CENTER FOR TRANSPORTATION AND THE ENVIRONMENT CALL …€¦ · CENTER FOR TRANSPORTATION AND THE...

CENTER FOR TRANSPORTATION AND THE ENVIRONMENT CALL FOR PROPOSALS

Fuel Cell Hybrid Electric Delivery Van Development and Deployment Project !Subject:!The$ Center$ for$ Transportation$ and$ the$ Environment$ (CTE)$ announces$ the$ Call$ for$ Proposals$ from$manufacturers$and$integrators$of$all:electric$medium/heavy:duty$vehicles.$Respondents$must$be$able$to$fulfill$the$unique$role$and$requirements$described$below$and$work$well$in$a$team$environment.$$$Submission!Deadline:!Friday,$January$30,$2015$at$4:00$PM$EST$$Submission$of$a$project$proposal$does$not$guarantee$award$and$the$award$of$a$grant$ is$dependent$upon$the$availability$of$U.S.$Department$of$Energy$and$California$Energy$Commission$funding.$Applications$received$after$the$ initial$deadline$will$ be$ considered$on$a$ first$ come,$ first$ serve$basis.$ $ For$ access$ to$proposal$material$ and$updates,$please$visit$CTE’s$website$at$www.cte.tv/EVManufacturerCallforProposals.$$Format:!Respondents$must$prepare$and$submit$one$ (1)$electronic$copy$of$ the$complete$project$proposal$ in$Microsoft$Word$or$Adobe$PDF$format$as$well$as$one$(1)$electronic$copy$of$the$proposal$budget$using$the$Microsoft$Excel$template.$ Submission$ should$ include$ cover$ sheet,$ project$ narrative,$ project$ budget,$ and$ any$ supplemental$materials$ describing$ the$ capabilities$ of$ the$ respondent.$ All$ materials$ must$ be$ submitted$ by$ email$ [email protected].$

$Submit!To:!Jason$Hanlin$Director$of$Technology$Development$Center$for$Transportation$and$the$Environment$Jason@cte.tv$$Inquiries:[email protected].$$

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Center for Transportation and the Environment CALL FOR PROPOSALS

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Table of Contents

1$ Invitation!and!EV!Manufacturer!Scope!Summary!.......................................................................!3$

2$ Overall!Project!Description!........................................................................................................!4$2.1$ Overall!Project!Work!Scope!and!Approach!.......................................................................................!4$2.2$ Project!Partners!...............................................................................................................................!5$2.3$ Project!Dependencies!.......................................................................................................................!5$

2.3.1$ Phase$1$Go/No$Go$Decision$...............................................................................................................$6$2.3.2$ NEPA$Requirements$...........................................................................................................................$6$2.3.3$ Project$Funding$Limitations$...............................................................................................................$6$

3$ Funding!Amounts!and!Cost!Share!Requirements!........................................................................!6$3.1$ Eligible!Costs!....................................................................................................................................!6$3.2$ Amount!of!Funding!...........................................................................................................................!6$3.3$ Cost!Share!Requirements!.................................................................................................................!7$3.4$ Reimbursement!of!Eligible!Costs!......................................................................................................!7$

4$ Project!Requirements!................................................................................................................!7$4.1$ Eligible!Applicants!............................................................................................................................!7$4.2$ Technical!Requirements!...................................................................................................................!7$4.3$ Project!Timeline!...............................................................................................................................!7$4.4$ Terms!and!Conditions!.......................................................................................................................!7$4.5$ Grant!Administration!&!Reimbursement!of!Expenses!.......................................................................!8$4.6$ Monitoring!&!Reporting!Requirements!.............................................................................................!8$

5$ Project!Proposal!Process!............................................................................................................!8$5.1$ Application!Instructions!&!Cover!Sheet!.............................................................................................!8$5.2$ Application!Cover!Sheet!...................................................................................................................!9$5.3$ Project!Narrative!Outline!..................................................................................................................!9$5.4$ Application!Materials!.....................................................................................................................!10$5.5$ Application!Review!.........................................................................................................................!10$5.6$ Evaluation!Criteria!..........................................................................................................................!10$5.7$ Contact!Information!.......................................................................................................................!11$

Appendix!A:!EV!Manufacturer!Scope!of!Work!................................................................................!12$

Appendix!B:!Vehicle!Technical!Specifications!.................................................................................!14$

Appendix!C:!General!Terms!and!Conditions!...................................................................................!16$

Appendix!D:!Special!Terms!and!Conditions!.....................................................................................!26$

Appendix!E:!Certifications!and!Assurances!.....................................................................................!35$

Appendix!F:!Data!Collection!Requirements!....................................................................................!39$!$$$$

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1 Invitation and EV Manufacturer Scope Summary The$Center$for$Transportation$and$the$Environment$invites$electric$vehicle$(EV)$manufacturers$or$integrators$to$respond$to$the$Call$for$Proposals$for$the$development$and$deployment$of$a$fuel$cell,$hybrid:electric$medium:duty$ delivery$ van$ under$ a$ project$ funded$ by$ the$US$ Department$ of$ Energy$ (DOE)$ and$ the$ California$ Energy$Commission$ (CEC).$ $ This$ Call$ for$ Proposals$ is$ looking$ to$ fill$ a$ specific$ role$ in$ a$ larger$ team$ that$ has$ been$established$ to$meet$ DOE$Grant$ DE:FOA:0000828$ and$ CEC$ Grant$ Award$ ARV:13:019$ Requirements.$ $ This$ EV$Manufacturer$role$includes:$$Phase$1$–$One$Vehicle$Development$+$6:month$Demonstration$Support$

• Design,$development,$and$ integration$of$ the$Phase$1$“Base$Electric$Vehicle”$ including$electric$motor,$transmission,$ power$ electronics,$ power$ for$ auxiliary$ systems,$ powertrain$ controls,$ driver$ interfaces,$and$ all$ associated$wiring.$ $ A$ baseline$ battery$ supplier$ and$ specific$ battery$module$ has$ already$ been$selected$(based$on$optimization$with$the$fuel$cell$system),$but$the$Proposer$may$propose$an$alternate$battery$type$and$supplier.$$The$Proposer$is$responsible$for$integration$of$the$battery$system,$including$packaging,$battery$management$system$(BMS),$and$thermal$management.$$$$

• Test$and$validation$of$the$Base$Electric$Vehicle.$• Close$ cooperation$with$ Project$ Team$members$ for$ fuel$ cell,$ DC:DC$ converter,$ and$hydrogen$ storage$

system$ integration$ and$ testing.$ $ Primary$ responsibility$ for$ this$ scope$ is$with$ another$member$of$ the$project$ team,$ however,$ input$ from$ the$ Proposer$will$ be$ critical.$ $ Input$may$ include$ physical$ layout,$mechanical$and$electrical$interfaces,$vehicle$controls$development,$and$system$troubleshooting$during$testing.$$

• Vehicle$shipping$to$UPS$Facility$in$West$Sacramento,$CA.$$• Vehicle$operations$and$maintenance$training$and$associated$operator$and$maintenance$manuals.$• Full$on:site$warranty$support$of$the$vehicle$during$6:month$demonstration$by$UPS$in$West$Sacramento,$

CA.$• Close$ cooperation$ with$ Project$ Team$ throughout$ Phase$ 1$ development$ and$ demonstration$ support$

including$attendance$on$weekly/biweekly$conference$calls.$$$• Submission$of$quarterly$status$reports$for$the$work$accomplished.$$$• Out$ of$ scope:$ Vehicle$ supply$ (early$model$ International$ Navistar$ VT365),$ vehicle$ refurbishment$ and$

cleanup,$battery$supply$(unless$Proposer$plans$to$use$alternate$battery$supplier),$fuel$cell$system$supply$and$integration,$fuel$cell$DC:DC$converter$supply$and$integration,$hydrogen$storage$system$supply$and$integration.$

• Options:$Alternate$battery$module$supplied$by$the$Proposer.$Fuel$Cell$DC:DC$converter$supplied$by$the$Proposer.$$$

$Phase$2$–$Up$to$16$Vehicle$Build$+$5,000$Hours$of$Deployment$Support$

• Build,$test,$and$validation$of$4$to$16$additional$vehicles$based$on$Phase$1$design.$$$• Close$ cooperation$ with$ Project$ Team$ for$ any$ necessary$ design$ updates$ resulting$ from$ Phase$ 1$

demonstration.$$$$$• Vehicle$shipping$to$deployment$sites$in$California.$• Vehicle$operations$and$maintenance$training$and$associated$operator$and$maintenance$manuals.$$$• Full$ support$ to$ ensure$ consistent$ operation$ and$ data$ collection$ during$ 5,000:hour$ demonstration$ at$

sites$TBD$in$California.$• Close$ cooperation$ with$ Project$ Team$ throughout$ Phase$ 2$ including$ attendance$ on$ weekly/biweekly$

conference$calls.$$$• Submission$of$quarterly$status$reports$for$the$work$accomplished.$$$• Out$ of$ scope:$ Vehicle$ supply$ (early$model$ International$ Navistar$ VT365),$ vehicle$ refurbishment$ and$

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cleanup,$ battery$ supply,$ fuel$ cell$ system$ supply,$ fuel$ cell$ DC:DC$ converter,$ hydrogen$ storage$ system$supply.$

• Options:$Alternate$battery$module$supplied$by$the$Proposer.$Fuel$Cell$DC:DC$converter$supplied$by$the$Proposer.$$$$$

$CTE$is$seeking$a$Partner$that:$$

1. Has$demonstrated$technical$ability$to$integrate$medium:/heavy:duty$electric$vehicles,$2. Is$willing,$eager,$and$able$to$commercialize$the$product$that$results$from$this$project,$and$3. Works$well$as$a$part$of$team$development$projects.$

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2 Overall Project Description The$U.S.$Department$of$Energy$recently$awarded$funding$to$CTE$through$ the$Demonstration$and$Deployment$of$Fuel$Cell$Hybrid$Electric$Medium:Duty$Vehicles$project$ (DE:FOA:0000828).$ $The$overall$project$objective$is$to$develop$and$demonstrate$fuel$cell$hybrid$electric$delivery$vans$that$substantially$increase$the$zero$emission$driving$range$and$increase$the$viability$of$electric$drive$medium$duty$trucks.$This$will$in$turn,$reduce$petroleum$consumption$ and$ related$ emissions$ of$ these$ vehicles.$ In$ addition,$ the$ project$ aims$ to$ accelerate$ the$introduction$and$market$penetration$of$electric$drive$transportation$technologies$and$respond$to$the$growing$demand$by$commercial$fleet$customers$willing$to$purchase$electric$drive$vehicles.$$CTE$ is$ responsible$ for$overall$project$oversight$and$day:to:day$project$management$activities,$ including,$but$not$ limited$ to$ developing$ and$ executing$ a$ project$ management$ plan$ and$ system$ safety$ plan,$ providing$independent$third:party$analysis$and$evaluation$of$data$collected$and$reported$on$during$project$duration,$as$well$ verifying$ and$ validating$ the$ status$ of$ costs,$ budget,$ milestones,$ decision$ points,$ and$ schedules.$ The$University$of$Texas$Center$for$Electromechanics$(CEM)$will$lead$the$design$for$the$fuel$cell,$hydrogen$storage$system$integration,$and$vehicle$hybridization$during$the$Phase$1$Demonstration.$They$will$also$be$responsible$for$ data$ collection$ and$ project$ support$ throughout$ both$ phases.$ Upon$ award$ of$ Phase$ 2,$ CEM$ will$ play$ a$critical$ role$ in$ transferring$ the$ fuel$ cell$ and$ hydrogen$ technology$ to$ the$ EV$ Manufacturer$ for$ commercial$deployment$of$four$(4)$to$sixteen$(16)$fuel$cell$hybrid$vans.$CEM$will$also$work$closely$with$CTE$in$developing$an$economic$and$market$assessment$of$the$technology$during$Phase$2.$$The$EV$Manufacturer$will$receive$the$used$diesel$delivery$vans$from$UPS,$convert$them$to$electric$drive,$and,$during$Phase$1,$provide$support$during$CEM$integration.$Hydrogenics$will$provide$the$fuel$cell$system$and$also$support$CEM$during$integration.$UPS$will$operate$ the$vehicles$as$part$of$ the$day:to:day$operations.$The$Project$Team$will$carry$out$the$project$ in$close$communication$with$each$other,$project$stakeholders,$and$fueling$station$providers.$$$$2.1 Overall Project Work Scope and Approach

The$ overall$ project$ is$ being$ carried$ out$ by$ a$ Project$ Team$ led$ by$ the$ Center$ for$ Transportation$ and$ the$Environment$ (CTE)$ and$ consists$ of$ the$ University$ of$ Texas$ Center$ for$ Electromechanics$ (CEM),$ Hydrogenics$Corporation,$UPS,$and$the$selected$EV$Manufacturer.$ $ In$Phase$1$Demonstration,$ the$Project$Team$members$will$develop$a$prototype$zero:emission$fuel$cell$hybrid$delivery$vehicle$in$close$communication$with$each$other.$CEM$will$lead$final$analysis$and$design$for$integration$of$the$fuel$cell$powertrain$into$the$base$electric$vehicle.$$A$pre:2006$ model$ diesel:powered$ walk:in$ van$ provided$ by$ UPS$ will$ be$ converted$ to$ electric$ drive$ by$ the$ EV$Manufacturer$using$its$design,$but$with$the$optimized$battery$size$and$controls$specification$to$account$for$the$fuel$cell$hybrid$design$developed$by$CEM.$$This$base$electric$vehicle$will$be$shipped$to$Austin,$TX,$where$CEM$will$ integrate$ the$ Hydrogenics$ fuel$ cell,$ power$ electronics,$ hydrogen$ storage$ system,$ and$ controls$ into$ the$electric$ van.$ $Once$ completed,$CEM$will$ test$ and$ validate$ the$ fuel$ cell$ hybrid$ vehicle$ in$ accordance$with$ the$established$performance$specifications.$ $The$ finished$demonstration$vehicle$will$ then$be$shipped$ to$UPS$at$a$location$in$West$Sacramento,$California,$for$real$world$demonstration$and$validation$for$up$to$six$months.$$All$necessary$ operation$ and$ maintenance$ training$ will$ be$ provided$ by$ CEM$ and$ the$ EV$ Manufacturer$ and$

