . 22 7, 543 . 19 6 , 689 . 03 219 , 358 . 97 06/22/2002 PAYMENT NO. 2 14 , 232 . 22 6, 562 . 74 7, 669 . 48 211 , 689 . 49 12/22/2002 PAYMENT NO. 3 14, 232 . 22 6 , 368 . 09 7, 864 . 13 203 , 325 . 36 06/22/2003 PAYMENT NO. 4 14 , 232 . 22 6, 098 . 01 8 , 134 . 21 195 , 691 . 15 12/22/2003 PAYMENT NO. 5 14 , 232 . 22 5, 886 . 82 8, 345 . 40 187, 345 . 75 06/22/2004 PAYMENT NO. 6 14 , 232 . 22 5 , 635 . 77 8 , 596 . 45 178 , 749 . 30 12/22/2004 PAYMENT NO. 7 14 , 232 . 22 5 , 377 . 17 8 , 855 . 05 169, 894 . 25 06/22/2005 PAYMENT NO. 8 14 , 232 . 22 5, 082 . 86 9, 149 . 36 160 , 744 . 89 12/22/2005 PAYMENT NO. 9 14 , 232 . 22 4 , 835 . 56 9 , 396 . 66 151 , 348 . 23 06/22/2006 PAYMENT NO , 10 14 , 232 . 22 4 , 528 . 01 9, 704 . 21 141 , 644 . 02 12/22/2006 PAYMENT NO. 11 14 , 232 . 22 4 , 260 . 96 9, 971 . 26 131 , 672 . 76 06/22/2007 PAYMENT NO. 12 14 , 232 . 22 3 , 939 . 36 10 , 292 . 86 121 , 379 . 90 12/22/2007 PAYMENT NO . 13 14 , 232 . 22 3 , 651 . 37 10 , 580 . 85 110 , 799 . 05 06/22/2008 PAYMENT NO . 14 14 , 232 . 22 3 , 333 . 08 10 , 899 . 14 99 , 899 . 91 12/22/2008 PAYMENT NO . 15 14 , 232 . 22 3 , 005 . 21 11 , 227 . 01 88 , 672 . 90 06/22/2009 PAYMENT NO. 16 14 , 232 . 22 2 , 652 . 90 11, 579 . 32 77 , 093 . 58 12/22/2009 PAYMENT NO. 17 14 , 232 . 22 2 , 319 . 14 11 , 913 . 08 65 , 180 . 50 06/22/2010 PAYMENT NO . 18 14 , 232 . 22 1, 950 . 06 12 , 282 . 16 52 , 898 . 34 12/22/2010 PAYMENT NO. 19 14 , 232 . 22 1 , 591 . 30 12 , 640 . 92 40 , 257 . 42 06/22/2011 PAYMENT NO. 20 14 , 232 . 22 1 , 204 . 41 13 , 027 . 81 27 , 229 . 61 12/22/2011 PAYMENT NO. 21 14 , 232 . 22 819 . 13 13 , 413 . 09 13 , 816 . 52 06/22/2012 PAYMENT NO . 22 14 , 232 . 15 415 . 63 13 , 816 . 52 0 . 00 NOTE : THIS SCHEDULE IS ONLY AN ESTIMATE . WHEN YOUR PROJECT IS COMPLETED, YOU WILL BE ISSUED A FINAL SCHEDULE BASED ON ACTUAL DISBURSEMENT (S) AND COMPLETION DATE . THIS AMORTIZATION SCHEDULE ASSUMES PAYMENTS OF ALL INSTALLMENTS ARE MADE ON THEIR DUE DATES IN ACCORDANCE WITH THE TERMS OF THE PROMISSORY NOTE. ANY PAYMENT OF INSTALLMENT CONSIDERED TO HAVE BEEN MADE LATE IN ACCORDANCE WITH THE TERMS OF THE PROMISSORY NOTE AND ANY UNSCHEDULED PREPAYMENT WILL AFFECT ACCRUED INTEREST, PRINCIPAL REDUCTION, UNPAID PRINCIPAL, AND TOTAL REPAYMENT . PRINCIPAL AMOUNT: $ 226, 048 . 00 LOAN NUMBER: 808-000—ECA PROJECT TERM: 01/10/2001 — 06/01/2001 ENERGY CONSERVATION ASST. ACCOUNT LOAN AGREEMENT THIS AGREEMENT IS EFFECTIVE AS OF THE DATE BOTH PARTIES HAVE SIGNED THIS AGREEMENT, IN THE STATE OF CALIFORNIA, BY AND BETWEEN THE STATE OF CALIFORNIA, CALIFORNIA ENERGY COMMISSION, 1516 NINTH STREET, SACRAMENTO, CA 95814, HEREINAFTER "COMMISSION, " AND CITY OF PALM SPRINGS, 3200 TAHQUITZ CANYON WAY, PALM SPRINGS, CA 92262, HEREINAFTER "BORROWER. " 1. AUTHORITY A. PURSUANT TO THE PURPOSES AUTHORIZED BY SECTION 25410, ET SEQ, OF THE CALIFORNIA PUBLIC RESOURCES CODE, THE COMMISSION HAS APPROVED BORROWER'S LOAN APPLICATION DATED December 4, 2001 , WHICH IS NOT ATTACHED BUT IS EXPRESSLY INCORPORATED BY REFERENCE HEREIN. B. SUBJECT TO THE TERMS, COVENANTS, AND CONDITIONS CONTAINED HEREIN, AND THE ATTACHED BUDGET DETAIL TO THE EXTENT IT MODIFIES BORROWER'S LOAN APPLICATION, THE COMMISSION SHALL MAKE A LOAN TO BORROWER IN THE AMOUNT OF TWO HUNDRED TWENTY SIX THOUSAND FORTY EIGHT DOLLARS ($226, 048 . 00) EVIDENCED BY A PROMISSORY NOTE FOR LOAN NUMBER 808-000—ECA, ATTACHED HERETO, '"--TTz��y 2 . GENERAL TERMS �}®' A. THE BORROWER AGREES TO INDEMNIFY, DEFEND, AND SAVE HARMLESS THE STATE, ITS OFFICERS, AGENTS, AND EMPLOYEES FROM ANY AND ALL CLAIMS AND LOSSES ACCRUING OR RESULTING TO BORROWER AND TO ANY AND ALL CONTRACTORS, SUBCONTRACTORS, MATERIALMEN, LABORERS, AND ANY OTHER PERSON, FIRM, OR CORPORATION FURNISHING OR SUPPLYING WORK, SERVICES, MATERIALS, OR SUPPLIES IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT, AND FROM ANY AND ALL CLAIMS AND LOSSES ACCRUING OR RESULTING TO ANY PERSON, FIRM, OR CORPORATION WHO MAY BE INJURED OR DAMAGED BY THE BORROWER IN THE PERFORMANCE OF THIS CONTRACT. B. THE BORROWER, AND THE AGENTS AND EMPLOYEES OF BORROWER, IN THE PERFORMANCE OF THIS AGREEMENT, SHALL ACT IN AN INDEPENDENT CAPACITY AND NOT AS OFFICERS OR EMPLOYEES OR AGENTS OF THE STATE OF CALIFORNIA. C. WITHOUT THE WRITTEN CONSENT OF THE COMMISSION, THIS AGREEMENT IS NOT ASSIGNABLE OR TRANSFERABLE BY BORROWER EITHER IN WHOLE OR IN PART. D. TIME IS OF THE ESSENCE IN THIS AGREEMENT. BORROWER IS REQUIRED TO TAKE TIMELY ACTIONS WHICH, TAKEN COLLECTIVELY, MOVE TO COMPLETION OF THE PURPOSE FOR WHICH THIS LOAN WAS AWARDED. THE COMMISSION PROJECT MANAGER WILL PERIODICALLY EVALUATE THE — 1 — PROGRESS TOWARD COMPLETION. IF THE COMMISSION PROJECT MANAGER DETERMINES THAT THE LOAN RECIPIENT IS NOT PROGRESSING TOWARD COMPLETION WITHIN TWO (2) YEARS OF THE DATE THE LOAN DOCUMENTS WERE SIGNED BY THE COMMISSION, THE COMMISSION PROJECT MANAGER MAY, WITHOUT PENALTIES OR PREJUDICE TO ANY OF THE COMMISSION'S REMEDIES, TERMINATE THIS AGREEMENT. E. NO ALTERATION OR VARIATION OF THE TERMS OF THIS AGREEMENT SHALL BE VALID UNLESS MADE IN WRITING AND SIGNED BY THE PARTIES HERETO, AND NO ORAL UNDERSTANDING OR AGREEMENT NOT INCORPORATED HEREIN, SHALL BE BINDING ON ANY OF THE PARTIES HERETO. 3 . PURPOSE THE BORROWER AGREES TO EXPEND ALL FUNDS ADVANCED PURSUANT TO THIS AGREEMENT ONLY FOR THE PURPOSES AND IN THE AMOUNTS SET FORTH IN THE ATTACHED BUDGET DETAIL. IN THE EVENT THE COMMISSION DETERMINES THAT FUNDS HAVE BEEN EXPENDED WITHOUT PRIOR WRITTEN APPROVAL BY THE COMMISSION FOR PURPOSES OTHER THAN THOSE SPECIFIED, THE FULL AMOUNT OF THE LOAN, INCLUDING PRINCIPAL AND INTEREST, SHALL BE IMMEDIATELY DUE AND PAYABLE. 4 . LOAN DISBURSEMENT SCHEDULE A. THE COMMISSION AGREES TO DISBURSE FUNDS TO THE BORROWER UPON THE PROPER EXECUTION OF THE ATTACHED PROMISSORY NOTE AND ANY APPROPRIATE SECURITY INSTRUMENTS, AND REQUIRED SUPPLEMENTAL DOCUMENTS, INCLUDING INVOICES AS REQUIRED IN PARAGRAPH C. B. THIS PARAGRAPH APPLIES ONLY TO BORROWERS WHO HAVE RECEIVED TECHNICAL ASSISTANCE OR A FEASIBILITY STUDY BY A CONSULTANT UNDER CONTRACT TO THE COMMISSION AND ARE FINANCING THE TECHNICAL ASSISTANCE OR STUDY REIMBURSEMENT THROUGH THIS LOAN. THE COMMISSION WILL REIMBURSE ITSELF FROM THE BORROWER'S LOAN PROCEEDS FOR THE TECHNICAL ASSISTANCE OR FEASIBILITY STUDY COST WHICH WAS PROVIDED IN ACCORDANCE WITH THE ENERGY PARTNERSHIP PROGRAM SERVICES AGREEMENT, DATED SUCH REIMBURSEMENT WILL OCCUR ON THE DATE THE COMMISSION EXECUTES THIS LOAN AGREEMENT AND WILL BE EQUAL TO $ C. EXCEPT FOR THE TECHNICAL ASSISTANCE OR FEASIBILITY STUDY COST INDICATED IN B. , LOAN FUNDS SHALL BE DISBURSED ON A REIMBURSEMENT BASIS BASED ON INVOICES SUBMITTED BY BORROWER IN A FORM APPROVED BY THE COMMISSION. BILLINGS MUST BE PROVIDED TO SUBSTANTIATE THE REQUEST. COMMISSION STAFF WILL APPROVE INVOICES ONLY AFTER VERIFYING REQUESTED AMOUNTS AGAINST BACKUP BILLINGS AND DETERMINING EXPENSES ARE APPROPRIATE AND USED FOR THE PURPOSE OF THE LOAN. D. TEN PERCENT (10%) OF THE LOAN AMOUNT WILL BE WITHHELD AS RETENTION UNTIL THE FINAL REPORT IS RECEIVED AND THE COMMISSION'S PROJECT MANAGER DETERMINES THE PROJECT HAS BEEN SATISFACTORILY COMPLETED. - 2 - E. AN ADVANCE OF UP TO TEN PERCENT (10%) OF THE LOAN BALANCE (AFTER COMMISSION REIMBURSEMENT FOR THE TECHNICAL ASSISTANCE OR FEASIBILITY STUDY COST, IF APPLICABLE) MAY BE REQUESTED AT THE START OF THE PROJECT. SUBSEQUENT ADVANCES MAY BE ALLOWED WHEN RECEIPT OF FUNDS ON A REIMBURSEMENT BASIS PRESENTS AN UNDUE HARDSHIP TO THE BORROWER. S . INTEREST THE LOAN HEREIN SHALL BEAR SIMPLE INTEREST AT THE ANNUAL RATE SET FORTH IN THE ATTACHED PROMISSORY NOTE ON THE PRINCIPAL BALANCE OF LOAN FUNDS DISBURSED TO THE BORROWER. PAYMENT OF SAID INTEREST SHALL BE DUE AT THE TIME OF REPAYMENT OF THE LOAN TO THE COMMISSION, AND INTEREST SHALL ACCRUE FROM THE TIME OF DISBURSAL OF FUNDS TO THE BORROWER UNTIL RECEIPT OF FULL REPAYMENT BY THE COMMISSION. INTEREST ON COMMISSION REIMBURSEMENT FOR TECHNICAL ASSISTANCE OR THE FEASIBILITY STUDY, IF APPLICABLE, SHALL ACCRUE FROM THE DATE THE COMMISSION EXECUTES THIS LOAN AGREEMENT UNTIL RECEIPT OF FULL REPAYMENT BY THE COMMISSION. 6. TERM A. THE EFFECTIVE DATE OF THIS AGREEMENT SHALL BE THE LAST DATE OF EXECUTION. B. THE BORROWER AGREES TO COMPLETE PERFORMANCE OF ITS OBLIGATIONS UNDER THIS AGREEMENT WITHIN THE PERIOD STATED IN THIS AGREEMENT. 7 . REPAYMENT ALL FUNDS ADVANCED HEREUNDER, TOGETHER WITH ALL INTEREST PAYABLE THEREON, SHALL BE REPAID TO THE COMMISSION IN ACCORDANCE WITH THE TERMS OF THE PROMISSORY NOTE. 8 . PREPAYMENT BORROWER SHALL HAVE THE RIGHT TO PREPAY ALL OR ANY PART OF THE AMOUNT OF THIS LOAN AT ANY TIME WITHOUT PENALTY. 9 . PROMISSORY NOTE IN ORDER TO EVIDENCE ITS DEBT TO THE COMMISSION HEREUNDER, THE BORROWER AGREES TO, CONTEMPORANEOUSLY WITH THE EXECUTION OF THIS AGREEMENT, EXECUTE AND DELIVER TO THE COMMISSION A PROMISSORY NOTE. 10. SECURITY (APPLIES ONLY TO NONGOVERNMENTAL BORROWERS) A. NONGOVERNMENTAL BORROWERS WITH A LOAN OF TWENTY-FIVE THOUSAND DOLLARS ($25, 000. 00) OR MORE MUST MEET FINANCIAL REQUIREMENTS AS SPECIFIED IN THE LOAN APPLICATION PACKAGE. FOR THOSE BORROWERS THAT DO NOT MEET THE FINANCIAL REQUIREMENTS, THE COMMISSION WILL - 3 - REQUIRE SECURITY FOR A LOAN OF TWENTY-FIVE THOUSAND DOLLARS ($25, 000. 00) OR MORE. THE COMMISSION WILL REQUIRE EITHER: (1) AN IRREVOCABLE LETTER OF CREDIT OR (2) A DEED OF TRUST ON THE PROPERTY TO BE IMPROVED UNDER THE TERMS OF THIS AGREEMENT TO SECURE THE ATTACHED PROMISSORY NOTE, WITH SAID DEED OF TRUST NAMING THE STATE OF CALIFORNIA, CALIFORNIA ENERGY COMMISSION, AS BENEFICIARY. BORROWER SHALL ALSO OBTAIN AND DELIVER A STANDARD CLTA TITLE INSURANCE POLICY FOR THE SECURED PROPERTY, INSURING THE COMMISSIONS INTEREST AS LENDER, AND A CURRENT MARKET VALUE APPRAISAL OF SAID PROPERTY WITH VALUES SUPPORTED BY AVAILABLE MARKET DATA WHICH HAS BEEN PREPARED BY A LICENSED APPRAISER. B. FOR ALL NONGOVERNMENTAL LOANS SECURED BY A DEED OF TRUST, THE BORROWER AGREES THAT IN THE EVENT IT SELLS, TRANSFERS, MORTGAGES, DISPOSES OF, OR FURTHER ENCUMBERS THE SAID PROPERTY, OR ANY PART THEREOF, WITHOUT THE PRIOR WRITTEN CONSENT OF THE COMMISSION, THEN THE COMMISSION SHALL HAVE THE RIGHT, AT ITS OPTION, TO DECLARE THE ENTIRE BALANCE OF THE UNPAID PRINCIPAL WITH UNPAID INTEREST DUE THEREON, IMMEDIATELY DUE AND PAYABLE. CONSENT TO ONE SUCH TRANSACTION SHALL NOT BE DEEMED TO BE A WAIVER OF THE RIGHT TO REQUIRE CONSENT TO FUTURE OR SUCCESSIVE TRANSACTIONS. 11. ACCOUNTS A. IF REQUESTED BY THE COMMISSION, THE BORROWER AGREES TO DEPOSIT ALL FUNDS RECEIVED UNDER THIS AGREEMENT IN A SEGREGATED ACCOUNT IN AN INSTITUTION WHOSE DEPOSITS ARE INSURED BY THE FEDERAL OR THE STATE GOVERNMENT. B. THE BORROWER FURTHER AGREES TO ESTABLISH ON ITS BOOKS A SEPARATE ACCOUNT FOR THIS LOAN. THIS ACCOUNT SHALL BE MAINTAINED AS LONG AS THE LOAN OBLIGATION REMAINS UNSATISFIED. C. THE BORROWER FURTHER AGREES TO MAINTAIN RECORDS THAT ACCURATELY AND FULLY SHOW THE DATE, AMOUNT, PURPOSE, AND PAYEE OF ALL EXPENDITURES DRAWN ON SAID ACCOUNT. D. THE BORROWER FURTHER AGREES TO UTILIZE A VOUCHER SYSTEM BY WHICH ALL EXPENDITURES FROM SAID ACCOUNT WILL BE AUTHORIZED AND AUTHENTICATED. E. THE BORROWER FURTHER AGREES TO ALLOW THE COMMISSION OR ANY OTHER AGENCY OF THE STATE OR THE FEDERAL GOVERNMENT, ON WRITTEN REQUEST, TO HAVE REASONABLE ACCESS TO, AND THE RIGHT OF INSPECTION OF, ALL RECORDS THAT PERTAIN TO SAID ACCOUNT. THE BORROWER ALSO AGREES TO SUBMIT TO AN INDEPENDENT AUDIT, IF REQUESTED BY THE COMMISSION, AT THE EXPENSE OF THE BORROWER. - 4 - F. THE BORROWER FURTHER AGREES TO MAINTAIN RECORDS FOR THREE (3) YEARS FOLLOWING PROJECT COMPLETION SHOWING THE COST OF THE ENERGY SAVED AS A RESULT OF IMPLEMENTING THE PROJECT FUNDED IN WHOLE OR IN PART BY THIS LOAN. FOR EACH OF THE THREE (3) YEARS FOLLOWING PROJECT COMPLETION, BORROWER SHALL COMPUTE THE COST OF THE ENERGY SAVED BY IMPLEMENTING THE PROJECT FUNDED IN WHOLE OR IN ' PART BY THIS LOAN AND SHALL SUBMIT ANNUAL REPORTS TO THE COMMISSION. G. ALL INVOICES MUST BE SUBMITTED WITHIN SIXTY (60) DAYS OF PROJECT COMPLETION. 12 . BUDGET A. SEMIANNUAL PAYMENTS DUE TO THE COMMISSION UNDER THIS AGREEMENT SHALL BE MApE FROM SAVINGS IN ENERGY COSTS OR OTHER AVAILABLE FUNDS AS THE BORROWER CHOOSES . IF BORROWER IS A COUNTY, CITY, TOWN, TOWNSHIP, BOARD OF EDUCATION, OR SCHOOL DISTRICT, BORROWER AGREES THAT THE AMOUNT OF THE SEMIANNUAL LOAN REPAYMENT SHALL NOT BE RAISED BY THE LEVY OF ADDITIONAL TAXES AND SHALL NOT BE A CHARGE AGAINST BORROWER'S GENERAL FUND, BUT SHALL BE OBTAINED EITHER FROM ACTUAL SAVINGS IN ENERGY COSTS RESULTING FROM THE SUBJECT ENERGY CONSERVATION PROJECTS OR OTHER AVAILABLE FUNDS AS THE BORROWER CHOOSES. B. ENERGY COST SAVINGS CALCULATIONS ARE BASED ON ENERGY USAGE AND SERVING UTILITY RATES AT THE TIME OF THE ISSUANCE OF THIS LOAN. CHANGES IN ENERGY USE AND RATE REDUCTIONS WHICH OCCUR AFTER ISSUANCE OF THE LOAN WILL NOT AFFECT THE CALCULATED ENERGY SAVINGS. THEREFORE, ALL FUNDS ADVANCED HEREUNDER, TOGETHER WITH ALL INTEREST PAYABLE THEREON, SHALL BE REPAID TO THE COMMISSION IN FULL AND SHALL NOT BE FORGIVEN DUE TO A CHANGE IN BORROWER'S ENERGY USE OR A REDUCTION IN BORROWER'S ENERGY UTILITY RATES. 13 . DEFAULT A. IN THE EVENT THE BORROWER, FOR ANY REASON, IS UNABLE TO PROCEED WITH THE PURPOSE OF THIS AGREEMENT, THE COMMISSION MAY DECLARE THIS AGREEMENT TO HAVE BEEN BREACHED AND BE RELEASED FROM ANY FURTHER PERFORMANCE HEREUNDER. B. IN THE EVENT OF ANY DEFAULT OR BREACH OF THE AGREEMENT BY THE BORROWER, THE COMMISSION, WITHOUT LIMITING ANY OF ITS OTHER LEGAL RIGHTS OR REMEDIES, MAY DECLARE THE PROMISSORY NOTE EVIDENCING THE LOAN TO BE IMMEDIATELY DUE AND PAYABLE. 14 . REPORTING A. PROGRESS REPORTS ARE DUE SEMIANNUALLY UNTIL PROJECT COMPLETION. REPORTS ARE DUE JANUARY 31 (FOR THE JULY 1 - DECEMBER 31 PERIOD) AND JULY 1 (FOR THE JANUARY 1 - JUNE 30 PERIOD) . B. A FINAL REPORT IS DUE NO LATER THAN 60 DAYS AFTER PROJECT COMPLETION. 