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administered$by$CTE.$$Fueling$training$will$also$be$provided$by$CTE$with$assistance$from$station$representatives.$$Once$the$performance$specifications$have$been$proven,$CTE$will$request$approval$from$DOE$to$initiate$Phase$2$Deployment.$All$required$data$for$the$demonstration$phase$will$be$collected,$processed,$and$provided$to$NREL$in$accordance$with$the$DOE$requirements$(see$Appendix$F$–$Data$Collection$Requirements).$$In$ Phase$ 2$ Deployment,$ an$ additional$ four$ (4)$ to$ sixteen$ (16)$ fuel$ cell$ hybrid$ walk:in$ vans$ will$ be$ built$ for$deployment$in$real$world$operation$at$two$or$more$California$UPS$distribution$facilities$for$at$least$5,000$hours$each.$$Lessons$learned$from$the$previous$demonstration$phase$will$be$evaluated$and$the$vehicle$design$will$be$updated,$ if$ needed.$ To$ meet$ commercialization$ goals,$ manufacture$ of$ these$ Phase$ 2$ vehicles$ will$ be$accomplished$at$the$EV$Manufacturer’s$plant$with$CEM’s$guidance$and$support$for$the$hybridization.$Although$operation$of$the$vehicles$will$be$similar$to$the$diesel$and$electric$delivery$vans$already$used$by$UPS,$a$training$plan$will$be$developed$for$the$unique$characteristics$of$the$fuel$cell$hybrid$vans.$ $All$necessary$operation$and$maintenance$ training$will$ be$ provided$ by$ CEM$ and$ the$ EV$Manufacturer$ and$ administered$ by$ CTE.$ $ Fueling$training$will$ also$ be$ provided$ by$ CTE$with$ assistance$ from$ station$ representatives.$ $ During$ operation$ of$ the$vehicles,$troubleshooting$and$maintenance$support$will$be$provided$by$the$Team$to$ensure$maximum$up:time$for$the$vehicles.$$All$required$data$for$the$deployment$phase$will$be$collected,$processed,$and$provided$to$NREL$in$ accordance$with$ the$ DOE$ requirements.$ $ An$ assessment$ of$ the$ economic/market$ opportunity$ of$ fuel$ cell$hybrid$walk:in$vans$will$be$made$by$the$Project$Team$and$provided$to$DOE$and$other$appropriate$stakeholders.$$2.2 Project Partners

CTE$ is$ responsible$ for$overall$project$oversight$and$day:to:day$project$management$activities,$ including,$but$not$ limited$ to$ developing$ and$ executing$ a$ project$ management$ plan$ and$ system$ safety$ plan,$ providing$independent$ third:party$ analysis$ and$ evaluation$ of$ data$ collected$ and$ reported$ on$ during$ project$ duration,$and$verifying$and$validating$the$status$of$costs,$budget,$milestones,$decision$points,$and$schedules.$$$CEM$will$lead$the$design$for$the$fuel$cell,$hydrogen$storage$system$integration$and$vehicle$hybridization$during$the$Phase$1$Demonstration.$They$will$also$be$responsible$for$data$collection$and$project$support$throughout$both$ phases.$Upon$ award$ of$ Phase$ 2,$ CEM$will$ transfer$ the$ fuel$ cell$ and$ hydrogen$ storage$ technology$ and$design$to$the$EV!Manufacturer$ for$commercial$deployment$of$up$to$16$additional$ fuel$cell$hybrid$vans.$This$will$ begin$ with$ the$ assembly$ of$ a$ "lessons$ learned"$ document$ from$ Phase$ 1$ development,$ followed$ by$ a$working$group$led$by$CEM$involving$all$project$partners$to$evaluate$issues$that$arose$during$the$demonstration$and$identify$solutions$prior$to$the$build$and$deployment$of$the$additional$Phase$2$vehicles.$As$a$part$of$this,$CEM$will$work$closely$with$the$EV$Manufacturer$to$develop$and$modify$design$documents,$including$drawings,$schematics,$ and$ software,$and$create$a$vehicle$manufacturing$plan$ for$ the$deployment$ stage.$CEM$will$ also$work$closely$with$CTE$in$developing$an$economic$and$market$assessment$of$the$technology$during$Phase$2.$$Hydrogenics$ will$ provide$ the$ fuel$ cell$ systems$ and$ support$ CEM$ during$ integration.$ Hydrogenics$ will$ also$provide$service$and$support$throughout$the$demonstration$and$deployment$phases,$as$required.$$$$UPS$will$provide$up$to$17$used$diesel$delivery$vans$for$conversion.$$UPS$will$also$operate$and$fuel$the$fuel$cell$delivery$vans$in$routine$service,$pay$for$the$hydrogen$fuel,$and$provide$guidance$and$feedback$throughout$the$project.$$$The$EV$Manufacturer$will$cooperate$in$good$faith$with$CTE$and$all$other$Project$participants$in$carrying$out$the$work$under$the$DOE$and$CEC$Agreements.$$$2.3 Project Dependencies

The$overall$Project$is$dependent$on$the$following$conditions$that$will,$in$turn,$affect$the$award$made$under$this$Call$for$Projects.$

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$2.3.1 Phase 1 Go/No Go Decision

Phase$ 1$ includes$ a$ $ “Go/No$ Go”$ decision$ point.$ $ DOE$ must$ determine$ whether$ the$ Team$ has$ fully$ and$satisfactorily$completed$the$work$and$met$the$established$Performance$Criteria$for$the$Phase$1$demonstration$vehicle.$$As$a$result$of$a$Go/No$Go$review,$in$its$discretion,$DOE$may$take$one$of$the$following$actions:$$$

$1. Authorize$Federal$funding$for$the$next$budget$period,$Phase$2$of$the$Project;$$2. Recommend$redirection$of$work$under$the$Project;$$3. Place$a$hold$on$the$Federal$funding$for$the$Project,$pending$further$supporting$data;$or$4. Discontinue$providing$Federal$funding$for$the$Project$beyond$the$current$budget$period$as$the$result$

of$insufficient$progress,$change$in$strategic$direction,$or$lack$of$available$funding.$$

2.3.2 NEPA Requirements

DOE$must$comply$with$the$National$Environmental$Policy$Act$(NEPA)$prior$to$authorizing$the$use$of$Federal$funds$ for$ this$ project.$$ While$ the$ NEPA$ review$ has$ been$ accomplished$ for$ the$ existing$ project,$ new$ or$modified$activities$are$subject$to$additional$NEPA$review$and$are$not$authorized$for$Federal$funding$until$the$Contracting$Officer$provides$approval$on$those$additions$or$modifications.$$$

2.3.3 Project Funding Limitations

The$ overall$ project$ proposal$ and$ scope$ reflects$ the$ full$ project$ proposed$ to$ and$ awarded$ by$ DOE,$ which$includes$the$deployment$of$17$total$fuel$cell$hybrid$electric$delivery$vans$in$Phase$1$(1$vehicle)$and$Phase$2$(16$vehicles).$$However,$the$non:federal$funding$currently$awarded$to$support$this$project$will$only$allow$the$project$ team$ to$ complete$ Phase$ 1$ (build$ and$demonstration$of$ 1$ delivery$ van)$ and,$ upon$ authorization$ to$proceed,$allow$the$Team$to$deploy$and$operate$four$(4)$of$the$additional$sixteen$(16)$vehicles$under$Phase$2.$$CTE$and$the$project$team$are$actively$seeking$additional$funding$to$complete$the$full$scope$of$the$project.$$$

3 Funding Amounts and Cost Share Requirements The$U.S.$Department$of$Energy$is$the$federal$agency$through$which$CTE$was$awarded$the$supporting$project$grant.$The$California$Energy$Commission$is$the$state$agency$through$which$CTE$was$awarded$the$supporting$project$ grant.$ $ Project$ participants$will$ enter$ into$ sub:recipient$ agreements$with$ CTE.$ Applicants$ should$ be$aware$that$grant$funds$awarded$through$this$program$will$be$reimbursed$to$fleet$or$vehicle$owners$through$CTE’s$agreement$with$the$DOE$and$CEC.$$Complete$ details$ regarding$ project$ selection,$ review,$ and$ award$ are$ outlined$ in$ Section$ 5$ Project$ Proposal$Process.$$3.1 Eligible Costs

Grants$ awarded$ through$ this$ Call$ for$ Projects$ process$ may$ be$ used$ solely$ for$ the$ completion$ of$ Tasks$defined$in$Appendix$A$–$EV$Manufacturer$Scope$of$Work,$and$the$role$defined$in$Section$1$Invitation$and$EV$Manufacturer$Scope$Summary.$$3.2 Amount of Funding

There$is$a$fixed$amount$of$funding$available$for$this$project.$$CTE$will$take$into$account$the$proposed$budgets$and$ determine$ if$ the$ project$ can$ be$ accomplished$ within$ the$ available$ funding$ and$ associated$ funding$restrictions.$$CTE$reserves$the$right$to$not$make$an$award$under$this$Call$for$Projects$and$to$reissue$this$Call$for$Projects.$$$

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$3.3 Cost Share Requirements

There$ is$ no$ cost$ share$ requirement$ for$ the$ EV$ Manufacturer.$ $ However,$ provision$ of$ cost$ share$ is$ highly$encouraged$ and$will$ be$ considered$ by$ the$ evaluation$ committee$ as$ part$ of$ the$ Budget$ evaluation$ criteria.$$Provision$ of$ cost$ share$ will$ assist$ CTE$ in$ meeting$ the$ DOE$ cost$ share$ requirements$ for$ the$ project.$$Additionally,$investment$by$the$EV$Manufacturer!will$show$a$strong$commitment$to$vehicle$commercialization,$which$ is$ supportive$of$ the$goals$of$ the$program$and$critical$ for$obtaining$additional$ funding.$ $Any$proposed$cost$share$may$be$tracked$and$contributed$toward$overall$project$management$and$success.$$$3.4 Reimbursement of Eligible Costs

The$selected$EV!Manufacturer$will$be$reimbursed$for$actual,$allocable,$and$allowable$costs.$$Charging$fee$or$profit$to$this$project$is$not$allowed.$$The$selected$EV$Manufacturer$will$be$required$to$provide$documentation,$including$but$not$limited$to,$original$invoices,$proof$of$payment$to$the$vehicle$manufacturer$or$supplier,$copy$of$vehicle$title,$and$final$proof$of$ownership$in$order$to$receive$reimbursement$for$vehicle$purchase.$$The$DOE$ funding$cannot$be$used$toward$development$work$ (including$NRE)$or$purchase$of$components$ for$the$base$electric$vehicle,$defined$as$the$vehicle$and$electric$drivetrain$but$not$including$the$fuel$cell,$hydrogen$system,$ and$ power$ electronics$ necessary$ for$ the$ fuel$ cell$ system,$ hybrid$ system$ controls,$ and$ the$ traction$battery.$$ However,$ other$ project$ funding,$ including$ CEC$ funding,$ is$ available$ for$ this$ work$ and$ component.$$Therefore$it$is$important$that$these$costs$be$clearly$separated$by$“base$electric$vehicle”$and$“fuel$cell$hybrid$integration”$costs$in$the$proposed$budget$and$reported/invoiced$separately$in$the$event$an$award$is$made$to$the$Proposer.$$

4 Project Requirements !

4.1 Eligible Applicants

All$work$ performed$ under$ this$ Award$must$ be$ performed$ in$ the$United$ States.$ This$ requirement$ does$ not$apply$to$the$purchase$of$supplies$and$equipment;$however,$the$EV!Manufacturer$should$make$every$effort$to$purchase$ supplies$ and$ equipment$ within$ the$ United$ States.$ $ Preference$ will$ be$ given$ to$ California:based$manufacturers$in$the$scoring$due$to$the$applicability$of$current$and$expected$funding$sources$for$the$project.$$4.2 Technical Requirements

Appendix$B$–$Vehicle$Technical$Specifications$includes$the$overall$vehicle$technical$requirements.$$$4.3 Project Timeline

The$following$project$timeline$begins$when$the$Proposer$is$notified$of$project$award.$

Phase$1$Final$Design/Build/Test$ 7$months$

Phase$1$Demonstration$ 6$months$

Phase$2$Build$ 12$months$

Phase$2$Expected$Demonstration$ 24$months$$If$this$Timeline$cannot$be$met,$an$alternate$Schedule$should$be$proposed$in$the$Project$Narrative.$$4.4 Terms and Conditions

Appendix$C$–$General$Terms$and$Conditions$includes$the$Terms$and$Conditions$that$shall$be$applicable$to$any$

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award$resulting$from$this$Call$ for$Proposals$and$shall$be$ included$in$any$Contract$resulting$from$such$award.$$The$terms$and$conditions$are$generally$passed$through$from$supporting$grants$from$DOE$and$CEC$and,$as$such,$are$generally$non:negotiable.$$$

$4.5 Grant Administration & Reimbursement of Expenses

Appendix$C$–$General$Terms$and$Conditions$also$ includes$ the$administration$and$reimbursement$ terms$that$shall$ be$applicable$ to$any$award$ resulting$ from$ this$Call$ for$Proposals$ and$ shall$ be$ included$ in$any$Contract$resulting$ from$ such$ award.$ $ CTE$ will$ not$ pay$ for$ any$ expenses$ incurred$ prior$ to$ the$ execution$ date$ of$ a$contract,$and/or$any$expenses$incurred$after$the$termination$date$of$the$contract.$

$4.6 Monitoring & Reporting Requirements

Submission$of$ vehicle$ performance$data$ is$ required$on$ a$quarterly$ basis.$ $ This$ includes$ any$ safety$data$ and$issues$ identified$ during$ the$ operation$ of$ the$ vehicles.$ $ The! EV! Manufacturer$ will$ submit$ data$ to$ CTE$ (in$accordance$ with$ Appendix$ –$ F$ Data$ Collection$ Requirements)$ to$ compile$ and$ deliver$ to$ the$ National$Renewable$Energy$Laboratory$(NREL)$for$analysis$and$aggregation$into$composite$data$products.$$$An$economic$assessment$is$required$at$the$conclusion$of$the$project.$This$includes$a$payback$analysis$regarding$the$use$of$hydrogen:fueled$PEM$fuel$cells$for$fuel$cell$hybrid$electric$medium:duty$vehicles$used$as$commercial$cargo$or$ parcel/package$delivery$ vehicles.$ Intrinsic$ value$ proposition$ factors$ should$ be$ included,$ such$ as$ any$operations$productivity$gains$(e.g.$avoided$recharging$times,$delivery$improvements,$reduced$driver$down$time$for$ charging$ or$ scheduled$ maintenance,$ emissions$ reductions$ and$ other$ benefits).$ $ CTE$ and$ CEM$ will$ be$responsible$for$the$development$of$this$report$with$assistance$and$input$from$the$EV!Manufacturer.$$The!EV!Manufacturer$shall$provide$quarterly$progress$reports$by$the$10th$day$of$each$quarter$summarizing$the$work$ completed$ during$ the$ previous$ quarter,$ achievements$made$ toward$ project$ goals$ and$milestones,$ any$risks$or$obstacles$ to$completing$the$project$objectives$ that$were$ identified$during$the$quarter,$budget$status,$schedule$status,$and$planned$work$during$the$next$quarter.$$$$Specific$project$tasks$and$responsibilities$expected$of$successful$grant$recipients$are$outlined$in$Appendix$A$–$EV$Manufacturer$Scope$of$Work,$Appendix$C$–$General$Terms$and$Conditions,$and$Appendix$D$–$Special$Terms$and$Conditions.$$