5 - C. A PROGRESS REPORT MUST BE SUBMITTED WITH EACH REQUEST (INVOICE) FOR LOAN FUNDS . D. IF REQUESTED BY THE COMMISSION, BORROWER SHALL SUBMIT, WITHIN TEN (10) DAYS OF THE COMMISSION'S WRITTEN REQUEST, A STATUS REPORT ON ITS ACTIVITIES TO DATE, PURSUANT TO THIS AGREEMENT. E. REPORTS SHALL BE IN A FORMAT AS DETERMINED BY THE COMMISSION. 15. NONDISCRIMINATION A. DURING THE PERFORMANCE OF THIS AGREEMENT, THE BORROWER AND ITS CONTRACTORS AND SUBCONTRACTORS SHALL NOT DENY THE AGREEMENT'S BENEFITS TO ANY PERSON ON THE BASIS OF RELIGION, COLOR, ETHNIC GROUP IDENTIFICATION, SEX, AGE, PHYSICAL OR MENTAL DISABILITY, NOR SHALL THEY DISCRIMINATE UNLAWFULLY AGAINST ANY EMPLOYEE OR APPLICANT FOR EMPLOYMENT BECAUSE OF RACE, RELIGION, COLOR, NATIONAL ORIGIN, ANCESTRY, PHYSICAL HANDICAP, MENTAL DISABILITY, MEDICAL CONDITION, MARITAL STATUS, AGE, OR SEX. THE BORROWER SHALL INSURE THAT THE EVALUATION AND TREATMENT OF EMPLOYEES AND APPLICANTS FOR EMPLOYMENT ARE FREE OF SUCH DISCRIMINATION. B. THE BORROWER SHALL COMPLY WITH THE PROVISIONS OF THE FAIR EMPLOYMENT AND HOUSING ACT (GOVERNMENT CODE, SECTION 12900 ET SEQ. ) , THE REGULATIONS PROMULGATED THEREUNDER (CALIFORNIA CODE OF REGULATIONS, TITLE 2 , SECTION 7285 . 0 ET SEQ. ) , THE PROVISIONS OF ARTICLE 9 . 5, CHAPTER 1, PART 1, DIVISION 3 , TITLE 2 , OF THE GOVERNMENT CODE (GOVERNMENT CODE, SECTTIONS 11135 - 11139 . 5) , AND THE REGULATIONS OR STANDARDS ADOPTED BY THE AWARDING STATE AGENCY TO IMPLEMENT SUCH ARTICLE. C. THE BORROWER AND ITS CONTRACTORS AND SUBCONTRACTORS SHALL GIVE WRITTEN NOTICE OF THEIR OBLIGATIONS UNDER THIS CLAUSE TO LABOR ORGANIZATIONS WITH WHICH THEY HAVE A COLLECTIVE BARGAINING OR OTHER AGREEMENT. D. THE BORROWER SHALL INCLUDE THE NONDISCRIMINATION AND COMPLIANCE PROVISIONS OF THIS CLAUSE IN ALL CONTRACTS AND SUBCONTRACTS TO PERFORM WORK UNDER THIS AGREEMENT. 6 - IN WITNESS WHEREOF, THIS AGREEMENT HAS BEEN EXECUTED BY THE PARTIES HERETO. BORROWER (IF OTHER THAN AN STATE OF CALIFORNIA - INDIVIDUAL, STATE WHETHER A CALIFORNIA ENERGY COMMISSION CORPORATION, PARTNERSHIP, ETC. ) ��UTO �T� '�'"�s)�`(` �IZED SIGNATURE BY (AU,THORIyZ.ED `SI 1 TURE CHIEF, FISCAL MANAGEMENT BRANCH -"gn TITLE, TITLE/ / E �/�/ e-1 LJc_"� DATE IENM MAIL ADDRESS: CITY OF PALM SPRINGS 3200 TAHQUITZ CANYON WAY PALM SPRINGS, CA 92262 AMOUNT ENCUMBERED: FISCAL YEAR: FUND-ORG 0033 LOAN NO. $ 226, 048 . 00 2000-2001 808-000-ECA APPROPRIATION-ORG C-86 LINE ITEM-ORG 0033-3360-94-517 , CH. 553/94 ALLOTMENT ECAA Loans - Continuous Appropriation - FY 00 $226, 048 . 00 4600-626-46007 I HEREBY CERTIFY UPON MY OWN PERSONAL KNOWLEDGE THAT BUDGETED FUNDS ARE AVAILABLE FOR THE PERIOD AND PURPOSE OF THE EXPENDITURE STATED ABOVE. --------------------------------------------------------------------------- SIGNATURE OF ACCOUNTING OFFICER DATE k �� ` �✓u�� 7 APPROVED AS TO FORVti4 AP JI?G OV�F4 Fu [95W T]"N"C --c` �lttori; �''y? BUDGET DETAIL =____ GLNUMBER 808-000-ECA SEQUENCE NO. : 1359-1 GRANT NO. : LED-OOA-026 RECIPIENT: CITY OF PALM SPRINGS INSTITUTION: N/A BUILDING: N/A BUILDING TYPE: - ECM CODE: TSL - SIGNAL LIGHT CEC LOAN BUDGET: 226, 048 . 00 SENATE DIST: 37 CEC GRANT BUDGET: 192 , 000 . 00 ASSEMBLY DIST: 80 TOTAL CEC BUDGET: 418, 048 . 00 PROGRAM: ENERGY CONSERVATION ASST. FED MATCH: 0 . 00 RECIPIENT MATCH: 0. 00 TOTAL BUDGET: 418, 048 . 00 FINAL COST: 0. 00 - 7a - PROMISSORY NOTE PRINCIPAL AMOUNT: $ 226, 048 . 00 LOAN NUMBER: 808-000-ECA 1. FOR VALUE RECEIVED, THE UNDERSIGNED, CITY OF PALM SPRINGS (HEREINAFTER REFERRED TO AS THE "BORROWER") , PROMISES TO PAY TO THE ORDER OF THE STATE OF CALIFORNIA, CALIFORNIA ENERGY COMMISSION (HEREINAFTER REFERRED TO AS THE "COMMISSION") , AT ITS PRINCIPAL PLACE OF BUSINESS AT 1516 NINTH STREET, SACRAMENTO, CALIFORNIA 95814, OR AT SUCH OTHER PLACE AS THE COMMISSION MAY DESIGNATE, THE PRINCIPAL SUM OF TWO HUNDRED TWENTY SIX THOUSAND FORTY EIGHT DOLLARS ($226, 048 . 00) OR SUCH LESSER AMOUNT AS SHALL EQUAL THE AGGREGATE AMOUNT DISBURSED TO THE BORROWER BY THE COMMISSION, PLUS THE AMOUNT OF COMMISSION REIMBURSEMENT FOR TECHNICAL ASSISTANCE OR FEASIBILITY STUDY COST, IF APPLICABLE, TOGETHER WITH INTEREST ON THE UNPAID PRINCIPAL COMPUTED FROM THE DATE OF EACH DISBURSEMENT TO THE BORROWER UNTIL REPAID BY THE BORROWER AT THE INTEREST RATE OF SIX PERCENT (60) PER ANNUM. PRINCIPAL AND INTEREST IS DUE AND PAYABLE IN SEMIANNUAL INSTALLMENTS, BEGINNING ON OR BEFORE DECEMBER 22 OF THE FISCAL YEAR FOLLOWING THE YEAR IN WHICH THE PROJECT IS COMPLETED AND CONTINUING THEREAFTER UNTIL SAID PRINCIPAL AND INTEREST HAVE BEEN PAID IN FULL. 2 . PAYMENT OF ANY SCHEDULED INSTALLMENT RECEIVED WITHIN THIRTY (30) DAYS AFTER ITS DUE DATE SHALL BE CONSIDERED TO HAVE BEEN RECEIVED ON ITS DUE DATE AND SHALL BE FIRST APPLIED TO ACCRUED INTEREST FROM THE DATE OF DISBURSAL TO THE BORROWER AND THE BALANCE, IF ANY, TO PRINCIPAL. PAYMENT OF ANY SCHEDULED INSTALLMENT RECEIVED MORE THAN THIRTY (30) DAYS AFTER ITS DUE DATE BUT BEFORE THE NEXT BILLING SHALL BE CONSIDERED LATE, AND INTEREST ON THE UNPAID PRINCIPAL SHALL ACCRUE FROM DATE OF DISBURSAL TO THE BORROWER THROUGH THE ACTUAL PAYMENT DATE. HOWEVER, PAYMENT OF ANY SCHEDULED INSTALLMENT RECEIVED AFTER A SUBSEQUENT BILLING SHALL BE CONSIDERED OVERDUE, AND INTEREST SHALL ACCRUE ON THE UNPAID PRINCIPAL FROM DATE OF DISBURSAL TO THE BORROWER THROUGH THE SUBSEQUENT BILLING DUE DATE OR ACTUAL PAYMENT DATE, WHICHEVER IS LATER. THE BORROWER MAY PREPAY THIS NOTE IN FULL OR IN PART, WITHOUT PENALTY, BUT ANY SUCH PREPAYMENT SHALL BE FIRST APPLIED TO PRINCIPAL AND THE BALANCE, IF ANY, TO ACCRUED INTEREST. 3 . IF ANY INSTALLMENT IS NOT PAID WITHIN THIRTY (30) DAYS AFTER ITS DUE DATE, THE COMMISSION, AT ITS OPTION, MAY REQUIRE THE BORROWER TO PAY A LATE CHARGE EQUAL TO FIVE PERCENT (50) OF THE AMOUNT OF THE INSTALLMENT OR FIVE DOLLARS ($5 . 00) , WHICHEVER IS GREATER. 4 . ON THE OCCURRENCE OF ANY EVENT OF DEFAULT, THE COMMISSION, AT ITS SOLE ELECTION, MAY DECLARE ALL OR ANY PORTION OF THE PRINCIPAL AND ACCRUED INTEREST ON THIS NOTE TO BE IMMEDIATELY DUE AND PAYABLE AND MAY PROCEED AT ONCE WITHOUT FURTHER NOTICE TO ENFORCE THIS NOTE ACCORDING TO LAW. 8 - 5 . EACH OF THE FOLLOWING OCCURRENCES SHALL CONSTITUTE AN EVENT OF DEFAULT: A. FAILURE OF THE BORROWER TO REPAY ANY PRINCIPAL OR INTEREST WHEN DUE UNDER THE TERMS OF THIS NOTE; B. TERMINATION OF SAID LOAN AGREEMENT PURSUANT TO THE TERMS THEREOF OR BREACH BY THE BORROWER OF ANY TERMS OF SAID LOAN AGREEMENT; C. FAILURE OF THE BORROWER TO UNDERTAKE IN A TIMELY WAY THE EXPRESS AND IMPLIED ACTIVITIES FOR WHICH SAID LOAN AGREEMENT HAS BEEN EXECUTED; D. FAILURE OF THE BORROWER TO OBTAIN PRIOR WRITTEN COMMISSION APPROVAL BEFORE UNDERTAKING A CHANGE IN THE SCOPE OF THE ACTIVITIES FOR WHICH SAID LOAN AGREEMENT HAS BEEN EXECUTED; OR E. OCCURRENCE OF (1) THE BORROWER BECOMING INSOLVENT OR BANKRUPT OR BEING UNABLE OR ADMITTING IN WRITING ITS INABILITY TO PAY ITS DEBTS AS THEY MATURE OR MAKING A GENERAL ASSIGNMENT FOR THE BENEFIT OF OR ENTERING INTO ANY COMPOSITION OR ARRANGEMENT WITH CREDITORS; (2) PROCEEDINGS FOR THE APPOINTMENT OF A RECEIVER, TRUSTEE, OR LIQUIDATOR OF THE ASSETS OF THE BORROWER OR A SUBSTANTIAL PART THEREOF, BEING AUTHORIZED OR INSTITUTED BY OR AGAINST THE BORROWER; OR (3) PROCEEDINGS UNDER ANY BANKRUPTCY, REORGANIZATION, READJUSTMENT OF DEBT, INSOLVENCY, DISSOLUTION, LIQUIDATION OR OTHER SIMILAR LAW, OR ANY JURISDICTION BEING AUTHORIZED OR INSTITUTED AGAINST THE BORROWER. 6 . NO DELAY OR FAILURE OF THE COMMISSION IN THE EXERCISE OF ANY RIGHT OR REMEDY HEREUNDER OR UNDER ANY OTHER AGREEMENT, WHICH SECURES OR IS RELATED HERETO, SHALL AFFECT ANY SUCH RIGHT OR REMEDY, AND NO SINGLE OR PARTIAL EXERCISE OF ANY SUCH RIGHT OR REMEDY SHALL PRECLUDE ANY FURTHER EXERCISE THEREOF, AND NO ACTION TAKEN OR OMITTED BY THE COMMISSION SHALL BE DEEMED A WAIVER OF ANY SUCH RIGHT OR REMEDY. 7 . ANY NOTICE TO THE BORROWER PROVIDED FOR IN THIS NOTE SHALL BE GIVEN BY MAILING SUCH NOTICE BY CERTIFIED MAIL, RETURN RECEIPT REQUESTED, ADDRESSED TO THE BORROWER AT THE ADDRESS STATED IN THE LOAN AGREEMENT, OR TO SUCH OTHER ADDRESS AS THE BORROWER MAY DESIGNATE BY NOTICE TO THE COMMISSION. ANY NOTICE TO THE COMMISSION SHALL BE GIVEN BY MAILING SUCH NOTICE BY CERTIFIED MAIL, RETURN RECEIPT REQUESTED, TO THE COMMISSION AT THE ADDRESS STATED IN THE LOAN AGREEMENT, OR AT SUCH OTHER ADDRESS AS MAY HAVE BEEN DESIGNATED BY NOTICE TO THE BORROWER. 8. IF SUIT IS BROUGHT TO COLLECT ANY PART OF THIS NOTE, THE COMMISSION SHALL BE ENTITLED TO COLLECT ALL REASONABLE COSTS AND EXPENSES OF SAID SUIT, INCLUDING REASONABLE ATTORNEY'S FEES. - 9 - 9 . THIS NOTE SHALL BE BINDING UPON THE BORROWER AND ITS SUCCESSORS AND ASSIGNS AND UPON THE COMMISSION AND ITS SUCCESSORS AND ASSIGNS. 10. THIS NOTE SHALL BE CONSTRUED AND ENFORCED IN ACCORDANCE WITH THE LAWS OF THE STATE OF CALIFORNIA. Cit of Palm Springs �— BO®RR EWER BY (AUTHORIZED SIGNA RE) City Manager TITLE , 3 1 �- DATE Attests City Clerk v M orney r)ate 10 — 01 RESOL< N STATE OF CALIFORNIA ( STATE ENERGY RESOURCES CONSERVATION AND DEVELOPMENT COMMISSION WHEREAS, funds have been made available to the State of California as a result of negotiated settlements and court judgments based upon petroleum company overcharges during the period from September 1973 to January 1981; and WHEREAS, $4 million of these funds have been appropriated to the California Energy Commission through Senate Bill 880 (Chapter 1343, Statutes of 1986) to provide financial assistance to help local jurisdictions implement energy projects which can reduce energy costs; and WHEREAS, city and county governments, inkarticular are financially strained and can substantially benefit from energy efficiency improvements to their buildings and facilities; and -WHEREAS, the Local Jurisdiction Energy Assistance Account requires that 75 percent of the energy project cost may be funded through the Account and that loans may not exceed_ $1, million for any one local jurisdiction (Chapter 5.4, section 25440-25443); and WHEREAS, funds allocated for the purpose of energy efficiency improvements to city and county facilities through this chapfer have been under-utilized while similar funding available through the Energy Conservation Assistance Account which does not contain these restrictions has been heavily used; and WHEREAS, the City of Palm Springs has applied to the Commission for a $226,048 loan and Energy Commission staff has determined the that the project meets the technical and funding requirements of the Local Jurisdiction Energy Assistance Account; THEREFORE BE IT RESOLVED, that the Energy Commission approves the staff recommendation to loan $226,048 to the city of Palm Springs. BE IT FURTHER RESOLVED, that the Energy Commission authorizes the Executive Director or his designee to consider and approve any requests from the loan recipients for additions, deletions, or modifications to the energy efficiency projects, provided that the project, as modified, remains eligible for financial assistance through the Energy Partnership Program and, also, that the modified project does not require any additional financial assistance. Dated: i�, o2aoi STATE ENERGY RESOURCES CONSERVATION AND DEVELOPMENT COgMISSION WILLIAM J. KE E. Chairman -Gl- Oft RESOLUTION NO. i-"u, OF THE CITY OF PALM SPRINGS, CALIFORNIA, APPROVING THE APPLICATION FOR CALIFONIA ENGERY COMMISSION GRANT AND LOAN FOR THE RETRO FIT OF LED LAMPS IN TRAFFIC SIGNAL APPLICATIONS. WHEREAS, the California Energy Commission provides grants and loans to finance energy efficient projects that will reduce peak electricity demand; and WHEREAS, the retrofitting of traffic signals with LED lamps to replace incandescent lamps is eligible for these grants and loans; and WHEREAS, the City of Palm Springs owns and operates 66 City owned traffic signals and by agreement, pays for the electrical consumption of 12 Caltrans owned signals; and WHEREAS, the use of LED lamps will save the City of Palm Springs an estimated $81,000.00 in electrical consumption costs and reduce the demand for electricity in the Palm Springs area. NOW THEREFORE, BE IT RESOLVED, by the City Council of the City of Palm Springs, California, as follows; A. That the City of Palm Springs Engineering Department is authorized to apply for grant funding from the California Energy Commission to replace incandescent traffic signals with those using light emitting diodes. B. That if recommended for award of grant funding by the California Energy Commission, the City of Palm Springs Engineering Department may accept a grant up to $192,000.00 and a loan up to $226,480.00. C. That the amount of the loan will be paid in full, plus interest, under the terms and conditions of the Loan Agreement and Promissory Note of the California Energy Commis4jon. D. That the City Manager is the official hereby authorized and empowered to execute in the name of the City of Palm Springs all necessary documents to implement and carry out the purpose of this resolution, and to undertake all actions necessary to complete the energy efficiency project. - 12 - C /J Resolution 19963 Resolution - California Energy Commission Traffic Signal Lamp December 20, 2000 Page 2 ADOPTED this 201h day of December, 2000 AYES: Members Hodges, Jones, Oden, Reller-Spurgin and Mayor Kleindienst NOES: None ABSENT: None ATTEST: CITY OF PALM SPRINGS, CALIFORNIA By: /s/ Patricia A. Sanders /s/ David H. Ready City Clerk City Manager REVIEWED & APPROVED AS TO FORM I HEREBY CERTIFY THAT THE FOREGOING,IS A TRUD COPY OP RESOLUTION No._-L'H62-3 DULY ADOPTED BY THE CITY COUidCiL OF C 0-7 ?:%L?: '�>�...•,' I:v ` L.h d' _. enal4R+ HTI':D AT T1 M1g� DAY GI 1�n � H13 CITY CLZr.iS ITY OF PALM SPPUNTCS,C!1T_!POP NfA - '13 - /S� Z 11,L G1q,0 q: Calif Energy Commission Grant Agreement — Traffic Lts �tATE otc,W]FORrJtI€ �'; f�l�;r�� rS � AGREEMENT #4329 GRANT AGREEMENT L"'tiV t_ � :� R19963, 12-20-00 This agreement is official notification of a grant award from the California Energy Commission.-The a acnments listed below are incorporated as part of this grant agreement RECIPIENT GRANT NUMBER City of Palm Springs LED-OOA-026 AGGRESS TERM 3200 Tahquitz Canyon Way, Palm Springs, CA 92262 1/10/01 - 6/1/01 CEO PROJECT MANAGER PHONE California Energy Commission, Virginia Lew (916) 654-3838 ADDRESS 1516 9th St.