5 Project Proposal Process

5.1 Application Instructions & Cover Sheet

Respondents$must$prepare$and$submit$one$(1)$electronic$copy$of$the$complete$project$proposal$in$Microsoft$Word$or$Adobe$PDF$format$as$well$as$one$(1)$electronic$copy$of$the$proposal$budget$using$the$Microsoft$Excel$template.$$$Proposal$submissions$should$include:$

• Application$Cover$Sheet$(as$described$in$Section$5.2$Application$Cover$Sheet)$• Project$Narrative$(as$described$in$Section$5.3$Project$Narrative$Outline)$• Project$Budget$Table$(using$the$Microsoft$Excel$template$provided)$• Supplemental$Materials$(describing$capabilities$of$the$respondent$and/or$component$specifications,$if$

desired)[email protected].$$

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5.2 Application Cover Sheet

The$Project$Narrative$must$include$a$cover$sheet$that$includes$the$following$information:$

• Name$of$Primary$Applicant$$

• Applicant$DUNS$Number$• Primary$Applicant$Single$Point$of$Contact$

o Name$o Organization$o Title$o Address$o Phone$Number$o Email$o Fax$

$5.3 Project Narrative Outline

The$ project$ narrative$must$ not$ exceed$ 20$ pages.$ Commitment$ letters$ and$ supplementary$ information$ are$not$included$within$the$page$limit.$The$project$narrative$must$include:$

1. Capabilities$a. Business$History$–$Provide$a$brief$company$description$and$history.$b. Technical$ Experience$ –$ Provide$ a$ description$ of$ the$ technical$ experience$ related$ to$ the$

project$requirements.$$c. Team$Member$Experience$–$Provide$a$description$and/or$examples$of$ability$to$work$well$in$a$

project$ team$environment$with$other$organizations.$ $ Include$specific$experience$ in$working$with$team$members$and$funding$agencies$for$this$project,$if$applicable.$$

d. Key$ Staff$ –$ Provide$ a$brief$ description$of$ the$ key$ staff$ that$will$ be$working$on$ the$project,$their$role$in$the$project,$and$their$work$experience.$$$

e. Manufacturing$ Facilities$ and$ Capabilities$ –$ Briefly$ describe$ the$manufacturing$ facilities$ and$capabilities$ that$will$ be$ used$ in$ the$project.$ $ All$work$performed$under$ this$ award$must$ be$carried$ out$ in$ the$ United$ States.$ $ Preference$ in$ scoring$ will$ be$ given$ to$ California:based$manufacturers.$

f. Financial$ Risk$ and$ Stability$ –$ Provide$ information$ demonstrating$ fiscal$ capacity$ to$ carry$ out$project$ activities$ on$ a$ reimbursement$ basis$ should$ the$ proposal$ be$ awarded$ funds.$Information$ should$ include$ examples$ and$ documentation$ of$ current$ financial$ status.$ $

2. Approach$a. Technical$Approach$and$Technology$ Readiness$ –$ Provide$ a$description$of$vehicle$technology$

that$will$be$used$ in$the$project.$ $Provide$electric$propulsion$system$and,$ in$particular,$major$component$ specifications.$ If$ an$ electric$ delivery$ van$ propulsion$ system$ currently$ exists$ that$will$be$used$in$the$project,$describe$it’s$state$of$development$and$any$analyses$conducted$and$any$results$collected$to$determine$the$proposed$vehicle’s$performance$for$the$intended$fleet$application$for$this$project.$If$additional$design:work$needs$to$be$accomplished,$describe$the$design$and$development$process$ to$be$used.$ $ If$proposed$as$an$option,$provide$a$complete$description$and$specification$of$the$battery$and/or$DC:DC$Converter$to$be$used.$$Component$specifications$may$be$placed$in$Supplemental$Material$so$as$not$to$count$against$the$20:page$limit.$$$

b. Operational$Support$Plan$–$Outline$testing,$operation,$and$maintenance$plans$for$vehicles$ as$needed$ to$ ensure$ vehicle$ consistent$ operation,$ data$ collection,$ and$ reporting.$Describe$ any$component$or$system$warranties$that$will$apply.$$$

c. Schedule$–$Describe$the$ability$and$approach$to$meeting$the$timeline$provided.$$$d. Reporting$ –$ Describe$ capabilities$ of$ Proposer$ to$ meet$ requirements$ for$ submission$ of$

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complete$ invoice$ documentation,$ monthly$ data$ or$ activity$ reporting,$ and$ ability$ to$ work$with$project$partners$to$conduct$required$data$analyses.$

e. Commercialization$–$Describe$the$organizational$path$and$commitment$to$commercialization$of$the$vehicle$that$results$from$this$project. $

3. Budget$(not$included$in$page$limit)$a. A! completed!Budget! Table! (included! as! an! attached! Excel! spreadsheet)!must! be! submitted!

with!the!proposal.$$5.4 Application Materials

All$materials$ submitted$ to$CTE,$ including$any$attachments,$ appendices,$or$other$ information$ submitted$as$a$part$of$a$proposal,$are$considered$public$information$unless$otherwise$noted$in$the$proposal$itself$as$a$trade$secret,$proprietary$ information,$or$ copyrighted$material,$ and$become$ the$property$of$CTE$upon$ submission.$These$materials$may$be$reprinted,$published,$or$distributed$in$any$manner$by$CTE$according$to$open$records$laws,$and$CTE$policies$and$procedures.$$ !5.5 Application Review

Once$a$respondent$has$submitted$a$project$proposal,$CTE$staff$will$notify$the$respondent$to$confirm$ receipt$within$ 48$ hours.$ An$ evaluation$ committee$will$ review$ the$ project$ proposal$ based$ on$ Evaluation$ Criteria$ in$Section$5.6.$The$committee$will$also$review$the$proposed$budget$to$determine$the$final$grant$ award$ based$on$ the$ number$ of$ vehicles$ and$ total$ proposed$ cost$ per$ truck.$ All$ responses$ received$after$ the$submittal$deadline$will$be$reviewed$as$they$are$submitted.$ $$All$ respondents$ will$ be$ notified,$ in$ writing,$ about$ the$ status$ of$ their$ submittals$ following$ the$ project$proposal$ review$ process.$ CTE$ staff$ will$ notify$ respondents$ about$ the$ final$ status$ of$ grant$ funding$ awards$within$30$days$following$the$proposal$deadline.$$CTE$reserves$the$right$to:$

• Contact$respondents$for$clarification$of$information$submitted;$• Request$presentations$and$interviews$with$vendors;$• Contact$references$to$obtain$information$regarding$past$performance,$reliability,$and$integrity;$• Reject$any$or$all$proposals;$• Withdraw$or$amend$this$Call$for$Projects$at$any$time$without$further$notice;$and,$• Require$ specific$ modifications$ to$ proposals$ accepted$ for$ funding$ before$ agreeing$ to$ negotiate$

contracts$ including$ specific$ items$ to$ bring$ the$ proposal$ into$ compliance$with$U.S.$ DOE,$ CEC,$ or$ the$requirements$of$this$Call$for$Projects.$

$5.6 Evaluation Criteria

An$ evaluation$ committee$ will$ review$ all$ submissions$ to$ confirm$ that$ each$ proposed$ project$ meets$minimum$ project$ requirements.$ Projects$ will$ be$ reviewed$ based$ on$ the$ following$ selection$ criteria$ and$responses$will$be$evaluated$on$the$following$scale:$$

Capabilities$ 30$points$Approach$ 40$points$Budget$ 30$points$

$Respondents$will$be$expected$to$address$each$of$the$evaluation$criteria$in$the$Project$Narrative$portion$ of$their$application$as$described$above.$$

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$5.7 Contact Information

Direct$all$questions$ to$ [email protected].$No$questions$will$be$answered$by$phone.$CTE$ shall$ post$ responses$ to$submitted$questions$ online$ at$www.cte.tv/EVManufacturerCallforProposals$within$ five$ (5)$ business$days.

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Appendix A: EV Manufacturer Scope of Work The$selected$EV$Manufacturer$will$be$expected$to$complete$the$following$tasks:$ EV!MANUFACTURER!SCOPE!OF!WORK!!BUDGET!PERIOD!1!(PHASE!1)![Fuel!Cell!Walk_In!Van!Demonstration]!In$ Phase$ 1$ (Budget$ Period$ 1)$ the$ Project$ Team$will$ carefully$ develop$ and$ fully$ validate$ (including$ in:service$operation)$ a$ demonstration$ vehicle$ in$ order$ to$ prove$ its$ viability$ to$ project$ stakeholders,$ funders,$ and$ our$commercial$fleet$partner,$UPS.$$$$TASK!1.0:$VEHICLE!BUILD$(Month$1:Month$9)$$During$Task$1.0,$EV$MANUFACTURER$will$be$responsible$for:$

• Supporting$UT:CEM$in$finalizing$the$design$for$the$fuel$cell$hybrid$powertrain$sub:system.$• Attending,$along$with$the$rest$of$the$Project$Team,$a$design$review$with$DOE$to$present$the$final$design.$• Converting$one$pre:2006$model$diesel:powered$walk:in$van$provided$by$UPS$to$electric$drive.$!• Shipping$the$base$electric$vehicle$to$Austin,$TX.!• Testing$the$vehicle,$along$with$UT:CEM,$ in$operation$to$ensure$that$all$systems$and$components$are$operating$

properly$for$field$demonstration$prior$to$delivery.$!• Shipping$the$vehicle$to$the$demonstration$site$at$West$Sacramento,$California.!

$TASK!2.0:$TRAINING!AND!EDUCATION!(Month$7:Month$9)$During$Task$2.0,$EV$MANUFACTURER$will:$

• Assisting$CTE$in$assembling$an$operator’s$manuals$and$developing$training$plans$and$training$material.$$• Assisting$CTE$ in$ completing$on:site$operations,$maintenance,$and$ fueling$ training$ for$available$van$drivers$and$

support$staff$over$multiple$sessions,$if$necessary.$$TASK!3.0:$DEMONSTRATION!VEHICLE!TEST!AND!EVALUATION!(Month$10:Month$15)!During$Task$3.0,$EV$MANUFACTURER$will:$

• Assist$with$identifying$and$correcting$any$van,$operator$or$route$issues$along$with$the$Project$Team$for$the$short$duration$(approx.$2$weeks)$of$simulated$service$of$the$demonstration$vehicle$on$specified$demonstration$routes$in$West$Sacramento.$

• Provide$ dedicated$ maintenance$ and$ support$ of$ the$ van$ throughout$ the$ 6$ month$ demonstration$ in$ West$Sacramento.$ $EV$MANUFACTURER$maintenance$and$support$will$primarily$be$ responsible$ for$base$EV,$but$will$assist$CEM$with$fuel$cell$hybrid$powertrain$subsystem.$

• Assisting$CTE$in$updating$all$design$drawings,$BOM,$manual$and$training$with$any$design,$component,$operation,$maintenance,$or$safety:related$changes$that$occur$during$the$demonstration$phase.$

$TASK!4.0:$PROJECT!MANAGEMENT!–!PHASE!1!(Month$1:Month$15)$During$Task$4.0,$EV$MANUFACTURER$will:$

• Assisting$ CTE$ and$ the$ Project$ Team$ in$ completing$ a$ formal$ system$ safety$ review$ to$ ensure$ that$ all$ necessary$preventions,$precautions,$and$procedures$are$taken$for$hazards.$

• Reviewing,$along$with$UT:CEM,$the$van$and$hydrogen$system$safety$design.$• Assisting$CTE$in$the$development$of$a$System$Safety$Plan.$• Providing$CTE$with$all$necessary$information$and$data$to$develop$and$submit$quarterly$reports.$

$BUDGET!PERIOD!2!![Fuel!Cell!Walk_In!Van!Deployment]!!In$Phase$2$(Budget$Period$2),$the$Project$Team$will$build$and$demonstrate$a$pre:commercial$volume$(up$to$16)$of$the$same$vehicles$for$at$least$5,000$hours$of$in:service$operation.$$TASK!5.0:!VEHICLE!BUILD$(Month$16:Month$27)$During$Task$5.0,$EV$MANUFACTURER$will:$

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• Assist$ in$ completing$ design$ reviews$ post:demonstration$ phase,$ which$ will$ provide$ lessons$ learned$ and$recommended$design$updates$for$implementation$onto$the$commercial$deployment$vehicles.$$$

• Developing,$with$support$from$the$Project$Team,$a$plan$to$fully$manufacture$16$fuel$cell$hybrid$vans.$$$• Producing,$ along$with$UT:CEM,$ 16$ fuel$ cell$ hybrid$ vans$ based$on$ the$ initial$ demonstration$ vehicle$ and$design$

updates.$• Commissioning,$with$support$from$UT:CEM$and$Hydrogenics,$the$16$fuel$cell$hybrid$vans.$

$TASK!6.0:!TRAINING!AND!EDUCATION$(Month$25:Month$27)!During$Task$6.0,$EV$MANUFACTURER$will:$

• Completing,$ along$ with$ the$ Project$ Team,$ all$ necessary$ on:site$ vehicle$ operations,$ maintenance,$ and$ fueling$training$for$operators$and$first$responders.$

$TASK!7.0:!VEHICLE!TEST!AND!EVALUATION$(Month$28:Month$51)$During$Task$7.0,$EV$MANUFACTURER$will:$

• Providing$maintenance$and$operational$support$to$UPS$throughout$the$operation$of$all$17$fuel$cell$hybrid$vans$in$routine$UPS$service$for$at$least,$5,000$hours$of$operation.$

!TASK!8.0:$PROJECT!MANAGEMENT!–!PHASE!2!(Month$16:Month$51)$During$Task$8.0,$EV$MANUFACTURER$will:$

• Attending$a$Phase$2$kickoff$meeting$during$the$first$month$of$the$opening$quarter$of$the$program.$• Preparing$for$and$attending,$along$with$the$Project$Team,$progress$reviews$as$required$by$DOE.$• Providing$CTE$with$all$necessary$information$and$data$to$develop$and$submit$quarterly$reports.$

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Appendix B: Vehicle Technical Specifications

FCDV!DESIGN!REQUIREMENTS!DEFINITION!