-MS-26, Sacramento, CA 95814 PROJECT DESCRIPTION This project involves the conversion of incandescent traffic signals to those using light emitting diodes. CEC: $ 192,000 PROGRAM FUND TITLE AB970 Efficiency Grant Program General AMOUNT ENC'UMBEREO REM CHAPTER STATUTE FISCAL YEAR $ 192,000.00 0001-3360-506 329 2000 00/01 MATCH SHARE PURPOSE OF EXPENDITURE $ 0 Light Emitting Diode Traffic Signal Conversion TOi AL OPTIONAL USE $ 192,000.00 4600-632.99-46250 1 hereby certify upon my own personal knowledge that budgeted funds are available for the period and purpose stated above. SGNATVFE FACCOUN➢NG OFFICER DATE � ola..A l� ar� lbca The undersigned parties have read the attachments to this agreement and will comply with the standards and requirements contained therein CALIFORNIA ENERGY COMMISSION RECIPIENT �Va.. SIGN -U EOFD P TY ICIONt HI� CATE pU'THCFI2EDS6 ATg'pE t i-1¢na a DATE ! Iq D1 ti NAME P16.E NAMEAttest: City Clerk PITON Mark Hutchison 654-6718 ATTACHMEMS TITLE I. Terms and Conditions r'&PROVED AS TO �� 2. Current&Proposed Traffic Signal SIGNATDRE OF ACCOUNTING OFFICER D+Te 3. Project Budget 4. Work Statement �• - 5. Resolution/Contittee Approval lCi Attorney -- NAME PHONE m 6. Special Conditions 1�11 �,,g Date -1 L51?3_Y_,L------ -, E GLI4-268 �, -��— ©� GRANT NOT SUBJECT TO DGS APPROVAL PER ATTORNEY GENERAL OPINIONS TERMS AND CONDITIONS AWARD # LED - OOA - 026 CALIFp�,� � f9 a}. COMA TERMS AND CONDITIONS TABLE OF CONTENTS SECTION PAGE NO. 1. GRANT AGREEMENT................................................................................................................... 1 2. ATTACHDIENTS AND REFERENCES.............................................................................................. 1 3. FUNDING LIMITATIONS............................................................................................................... 3 4. DUE DILIGENCE.......................................................................................................................... 4 5. PRODUCTS.................................................................................................................................. 4 6. REPORTS .............................................................................................:...................................... 4 7. LEGAL STATEMENT ON REPORTS AND PRODUCTS ...................................................................... 6 8. AMENDMENTS............................................................................................................................ 7 9. CONTRACTING AND PROCUREMENT PROCEDURES..................................................................... 7 10. BONDING AND INSURANCE......................................................................................................... 8 11. PERMITS AND CLEARANCES ....................................................................................................... 8 12. EQUIPMENT................................................................................................................................ 8 13. TERMINATION............................................................................................................................ 9 14. TRAVEL AND PER DIEM.............................................................................................................. 9 15. LICENSE ................................................................................................................................... 12 16. STANDARD OF PERFORMANCE.................................................................................................. 12 17. PAYMENT OF FUNDS................................................................................................................. 13 18. FISCAL ACCOUNTING REQUIREMENTS...................................................................................... 15 19. INDEMNIFICATION.................................................................................................................... 16 1 TERMS AND CONDITIONS TABLE OF CONTENTS (cont'd.) SECTION PAGE NO. 20. DISPUTES.................................................................................................................................. 16 21. WORKERS'COMPENSATIONINSURANCE................................................................................... 18 22. GENERAL PROVISIONS.............................................................................................................. 18 23. CERTIFICATIONS&COMPLIANCE............................................................................................. 20 24. ADDITIONAL REQUIREMENTS FOR PEAK LOAD REDUCTION PROGRAM GRANTS ....................... 23 -e N M-IISIT A................................................................................................................................. 27 y AWARD #LED-OOA-026 TERMS AND CONDITIONS 1. GRANT AGREEMENT This project is being funded with a grant from the California Energy Commission (Commission). Funding for this project was authorized by Assembly Bill No. 970, Chapter 329, Statutes of 2000, and consists of funds from the General Fund. This agreement is comprised of the grant funding award, the Terms and Conditions, and all attachments. These Terms and Conditions are standard requirements for grant awards. The Commission may impose additional special conditions in this grant agreement which address the unique circumstances of this project. Special conditions that conflict with these standard provisions take precedence. The recipient shall sign all six copies of this agreement and return five signed packages to the Commission's Grants and Loans Office within 30 days. Failure to meet this requirement may result in the forfeiture of this award. When all required signatures are obtained, an executed copy will be returned to the recipient. The recipient also must provide written documentation that a separate ledger account or fund has been established by the recipient for receipt and disbursement of Commission funds. Commission-funded work cannot begin prior to the agreement term date. This agreement is not effective until it is signed by all parties. 2. ATTACHNMNTS AND REFERENCES The following are attached and hereby expressly incorporated into this agreement. • Work Statement. • Budget. • Resolution of the Recipient or Local Jurisdiction Governing Body (if applicable). • Resolution of the California Energy Commission (if applicable). The following checked items are attached and hereby expressly incorporated. Assurances—Non-Construction Programs. Assurances of Compliance, Nondiscrimination in-Federally Assisted Programs. Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug Free Workplace Requirements. Intellectual Property Provisions. X Special Conditions. _ Other: None T&C-AB970 1 NOVEMBER 2000 AWARD#LED-OOA-026 The Office of Management and Budget (OMB) Circulars and/or federal regulations checked below are incorporated by reference as part of this agreement. These Terms and Conditions and any Special Conditions take precedence over the circulars and/or regulations checked below. OMB Circulars may be accessed on the OMB web site at www.whitehouse.gov/omb/circulars/index.litmi or by calling the Office of Administration, Publications Office, at (202) 395-7332. Common Rule for Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments oNm Circular A-110: Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (also applicable to private entities) 10 CFR Part 600: DOE Financial Assistance Regulations (www.pr.doe.go v/f600toc.html) oNm Circular A-87: Cost Principles for State, Local and Tribal Governments oNm Circular A-21: Cost Principles Applicable-to Grants, Contracts, and Other Agreements with Institutions of Higher Education (public and private colleges and universities) oNm Circular A-122: Cost Principles Applicable to Grants, Contracts, and Other Agreements with Non-Profit Organizations (non-profit organizations and individuals, except for those specifically exempted) oNm Circular A-133: Audits of States, Local Governments, and Non-Profit Organizations Title 48 CFR, Ch. 1, Subpart 31.2: Contracts with Commercial Organizations (Supplemented by 48 CFR, Ch. 9, Subpart 931.2 for Department of Energy grants) (commercial firms and certain non-profit organizations) (www.access.gpo.gov/nara/cfr/efr-table-search.html) Other: X None T&C-AB970 2 NOVEMBER 2000 • AWARD #LED-OOA-026 3. FUNDING LUVETATIONS - Any federal, state, and local laws and regulations applicable to your project not expressly listed in this agreement are incorporated herein as part of this agreement. The funding source(s) and applicable restriction(s) checked below apply to this grant: Funding for this agreement is dependent upon a federal grant agreement which is scheduled to terminate on Funding for this agreement is subject to the approval of the applicable federal government agency, federal law, federal court judgments, and/or federal agency orders which may affect the provisions or terms of this agreement. EXXON SETTLEMENT Grant funds may not be used to reimburse indirect charges'. STRIPPER WELL SETTLEMENT Indirect charges' up to 5 percent are allowed if included in the grant budget. WARNER AMENDMENT - Grant funds may not be used to reimburse indirect charges'. STATE ENERGY PLAN(SEP) Funding for this agreement is approved as part of the SEP annual grant. This grant terminates on June 30 of each year and must be extended annually. Grant funds may be used only as approved in the California SEP. Projects included in SEP may be required to submit annual energy savings reports. X SUPPLANTING Grant funds may not be used to supplant (i.e., take the place of) previously budgeted funds for this project, whether recipient funds or funding from other grants. This includes budgeting for staff, contractors, or supplies. Funds may be used to supplement an existing budget. Other: None r Indirect charges are those incurred for a common or joint purpose benefiting more than one activity. Examples would be office space rental, establishment and maintenance of the grant program, and preparation and maintenance of payroll and related wage records. T&C-AB970 3 NOVEMBER 2000 Y � 1 AWARD #LED-OOA-026 4. DUE DILIGENCE The recipient is required to take timely actions which, taken collectively, move this project to completion. The Commission Project Manager will periodically evaluate the schedule for completion of Work Statement tasks. If the Commission Project Manager determines (1) the recipient is not being diligent in completing the tasks in the Work Statement or (2) the time remaining in the funding award is insufficient to complete all project work tasks not later than the agreement term date, the Project Manager may recommend to the Committee of the Commission (Committee) or Commission, whoever approved the award, that this agreement be terminated, and the Committee or Commission may, without prejudice to any of its remedies, terminate this agreement. 5. PRODUCTS Products are defined as any tangible item specified in the Work Statement. Unless otherwise directed, draft copies of all products identified in the Work Statement shall be submitted to the Commission Project Manager for review and comment. The recipient will submit an original and two copies of the final version of all products to the Commission Project Manager. If the Commission Project Manager determines a product is substandard, given the description and intended use of the product as described in the Work Statement and the grant application, the Commission Project Manager may refuse to authorize payment for the product and any subsequent products that rely upon or are based upon that product under this agreement. - 6. REPORTS a. Quarterly Progress Reports The recipient shall submit quarterly progress reports to the Commission Project Manager unless another schedule is indicated in the Special Conditions or Work Statement. They are due according to the following schedule. Quarter Report Due January-:\larch April 5 April -June July 5 July- September October 5 October-December January 5 T&C-AB970 4 NOVEMBER 2000 • • AWARD #LED-OOA-026 Unless otherwise indicated in the Work Statement or Special Conditions, each progress report should include a discussion of the status of each of the following: Work Statement: This section should include a brief restatement of the approved tasks in the Work Statement and a report on the status of each. Included should be a discussion of any products due and whether or not the project is progressing according to schedule. This section also should include a discussion of any problems encountered, proposed changes to the tasks in the Work Statement, and anticipated accomplishments in the upcoming quarter. Financial Status: This section should include a task-by-task narrative report comparing costs to date with the approved Budget. The report should state whether or not the project is progressing within the approved Budget and discuss any proposed changes. b. Final Reports A draft final report shall be submitted to the Commission Project Manager no later than 60 days prior to the end of the agreement term unless another timeframe is indicated in the Special Conditions or Work Statement. Unless indicated otherwise in the Work Statement or Special Conditions, the report shall include: • Table of Contents. • Abstract. • A brief summary of the objectives of the project and how these objectives were accomplished. • Any findings, conclusions, or recommendations for follow-up or ongoing activities that might result from the successful completion of the project. • A statement of future intent of the grant recipient to maintain or further develop the project. • A Payment Request form for the final payment (including any retention). • A consolidated list of subcontractors funded in whole or in part by the grant recipient. Include the name, address, concise statement of work done, period, and value or each. The Commission Project Manager will review the draft report. The recipient will incorporate applicable comments and submit the final report (the original and two copies) to the Commission Project Manager. Upon receipt of the final report, the Commission Project Manager shall ensure that all work has been satisfactorily completed. T&C-AB970 5 NOVEMBER 2000 j • • AWARD #LED-OOA-026 C. Rights in Reports The Commission reserves the right to use and reproduce all reports and data . produced and delivered pursuant to this agreement, and reserves the right to authorize others to use or reproduce such materials. Each report becomes the property of the Commission. d. Failure to Comply with Reporting Requirements Failure to comply with the reporting requirements contained in this award will be considered a material noncompliance with the terms of the award. Noncompliance may result in withholding of future payments, suspension or termination of the current award, and withholding of future awards. A willful failure to perform, a history of failure to perform, or of unsatisfactory performance of this and/or other financial assistance awards, may also result in a debarment action to preclude future awards. 7. LEGAL STATEMENT ON REPORTS AND PRODUCTS No product or report produced as a result of work funded by this program shall be represented to be endorsed by the Commission, and all such products or reports shall include the applicable checked statement as follows: X Nonfederal Grant LEGAL NOTICE This document was prepared as a result of work sponsored by the California Energy Commission. It does not necessarily represent the views of the Energy Commission, its employees, or the State of California. The Commission, the State of California, its employees, contractors, and subcontractors make no warranty,express or implied,and assume no legal liability for the information in this document; nor does any party represent that the use of this information will not infringe upon privately owned rights. Federal Grant LEGAL NOTICE This document was prepared as a result of work sponsored by the California Energy Commission through a federal grant agreement number with . It does not necessarily represent the views of the Federal Government, the Energy Commission, its employees, or the State of California. The Federal Government, the Commission, the State of California, its employees, contractors, and subcontractors make no warranty, express or implied, and assume no legal liability for the information in this document; nor does any party represent that the use of this information will not infringe upon privately owned rights. T&C-AB970 6 NOVEMBER 2000 • • AWARD #LED-OOA-026 8. AMENDMENTS Changes to the Work Statement, changes to specific line items in the budget, or both, may be made under certain conditions. Such changes must not alter the original scope or purpose of the project or program as proposed in the grant application. Such changes must not appreciably affect the value of the project or program. Work Statement changes and/or cumulative transfers among budget line items that exceed 10 percent of the grant award require advance written approval of the Commission Project Manager and Grants and Loans Office. All requests must be submitted directly to the Commission Project Manager in writing and include a description of the proposed change, revised attachment(s), and the reasons for the change. If the change is approved, the affected sections of the agreement will be amended and signed by the Commission Project Manager, Grants and Loans Office, and the recipient's authorized representative. For federally funded grants, amendments may also require prior written approval from the federal grantor agency. 9. CONTRACTING AND PROCUREMENT PROCEDURES This section provides general requirements for an agreement between the recipient and a third party("subcontractor"). The recipient is required, where feasible, to employ contracting and procurement practices that promote open competition for all goods and services needed to complete this project. Recipient shall obtain price quotes from an adequate number of sources for all subcontracts. If OMB Circulars and/or federal regulations are checked in Section 2 of these Terms and Conditions, subcontracting criteria are specified in the OMB Circulars incorporated by reference in this agreement and checked in Section 2. The Commission will defer to the recipient's own regulations and procedures as long as they reflect applicable state and local laws and regulations and are not in conflict with the minimum standards specified in this agreement and any OMB Circulars incorporated by reference in this agreement and checked in Section 2. Upon request, the recipient must submit to the Commission Project Manager a copy of all solicitations for services or products required to carry out the terms of this agreement, copies of the proposals or bids received, and copies of subcontracts executed. If a specific subcontractor was identified in the original grant application and the grant was evaluated based in part on this subcontractor's qualifications, then prior written approval from the Commission Project Manager is required before substituting a new subcontractor. The recipient is responsible for handling all contractual and administrative issues arising out of or related to any subcontracts it enters into under this agreement. T&C-AB970 7 NOVEMBER 2000 • • AWARD #LED-OOA-026 All subcontracts must incorporate all of the following: • A clear and accurate description of the material, products, or services to be procured as well as a detailed budget and timeline. - • Provisions which allow for administrative, contractual, or legal remedies in instances where subcontractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate. • Provisions for termination by the recipient including termination procedures and the basis for settlement. • Language conforming to the 'Nondiscrimination" provision in this agreement. • Any additional requirements specified in the OMB Circulars incorporated by reference in this agreement and checked in Section 2. • The Standard of Performance provisions specified in this agreement. • Audit provisions regarding record retention specified in this agreement. • Language conforming to the "Indemnification"provision in this agreement. • Language conforming to the "License"provision in this agreement. Failure to comply with the above requirements may result in the termination of this agreement. 10. BONDING AND INSURANCE The recipient will follow its own bonding and insurance requirements relating to bid guarantees, performance bonds, and payment bonds without regard to the dollar value of the subcontract(s) as long as they reflect applicable state and local laws and regulations and are not in conflict with the minimum standards specified in the OMB Circulars incorporated by reference in this agreement and checked in Section 2 of these Terms and Conditions. 11. PERMUS AND CLEARANCES - The recipient is responsible for ensuring all necessary permits and environmental documents are prepared and clearances are obtained from the appropriate agencies. 12, EQUIPMENT Title to equipment acquired by the recipient with grant funds shall vest in the recipient. The recipient shall use the equipment in the project or program for which it was acquired as long as needed, whether or not the project or program continues to be supported by grant funds T&C-AB970 8 NOVEMBER 2000 • • AWARD #LED-OOA-026 and shall not encumber the property without Commission Project Manager approval. When no longer needed for the original project or program, the recipient shall contact the Commission Project Manager for disposition instructions. If OMB Circulars and/or federal regulations are checked in Section 2 of these Terms and Conditions, recipient should refer to the circulars and/or federal regulations for additional equipment requirements. 13. TERMINATION This project may be terminated for any reason set forth below. a. With Cause In the event of any breach by the recipient of the conditions set forth in this agreement, the Commission or Committee, whoever approved the award, may, without prejudice to any of its legal remedies, terminate this agreement for cause upon five (5) days written notice to the recipient. b. Without Cause The Commission or Committee, whoever approved the award, may, at its option, terminate this agreement without cause in whole or in part, upon giving thirty (30) days advance notice in writing to the recipient by certified mail, return receipt requested. In such event, the recipient agrees to use all reasonable efforts to mitigate the recipient's expenses and obligations hereunder. Also in such event, the Commission shall pay the recipient for all satisfactory services rendered and expenses incurred prior to such notice of termination which could not by reasonable efforts of the recipient have been avoided, but not in excess of the maximum payable under this agreement. 14. TRAVEL AND PER DIEM For purposes of payment, recipient's headquarters shall be considered the location of the recipient's office where the employees assigned responsibilities for this award are permanently assigned. Travel expenditures not listed in this section cannot be reimbursed. Travel not listed in the Budget section of this agreement shall require prior written authorization from the Commission Project Manager. Recipient shall be reimbursed for authorized travel and per diem on the same basis as nonrepresented state employees. Where conflicts exist between this section and nonrepresented employee rates, this section shall take precedence. Travel expense claims must detail expenses using the rates listed below, and recipient must sign and date the travel expense claim before submitting the travel expense claim to the Commission for payment. Expenses must be listed by trip including dates and times of departure and return. Travel expense claims and supporting receipts and expense T&C-AB970 9 NOVEMBER 2000 • •AWARD #LED-OOA-026 documentation shall be attached to the recipient's Payment Request. A vehicle license number is required when claiming mileage, parking, or toll chargds` Questions regarding allowable travel expenses or per diem should be addressed to the Commission Project Manager. The rates listed below will be in effect for the term of this agreement and apply to all travel, both in-state and out-of-state, unless and until the rates are revised. a. For travel necessary to the performance of this agreement, recipient shall be reimbursed as follows: (1) Travel by common carrier, airline coach class or equivalent, in accordance with receipts or vouchers verifying expenditure. Receipts must be attached to recipient's travel expense claim. (2) Travel by private or recipient-owned automobile will be reimbursed up to 31 cents per mile. If, however, travel by common carrier is more economical than by automobile, the rate for the common carrier will be reimbursed. (3) Travel by private car to and from the common carrier will be reimbursed at 31 cents per mile, as stated above. (4) Travel by rental car, if less expensive than taxi service. Receipts must be attached to recipient's travel expense claim for car rental and gas for rental car. Note: insurance coverage is not reimbursable. (5) Parking fees, taxi fees, and public transit fees may be reimbursed, without receipt, for any amount of $10.00 or less. Amounts over $10.00 must be validated with receipts for actual expenses. Business calls will be reimbursed up to $5.00 without receipt. Amounts over $5.00 must be validated with receipts for actual expenses. b. Per diem rates apply to travel more than 50 miles away from recipient's headquarters. The date and time of departure and return must be indicated on recipient's travel expense claim in order to establish appropriate per diem rates. Travel expense claims submitted for reimbursements of per diem without date and time of departure and return will be reduced by the amount of per diem invoiced. No receipts are required for travel meals or incidentals within the rates listed below. However, all meal receipts must be retained for audit by the State or IRS. Per diem is reimbursable as follows: (1) For a trip of less than 24 hours, recipient shall be reimbursed for actual costs up to the maximum allowance for breakfast, dinner, and lodging according T&C-AB970 10 NOVEMBER 2000 •AWARD #LED-OOA-026 to the following table if the recipient's travel time meets the criteria outlined below. Breakfast: Up to $ 6.00, if began at or prior to 6 a.m. and terminated at or after 9 a.m. Lunch: Not reimbursed on a trip of less than 24 hours Dinner: Up to $18.00, if began at or prior to 4 p.m. and terminated at or after 7 p.m. Incidentals: Not reimbursed on a trip of less than 24 hours Lodging: Up to $84.00 plus taxes with receipt, except when lodging is in San Francisco, Alameda, San Mateo and Santa Clara counties, and Central/Westem Los Angeles*, up to$110.00 plus tax. * Los Angeles area within borders of Sunset Boulevard (North), Pacific Ocean (West), Imperial Boulevard/Freeway 105 (South), and Freeways 110, 10 and 101 (East). Lodging expenses must be substantiated with a receipt. (2) For trips lasting 24 hours or more, recipient will be reimbursed actual costs up to the maximum allowance for meals, lodging, and incidentals according to the following table for each complete 24-hour period, beginning with the time of departure. For each 24-hour period: Breakfast: Up to$ 6.00 Lunch: Up to$10.00 Dinner: Up to$18.00 Incidentals: Up to $ 6.00 Lodging: Up to $84.00 plus taxes with receipt, except when lodging is in San Francisco, Alameda, San Mateo and Santa Clara counties, and Central/Westem Los Angeles*, up to $110.00 plus tax. * Los Angeles area within borders of Sunset