$ $ $Overall!Objective! $$The$overall$ objective$of$ the$effort$ is$ to$ substantially$ increase$ the$ zero$emission$driving$ range$and$increase$ the$ viability$ of$ electric$ drive$ medium$ duty$ trucks.$ This$ will$ in$ turn,$ reduce$ petroleum$consumption$and$related$emissions$of$these$vehicles.$In$addition,$the$project$also$aims$to$accelerate$the$ introduction$and$market$penetration$of$electric$drive$transportation$technologies$and$respond$to$the$growing$demand$by$commercial$fleet$customers$willing$to$purchase$electric$drive$vehicles.$

$ $ $Design!Goals! $$ $$Performance$

$ $Maximize$Range$$ $Meet$Performance$Criteria$Below$

$$ $ $Commercialization$

$Maximize$Maintainability$and$Reliability$$Maximize$Payload$Capacity$$Maximize$Safety$

$ $$ $ $Vehicle$Integration$

$Minimize$System$Component$Volume$$Minimize$System$Component$Mass$$Maximize$Weight$Available$for$H2$Storage$$Maximize$Volume$Available$for$H2$Storage$$Minimize$System$Complexity$$Minimize$Number$of$Components$$Minimize$Integration$Time$$

$ $ $Cost$$ $Minimize$Prototype$Cost$

$Minimize$Commercial$Cost$$$

System! Performance!Specifications! Requirement!Vehicle$ Powertrain$Configuration$ Fuel$Cell$Hybrid$Electric$Vehicle$ Vehicle$Emission$Levels$ Zero,$all$criteria$Vehicle$ Maximum$Speed$ 65$mph$Vehicle$ Range$ >125$miles$Vehicle$ Acceleration$(0:60$mph)$ 26$seconds$at$19,500$lbs.$Vehicle$ GVW$ Class$6$(23,000$lbs.)$Vehicle$ Gradeability$ 5%$Grade$:$launch$to$top$cruising$speed$of$30$

mph$in$7$seconds$Vehicle$ Gradeability$ 10%$Grade$:$launch$to$top$cruising$speed$of$

20$mph$in$2$seconds$

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Vehicle$ Gradeability$ 15%$Grade$:$launch$to$top$cruising$speed$of$20$mph$in$3$seconds$

$ $ $System! Technical!Specifications! Requirement!Vehicle$ Vehicle$Chassis$ International$Navistar$VT365$Vehicle$ Minimum$daily$operation$schedule$

without$refueling$or$recharging$12$hours$

Vehicle$ Performance$matching$state:of:the:art$MD$trucks$(i.e.,$a$conventional$internal$combustion$engine)$

$

Vehicle$ Minimum$performance$life$ 5000$hours$Vehicle$ Must$be$capable$of$performing$under$a$

standard$use$profile$consistent$with$conventional$MD$trucks.$

$

Vehicle$ All$power$(motive$and$ancillary)$is$to$be$provided$by$the$fuel$cell$electric$hybrid$powertrain.$

$

Vehicle$ Cargo$Volume$ Same$as$existing$:$no$reduction$Vehicle$ Cargo$Capacity$ 6,000$lbs.$Vehicle$ GVWR$ 22,000$lbs.$Battery$ Battery$Make/Model$ Valence$P40:24$Battery$ Battery$Chemistry$and$Type$ LiFeMgPO4$$Power$Pack$Battery$ Optional$Battery$Configuration$#1$/$

Energy$/$Voltage$15s2p$/$30$kWh$/$350$Vdc$(nom.)$

Battery$ Optional$Battery$Configuration$#2$/$Energy$/$Voltage$

15s3p$/$45$kWh$/$350$Vdc$(nom.)$

Battery$ Charger$(Battery$conditioning)$ 110$VAC$Motor$ Type$ Proposer$Specified$Motor$ Power$(cont.$/$peak)$ Proposer$Specified$Motor$ Maximum$Torque$ Proposer$Specified$Transmission$

Transmission$ Proposer$Specified$

Fuel$Cell$ Make$/$Model$ Hydrogenics$HD30$$Fuel$Cell$ Rated$Power$ 30$kW$continuous$Fuel$Cell$ Peak$Efficiency$ 0.55$HSS$ Capacity$/$Pressure$ 10$kg$@$350$bar$$ $ $$ $

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Appendix C: General Terms and Conditions $Agreement$This$project$is$being$funded$with$grants$from$the$Department$of$Energy$(DOE)$and$California$Energy$Commission$(Commission).$$$$The$ term$ of$ this$ Agreement$ or$ the$ Agreement$ Period$ is$ the$ length$ of$ the$ Agreement$ between$ the$ Energy$Commission$and$the$Center$for$Transportation$&$the$Environment$(CTE).$$$$All$reimbursable$work$and/or$the$expenditure$of$funds$must$occur$within$the$approved$term$of$this$Agreement.$$$

$1. Attachments.and.References.

This$Agreement$consists$of$the$Letter$Agreement,$the$Prime$Agreement,$plus$the$following:$a. Attachments:$

$ Attachment$No.$ Title$

I. SUBRECIPIENT$ Scope$ of$ Work,$ Deliverables,$ Payment$ Schedule$ and$ Project$Schedule$

II. General$Terms$and$Conditions$III. Special$Terms$and$Conditions$IV. Certifications$and$Assurances$

$b. DOE$Assistance$Regulations,$10$CFR$600$at$https://ecfr.gpoaccess.gov.$

.

2. Federal.and.State.Recovery.Rights.

SUBRECIPIENT$understands$and$agrees$that$payment$to$SUBRECIPIENT$for$any$Project$cost$does$not$constitute$the$Federal$Government’s$or$the$Commission’s$final$decision$about$whether$that$cost$is$allowable$and$eligible$for$payment$and$does$not$constitute$a$waiver$of$any$violation$by$the$SUBRECIPIENT$of$the$terms$of$the$DOE$Agreement$ for$ the$ Project,$ the$ Commission$ Agreement$ for$ the$ project,$ or$ this$ Letter$ Agreement.$ $ The$SUBRECIPIENT$acknowledges$that$the$Federal$Government$or$Commission$will$not$make$a$final$determination$about$ the$ allowance$ and$ eligibility$ of$ any$ cost$ until$ an$ audit$ of$ the$ Project$ has$ been$ completed.$ The$SUBRECIPIENT$agrees$that$Project$closeout$will$not$alter$the$SUBRECIPIENT's$responsibility$to$return$any$funds$due$the$Federal$Government$or$Commission$as$a$result$of$later$refunds,$corrections,$or$other$transactions;$nor$will$ Project$ closeout$ alter$ the$ Federal$ Government's$ right$ or$ the$ Commission’s$ right$ to$ disallow$ costs$ and$recover$funds$on$the$basis$of$a$later$audit$or$other$review.$$!

3. Federal,.State,.and.Municipal.Requirements.

SUBRECIPIENT$must$obtain$any$required$permits,$including$any$environmental$clearances,$and$comply$with$all$applicable$federal,$state,$and$municipal$laws,$codes,$and$regulations$for$work$performed$under$this$award.$

$SUBRECIPIENT$shall$observe$and$abide$by$all$California$State$ laws,$ regulations,$and$directives,$ including$but$not$limited$to$all$regulations$applicable$to$the$Alternative$and$Renewable$Fuel$and$Vehicle$Technology$(ARFVT)$Program$(Title$20,$California$Code$of$Regulations,$Section$3103.)$$Note$that$if$rulemaking$proceedings$result$in$any$changes,$revision$or$elimination$of$all$or$any$portion$of$current$Regulation$3103,$any$funding$restrictions$inconsistent$with$the$new$regulation$shall$automatically$become$inapplicable.$$$

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4. Reports.

a.$ Progress$Reports$

$ CONTRACTOR$shall$provide$quarterly$progress$reports$by$the$10th$day$of$each$quarter$summarizing$$• The$work$completed$during$the$previous$quarter,$$• Achievements$made$toward$project$goals$and$milestones,$$• Any$risks$or$obstacles$to$completing$the$project$objectives$that$were$identified$during$the$

quarter,$$• Budget$status,$$• Schedule$status,$and$$• Planned$work$during$next$quarter.$$$

b.$ Final$Reports$

$ A$final$report$shall$be$submitted$to$CTE$no$later$than$30$days$prior$to$the$end$of$the$Agreement$term.$At$a$minimum,$the$report$shall$include:$

• Input$on$how$the$project$objectives$were$accomplished,$• Any$lessons$learned$from$the$project,$and$• Any$findings,$conclusions,$or$recommendations$for$follow:up$or$ongoing$activities$that$might$

result$from$the$successful$completion$of$the$project.$c.$ Rights$in$Reports$Submitted$to$the$Commission$

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.$ Restrictions$

Reports$ submitted$ to$CTE$must$not$ contain$ any$Protected$Personal$ Identifiable$ Information$ (PII),$limited$rights$data$(proprietary$data),$classified$ information,$ information$subject$to$export$control$classification,$or$other$information$not$subject$to$release.$$$

.

5. Standard.of.Performance.

SUBRECIPIENT,$its$subcontractors$and$their$employees,$in$the$performance$of$SUBRECIPIENT’s$work$under$this$ Agreement$ shall$ be$ responsible$ for$ exercising$ the$ degree$ of$ skill$ and$ care$ required$ by$ customarily$accepted$good$professional$practices$and$procedures$used$in$the$SUBRECIPIENT’s$field.$$Any$costs$for$failure$to$meet$the$foregoing$standard$or$to$correct$otherwise$defective$work$that$requires$re:performance$of$the$work,$as$directed$by$CTE,$shall$be$borne$in$total$by$SUBRECIPIENT.$$$

$ In$the$event$Recipient/subcontractor$fails$to$perform$in$accordance$with$the$above$standard:$

• SUBRECIPIENT$will$re:perform,$at$its$own$expense,$any$task$that$was$not$performed$to$the$reasonable$satisfaction$of$the$CTE.$Any$work$re:performed$pursuant$to$this$paragraph$shall$be$completed$within$the$ time$ limitations$originally$ set$ forth$ for$ the$ specific$ task$ involved.$ SUBRECIPIENT$ shall$work$ any$overtime$required$to$meet$the$deadline$for$the$task$at$no$additional$cost$to$CTE;$

• CTE$shall$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$

• CTE$shall$have$the$option$to$direct$SUBRECIPIENT$not$to$re:perform$any$task$that$was$not$performed$to$the$reasonable$satisfaction$of$CTE$pursuant$to$application$of$ (1)$and$(2)$above.$ In$the$event$CTE$directs$SUBRECIPIENT$not$to$re:perform$a$task,$CTE$and$SUBRECIPIENT$shall$negotiate$a$reasonable$settlement$ for$ satisfactory$work$ performed.$No$ previous$ payment$ shall$ be$ considered$ a$waiver$ of$CTE’s$right$to$reimbursement.$

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$ Nothing$ contained$ in$ this$ section$ is$ intended$ to$ limit$ any$ of$ the$ rights$ or$ remedies$ that$ CTE$may$ have$under$law.$

$6. Title.to.Real.Property.and.Equipment.

For$property$or$equipment$purchased$in$whole$or$in$part$with$Federal$or$CEC$funds$under$this$project$or$whose$full$or$partial$value$is$counted$towards$cost$share$or$match$share$under$this$project,$title$vests$ in$CTE.$SUBRECIPIENT$shall$not$encumber$property$or$equipment$without$CTE$approval.$$

7. Property.Management.

Property$ records$must$be$maintained$ to$ include$ the$ following$ information$ for$property$ that$ is$ Federally$owned,$equipment$that$is$acquired$in$whole$or$in$part$with$Federal$funds,$or$property$or$equipment$that$is$used$as$cost$sharing$or$matching:$

a. A$description$of$the$property.$b. Manufacturer’s$ serial$ number,$model$ number,$ Federal$ stock$number,$ national$ stock$number,$ or$

any$other$identification$number.$c. Source$of$the$property,$including$the$award$number.$d. Whether$title$vests$in$the$recipient$or$the$Federal$Government.$e. Acquisition$date$and$cost.$f. Information$from$which$one$can$calculate$the$percentage$of$Federal$participation$in$the$cost$of$the$

property.$g. The$location$and$condition$of$the$property$and$the$date$the$information$was$reported.$h. Ultimate$disposition$data.$i. Adequate$maintenance$procedures$must$be$implemented$to$keep$the$property$in$good$condition.$

$8. Payment.of.Funds.

CTE$agrees$to$reimburse$the$SUBRECIPIENT$for$actual$allowable$expenditures$incurred$in$accordance$with$the$Budget.$$The$rates$in$the$Budget$are$rate$caps,$or$the$maximum$amount$allowed$to$be$invoiced.$$The$SUBRECIPIENT$ can$ only$ invoice$ for$ actual$ expenses$ incurred$ at$ the$ SUBRECIPIENT’s$ actual$ direct$ labor$rate(s),$ fringe$benefit$ rate(s),$ and$ indirect$ rate(s),$ not$ to$ exceed$ the$ rates$ specified$ in$ the$Budget.$ $ Any$increase$in$rates$or$fees$must$be$approved$by$CTE.$$$$

a. Invoices$SUBRECIPIENT$ shall$ submit$ invoices$ to$ CTE$ on$ a$ timely$ basis,$ with$ the$ appropriate$ supporting$documentation.$ CTE$ shall$ submit$ request$ for$ reimbursement$ to$ the$ Commission$ and$DOE,$ on$ a$monthly$ basis,$ subject$ to$ limitations$ set$ forth$ by$ the$ Commission$ and$ DOE.$ $ $ SUBRECIPIENT$invoices$received$by$the$10th$business$day$of$the$month$will$be$billed$to$the$Commission$and$DOE$during$the$month$of$receipt.$ $SUBRECIPIENT$invoices$received$after$the$10th$business$day$will$be$submitted$ with$ the$ reimbursement$ request$ in$ the$ following$ month.$ The$ final$ invoice$ must$ be$received$by$CTE$at$ least$ seventy:five$ (75)$days$after$ the$end$of$ the$Agreement$ term.$ $ Failure$ to$submit$ a$ final$ invoice$ 75$ days$ after$ the$ end$of$ the$Agreement$ term$may$ result$ in$ nonpayment.$$Invoices$ shall$ be$ submitted$ by$ mail$ to$ Center$ for$ Transportation$ and$ the$ Environment,$ 730$Peachtree$St.,$Suite$760,$Atlanta,[email protected].$

$b. Retention$

As$a$security,$retention$in$the$amount$of$5%$of$each$invoice$in$Phase$1$and$2.9%$of$each$invoice$in$Phase$2$will$be$withheld$by$CTE$as$a$result$of$the$retention$required$by$the$Commission.$After$the$project$is$complete$the$SUBRECIPIENT$must$submit$a$completed$payment$request$form$requesting$release$of$the$retention.$The$Commission$will$review$the$project$file$and,$when$satisfied$that$the$terms$of$the$funding$Agreement$have$been$fulfilled,$will$authorize$release$of$the$retention.$

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Retention$may$ be$ released$ upon$ completion$ of$ tasks$ that$ are$ considered$ separate$ and$ distinct$(i.e.,$ the$ task$ is$ a$ stand:alone$ piece$ of$ work$ and$ could$ be$ completed$without$ the$ other$ tasks).$$Tasks$ for$ administration$ or$ management$ of$ the$ Agreement$ and/or$ subcontractors$ are$ not$considered$separate$and$distinct$tasks.$$The$tasks$for$which$retention$may$be$released$prior$to$the$end$of$the$Agreement$are$listed$below.$$$

• Task$1$Vehicle$Build$(one$vehicle)$

• Task$2$Training$and$Education$

• Task$3$Demonstration$Vehicle$Test$and$Evaluation$

• Task$5$Vehicle$Build$(4$vehicles)$

Upon$completion$of$each$major$task$and$subsequent$release$of$the$retention$by$the$Commission,$CTE$will$release$the$retention$to$SUBRECIPIENT.$

$c. Reimbursement/Payment$

This$is$a$cost$reimbursable$agreement$and$CTE$will$reimburse$SUBRECIPIENT$for$services$provided$based$on$ actual$ and$ allowable$ costs.$ $ CTE$will$ reimburse$ SUBRECIPIENT$within$ 10$days$ of$ CTE’s$receipt$of$the$money$from$DOE$and$CEC.$$

d. Travel$and$Per$Diem$Only$ travel$ identified$ in$ the$ SUBRECIPIENT$ budget$ is$ approved$ and$ does$ not$ require$ further$authorization.$ $ Travel$not$ included$ in$ the$SUBRECIPIENT$budget$ shall$ require$authorization$ from$CTE$ prior$ to$ travel$ departure.$ $ The$ SUBRECIPIENT$ shall$ be$ reimbursed$ for$ travel$ and$ per$ diem$expense$ using$ the$ same$ rates$ provided$ to$ non:represented$ California$ State$ employees.$ $ The$SUBRECIPIENT$ is$ responsible$ for$ travel$ in$ excess$ of$ these$ rates.$ $ The$ SUBRECIPIENT$may$ obtain$current$ rates$ from$ the$ California$ Energy$ Commission$ Web$ Site$ at:$http://www.energy.ca.gov/contracts/TRAVEL_PER_DIEM.PDF$$The$SUBRECIPIENT$must$ retain$documentation$of$ travel$expenses$ in$ its$ financial$ records.$ $Travel$receipts,$ including$ for$ travel$meals$ and$ incidentals,$ shall$ be$ submitted$with$ invoices$ requesting$reimbursement$from$CTE.$$

e. Documentation$All$ payment$ requests$must$ be$ accompanied$ by$ an$ itemized$ list$ of$ all$ charges$ and$ copies$ of$ all$receipts$ or$ invoices$ necessary$ to$ document$ these$ charges,$ including$ back:up$documentation$ for$actual$ expenditures,$ such$ as$ time$ cards,$ vendor$ invoices,$ and$ proof$ of$ payment.$ $ Any$ payment$request$ that$ is$ submitted$ without$ the$ itemization$ will$ not$ be$ authorized.$ $ If$ itemization$ or$documentation$is$incomplete,$CTE$will$inform$SUBRECIPIENT$of$any$deficiencies$and$will$withhold$payment$until$all$required$information$is$received$or$corrected.$

$f. Financial$Management$

SUBRECIPIENT$is$encouraged$to$use$existing$financial$management$systems$to$the$extent$that$the$systems$ comply$ with$ Generally$ Accepted$ Accounting$ Principles$ (GAAP).$ $ At$ a$ minimum,$SUBRECIPIENT’s$financial$management$system$must$provide$effective$control$of$all$funds,$must$be$adequate$to$make$comparisons$of$outlays$with$amounts$budgeted,$and$must$support$charges$for$salaries$and$wages,$whether$ treated$as$direct$or$ indirect$costs,$at$ least$monthly,$ coinciding$with$one$ or$more$ pay$ periods.$ $ Control$ systems$must$ be$ adequate$ to$ ensure$ that$ costs$ charged$ to$Federal$funds$and$those$counted$as$cost$share$or$match$are$consistent$with$requirements$for$cost$reasonableness,$ allowability,$ and$ allocability$ in$ the$ applicable$ cost$ principles$ (see$ 10$ CFR$ §$

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600.317)$ and$ in$ the$ terms$ and$ conditions$ of$ the$ DOE$ and$ CEC$ award.$$$

g. Refund$Obligation$SUBRECIPIENT$ must$ refund$ any$ excess$ payments$ received$ from$ CTE,$ including$ any$ costs$determined$unallowable$by$the$DOE$Contracting$Officer.$ $Upon$the$end$of$the$project$period$(or$the$ termination$ of$ the$ Award,$ if$ applicable),$ SUBRECIPIENT$ must$ refund$ to$ CTE$ the$ difference$between$(i)$the$total$payments$received$from$CTE,$and$(ii)$actual$costs$incurred.$$$

h. Project$Costs$All$project$costs$must$be$allowable,$allocable,$and$reasonable.$SUBRECIPIENT$must$document$and$maintain$records$of$all$project$costs,$including,$but$not$limited$to,$the$costs$paid$by$CTE$and$project$costs$that$the$SUBRECIPIENT$claims$as$cost$sharing,$including$in:kind$contributions.$$SUBRECIPIENT$is$ responsible$ for$ maintaining$ records$ adequate$ to$ demonstrate$ that$ costs$ claimed$ have$ been$incurred,$are$reasonable,$allowable$and$allocable,$and$comply$with$the$applicable$cost$principles.$$Upon$request,$SUBRECIPIENT$is$required$to$provide$such$records$to$CTE.$$Such$records$are$subject$to$audit.$Failure$to$provide$CTE$adequate$supporting$documentation$may$result$in$a$determination$by$the$DOE$Contracting$Officer$that$those$costs$are$unallowable.$$

9. Publications.

CTE$ and$DOE$encourages$ the$project$ team$ to$publish$or$ otherwise$make$publicly$ available$ the$results$of$work$performed$under$this$Project.$$SUBRECIPIENT$must$obtain$pre:approval$from$CTE$prior$to$the$publication$of$any$article$or$document$referencing$project$results$or$work$conducted.$$For$any$reports$intended$for$publication,$SUBRECIPIENT$must$include$the$required$DOE$and$Commission$Disclosures$available$upon$request$from$CTE.$$

10. Bonding.and.Insurance.a. Worker’s$Compensation$Insurance$

SUBRECIPIENT$ hereby$ warrants$ that$ it$ carries$ Workers’$ Compensation$ Insurance$ for$ all$ of$ its$employees$ who$ will$ be$ engaged$ in$ the$ performance$ of$ this$ Agreement,$ and$ agrees$ to$ furnish$ CTE$satisfactory$evidence$of$this$insurance$at$any$time$CTE$may$request.$

If$ SUBRECIPIENT$ is$ self:insured$ for$workers’$ compensation,$ it$ hereby$warrants$ such$ self:insurance$ is$permissible$under$the$laws$of$the$State$of$California$and$agrees$to$furnish$to$CTE$satisfactory$evidence$of$this$insurance$at$any$time$CTE$may$request.$

b. Liability$Insurance$

SUBRECIPIENT$ shall$ obtain,$ pay$ for,$ and$maintain$ or$ cause$ to$ be$ obtained,$ paid$ and$maintained,$ a$policy$ of$ liability$ insurance,$ including$ a$ contractual$ liability$ endorsement,$ for$ the$ duration$ of$ this$Agreement$ with$ a$ minimum$ limit$ of$ $2,000$ per$ person$ medical$ payments$ and$ a$ minimum$ of$$5,000,000$ coverage$ to$ include$ $1,000,000$ combined$ single$ limit$ plus$ an$ umbrella/excess$ liability$policy$ of$ not$ less$ than$ $4,000,000.$ $ SUBRECIPIENT$ shall$ cause$ CTE,$ and$ their$ officers,$ agents,$ and$employees$ to$be$ included$as$additional$ insured$ in$ the$policy$or$policies,$which$ insure$SUBRECIPIENT$against$liability$arising$out$of$its$performance$under$this$Agreement.$

Each$ insurance$company$ issuing$a$policy$referred$to$ in$this$section$shall$be$ licensed$to$transact$such$business$in$the$State$of$California$and$shall$hold$a$policy$holder’s$rating$of$“B++”$or$better$by$A.M.$Best$and$Company,$Inc.,$or$by$Underwriters$of$Lloyds$of$London.$

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11. Notice.Regarding.the.Purchase.of.AmericanNMade.Equipment.and.Products.–.Sense.of.Congress.

It$ is$ the$ sense$ of$ the$ Congress$ that,$ to$ the$ greatest$ extent$ practicable,$ all$ equipment$ and$ products$purchased$with$funds$made$available$under$this$project$should$be$American:made.$.

12. Fiscal.Accounting.Requirements.

a. Accounting$and$Financial$Methods$

The$SUBRECIPIENT$shall$maintain$expenditure$details$in$accordance$with$the$approved$budget$details$using$appropriate$accounting$practices.$$

b. Retention$of$Records$

The$ SUBRECIPIENT$ shall$ retain$ all$ project$ records$ (including$ financial$ records,$ progress$ reports,$ and$payment$requests)$for$a$minimum$of$three$(3)$years$after$the$final$payment$has$been$received$or$three$years$after$the$federal$grant$term,$whichever$is$later,$unless$otherwise$specified.$

Records$ for$ nonexpendable$ personal$ property$ acquired$ with$ grant$ funds$ shall$ be$ retained$ for$ a$minimum$ of$ three$ years$ after$ its$ final$ disposition$ or$ three$ years$ after$ the$ federal$ grant$ term,$whichever$is$later.$

c. Audits$

Upon$ written$ request$ from$ CTE,$ the$ SUBRECIPIENT$ shall$ provide$ detailed$ documentation$ of$ all$expenses$at$any$time$throughout$the$project.$$In$addition,$the$SUBRECIPIENT$agrees$to$allow$the$DOE,$the$Inspector$General,$Comptroller$General$of$the$United$States,$the$Commission,$CTE,$or$any$of$their$duly$authorized$representatives,$to$have$reasonable$access$to$and$the$right$of$inspection$of$all$books,$documents,$ papers,$ or$ other$ records$ that$ pertain$ to$ the$ project$ for$ the$ purpose$ of$ making$ audits,$excerpts,$ transcriptions,$and$copies$of$ such$documents$during$ the$ term$of$ this$Agreement$and$ for$a$period$ of$ three$ (3)$ years$ thereafter$ or$ three$ years$ after$ the$ federal$ grant$ term,$whichever$ is$ later,$unless$CTE$notifies$the$SUBRECIPIENT,$prior$to$the$expiration$of$such$three:year$period,$that$a$longer$period$ of$ record$ retention$ is$ necessary.$ $ This$ right$ also$ includes$ timely$ and$ reasonable$ access$ to$SUBRECIPIENT’s$ personnel$ for$ the$ purpose$ of$ interview$ and$ discussion$ related$ to$ such$ documents.$$Further,$when$specifically$requested$by$CTE,$the$SUBRECIPIENT$agrees$to$incorporate$an$audit$of$this$project$within$any$scheduled$audits.$

The$SUBRECIPIENT$agrees$to$include$a$similar$right$to$audit$in$any$subcontract.$

d. Cost$or$Match$Share$

Cost$or$Match$Share$means$cash$or$in:kind$(non:cash)$contributions$provided$by$Recipient,$subcontractors$or$other$parties$that$will$be$used$in$performance$of$this$Agreement.$

If$ SUBRECIPIENT’s$ budget$ includes$ cost$ or$ match$ share$ under$ this$ Agreement,$ the$ SUBRECIPIENT$agrees$ to$be$ liable$ for$ the$percentage$of$ cost$or$match$ share$ identified$ in$ this$Agreement$of$ the$ total$allowable$project$costs$incurred$even$if$the$project$is$terminated$early$or$is$not$funded$to$its$completion.$

Total$allowable$project$cost$is$the$sum$of$the$Agreement$share$and$SUBRECIPIENT$share$of$the$project$costs.$ $Cost$share$percentage$ is$calculated$by$dividing$SUBRECIPIENT$cost$share$amount$by$ the$total$allowable$project$cost.$Match$share$percentage$is$calculated$by$dividing$SUBRECIPIENT$match$share$by$the$Agreement$share$of$the$project$costs.$

Failure$to$provide$the$minimum$required$cost$or$match$share$might$result$in$the$subsequent$recovery$of$some$or$all$of$the$funds$provided$under$this$Agreement.$

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The$SUBRECIPIENT$must$maintain$accounting$ records$detailing$ the$expenditure$of$ the$match$ (actual$cash$ and$ in:kind$ services)$ and$ provide$ complete$ documentation$ of$ expenditures,$ including$ receipts,$time$cards,$vendor$ invoices,$and$proof$of$payment.$ $Any$payment$request$ that$ is$submitted$without$the$itemization$will$not$be$authorized.$

$

13. Site.Visits.If$ DOE$ or$ Commission$ authorized$ representatives$ require$ site$ visits,$ SUBRECIPIENT$ shall$ provide$reasonable$access$to$facilities,$office$space,$resources,$and$assistance$for$the$safety$and$convenience$of$the$government$representatives$in$the$performance$of$their$duties.$$$$

14. Indemnification.

SUBRECIPIENT$ agrees$ to,$ and$ will,$ indemnify,$ defend,$ and$ hold$ CTE$ and$ its$ Board$ Members,$ officers,$agents,$employees,$and$representatives$harmless$ from$any$ liability,$ loss$or$damage$they$may$suffer$as$a$result$ of$ claims,$ demands,$ actions,$ costs$ or$ judgments$ resulting$ or$ alleged$ to$ have$ resulted$ from$ the$SUBRECIPIENT's$negligence$or$willful$misconduct$related$to$performance$under$this$contract.$$$SUBRECIPIENT$shall$further$assume$all$liability$for$loss$by$reason$of$SUBRECIPIENT’s$neglect$or$violations$of$Federal,$ State$ or$ Local$ laws,$ ordinances$ or$ regulations,$ and$ shall$ do$ and$ perform$ all$work$ necessary$ to$conform$to$such$laws,$ordinances$and$regulations.$$$$