Boulevard (North), Pacific Ocean (West), Imperial Boulevard/Freeway 105 (South), and Freeways 110, 10 and 101 (East). Lodging expenses must be substantiated with a receipt. T&C-AB970 I I NOVEMBER 2000 • •AWARD#LED-OOA-026 For the last fractional part of a travel period of more than 24 hours, recipient will be reimbursed the authorized allowance for meals provided that the expense was inCUrTed and the travel time meets the following requirements: Breakfast: If travel began at or prior to 6 a.m. and terminated at or after 8 a.m. Lunch: If travel began at or prior to 11 a.m. and terminated at or after 2 p.m. Dinner: If travel began at or prior to 5 p.m. and terminated at or after 7 p.m. 15. LICENSE • The Commission shall be granted a no-cost, nonexclusive, nontransferable, irrevocable worldwide license to use or have practiced for or on behalf of the State of California inventions developed hereunder and patents or patent applications derived from such inventions. Recipient must obtain agreements to effectuate this clause with all persons or entities obtaining ownership interest in the patented subject inventions. • The Commission makes no claim to intellectual property that existed prior to this grant and was developed without Commission funding. If applicable, the recipient gives notice that the items listed in the Intellectual Property attachment or exhibit have been developed without Commission funding and prior to the start of this grant. This list represents a brief description of the prior developed intellectual property. A detailed description of the intellectual property, as it exists on the effective date of this grant, may be necessary if Commission funds are used to further develop the listed intellectual property. This information will assist the parties to make an informed decision regarding intellectual property rights. • The Commission shall be granted the no-cost use of the technical data first produced or specifically used in the performance of this grant. • The Commission shall be granted a royalty-free nonexclusive, irrevocable, nontransferable license to produce, translate, publish, use and dispose of, and to authorize others to produce, translate, publish, use and dispose of all copyrightable material first produced or composed in the performance of this grant. .. 16.- STANDARD OF PERFORMANCE Recipient, its subcontractors and their employees, in the performance of recipient's work under this award shall be responsible for exercising the degree of skill and care required by customarily accepted good professional practices and procedures used in the recipient's field. T&C-AB970 12 NOVEMBER 2000 • •AWARD #LED-OOA-026 Any costs for failure to meet the foregoing standard or to correct otherwise defective work that requires re-performance of the work, as directed by Commission Project Manager, shall be borne in total by recipient and not the Commission. The failure of a project to achieve the performance goals and objectives stated in the Work Statement is not a basis for requesting re-performance unless the work conducted by recipient and/or its subcontractors is deemed by the Commission to have failed the foregoing standard of performance. In the event recipient/subcontractor fails to perform in accordance with the above standard: (1) Recipient/subcontractor will re-perform, at its own expense, any task which was not performed to the reasonable satisfaction of the Commission Project Manager. Any work re-performed pursuant to this paragraph shall be completed within the time limitations originally set forth for the specific task involved. Recipient/subcontractor shall work any overtime required to meet the deadline for the task at no additional cost to the Commission; (2) The Commission shall provide a new schedule for the re-performance of any task pursuant to this paragraph in the event that re-performance of a task within the original time limitations is not feasible; and (3) The Commission shall have the option to direct recipient/subcontractor not to re- perform any task which was not performed to the reasonable satisfaction of the Commission Project Manager pursuant to application of (1) and (2) above. In the event the Commission directs recipient/subcontractor not to re-perform a task, the Commission and recipient shall negotiate a reasonable settlement for satisfactory work performed. No previous payment shall be considered a waiver of the Commission's right to reimbursement. Nothing contained in this section is intended to limit any of the rights or remedies which the Commission may have under law. 17. PAYMENT OF FUNDS - a. _ Payment Requests The recipient may request payment from the Commission at any time during the term of this agreement although it is preferred that payment requests be submitted -_r with the quarterly progress reports. Payments will generally be made on a reimbursement basis for recipient expenditures, i.e., after the recipient has paid for a service, product, supplies, or other approved budget item. No reimbursement for food or beverages shall be made other than allowable per diem charges. As a general rule, advance payments are not allowed. The Commission, at its sole discretion, may honor advance payment requests if warranted by compelling need. Advance payments shall only be made upon the satisfaction of conditions intended T&C-AB970 13 NOVEMBER 2000 • AWARD #LED-OOA-026 to protect grant funds from loss or misuse, including (1) depositing all advance payments into a separate interest-earning account; (2) reporting interest earned on advance payments to the Comm ssion Project Manager; (3) the accounting of all advance payments within a timeframe specified by the Grants and Loans Office; (4) returning all unused advance payments and interest or portion thereof, within 60 days of the termination of this agreement; and (5) other conditions as specified by the Grants and Loans Office. Funds in this award have a limited period in which they must be expended. All recipient expenditures must occur prior to the end of the term of this agreement. b. Documentation All payment requests must be submitted using a completed Payment Request form (Exhibit A). This form must be accompanied by an itemized list of all charges and copies of all receipts or invoices necessary to document these charges for both Commission and match share. Any payment request that is submitted without the itemization will not be authorized. If the itemization or documentation is incomplete, inadequate, or inaccurate, the Commission Project Manager will inform the recipient and hold the invoice until all required information is received or corrected. Any penalties imposed on the recipient by a subcontractor because of delays in payment will be paid by the recipient. C. Release of Funds The Commission Project Manager will not process any payment request during the agreement term if the following conditions have not been met: • All required reports have been submitted and are satisfactory to the Commission Project Manager. • All applicable special conditions have been met. • All appropriate permits or permit waivers from governmental agencies have been issued to the recipient and copies have been received by the Commission Project Manager. • All products due have been submitted and are satisfactory to the Commission Project Manager. • Other prepayment conditions as may be required by the Commission Project Manager have been met. Such conditions will be specified in writing ahead of time, if possible. T&C-AB970 14 NOVEMBER 2000 • • AWARD#LED-OOA-026 d. Retention It is the Commission's policy to retain 10 percent of any payment request or 10 percent of the total Commission award at the end of the project. After the project is complete the recipient must submit a completed payment request form requesting release of the retention. The Commission Project Manager will review the project file and, when satisfied that the terms of the funding agreement have been fulfilled, will authorize release of the retention. e. State Controller's Office Payments are made by the State Controller's Office. 18. FISCAL ACCOUNTING REOU=NmNTS If OMB Circulars and/or federal regulations are checked in Section 2 of these Terms and Conditions, the recipient shall review and comply with the 'administrative requirements outlined in the applicable sections of the OMB circulars incorporated as part of the funding agreement. The circulars are supplemented with requirements a—d. If no OMB Circulars and/or federal regulations are checked in Section 2 of these Terms and Conditions, the following requirements apply: a. Accounting and Financial Methods The recipient shall establish a separate ledger account or fund for receipt and disbursement of Commission funds for each project funded by the Commission. Expenditure details must be maintained in accordance with the approved budget details using appropriate accounting practices. b. Retention of Records The recipient shall retain all project records (including financial records, progress reports, and payment requests) for a minimum of three (3) years after the project has been formally concluded, or final payment received, whichever is later, unless otherwise specified in the funding agreement. Records for nonexpendable personal property acquired with grant funds shall be retained for three years after its final disposition. C. Audits Upon written request from the Commission, the recipient shall provide detailed documentation of all expenses at any time throughout the project. In addition, the recipient agrees to allow the Commission or any other agency of the state, upon written request, to have reasonable access to and the right of inspection of all records that pertain to the project during the term of this agreement and for a period T&C-AB970 15 NOVEMBER 2000 • AWARD #LED-OOA-026 of three (3) years thereafter. Further, the recipient agrees to incorporate an audit of this project within any scheduled audits, when specifically requested by the state. Recipient agrees to include a similar right to audit in any subcontract. Recipients are strongly encouraged to conduct annual audits in accordance with the single audit concept. The recipient should provide two copies of the independent audit report and any resulting comments and correspondence to the Commission Project Manager within 30 days of the completion of such audits. d. Match Share If the grant Budget includes match share, the recipient's commitment of financial and personnel resources, as described in this agreement, is a required match for receipt of Commission funds. The recipient must maintain accounting records detailing the expenditure of the match share (actual cash and in-kind services), and provide complete documentation of expenditures as described under "Payment of Funds." 19. INDENIiV ECATION The recipient agrees to indemnify, defend, and save harmless the state, its officers, agents, and employees from any and all claims and losses accruing or resulting to recipient and to any and all contractors, subcontractors, materialmen, laborers, and any other person, firm, or corporation furnishing or supplying work, services, materials, or supplies in connection with the performance of this agreement, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by the recipient in the performance of this agreement. 20. DISPUTES In the event of a dispute or grievance between recipient and the Commission regarding this agreement, the following two-step procedure shall be followed by both parties. Recipient shall continue with responsibilities under this agreement during any dispute. a. Commission Dispute Resofution The recipient shall first discuss the problem informally with the Commission Project Manager. If the problem cannot be resolved at this stage, the recipient must direct the grievance together with any evidence, in writing, to the Commission Grants and Loans Officer. The grievance must state the issues in the dispute, the legal authority or other basis for the recipient's position and the remedy sought. The Cormmission Grants and Loans Officer and the Program Office Manager must make a determination on the problem within ten (10) working days after receipt of the written communication from the recipient. The Grants and Loans Officer shall respond in writing to the recipient, indicating a decision supported by reasons. Should the recipient disagree with the Grants and Loans Officer decision, the recipient may appeal to the second level. T&C-AB970 16 NOVEMBER 2000 • AWARD #LED-OOA-026 The recipient must prepare a letter indicating why the Grants and Loans Officer's decision is unacceptable, attaching to it the recipient's original statement of the dispute with supporting documents, along with a copy of the Grants and Loans Officer's response. This letter shall be sent to the Executive Director at the Commission within ten (10) working days from receipt of the Grants and Loans Officer's decision. The Executive Director or designee shall meet with the recipient to review the issues raised. A written decision signed by the Executive Director or designee shall be returned to the recipient within twenty (20) working days of receipt of the recipient's letter. The Executive Director may exercise the option of presenting the decision to the Commission at a business meeting. Should the recipient disagree with the Executive Director's decision, the recipient may appeal to the Commission at a regularly scheduled business meeting. Recipient will be provided with the current procedures for placing the appeal on a Commission Business Meeting Agenda. b. Binding Arbitration Should the Commission's Dispute Resolution procedure described above fail to resolve a dispute or grievance to the satisfaction of the recipient, the recipient may elect to have the dispute or grievance resolved through binding arbitration. The Commission may also elect to have any dispute or grievance resolved through binding arbitration. Both parties must consent before submitting the dispute to arbitration. The arbitration proceeding shall take place in Sacramento County, California, and shall be governed by the commercial arbitration rules of the American Arbitration Association (AAA) in effect on the date the arbitration is initiated. The dispute or grievance shall be resolved by one (1) arbitrator who is an expert in the particular field of the dispute or grievance. The arbitrator shall be selected in accordance with the aforementioned commercial arbitration rules. The decision rendered by the arbitrator shall be final, and judgment may be entered upon it in accordance with the applicable law in any court having jurisdiction thereof. The demand for arbitration shall be made no later than six (6) months after the date of the temunation of this agreement, irrespective of when the dispute or grievance arose, and irrespective of the applicable statute of limitations for a suit based on the dispute or grievance. The cost of arbitration shall be borne by the parties as follows: i) The AAA's administrative fees shall be home equally by the parties; ii) The expense of a stenographer shall be home by the party requesting a stenographic record; iii) Witness expenses for either side shall be paid by the party producing the witness; iv) Each party shall bear the cost of its own travel expenses; v) All other expenses shall be borne equally by the parties, unless the arbitrator apportions or assesses the expenses otherwise as pats of his or her award. T Sc C—AB970 17 NOVEMBER 2000 • • AWARD#LED-OOA-026 At the option of the parties, any or all of these arbitration costs may be deducted from any balance of agreement funds. Both parties must agree, in writing, to utilize agreement funds to pay for arbitration costs. 21. WORKERS'CONDENSATION INSURANCE a. Recipient hereby warrants that it carries Worker's Compensation Insurance for all of its employees who will be engaged in the performance of this agreement, and agrees to furnish to the Commission Project Manager satisfactory evidence of this insurance at any time the Commission Project Manager may request. b. If recipient is self-insured for worker's compensation, it hereby warrants such self- insurance is permissible under the laws of the State of California and agrees to furnish to the Commission Project Manager satisfactory evidence of this insurance at any time the Commission Project Manager may request. 22. GENERAL PROVISIONS a. Governing Law It is hereby understood and agreed that this agreement shall be governed by the laws of the State of California as to interpretation and performance. b. Independent Capacity The recipient, and the agents and employees of the recipient, in the performance of this agreement, shall act in an independent capacity and not as officers or-employees or agents of the State of California. c. Assignment Without the written consent of the Commission in the form of a formal written amendment, this agreement is not assignable or transferable by recipient either in whole or in part, d. Timeliness Time is of the essence in this agreement. e. Unenforceable Provision In the event that any provision of this agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this agreement have force and effect and shall not be affected thereby. T&C-AB970 18 NOVEMBER 2000 • • AWARD #LED-OOA-026 f. Waiver No waiver of any breach of this agreement shall be held to be a waiver of any other or subsequent breach. All remedies afforded in this agreement shall be taken and construed as cumulative, that is, in addition to every other remedy provided therein or by law. g. Assurances The Commission reserves the right to seek further written assurances from the recipient and its team that the work of the project under this agreement will be performed consistent with the terms of the agreement. h. Change in Business (1) Recipient shall promptly notify the Commission of the occurrence of each of the following: (a) A change of address. (b) A change in the business name or ownership. (c) The existence of any litigation or other legal proceeding affecting the project. (d) The occurrence of any casualty or other loss to project personnel, equipment or third parties of a type commonly covered by insurance. (e) Receipt of notice of any claim or potential claim against recipient for patent, copyright, trademark, service mark and/or trade secret infringement that could affect the Commission's rights. (2) Recipient shall not change or reorganize the type of business entity under which it does business except upon prior written notification to the Commission. A change of business entity or name change requires an amendment assigning or novating the agreement to the changed entity. In the event the Commission is not satisfied that the new entity can perfonn as the original recipient, the Commission may terminate this agreement as provided in the termination paragraph. i. Survival of Terms It is understood and agreed that certain provisions shall survive the completion or termination date of this agreement for any reason. The provisions include, but are not limited to: • "Payments of Funds" • "Equipment" • "Change in Business" • "Disputes" T&C-AB970 19 NOVEMBER 2000 • • AWARD #LED-OOA-026 • "Termination" • "Audit' • "Indemnification" • "License" • "Fiscal Accounting Requirements" j. Year 2000 Language The recipient warrants and represents that any goods or services used in connection with the project pursuant to this agreement are "Year 2000 compliant." 23. CERMCATIONS&COMPLIANCE a. Federal, State &Local Laws Recipient shall comply with all applicable federal, state and local laws, rules and regulations. b. Nondiscrimination Statement of Compliance During the performance of this agreement, recipient and its subcontractors shall not unlawfully discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, physical handicap, medical condition, marital status, age (over 40) or sex. Recipient and its subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free of such discrimination. Recipient and its subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code Sections 12900, et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285.0, et seq.). The applicable regulations of the Fair- Employment and Housing Commission implementing Government Code Section 12990, set forth in chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this agreement by reference and made a part of it as if set forth in full. Recipient and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. The recipient shall include the nondiscrimination and compliance provisions of this article in all subcontracts to perform work under this agreement. C. Drug Free Workplace Certification By signing this agreement, the recipient hereby certifies under penalty of perjury under the laws of the State of California that the recipient will comply with the T&C-AB970 20 NOVEMBER 2000 • • AWARD #LED-OOA-026 requirements of the Drug-Free Workplace Act of 1990 (Government Code Section 8350 et seq.) and will-provide a drug free workplace by taking the following actions: i) Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations as required by Government Code Section 8355(a). ii) Establish a Dru.Free Awareness Program as required by Government Code Section 8355(b) to inform employees about all of the following: • The dangers of drug abuse in the workplace; • The person's or organization's policy of maintaining a drug-free workplace; • Any available counseling, rehabilitation, and employee assistance programs; and • Penalties that may be imposed upon employees for drug abuse violations. iii) Provide, as required by Government Code Section 8355(c), that every employee who works on the proposed project: • Will receive a copy of the company's drug-free policy statement; • Will agree to abide by the terms of the company's statement as a condition of employment on the project. Failure to comply with these requirements may result in suspension of payments under the agreement or termination of the agreement or both, and the recipient may be ineligible for any future state awards if the Commission determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above. d. National Labor Relations Board Certification (Not applicable to public entities) Recipient, by signing this agreement, does swear under penalty of perjury that no more than one final unappealable finding of contempt of court by a Federal Court has been issued against the recipient within the immediately preceding two year period because of the recipient's failure to comply with an order of a Federal Court which orders the recipient to comply with an order of the National Labor Relations Board. e. Recycling Certification The recipient shall certify in writing under penalty of perjury, the minimum, if not exact, percentage of recycled content, both post consumer waste and secondary waste as defined in the Public Contract Code, Sections 12161 and 12200, in T&C-AB970 21 NOVEMBER 2000 • • AWARD#LED-OOA-026 materials, goods, or supplies offered or products used in the performance of this agreement, regardless of whether the product meets the required recycled product percentage as defined in the Public Contract Code, Sections 12161 and 12200. Recipient may certify that the product contains zero recycled content. f. Child Support Compliance Act (Applicable to California Employers) For any agreement in excess of$100,000, the recipient acknowledges that: i) It recognizes the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and ii) To the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department. g. Piiority Hiring (Applicable to California Employers) For any agreement in excess of$200,000, recipient shall give priority consideration in filling vacancies in positions funded by this agreement to those qualified to receive aid under Chapter 2, commencing with section 11200 of the Welfare and Institutions code, in accordance with Article 3.9, commencing with Section 11349 of the Welfare and Institutions Code. h. Air or Water Pollution Violation Under the state laws, the recipient shall not be: (1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant ii5 Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) finally determined to be in violation of provisions of federal law relating to air or water pollution. T&C-AB970 22 NOVEMBER 2000 • AWARD#LED-OOA-026 i. Americans With Disabilities Act By signing this agreement, recipient assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. 12101, et seq.), which prohibits discrimination on the basis of disability, as well as applicable regulations and guidelines issued pursuant to the ADA. 24. ADDMONAL REQUIREMENTS FOR PEAK LOAD REDUCTION PROGRAM GRANTS a. Peak Electricity Demand Savings Calculation Peak electricity demand savings are calculated as the average hourly reduction in demand during a summer afternoon when California system electrical demand is very high. The peak demand period is defined as the hours of 2 p.m. to 6 p.m. on non-holiday weekdays during the months of June though September. This four hour average value will be used as a proxy for demand savings during individual hours of Independent System Operators Alerts and/or high system demand. Savings will be determined using engineering calculations, measurements, or a combination of both. It is expected that most, if not all, of the projects will be paid incentives based on: • Pre-installation estimates of savings using engineering calculations and • Verification inspections of proper Installation (i.e., potential to generate savings) for a sample of projects. For a small number of projects, metering and engineering calculations will be used to assess actual savings during Independent System Operators Alerts or periods of high electrical demand. This post-installation assessment will be used to update the pre-installation estimates for all projects. The peak load savings formula is: (System kWh Usages ore-ret,,Ft— (System kWh Usage) oast-retrofit 4 Where: System kWh Usage equals kWh consumption of affected building(s) or system(s) during the hours of 2 p.m. to 6 p.m. on a non-holiday, summer (June through September) weekday. To estimate performance when California system electrical demand is very high, four categories of projects are defined: • For weather dependent projects (e.g., cool roofs), the peak afternoon will be defined as an afternoon when ambient temperatures are equal to the T&C—AB970 23 NOVEMBER 2000 • •AWARD #LED-OOA-026 applicable California Energy Commission Climate design temperature during the four hour period between 2 p.m. and 6 p.m.. • For demand responsive systems (e.g., lighting controls, thermostats), the peak afternoon will be defined as an afternoon when the demand for electricity is such that a dispatch signal is sent to the building control system and, as a result of that signal, the control system reduces demand to the maximum extent programmed into the control system at time of installation. • For end use or appliance cycling or shedding systems, the peak afternoon will be defined as an afternoon when the temperatures equal the California Energy Commission Climate Zone design temperature during the four hour period between 2 p.m. and 6 p.m. and a signal is sent to the system to reduce demand to the maximum extent. • For non-weather-dependent and non demand responsive systems (e.g., waste water plant motor retrofits and LED traffic lights), the peak electricity demand will be defined as demand on a summer afternoon with typical or average operating conditions. b. Project Delay Notification The recipient is required to notify the Commission Project Manager if circumstances occur which will delay the project so that project work tasks cannot be completed within the timeframes specified in the Work Statement. The recipient is required to notify the Commission Project Manager in writing within 5 working days of the