15. State.Indemnification.

SUBRECIPIENT$agrees$to$indemnify,$defend,$and$save$harmless$the$State$of$California,$its$officers,$agents,$and$employees$from$any$and$all$claims$and$losses$accruing$or$resulting$to$SUBRECIPIENT$and$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$the$SUBRECIPIENT$in$the$performance$of$this$Agreement.$$

16. Termination.

This$project$may$be$terminated$for$any$reason$set$forth$below.$$

a. Termination$for$Convenience:$$$This$Agreement$may$be$terminated$without$cause$in$whole$or$in$part,$upon$giving$twenty:five$(25)$days$ advance$ notice$ in$writing$ to$ SUBRECIPIENT$ by$ certified$mail,$ return$ receipt$ requested.$ $ In$such$event,$the$SUBRECIPIENT$agrees$to$use$all$reasonable$efforts$to$mitigate$the$SUBRECIPIENT’s$expense$ and$ obligations$ hereunder.$ $ Also$ in$ such$ event,$ CTE$ shall$ pay$ the$ SUBRECIPIENT$ for$ all$satisfactory$work$performed$and$expenses$incurred$within$25$days$after$such$notice$of$termination$which$could$not$by$reasonable$efforts$of$the$SUBRECIPIENT$have$been$avoided,$but$not$in$excess$of$the$maximum$payable$under$this$Agreement.$$$

b. Termination$for$Default:$$$If$SUBRECIPIENT$materially$fails$to$comply$with$the$terms$and$conditions$of$this$Agreement$or$the$terms$ and$ conditions$ of$ the$ prime$ award,$ CTE$may$ terminate$ this$ contract$ for$ default,$without$prejudice$to$any$of$CTE’s$legal$remedies.$$Serving$a$Notice$of$Termination,$setting$forth$the$reasons$for$such$termination,$shall$effect$termination.$$Upon$receipt$of$a$termination$notice,$SUBRECIPIENT$shall$immediately$stop$work$on$project$tasks$unless$otherwise$directed$by$CTE.$$CTE$will$reimburse$SUBRECIPIENT$for$the$contract$price$of$supplies$delivered$and$accepted$or$services$performed$in$accordance$with$the$manner$of$performance$set$forth$in$this$Agreement,$prior$to$the$termination$notice,$less$any$additional$costs,$above$and$beyond$original$budgeted$amounts,$incurred$by$CTE$in$

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completing$SUBRECIPIENT’s$scope$of$work$in$the$time$originally$allotted.$$

17. Stop.Work.

Upon$ receipt$ of$ a$ Stop$ Work$ order$ from$ the$ Commission$ or$ DOE,$ CTE$ may,$ by$ written$ notice$ to$SUBRECIPIENT,$ require$SUBRECIPIENT$to$stop$all$or$any$part$of$ the$work$ tasks$ in$ this$Agreement.$ $Upon$receipt$ of$ such$ stop$ work$ order,$ SUBRECIPIENT$ shall$ immediately$ take$ all$ necessary$ steps$ to$ comply$therewith$and$to$minimize$the$incurrence$of$costs$allocable$to$work$stopped.$$Within$twenty$(20)$days$of$receipt$of$the$Stop$Work$order,$the$SUBRECIPIENT$shall$submit$to$CTE$an$invoice$for$all$satisfactory$work$performed$and$expenses$incurred$which$could$not$by$reasonable$efforts$of$the$SUBRECIPIENT$have$been$avoided.$$

18. 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$Capacity$In$the$performance$of$this$Agreement,$SUBRECIPIENT$and$the$agents$and$employees$of$SUBRECIPIENT$shall$act$in$an$independent$capacity$and$not$as$officers$or$employees$or$agents$of$CTE.$$

c. Assignment$This$Agreement$is$not$assignable$or$transferable$without$the$prior$written$consent$of$CTE.$$

d. Timeliness$Time$is$of$the$essence$in$this$Agreement.$$

e. Severability$Should$ any$ part$ of$ this$ agreement$ be$ rendered$ or$ declared$ invalid$ or$ unenforceable$ by$ a$ court$ of$competent$jurisdiction,$it$shall$not$affect$the$validity$of$any$other$provision,$which$shall$remain$in$full$force$and$effect.$$

f. Amendment$or$Waiver$This$Agreement$may$not$be$modified,$amended$or$waived$except$by$a$written$instrument$executed$by$duly$ authorized$ representatives$ of$ both$ parties.$ $ No$ failure$ or$ delay$ in$ exercising$ any$ right$ shall$operate$as$a$waiver$thereof.$

$g. Change$in$Business$

(1) SUBRECIPIENT$shall$promptly$notify$CTE$of$the$occurrence$of$each$of$the$following:$• A$change$of$address$• A$change$in$the$business$name$or$ownership$• The$existence$of$any$litigation$or$other$legal$proceeding$affecting$the$project$• The$occurrence$of$any$casualty$or$other$loss$to$project$personnel,$equipment$or$third$parties$

of$a$type$commonly$covered$by$insurance$• Receipt$of$notice$of$any$claim$or$potential$claim$against$SUBRECIPIENT$for$patent,$copyright,$

trademark,$service$mark$and/or$trade$secret$infringement$that$could$affect$CTE’s$rights.$(2) SUBRECIPIENT$ shall$ not$ change$ or$ reorganize$ the$ type$ of$ business$ entity$ under$ which$ it$ does$

business$ except$ upon$ prior$ written$ notification$ to$ CTE.$ $ A$ change$ of$ business$ entity$ or$ name$

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change$requires$an$amendment$assigning$or$novating$the$Agreement$to$the$changed$entity.$$In$the$event$CTE$is$not$satisfied$that$the$new$entity$can$perform$as$the$original$SUBRECIPIENT,$CTE$may$terminate$this$Agreement$as$provided$in$the$termination$paragraph.$$

h. 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$to:$

• “Title$to$Real$Property$and$Equipment”$• “Property$Management$Requirements”$• “Payment$of$Funds”$• “Termination”$• “Fiscal$Accounting$Requirements”$• “State$Indemnification”$• “Change$ in$ Business”$

$19. Performance.of.Work.in.the.United.States.

a. Requirement.$$All$work$performed$under$this$Project$must$be$performed$in$the$United$States.$This$requirement$does$not$apply$to$the$purchase$of$supplies$and$equipment;$however,$the$SUBRECIPIENT$should$make$every$effort$to$purchase$supplies$and$equipment$within$the$United$States.$$$

b. Failure$to$Comply$If$the$SUBRECIPIENT$fails$to$comply$with$the$Performance$of$Work$in$the$United$States$requirement,$the$CTE$may$deny$ reimbursement$ for$ the$work$conducted$outside$ the$United$States$and$such$costs$may$ not$ be$ recognized$ as$ allowable$ cost$ share.$ The$ SUBRECIPIENT$ is$ responsible$ should$ any$ work$under$this$Project$be$performed$outside$the$United$States,$absent$a$waiver,$regardless$of$if$the$work$is$performed$by$the$Recipient,$subrecipients,$vendors$or$other$project$partners.$

$c. Waiver$

There$may$be$limited$circumstances$where$it$ is$ in$the$interest$of$the$project$to$perform$a$portion$of$the$work$outside$the$United$States.$To$seek$a$waiver$of$the$Performance$of$Work$in$the$United$States$requirement,$the$SUBRECIPIENT$must$work$with$CTE$to$submit$a$written$waiver$request$to$DOE,$which$includes$the$following$information:$

• The$countries$in$which$the$work$is$proposed$to$be$performed;$• A$description$of$the$work$proposed$to$be$performed$outside$the$U.S.;$• Proposed$budget$of$work$to$be$performed;$and$• The$rationale$for$performing$the$work$outside$the$U.S.$

$For$ the$ rationale,$ the$ SUBRECIPIENT$ must$ demonstrate$ to$ the$ satisfaction$ of$ CTE$ and$ DOE$ that$ a$waiver$would$ further$ the$ purposes$ of$ the$ Federal$ Opportunity$ Announcement$ that$ the$ DOE$ Award$was$selected$under$and$is$otherwise$in$the$interests$of$DOE$and$the$United$States.$DOE$may$require$additional$information$before$considering$a$waiver$request.$

$

!20. Notice.Regarding.the.Purchase.of.AmericanNMade.Equipment.and.Products.–.Sense.of.Congress..

It$ is$ the$ sense$ of$ the$ Congress$ that,$ to$ the$ greatest$ extent$ practicable,$ all$ equipment$ and$ products$purchased$with$funds$made$available$under$this$Project$should$be$American:made.$

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!21. Executive.Compensation.Reporting.

SUBRECIPIENT$ agrees$ to$ report$ the$ names$ and$ total$ compensation$ of$ each$ first:tier$ it’s$ five$ highest$compensated$executives$for$the$it’s$preceding$completed$fiscal$year$if,$

(1) In$its$preceding$fiscal$year,$SUBRECIPIENT$a. Received$80$percent$or$more$of$its$annual$gross$revenues$from$Federal$procurement$contracts$

(and$subcontracts)$and$Federal$funds$subject$to$the$Transparency$Act,$as$defined$in$2$C.F.R.$§$170.320$(and$subawards),$and$

b. Received$$25,000,000$or$more$in$annual$gross$revenues$from$Federal$procurement$contracts$(and$ subcontracts),$ and$ Federal$ funds$ subject$ to$ the$ Transparency$ Act$ (and$ subawards),$ as$defined$in$2$C.F.R.$§$170.320,$and$

(2) The$public$ does$not$have$ access$ to$ information$ about$ the$ compensation$of$ the$ SUBRECIPIENT’s$executives$through$periodic$reports$filed$under$a. Section$13(a)$of$the$Securities$Exchange$Act$of$1934,$15$U.S.C.$§$78m(a),$$b. Section$15(d)$of$the$Securities$Exchange$Act$of$1934,$15$U.S.C.$§$78o(d),$or$$c. Section$ 6104$ of$ the$ Internal$ Revenue$ Code$ of$ 1986$

$If$ applicable,$ SUBRECIPIENT$ agrees$ to$ report$ the$ it’s$ executives$ total$ compensation$described$ above,$ to$the$FTA$and$elsewhere$as$may$be$determined$by$the$Government,$by$the$15th$day$of$the$month$following$the$month$of$execution$of$this$Subagreement.$$$

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Appendix D: Special Terms and Conditions

1 Patent!Rights!(Large!Business!Firms)—No!Waiver!

(a)!Definitions!

Contracting$ Officer,$ as$ used$ in$ this$ clause,$ means$ the$ Department$ of$ Energy$ employee$ responsible$ for$project$oversight$and$grant$administration,$as$provided$by$CTE.$DOE$ patent$ waiver$ regulations,$as$ used$ in$ this$ clause,$ means$ the$ Department$ of$ Energy$ patent$ waiver$regulations$in$effect$on$the$date$of$award.$See$10$CFR$part$784.$Invention,$as$ used$ in$ this$ clause,$ means$ any$ invention$ or$ discovery$ that$ is$ or$ may$ be$ patentable$ of$otherwise$protectable$under$title$35$of$the$United$States$Code$or$any$novel$variety$of$plant$that$is$or$may$be$protectable$under$the$Plant$Variety$Protection$Act$(7$U.S.C.$2321,$et$seq.).$Patent$ Counsel,$as$ used$ in$ this$ clause,$ means$ the$ Department$ of$ Energy$ Patent$ Counsel$ assisting$ the$awarding$activity.$Subject$ invention,$as$used$ in$this$clause,$means$any$ invention$of$ the$Recipient$conceived$or$ first$actually$reduced$to$practice$in$the$course$of$or$under$this$agreement.$

(b)!Allocations!of!Principal!Rights!

(1)$Assignment$to$the$Government.$The$SUBRECIPIENT$agrees$to$assign$to$the$Government$the$entire$right,$title,$and$interest$throughout$the$world$in$and$to$each$subject$invention,$except$to$the$extent$that$rights$are$retained$by$the$SUBRECIPIENT$under$subparagraph$(b)(2)$and$paragraph$(d)$of$this$clause.$(2)$Greater$rights$determinations.$The$SUBRECIPIENT,$or$an$employee:inventor$after$consultation$with$the$SUBRECIPIENT,$ may$ request$ greater$ rights$ than$ the$ nonexclusive$ license$ and$ the$ foreign$ patent$ rights$provided$in$paragraph$(d)$of$this$clause$on$identified$inventions$in$accordance$with$the$DOE$patent$waiver$regulation.$Each$determination$of$greater$rights$under$this$agreement$shall$be$subject$to$paragraph$(c)$of$this$ clause,$ unless$ otherwise$ provided$ in$ the$ greater$ rights$ determination,$ and$ to$ the$ reservations$ and$conditions$deemed$to$be$appropriate$by$the$Secretary$of$Energy$or$designee.$

(c)!Minimum!Rights!Acquired!by!the!Government!

With$ respect$ to$ each$ subject$ invention$ to$ which$ the$ Department$ of$ Energy$ grants$ the$ SUBRECIPIENT$principal$ or$ exclusive$ rights,$ the$ SUBRECIPIENT$ agrees$ to$ grant$ to$ the$ Government:$ A$ nonexclusive,$nontransferable,$ irrevocable,$ paid:up$ license$ to$ practice$ or$ have$ practiced$ each$ subject$ invention$throughout$the$world$by$or$on$behalf$of$the$Government$of$the$United$States$(including$any$Government$agency);$“march:in$rights”$as$set$forth$in$37$CFR$401.14(a)(J));$preference$for$U.S.$ industry$as$set$forth$in$37$CFR$401.14(a)(I);$periodic$reports$upon$request,$no$more$frequently$than$annually,$on$the$utilization$or$intent$ of$ utilization$ of$ a$ subject$ invention$ in$ a$ manner$ consistent$ with$ 35$ U.S.C.$ 202(c)(50;$ and$ such$Government$rights$in$any$instrument$transferring$rights$in$a$subject$invention.$

(d)!Minimum!Rights!to!the!SUBRECIPIENT!