occurrence of the delay. C. Project Extensions (1) All Projects Except Schools Projects funded by this program must be operational by June'1, 2001. Equipment must be purchased, installed and able to reduce peak electricity demand by this time. If a project does not meet this deadline, the award will be terminated and the funds reallocated. If a project or portion of a project is not operational by June 1, 2001, due to extenuating circumstances outside the control of recipient, the recipient may make a written request to extend the date of installation and/or operation. T&C-AB970 24 NOVEMBER 2000 • •AWARD #LED-OOA-026 The Commission's Energy Efficiency Committee may extend the date of installation and/or operation at its discretion. An extension will be considered only if it meets all of the following criteria and procedures: • In no event may the date that the project becomes operational be extended past July 15, 2001. • The recipient must document circumstances beyond its control which prevent the project from being operational by June 1, 2001. • The recipient must show it neither knew nor had reason to know of the circumstances that led to the project delay. • The recipient must show it has taken all possible actions to mitigate the project delay. • The recipient must show satisfactory proof that there are no other known obstacles in the way of completing the project. • The recipient must show it has incurred a legal obligation such as a contract or purchase order in an effort to complete the project as originally planned. • The requested extension would otherwise comport with all of the eligibility requirements of the Overall Program Guidelines, applicable Program Element Guidelines, and solicitation document, if any. • If such extension is granted, the amount of the award and/or incentive, as applicable, will be reduced by 10% for the project or portion of the project extended. (2) Schools In the case of-schools, if a project cannot be operational by June 1, 2001, the Committee may grant an extension. • The recipient must show that due to school class schedules, the project could not be completed by June 1, 2001. • In no event may the date the project becomes operational be extended past August 31, 2001. • In this case, the incentive amount will not be reduced. T&C-AB970 25 NOVEMBER 2000 • • AWARD#LED-OOA-026 d. Program Evaluation, Project Monitoring, and Verification The Commission will audit a sample of funding recipients to verify compliance with the Guidelines and solicitation document (if any), and to measure and verify peak electricity demand reductions. In addition, the Commission will monitor the progress of awards and evaluate the effectiveness of the program. C. Random Audits, Record Retention and Access to Facilities Upon written request from the Commission, the recipient shall provide detailed documentation of all expenses, allow the Commission or its agent access to facilities and records, and allow the Commission or its agent to collect data needed to measure and verify peak electricity demand reductions (this may include but is not limited to utility bills, metering data, facility equipment surveys, information on operational practices and site occupancy levels). The recipient agrees to give the Commission access to install, read and remove electricity meters. Further, if requested, the recipient must agree to provide to the Commission or its agent associated data from a period prior to the start of the project as necessary to establish baselines. In addition, the recipient must agree to allow the Commission or any other agency of the state, upon written request, to have reasonable access to and the right of inspection of all records that pertain to the project and to the recipients' energy use during the term of the agreement and for a period of three years thereafter. Further, the recipient must agree to incorporate an audit of this project within any scheduled audits, when specifically requested by the state. Recipient must agree to include a similar right to audit in any subcontract or subgrant. The recipient shall retain all project records (including financial records, progress reports, payment requests, and peak electricity demand reduction documentation) for a minimum of three years after the project has been formally concluded, or final payment received, whichever is later, unless otherwise specified in the funding award agreement. f. Notification of Nonoperation Recipient shall notify Commission Project Manager in writing immediately if recipient has reason to believe that the project may become nonoperational in the future. g. Enforcement Action (1) Recovery of Overpayment The Commission's Energy Efficiency Committee, with the concurrence of the Commission, may direct the Commission's Office of Chief Counsel to commence formal legal action against any recipient or former recipient to recover any portion of a funding award the Committee determines the recipient or former recipient was not otherwise entitled to receive. T&C-AB970 26 NOVEMBER 2000 • • AWARD #LED-OOA-026 (2) Fraud and Misrepresentation r The Committee may initiate an investigation of any recipient which the Committee has reason to believe may have misstated, falsified, or misrepresented information in applying fora funding award, invoicing for a funding award payment, or in reporting any information as required by the overall program guidelines or applicable program element guidelines. Based on the results of the investigation, the Committee may take any action it deems appropriate, including, but not limited to, cancellation of the funding award, recovery of any overpayment, and with the concurrence of the Commission, recommending the initiation of an Attorney General investigation and prosecution pursuant to Government Code sections 12650, et seq., or other provisions of law. h. Agreement and Operation Terms This agreement has two terms: agreement term and operation term. Agreement term is the period in which all Commission grant-funded tasks must be completed and funds requested. Operation term is the 4 year period that the project must reduce peak electricity demand from June 1 — September 30 during 2001 through 2004. T&C-AB970 27 NOVEMBER 2000 STATE t,)%, Wol?r�RNIA CALIFORNIA ENERGY COMMISSION FINANCIAL STATUS REPORT OR4 AYMENT REQUEST Gran[ Payment Request No CEC 211-(a) (Rev.5/00) Instructions are on the reverse Recipient Type of Request Amount of this Request (Name and Address) Reimbursement Status Report Only $ Release Retention Period Covered by this Request Funding History Funds Requested to Date: $ to Funds Received to Date. $ kNo,, Recipient ID No. Approved Project Term Expenses to Date $ Funds on Hand $ Interest Earned to Date- $ to ISSION SHARE Expenses Expenses Obligations Remaining Line Item Bud et this Period to Date Not Yet Paid Balance Su lies Contractual Construction Other Indirect TOTAL MATCH SHARE Expenses Expenses Obligations Remaining Line Item Budget this Period to Date Not Yet Paid Balance Personnel Fringe Benefits Travel Equipment Supplies Contractual Construction Other Indirect TOTAL GRAND TOTAL RECIPIENT CERTIFICATION ENERGY COMMISSION USE ONLY(-NS-) I certify to the best of my knowledge and belief that this report is correct and complete and all Amount Authorized outlays and obligations are for the purposes set forth in the funding a reement. Signature of Authorized Certifying Officer Date Retention Yes_ No Type or Print Name and Title Phone Fiscal Year ENERGY COMMISSION APPROVALS Appropriation Code Commission Project Manager Date ACCOUNTING OFFICE USE ONLY Commission Program Manager Date Retention Grants Office Date Amount Scheduled T&C—AB970 29 NOVEMBER 2000 r I INSTRUCTIONS Payment Request No.: Begin with the number 1 on your Interest Earned to Date: Show all interest earned on first payment request and consecutively number each previously advanced funds. subsequent payment request. The last payment request should include the notation,"Final." Line Items: The following budget categories apply to all expenditures invoiced. Recipient (Name and Complete Address): Same as "Recipient" on the Grant Agreement. Address should Budget: Show by line item the budget as shown in the include the city, state, and zip code. Grant Agreement. Type of Request: Indicate if this is a "Reimbursement" or .Expenses this Period: Show by line item the actual "Status Report Only." Be sure to provide backup payments made by the recipient during the period documentation. If no funds are being requested, check covered by this report. "Status Report Only." •Expenses to Date: Show by line item the cumulative Amount of this Request: This line shows the amount total of all expenses from the beginning of the project currently being requested. Indicate the amount being through and including the period covered by this requested. report. Period Covered by this Report: The time period covered .Obligations Not Yet Paid: Show by line item all funds by this request. The first day of the period should be the obligated on purchase orders, contracts, etc. for which day after the last day covered by your previous report. you have received an invoice but have not yet paid. Example: 1/14/94 to 3/31/94. •Remaining Balance: Show by line item the funds Grant No.: Same as "Grant Number" on the Grant available for expenses or obligations. `Budget" minus Agreement. This is the eight digit code assigned by the "Expenses to Date" minus "Obligations Not Yet Paid" Energy Commission(example 961-93-000). equals"Remaining Balance." Recipient ID No.: This space is for an account number or Certification: Name, title and signature of authorized other identifier that may be assigned by the recipient certifying official (usually the grant recipient's project (optional). manager). Approved Project Term: This is the entire project period Submit original and one copy to: beginning with the date the project starts through the end date. This date should match the "Term" on the Grant California Energy Commission Agreement unless you have received a term extension. Accounting Office 1516 Ninth Street,NIS#2 Total Funds Requested to Date: Show the total of all Sacramento,CA 95814 funds requested from the Energy Commission prior to this request. Funds Received to Date: Show the total amount of funds received from the Energy Commission prior to this request. "Funds Requested to Date" minus any retention withheld equals "Funds Received to date". Total Expenses to Date: Show the total expenses from the beginning of the project through and including the period covered by this report. This amount should be the same as the"Grand Total"expenses to date. Funds on Hand: This should be filled in only if you have received any advance funds from the Commission. If you have, show the balance of funds received. ("Funds , Received to Date" minus "Expenses to Date" equals "Funds on Hand.") T&C-AB970 30 NOVEMBER 2000 EFFICIENCY COMMITTEE APPROVAL SHEET December 14, 2000 PEAK LOAD REDUCTION PROGRAM — LIGHT EMITTING DIODE TRAFFIC SIGNAL CONVERSION Originator, Virginia Lew 4-4104 Date: l 2l l'-(oa Sup sor: Daryl Mills 4-5070 Date: a Q Office anager: Mike Sloss 4-4654 r Date: Deputy Director: Scott W. Matthews 4-5013 A � Date: Z / In accordance with the Peak Load Reduction P ram, Water/Wastewater Peak Reduction Guidelines and the Peak Load Reduction Program, Light Emitting Diode Traffic Signal Conversion Guidelines, adopted by the Energy Resources Conservation and Development Commission on October 25, 2000, the Energy Efficiency Committee approves the following awards: Applicant Grant Amount Requested City of Palm Springs $192,000 City of Roseville $358,860 Total $550,860 i 2 z%E Commissioner Pernell e� Date: Commissioner Rosenfeld Date: Zd r7c 31 PEAK LOAD REDUCTION PROGRAM LIGHT EMITTING DIODE TRAFFIC SIGNAL CONVERSION GRANT REQUEST FOR THE CITY OF PALM SPRINGS Action Requested: The staff is seeking Committee approval to provide the City of Palm Springs with a $192,000 grant. This is a Routine Item Purpose: The grant will be used to pay part of the cost of converting the red, green and amber balls and arrows and pedestrian signals to those using high efficiency light emitting diodes (LEDs). Funding Source: AB 970 Project Summary: The City of Palm Springs has requested an Energy Commission grant to convert its existing and planned incandescent traffic signals to those using high efficiency light emitting diodes (LED). This project will affect 70 existing signalized intersections and 6 new intersections. This project involves the conversion of red, green and amber balls and arrows and pedestrian hand/walking person signals. For the new intersections, the city's plans call for installation of only red LEDs. This grant will provide funds for converting the green, amber and pedestrian signals to LEDs. The installation of the LED traffic modules is estimated to cost $418,250. The grant will provide about 46 percent of the project cost and the city is requesting an Energy Commission loan for the balance of the cost. The project will reduce the city's annual energy cost by an estimated $83,000 and result in an estimated peak load reduction of 147 kW. Staff has reviewed the technical feasibility of the project and has determined that the project meets the requirements of the Commission's LED Traffic Signal Conversion Program. As a result, staff is recommending approval of the $192,000 grant request to the City of Palm Springs. Organization Project Total Grant Estimated Estimated Description Project Request Annual Peak Cost Energy Load - Cost Reduction Savings kW City of Palm LED Traffic $418,250 $192,000 $83,000 147 Springs Signal Lights 32 Current and Proposed Traffic Signals Instructions for completing Exhibit A Table. The shaded columns are the ones to be completed. All other columns will automatically calculate. If cannot load this spreadsheet electronically,contact the Commission at 916-654-4008. If you provide us with the information in the shaded columns,we will calculate the rest of the spreadsheet for you. ,fd' 1. Complete Utility Costs Box by indicating your current electricity rate and the name of your electric utility. 