(1)$ The$ SUBRECIPIENT$ is$ hereby$ granted$ a$ revocable,$ nonexclusive,$ royalty:free$ license$ in$ each$ patent$application$filed$in$any$country$on$a$subject$invention$and$any$resulting$patent$in$which$the$Government$obtains$title,$unless$the$SUBRECIPIENT$fails$to$disclose$the$subject$invention$within$the$times$specified$in$subparagraph$ (e)(2)$ of$ this$ clause.$ The$ SUBRECIPIENT's$ license$ extends$ to$ its$ domestic$ subsidiaries$ and$affiliates,$if$any,$within$the$corporate$structure$of$which$the$SUBRECIPIENT$is$a$part$and$includes$the$right$to$grant$sublicenses$of$the$same$scope$to$the$extent$the$SUBRECIPIENT$was$legally$obligated$to$do$so$at$the$ time$ the$agreement$was$awarded.$ The$ license$ is$ transferable$only$with$ the$approval$of$DOE$except$when$ transferred$ to$ the$ successor$ of$ that$ part$ of$ the$ SUBRECIPIENT's$ business$ to$ which$ the$ invention$pertains.$(2)$The$SUBRECIPIENT$may$request$the$right$to$acquire$patent$rights$to$a$subject$invention$in$any$foreign$

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country$ where$ the$ Government$ has$ elected$ not$ to$ secure$ such$ rights,$ subject$ to$ the$ minimum$ rights$acquired$by$the$Government$similar$to$paragraph$(c)$of$this$clause.$Such$request$must$be$made$in$writhing$to$the$Patent$Counsel$as$part$of$the$disclosure$required$by$subparagraph$(e)(2)$of$this$clause,$with$a$copy$to$the$DOE$Contracting$Officer.$DOE$approval,$ if$given,$will$be$based$on$a$determination$that$this$would$best$serve$the$national$interest.$

(e)!Invention!Identification,!Disclosures,!and!Reports!

(1)$The$SUBRECIPIENT$shall$establish$and$maintain$active$and$effective$procedures$to$assure$that$subject$inventions$ are$ promptly$ identified$ and$ disclosed$ to$ SUBRECIPIENT$ personnel$ responsible$ for$ patent$matters$within$6$months$of$conception$and/or$first$actual$reduction$to$practice,$whichever$occurs$first$in$the$ performance$ of$ work$ under$ this$ agreement.$ These$ procedures$ shall$ include$ the$ maintenance$ of$laboratory$notebooks$or$equivalent$ records$and$other$ records$as$are$ reasonably$necessary$ to$document$the$conception$and/or$the$first$actual$reduction$to$practice$of$subject$ inventions,$and$records$that$show$that$ the$ procedures$ for$ identifying$ and$ disclosing$ the$ inventions$ are$ followed.$ Upon$ request,$ the$SUBRECIPIENT$shall$furnish$the$Contracting$Officer$a$description$of$such$procedures$for$evaluation$and$for$determination$as$to$their$effectiveness.$(2)$The$SUBRECIPIENT$shall$disclose$each$subject$invention$to$the$DOE$Patent$Counsel$with$a$copy$to$the$Contracting$Officer$within$2$months$after$ the$ inventor$discloses$ it$ in$writing$ to$SUBRECIPIENT$personnel$responsible$for$patent$matters$or,$if$earlier,$within$6$months$after$the$SUBRECIPIENT$becomes$aware$that$a$subject$invention$has$been$made,$but$in$any$event$before$any$on$sale,$public$use,$or$publication$of$such$invention$known$to$the$SUBRECIPIENT.$The$disclosure$to$DOE$shall$be$in$the$form$of$a$written$report$and$shall$ identify$ the$ agreement$ under$ which$ the$ invention$ was$ made$ and$ the$ inventor(s).$ It$ shall$ be$sufficiently$complete$in$technical$detail$to$convey$a$clear$understanding,$to$the$extent$known$at$the$time$of$ the$ disclosure,$ of$ the$ nature,$ purpose,$ operation,$ and$ physical,$ chemical,$ biological,$ or$ electrical$characteristics$of$the$invention.$The$disclosure$shall$also$identify$any$publication,$on$sale,$or$public$use$of$the$invention$and$whether$a$manuscript$describing$the$invention$has$been$submitted$for$publication$and,$if$so,$whether$it$has$been$accepted$for$publication$at$the$time$of$disclosure.$In$addition,$after$disclosure$to$DOE,$ the$ SUBRECIPIENT$ shall$ promptly$ notify$ Patent$ Counsel$ of$ the$ acceptance$ of$ any$ manuscript$describing$the$invention$for$publication$or$of$any$on$sale$or$public$use$planned$by$the$SUBRECIPIENT.$The$report$should$also$include$any$request$for$a$greater$rights$determination$in$accordance$with$subparagraph$(b)(2)$of$ this$ clause.$When$an$ invention$ is$disclosed$ to$DOE$under$ this$paragraph,$ it$ shall$be$deemed$ to$have$ been$ made$ in$ the$ manner$ specified$ in$ Sections$ (a)(1)$ and$ (a)(2)$ of$ 42$ U.S.C.$ 5908,$ unless$ the$SUBRECIPIENT$contends$in$writing$at$the$time$the$invention$is$disclosed$that$it$was$not$so$made.$(3)$The$SUBRECIPIENT$shall$furnish$the$Contracting$Officer$a$final$report,$within$3$months$after$completion$of$the$work$listing$all$subject$inventions$or$containing$a$statement$that$there$were$no$such$inventions,$and$listing$all$subawards/contracts$at$any$tier$containing$a$patent$rights$clause$or$containing$a$statement$that$there$were$no$such$subawards/contracts.$(4)$ The$ SUBRECIPIENT$ agrees$ to$ require,$ by$ written$ agreement,$ its$ employees,$ other$ than$ clerical$ and$nontechnical$ employees,$ to$ disclose$ promptly$ in$ writing$ to$ personnel$ identified$ as$ responsible$ for$ the$administration$of$patent$matters$and$in$a$format$suggested$by$the$SUBRECIPIENT$each$subject$ invention$made$under$subaward/contract$in$order$that$the$SUBRECIPIENT$can$comply$with$the$disclosure$provisions$of$paragraph$(c)$of$ this$clause,$and$to$execute$all$papers$necessary$to$ file$patent$applications$on$subject$inventions$ and$ to$ establish$ the$ Government's$ rights$ in$ the$ subject$ inventions.$ This$ disclosure$ format$should$require,$as$a$minimum,$the$information$required$by$subparagraph$(e)(2)$of$this$clause.$(5)$The$SUBRECIPIENT$agrees,$ subject$ to$FAR$27.302(j),$ that$ the$Government$may$duplicate$and$disclose$subject$ invention$ disclosures$ and$ all$ other$ reports$ and$ papers$ furnished$ or$ required$ to$ be$ furnished$pursuant$to$this$clause.$

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(f)!Examination!of!Records!Relating!to!Inventions!

(1)$The$Contracting$Officer$or$any$authorized$representative$shall,$until$3$years$after$final$payment$under$this$ agreement,$ have$ the$ right$ to$ examine$ any$ books$ (including$ laboratory$ notebooks),$ records,$ and$documents$ of$ the$ SUBRECIPIENT$ relating$ to$ the$ conception$ or$ first$ actual$ reduction$ to$ practice$ of$inventions$in$the$same$field$of$technology$as$the$work$under$this$agreement$to$determine$whether—$

(i)$Any$such$inventions$are$subject$inventions;$(ii)$The$SUBRECIPIENT$has$established$and$maintains$the$procedures$required$by$subparagraphs$(e)(1)$and$(4)$of$this$clause;$(iii)$The$SUBRECIPIENT$and$its$inventors$have$complied$with$the$procedures.$

(2)$If$the$Contracting$Officer$learns$of$an$unreported$SUBRECIPIENT$invention$that$the$Contracting$Officer$believes$may$be$a$subject$invention,$the$SUBRECIPIENT$may$be$required$to$disclose$the$invention$to$DOE$for$a$determination$of$ownership$rights.$(3)$Any$examination$of$records$under$this$paragraph$will$be$subject$to$appropriate$conditions$to$protect$the$confidentiality$of$the$information$involved.$

(g)!Subaward/Contract!

(1)$The$SUBRECIPIENT$shall$ include$the$clause$PATENT$RIGHTS$(SMALL$BUSINESS$FIRMS$AND$NONPROFIT$ORGANIZATIONS)$(suitably$modified$to$ identify$the$parties)$ in$all$subawards/contracts,$regardless$of$tier,$for$experimental,$developmental,$demonstration,$or$ research$work$ to$be$performed$by$a$ small$business$firm$or$domestic$nonprofit$organization,$except$where$the$work$of$the$subaward/contract$is$subject$to$an$Exceptional$Circumstances$Determination$by$DOE.$In$all$other$subawards/contracts,$regardless$of$tier,$for$experimental,$developmental,$demonstration,$or$research$work,$the$SUBRECIPIENT$shall$include$this$clause$(suitably$modified$to$identify$the$parties),$or$an$alternate$clause$as$directed$by$the$contracting$officer.$The$SUBRECIPIENT$shall$not,$as$part$of$the$consideration$for$awarding$the$subaward/contract,$obtain$rights$in$the$subrecipient's/contractor's$subject$inventions.$(2)$ In$ the$ event$ of$ a$ refusal$ by$ a$ prospective$ subrecipient/contractor$ to$ accept$ such$ a$ clause$ the$SUBRECIPIENT:$

(i)$ Shall$ promptly$ submit$ a$ written$ notice$ to$ the$ Contracting$ Officer$ setting$ forth$ the$subrecipient/contractor's$reasons$for$such$refusal$and$other$pertinent$information$that$may$expedite$disposition$of$the$matter;$and$(ii)$ Shall$ not$ proceed$ with$ such$ subaward/contract$ without$ the$ written$ authorization$ of$ the$Contracting$Officer.$

(3)$ In$ the$ case$of$ subawards/contracts$ at$ any$ tier,$DOE,$ the$ subrecipient/contractor,$ and$ SUBRECIPIENT$agree$that$the$mutual$obligations$of$the$parties$created$by$this$clause$constitute$a$contract$between$the$subrecipient/contractor$and$DOE$with$respect$to$those$matters$covered$by$this$clause.$(4)$ The$ SUBRECIPIENT$ shall$ promptly$ notify$ the$ Contracting$ Officer$ in$ writing$ upon$ the$ award$ of$ any$subaward/contract$at$any$tier$containing$a$patent$rights$clause$by$identifying$the$subrecipient/contractor,$the$applicable$patent$rights$clause,$the$work$to$be$performed$under$the$subaward/contract,$and$the$dates$of$ award$ and$ estimated$ completion.$ Upon$ request$ of$ the$ Contracting$ Officer,$ the$ SUBRECIPIENT$ shall$furnish$ a$ copy$ of$ such$ subaward/contract,$ and,$ no$ more$ frequently$ than$ annually,$ a$ listing$ of$ the$subawards/contracts$that$have$been$awarded.$(5)$The$SUBRECIPIENT$shall$identify$all$subject$inventions$of$a$subrecipient/contractor$of$which$it$acquires$knowledge$in$the$performance$of$this$agreement$and$shall$notify$the$Patent$Counsel,$with$a$copy$to$the$contracting$officer,$promptly$upon$identification$of$the$inventions.$

(h)!Atomic!Energy!

(1)$No$claim$for$pecuniary$award$of$compensation$under$the$provisions$of$the$Atomic$Energy$Act$of$1954,$as$amended,$shall$be$asserted$with$respect$to$any$invention$or$discovery$made$or$conceived$in$the$course$of$or$under$this$agreement.$

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(2)$ Except$ as$ otherwise$ authorized$ in$ writing$ by$ the$ Contracting$ Officer,$ the$ SUBRECIPIENT$ will$ obtain$patent$agreements$to$effectuate$the$provisions$of$subparagraph$(h)(1)$of$this$clause$from$all$persons$who$perform$ any$ part$ of$ the$ work$ under$ this$ agreement,$ except$ nontechnical$ personnel,$ such$ as$ clerical$employees$and$manual$laborers.$

(i)!Publication!

It$ is$ recognized$ that$ during$ the$ course$ of$ the$ work$ under$ this$ agreement,$ the$ SUBRECIPIENT$ or$ its$employees$may$from$time$to$time$desire$to$release$or$publish$information$regarding$scientific$or$technical$developments$conceived$or$ first$actually$reduced$to$practice$ in$the$course$of$or$under$this$agreement.$ In$order$that$public$disclosure$of$such$information$will$not$adversely$affect$the$patent$interests$of$DOE$or$the$SUBRECIPIENT,$patent$approval$for$release$of$publication$shall$be$secured$from$Patent$Counsel$prior$to$any$such$release$or$publication.$

(j)!Forfeiture!of!Rights!in!Unreported!Subject!Inventions!

(1)$The$SUBRECIPIENT$shall$forfeit$and$assign$to$the$Government,$at$the$request$of$the$Secretary$of$Energy$or$ designee,$ all$ rights$ in$ any$ subject$ invention$ that$ the$ SUBRECIPIENT$ fails$ to$ report$ to$ Patent$ Counsel$within$six$months$after$the$time$the$SUBRECIPIENT:$

(i)$Files$or$causes$to$be$filed$a$United$States$or$foreign$patent$application$thereon;$or$(ii)$Submits$the$final$report$required$by$subparagraph$(e)(3)$of$this$clause,$whichever$is$later.$

(2)$However,$the$SUBRECIPIENT$shall$not$forfeit$rights$in$a$subject$invention$if,$within$the$time$specified$in$subparagraph$(e)(2)$of$this$clause,$the$SUBRECIPIENT:$

(i)$ Prepares$ a$ written$ decision$ based$ upon$ a$ review$ of$ the$ record$ that$ the$ invention$ was$ neither$conceived$nor$first$actually$reduced$to$practice$in$the$course$of$or$under$the$agreement$and$delivers$the$decision$to$Patent$Counsel,$with$a$copy$to$the$Contracting$Officer,$or$(ii)$Contending$that$the$invention$is$not$a$subject$invention,$the$SUBRECIPIENT$nevertheless$discloses$the$ invention$ and$ all$ facts$ pertinent$ to$ this$ contention$ to$ the$ Patent$ Counsel,$ with$ a$ copy$ of$ the$Contracting$Officer;$or$(iii)$Establishes$that$the$failure$to$disclose$did$not$result$from$the$SUBRECIPIENT's$fault$or$negligence.$

(3)$Pending$written$assignment$of$the$patent$application$and$patents$on$a$subject$invention$determined$by$the$ Secretary$of$ Energy$or$ designee$ to$be$ forfeited$ (such$determination$ to$be$ a$ final$ decision$under$ the$Disputes$clause$of$this$agreement),$the$SUBRECIPIENT$shall$be$deemed$to$hold$the$invention$and$the$patent$applications$ and$ patents$ pertaining$ thereto$ in$ trust$ for$ the$Government.$ The$ forfeiture$ provision$ of$ this$paragraph$(j)$shall$be$in$addition$to$and$shall$not$supersede$other$rights$and$remedies$that$the$Government$may$have$with$respect$to$subject$inventions.$$

2 Rights!in!Data—General!

(a)!Definitions!