2. Column A: Enter the estimated number of LEDs of each type to be installed. Spare LEDs are ineligible for incentives. 3. Column B: Nothing needs to be entered--this is the number of hours per year. 4. Column C: Nothing needs to be entered--this is the default load factor from Table B of the Grant Application. 1 5. Column D: Indicate the wattage of your existing incandescent traffic signals. 6. Column E: This is a calculated field and is the product of columns A,B,C and D divided by 1000(E=A*13*C*D11000). 7. Column F: Indicate the wattage of your proposed LED modules. These wattages cannot exceed the maximums given in Table C of the Grant Application. 8. Column G: This is a calculated field and is the product of columns A,B,C and F divided by 1000(G=A*B*C*F/1000) 9. Column H: This is a calculated field and is the difference in columns G and E (H=E-G) 10.Column I: This is a calculated field and is the difference in columns D and F multiplied by columns C and A and divided by 1000 (1=(D-F)*A*C/1000) 11. Column J: This is a calculated field and is the product of column H and the current electricity costs(J=H*current electricity costs). UTILITY COSTS Current Eleclricily Cosls $ 006500 perkWhr Name of Electric Ulilil Edison PROJECT SAVINGS W Current Incandescent W Baseline Conditions Conditions Proposed LED Modules Estimated Savings A B c D E F G H I J ESTIMATED NUMBER OF EXISTING PROPOSED ESTIMATED KW ESTIMATED OPERATING EXISTING PROPOSED KWHIYR TRAFFIC SIGNAL MODULE TYPE(INCH) TYPE UNITS TO BE PERCENT ON KWH/YR(E= KWH/YR LOAD REDUCTION ANNUAL COST INSTALLED HOURS WATTS A'B'C'D/10n0) WATTS (G=A'B-C'F/1000) SAVINGS(H=E-G) (1=(D-F)'A-C/1000 SAVINGS 12 Red 450 8760 59% 135 313,980 105 24,421 t8g,560 33 $18,821 8 Red 50 8760 59% 67 17314 7 1,809 15,505 2 $1.008 12 arrows Red 150 8760 81% 135 143.686 9 9,579 134,107 15 $8.717 12 Green 600 8760 38% 135 269633 11 21,970 247.663 28 $16,098 8 Green 50 8760 38% 67 11,151 7 1.165 9,986 1 $649 12 arrows Green 200 8760 16% 135 37,843 9 2,523 35.320 4 $2,296 12 Yellow 600 8760 3% 135 21,287 14 2,208 19,079 2 $1,240 8 Yellow 50 8760 3% 67 880 9 118 762 0 $50 12 arrows Yellow 150 8760 3% 135 5.322 14 552 4.770 1 $310 FED HAND(ONLY) 0 8760 90% 0 - - - 0 $0 BED HANDAdALKING PERSON COMBO 600 8760 90% 120 567,648 8 37.843 529,805 60 $34,437 TOTAL 2900 1,388,745 102,188 i 1,286.557 147 583,626 City of Palm Springs,LED-00A-026 Revised 12J20/00 Project Budget Instructions for completing Exhibit B Table The shaded columns are the ones to be completed. All other columns will automatically calculate. If cannot load this spreadsheet electronically, contact the Commission at 916-654-4008. If you provide us with the information in the shaded columns,we will calculate the rest of the spreadsheet for you 1. Column A: Nothing needs to be entered--this is the maximum wattages for eligible LED modules as indicated in Table C of the Grant Application. 2. Column B: Enter the estimated number of LEDs of each type to be installed. Spare LEDs are ineligible for incentives. This column should match Column A from Exhibit A. 3. Column C: Enter the estimated material cost for each type of unit,including sales tax. 4. Column D: Enter the estimated labor cost per unit. Use the Labor Costs Table to indicate the assumptions,such as job classifications, hourly rates, number of hours/installation,etc. 5. column E: This is a calculated field and is the sum of columns C and D(E=C+D). 6. Column F: Nothing needs to be entered--this is the maximum incentive amount that can be provided by the Commission based on Table A of the Grant Application. 7. Column G: This is a calculated field and is will indicate the incentive amount for your project by selecting the smaller of columns E or F. 8. Column H: This is a calculated field and is the product of columns B and G(H=B*G) 9.Column I: This is a calculated field and is the product of columns B and E(I=B*E) A S C D E F G H Maximum LED Modula Wallsges NUMBER OF ESTIMATED ESTIMATED ESTIMATED MAXIMUM ESTIMATED ESTIMATED ESTIMATED MAXIMUM AT MAXIMUM AT TOTAL UNIT PROJECT NCENTIVE AMOUNT TOTAL TOTAL PROJECT TRAFFIC SIGNAL MODULE TYPE(INCH) TYPE 74'C 25'C UNITS TO BE MATERIAL COST LABOR COST COSTS INCENTIVE PER PER UNIT(SMALLER INCENTIVE COST INSTALLED PER UNIT PER UNIT (E=C.D) UNIT OF COLUMN E OR F (H=B'G) (1=B'E) 12 Red 17 11 450 $76 $10 $86 $50 S50 $22.500 $38.700 8 Red 13 a 50 $55 $10 $65 $40 S40 $2,000 $3,250 12(arrows) Red 12 9 150 $75 $to S85 $51., $50 $7,500 $12.750 12 Green 15 15 60D 5177 $10 $1B7 $100 $100 $60,000 5112,200 a Green 12 12 50 $95 SID $105 $80 $do $4 000 $5,250 12(arrows) Green 11 11 200 1 $120 1 $10 S130 1 $70 1 $70 $14000 1 526,000 12 Yellow 25 22 600 $144 S10 $154 S50 S50 $30,000 592,400 8 Yellow 16 13 50 $99 S10 5109 S50 S50 $2500 55450 12(arrows) Yellow 12 10 150 185 $10 $95 $50 S50 S]500 $14,250 RED HANDS 12 10 0 $0 $25 $0 $0 $0 HANDWALKING PERSON COMBO 12 10 600 5170 $10 $180 S70 $70 $42.000 $108,000 HANDIWALKING PERSON COMBO 4 8 4 $0 $100 $o $0 $0 TOTAL 2900 5192.000 5418,250 ESTIMATED PROJECT PAYBACK(YEARS) 5 Protect payoack=Tptal pmiect cOSVannual energy comsavings ESTIMATED PROJECT PAYBACK WITH INCENTIVE (YEARS) 27 Proled payback will)incentives=(Total pmlecl cast-mcenlivesyummal energy cost savings EXPLANATION OF LABOR COSTS K L M N O —ITour y Typo of Installation Labor Rate Benefits Total Estimated Labor Cost per ($(boar) Time Hours (specify a.) Labor Cost Module Explanation of How to Complete Labor Cost Table C b Column N: Indicate total labor cost of by your contractor. ' Column O: Divide Column mn N by the sum of Column E Contractor Labor $0 00 reumiso Labor In-House Labor ' Column J: List lhojob lilies for your in-house staff Jab file Signal Mamlenance Turn $21 65 ion 35% $2.92276 $1.01 "Column K:Indicate your staffs hourly rates,Including any overtime rates. Job Mlle Signal Mamfenance Tech(OT) $32 48 500 35% $21,924 00 $7,51' Column L Indmaf,the required hours for each job class Job line $0 BD Sn 00" Column M.Specify the benefits percentage. Joh bile SDLB SoOc CpiumrN indicate the total labor cost[N=(K'L)a(K'CM)] Total $24,84675 59.57' Column O: Divide Column N by the sum of Column B(O=N4sum of Column B)) City of Palm Springs,LED-UDA-026,Revised 12120100 Work Statement City of Palm Springs Public Agency Name Tasks Completion Date 1. Begin installation of LED traffic signals January 10, 2001 • Product: Provide Commission staff with a copy of the selected vendor's proposal. 2. LED traffic signals installed and operating June 1, 2001 • Product: Notify Commission staff when complete. 3. Prepare progress reports Progress reports due monthly • Product: Submit progress report. 4. Prepare final report and invoice Due within 60 days after LED traffic signals • Product: Submit final report and invoice. installed and operating Comment: Governing body resolution: Provide Commission staff with an executed original or certified copy of the resolution by the date indicated in the Special Conditions. The Commission must have this resolution before any of the other tasks can start. 35 Special Conditions for LED Traffic Signal Projects 1. Resolution The recipient must provide to the Energy Commission an original signed resolution (or original certified copy of same) authorizing acceptance of this agreement and also designating the person, by title, authorized and empowered to execute in the name of the agency all contracts, agreements, and amendments necessary to implement and carry out the project as defined by this agreement. This resolution must be provided to the Energy Commission before any work is started and payments of the Energy Commission funds are made to the agency for work undertaken under this agreement. The resolution must be provided no later than January 3. 2001 or the Commission may cancel the award. 2. Products The required products are identified in Exhibit C, Work Statement. If hard copies are sent, then the recipient must submit 2 copies of each product to the Commission project manager by the date indicated in Exhibit C. Electronic copies are acceptable for all documents that do not require an original signature. If electronic copies are submitted, then the recipient need only send one electronic copy to the Commission project manager. The Commission project manager may contact the recipient, as needed, to get clarification or request additional information on any product. 3. Reports a. Progress Reports: The recipient must submit monthly progress reports. Each progress report must contain the following information at a minimum: • Discussion of the status of the work, including work statement tasks completed and/or delayed. If delayed, an explanation of how it will impact project completion by June 1, 2001. • A comparison of project expenses to date to the expected budget. • Identification of any issues that would prevent completing the installation by June 1. Progress reports are due monthly. The reports are due by the 15th of each month after grant execution for the duration of the grant term. The grant execution date is the date the Grant Agreement is approved by the recipient. The following is the schedule: City of Palm Springs Special Conditions Page 1 LED-00A-026 GRANT EXECUTION FIRST REPORT DUE SUBSEQUENT REPORTS MONTH DUE December Janus 15 The 15 of each month January February 15 The 15th of each month February March 15 The 15 of each month March April 15 The 150 of each month April Ma 15 The 15 th of each month b. Final Reports: The recipient must submit a final report within 60 days after project installation. The final report must accompany the request for grant payment (Exhibit A). The final report can be submitted electronically. However the request for grant payment (Exhibit A) and the back up invoices must be submitted as hard copies. The final report must contain the following at a minimum: • A summary of the pre- and cost- energy use for all traffic signal intersections funded through this program. The Commission project manager will provide the spreadsheet to be completed. • A summary of the traffic signal intersections retrofitted, including the number and type of LED modules installed and the dates of installation. The Energy Commission project manager will provide the sample spreadsheet to be completed. • Two sample one-month utility bills showing the pre- and post-retrofit energy use for example intersection(s). • A summary of the problems encountered during project installation and post project installation. 4. Payment of Funds a. Conditions for Grant Payment: The Commission will provide grants to supplement the cost of purchasing and installing eligible LED traffic signal modules as described in Section 6 of the Grant Application. The grant reimbursement will be provided at the time all the LEDs have been installed and the signals are operational. Prior to payment, the Commission reserves the right to: 1) Inspect each project 2) Verify that all the projects have been installed and are operational by June 1, 2001 3) Verify that the total LED modules installed matches the amount and type for which payment is requested City of Palm Springs Special Conditions Page 2 LED-OOA-026 4) Verify that the Commission grant is not used to supplement the cost of a project already funded by an IOU 5) Verify that the Commission grant and any publicly owned utility incentive does not exceed 100% of the total project cost as described in Section 7 6) Grant payments shall be made for eligible projects as defined in Section 6 of the Grant Application. To receive a grant payment, the recipient must submit the required documentation as described in the grant agreement. This documentation must include, at a minimum, (a) Exhibit A-Payment Request Form, (b) dated copies of vendor/contractor invoices showing the type and number of LED traffic signal modules purchased and their costs, (c) dated copies of invoices for installation labor, (d) an updated spreadsheet showing the number and type of LED modules installed, energy savings, energy cost savings, and project costs and (e) the final report. The Commission project manager will provide the needed spreadsheets to complete. b. Progress Payments: There will be no progress payments made during the grant term. C. Situations for Denial of Grant Payment Request: Grant payments, either in whole or in part, will not be made in the event of any of the following: 1) The equipment purchased does not meet the requirements specified in Section 6 of the Grant Application. 2) The recipient fails to provide the required documentation. This documentation includes, but is not limited to, the requirements listed in Section 4. A. 6 of the Special Conditions for LED Traffic Signal Projects. 3) The recipient is requesting reimbursement for existing salaried labor used to complete project installation. The Commission's grant cannot pay for existing salaried labor but can be used to pay for unbudgeted labor, such as contractors or over-time staff, that will expedite the project installation by June 1, 2001. If using in-house labor, a copy of each employee timesheet and the hourly rate must be submitted. The timesheets must show and certify that the hours worked were above and beyond that employees normal work schedule. 4) The equipment, for which reimbursement is being requested, is funded in whole or in part by an IOU. 5) The total 'incentives from the Commission and the publicly owned utility exceed 100 percent of the total project cost. City of Palm Springs Special Conditions Page 3 LED-OOA-026 6) A random audit or technical analysis conducted by the Commission, or its designated representatives, determines that the installed project does not meet the terms and conditions of the grant agreement. I City of Palm Springs Special Conditions Page 4 LED-OOA-026