Contracting$ Officer,$ as$ used$ in$ this$ clause,$ means$ the$ Department$ of$ Energy$ employee$ responsible$ for$project$oversight$and$grant$administration,$as$provided$by$CTE.$Computer$Data$Bases,$as$used$in$this$clause,$means$a$collection$of$data$in$a$form$capable$of,$and$for$the$purpose$ of,$ being$ stored$ in,$ processed,$ and$ operated$ on$ by$ a$ computer.$ The$ term$ does$ not$ include$computer$software.$Computer$ software,$as$ used$ in$ this$ clause,$ means$ (i)$ computer$ programs$ which$ are$ data$ comprising$ a$series$of$instructions,$rules,$routines$or$statements,$regardless$of$the$media$in$which$recorded,$that$allow$or$cause$a$computer$to$perform$a$specific$operation$or$series$of$operations$and$(ii)$data$comprising$source$code$listings,$design$details,$algorithms,$processes,$flow$charts,$formulae,$and$related$material$that$would$

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enable$the$computer$program$to$be$produced,$created$or$compiled.$The$term$does$not$include$computer$data$bases.$Data,$as$used$in$this$clause,$means$recorded$information,$regardless$of$form$or$the$media$on$which$it$may$be$ recorded.$ The$ term$ includes$ technical$ data$ and$ computer$ software.$ The$ term$ does$ not$ include$information$incidental$to$administration,$such$as$financial,$administrative,$cost$or$pricing,$or$management$information.$Form,$fit,$and$function$data,$as$used$in$this$clause,$means$data$relating$to$items,$components,$or$processes$that$are$sufficient$to$enable$physical$and$functional$interchangeability,$as$well$as$data$identifying$source,$size,$ configuration,$ mating,$ and$ attachment$ characteristics,$ functional$ characteristics,$ and$ performance$requirements;$ except$ that$ for$ computer$ software$ it$ means$ data$ identifying$ source,$ functional$characteristics,$ and$ performance$ requirements$ but$ specifically$ excludes$ the$ source$ code,$ algorithm,$process,$formulae,$and$flow$charts$of$the$software.$Limited$rights,$as$used$in$this$clause,$means$the$rights$of$the$Government$in$limited$rights$data$as$set$forth$in$the$Limited$Rights$Notice$of$subparagraph$(g)(2)$if$included$in$this$clause.$Limited$ rights$ data,$as$ used$ in$ this$ clause,$ means$ data$ (other$ than$ computer$ software)$ developed$ at$private$expense$that$embody$trade$secrets$or$are$commercial$or$financial$and$confidential$or$privileged.$Restricted$ computer$ software,$as$ used$ in$ this$ clause,$ means$ computer$ software$ developed$ at$ private$expense$ and$ that$ is$ a$ trade$ secret;$ is$ commercial$ or$ financial$ and$ is$ confidential$ or$ privileged;$ or$ is$published$copyrighted$computer$software;$including$minor$modifications$of$such$computer$software.$Restricted$ rights,$as$ used$ in$ this$ clause,$ means$ the$ rights$ of$ the$ Government$ in$ restricted$ computer$software,$as$set$forth$ in$a$Restricted$Rights$Notice$of$subparagraph$(g)(3)$ if$ included$ in$this$clause,$or$as$otherwise$ may$ be$ provided$ in$ a$ collateral$ agreement$ incorporated$ in$ and$ made$ part$ of$ this$ contract,$including$minor$modifications$of$such$computer$software.$Technical$data,$as$used$in$this$clause,$means$data$(other$than$computer$software)$that$are$of$a$scientific$or$technical$ nature.$ Technical$ data$ does$ not$ include$ computer$ software,$ but$ does$ include$ manuals$ and$instructional$materials$and$technical$data$formatted$as$a$computer$data$base.$Unlimited$ rights,$as$used$ in$ this$ clause,$means$ the$ right$of$ the$Government$ to$use,$ disclose,$ reproduce,$prepare$derivative$works,$distribute$copies$to$the$public,$and$perform$publicly$and$display$publicly,$in$any$manner$and$for$any$purpose,$and$to$have$or$permit$others$to$do$so.$

(b)!Allocations!of!Rights!

(1)$ Except$ as$ provided$ in$ paragraph$ (c)$ of$ this$ clause$ regarding$ copyright,$ the$ Government$ shall$ have$unlimited$rights$in—$

(i)$Data$first$produced$in$the$performance$of$this$agreement;$(ii)$Form,$fit,$and$function$data$delivered$under$this$agreement;$(iii)$ Data$ delivered$ under$ this$ agreement$ (except$ for$ restricted$ computer$ software)$ that$ constitute$manuals$or$instructional$and$training$material$for$installation,$operation,$or$routine$maintenance$and$repair$of$items,$components,$or$processes$delivered$or$furnished$for$use$under$this$agreement;$and$(iv)$All$other$data$delivered$under$this$agreement$unless$provided$otherwise$for$limited$rights$data$or$restricted$computer$software$in$accordance$with$paragraph$(g)$of$this$clause.$

(2)$The$SUBRECIPIENT$shall$have$the$right$to—$(i)$Use,$release$to$others,$reproduce,$distribute,$or$publish$any$data$first$produced$or$specifically$used$by$the$SUBRECIPIENT$ in$the$performance$of$ this$agreement,$unless$provided$otherwise$ in$paragraph$(d)$of$this$clause;$(ii)$Protect$from$unauthorized$disclosure$and$use$those$data$which$are$limited$rights$data$or$restricted$computer$software$to$the$extent$provided$in$paragraph$(g)$of$this$clause;$(iii)$Substantiate$use$of,$add$or$correct$limited$rights,$restricted$rights,$or$copyright$notices$and$to$take$over$appropriate$action,$in$accordance$with$paragraphs$(e)$and$(f)$of$this$clause;$and$

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(iv)$Establish$claim$to$copyright$subsisting$in$data$first$produced$in$the$performance$of$this$agreement$to$the$extent$provided$in$subparagraph$(c)(1)$of$this$clause.$

(c)!Copyright!

(1)$Data$first$produced$in$the$performance$of$this$agreement.$Unless$provided$otherwise$in$paragraph$(d)$of$this$clause,$the$SUBRECIPIENT$may$establish,$without$prior$approval$of$the$Contracting$Officer,$claim$to$copyright$subsisting$in$data$first$produced$in$the$performance$of$this$agreement.$When$claim$to$copyright$is$ made,$ the$ SUBRECIPIENT$ shall$ affix$ the$ applicable$ copyright$ notices$ of$ 17$ U.S.C.$ 401$ or$ 402$ and$acknowledgement$of$Government$sponsorship$(including$agreement$number)$to$the$data$when$such$data$are$delivered$to$the$Government,$as$well$as$when$the$data$are$published$or$deposited$for$registration$as$a$published$work$in$the$U.S.$Copyright$Office.$For$such$copyrighted$data,$including$computer$software,$the$SUBRECIPIENT$ grants$ to$ the$ Government,$ and$ others$ acting$ on$ its$ behalf,$ a$ paid:up$ nonexclusive,$irrevocable$worldwide$license$in$such$copyrighted$data$to$reproduce,$prepare$derivative$works,$distribute$copies$to$the$public,$and$perform$publicly$and$display$publicly,$by$or$on$behalf$of$the$Government.$(2)$Data$not$ first$ produced$ in$ the$performance$of$ this$ agreement.$ The$ SUBRECIPIENT$ shall$ not,$without$prior$written$permission$of$the$Contracting$Officer,$incorporate$in$data$delivered$under$this$agreement$any$data$not$first$produced$in$the$performance$of$this$agreement$and$which$contains$the$copyright$notice$of$17$ U.S.C.$ 401$ or$ 402,$ unless$ the$ SUBRECIPIENT$ identifies$ such$ data$ and$ grants$ to$ the$ Government,$ or$acquires$ on$ its$ behalf,$ a$ license$ of$ the$ same$ scope$ as$ set$ forth$ in$ subparagraph$ (c)(1)$ of$ this$ clause;$provided,$ however,$ that$ if$ such$ data$ are$ computer$ software$ the$ Government$ shall$ acquire$ a$ copyright$license$as$set$forth$in$subparagraph$(g)(3)$of$this$clause$if$included$in$this$agreement$or$as$otherwise$may$be$provided$in$a$collateral$agreement$incorporated$in$or$made$part$of$this$agreement.$(3)$Removal$of$copyright$notices.$The$Government$agrees$not$to$remove$any$copyright$notices$placed$on$data$pursuant$to$this$paragraph$(c),$and$to$include$such$notices$on$all$reproductions$of$the$data.$

(d)!Release,!Publication!and!Use!of!Data!

(1)$The$SUBRECIPIENT$shall$have$the$right$to$use,$release$to$others,$reproduce,$distribute,$or$publish$any$data$first$produced$or$specifically$used$by$the$SUBRECIPIENT$in$the$performance$of$this$agreement,$except$to$ the$ extent$ such$ data$ may$ be$ subject$ to$ the$ Federal$ export$ control$ or$ national$ security$ laws$ or$regulations,$ or$ unless$ otherwise$ provided$ in$ this$ paragraph$ of$ this$ clause$ or$ expressly$ set$ forth$ in$ this$agreement.$(2)$ The$ SUBRECIPIENT$ agrees$ that$ to$ the$ extent$ it$ receives$ or$ is$ given$ access$ to$ data$ necessary$ for$ the$performance$of$ this$award,$which$contain$ restrictive$markings,$ the$SUBRECIPIENT$shall$ treat$ the$data$ in$accordance$ with$ such$ markings$ unless$ otherwise$ specifically$ authorized$ in$ writing$ by$ the$ contracting$officer.$

(e)!Unauthorized!Marking!of!Data!

(1)$Notwithstanding$ any$ other$ provisions$ of$ this$ agreement$ concerning$ inspection$ or$ acceptance,$ if$ any$data$delivered$under$this$agreement$are$marked$with$the$notices$specified$in$subparagraph$(g)(2)$or$(g)(3)$of$this$clause$and$use$of$such$is$not$authorized$by$this$clause,$or$if$such$data$bears$any$other$restrictive$or$limiting$markings$not$authorized$by$this$agreement,$the$Contracting$Officer$may$at$any$time$either$return$the$data$to$the$SUBRECIPIENT$or$cancel$or$ ignore$the$markings.$However,$the$following$procedures$shall$apply$prior$to$canceling$or$ignoring$the$markings.$

(i)$The$Contracting$Officer$shall$make$written$inquiry$to$the$SUBRECIPIENT$affording$the$SUBRECIPIENT$30$days$from$receipt$of$the$inquiry$to$provide$written$justification$to$substantiate$the$propriety$of$the$markings;$(ii)$ If$ the$ SUBRECIPIENT$ fails$ to$ respond$ or$ fails$ to$ provide$ written$ justification$ to$ substantiate$ the$propriety$of$the$markings$within$the$30:day$period$(or$a$longer$time$not$exceeding$90$days$approved$in$writing$by$ the$Contracting$Officer$ for$good$cause$shown),$ the$Government$shall$have$ the$ right$ to$

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cancel$or$ignore$the$markings$at$any$time$after$said$period$and$the$data$will$no$longer$be$made$subject$to$any$disclosure$prohibitions.$(iii)$ If$ the$ SUBRECIPIENT$ provides$written$ justification$ to$ substantiate$ the$ propriety$ of$ the$markings$within$the$period$set$in$subparagraph$(e)(1)(i)$of$this$clause,$the$Contracting$Officer$shall$consider$such$written$justification$and$determine$whether$or$not$the$markings$are$to$be$cancelled$or$ignored.$If$the$Contracting$ Officer$ determines$ that$ the$ markings$ are$ authorized,$ the$ SUBRECIPIENT$ shall$ be$ so$notified$ in$ writing.$ If$ the$ Contracting$ Officer$ determines,$ with$ concurrence$ of$ the$ head$ of$ the$contracting$ activity,$ that$ the$ markings$ are$ not$ authorized,$ the$ Contracting$ Officer$ shall$ furnish$ the$SUBRECIPIENT$a$written$determination,$which$determination$ shall$ become$ the$ final$ agency$decision$regarding$ the$ appropriateness$ of$ the$ markings$ unless$ the$ SUBRECIPIENT$ files$ suit$ in$ a$ court$ of$competent$jurisdiction$within$90$days$of$receipt$of$the$Contracting$Officer's$decision.$The$Government$shall$continue$to$abide$by$the$markings$under$this$subparagraph$(e)(1)(iii)$until$final$resolution$of$the$matter$ either$ by$ the$ Contracting$ Officer's$ determination$ becoming$ final$ (in$ which$ instance$ the$Government$shall$thereafter$have$the$right$to$cancel$or$ignore$the$markings$at$any$time$and$the$data$will$no$longer$be$made$subject$to$any$disclosure$prohibitions),$or$by$final$disposition$of$the$matter$by$court$decision$if$suit$is$filed.$

(2)$ The$ time$ limits$ in$ the$procedures$ set$ forth$ in$ subparagraph$ (e)(1)$ of$ this$ clause$may$be$modified$ in$accordance$ with$ agency$ regulations$ implementing$ the$ Freedom$ of$ Information$ Act$ (5$ U.S.C.$ 552)$ if$necessary$to$respond$to$a$request$thereunder.$

(f)!Omitted!or!Incorrect!Markings!

(1)$ Data$ delivered$ to$ the$ Government$ without$ either$ the$ limited$ rights$ or$ restricted$ rights$ notice$ as$authorized$by$paragraph$(g)$of$this$clause,$or$the$copyright$notice$required$by$paragraph$(c)$of$this$clause,$shall$be$deemed$to$have$been$furnished$with$unlimited$rights,$and$the$Government$assumes$no$liability$for$the$disclosure,$use,$or$reproduction$of$such$data.$However,$to$the$extent$the$data$has$not$been$disclosed$without$restriction$outside$the$Government,$the$SUBRECIPIENT$may$request,$within$6$months$(or$a$longer$time$approved$by$the$Contracting$Officer$for$good$cause$shown)$after$delivery$or$such$data,$permission$to$have$ notices$ placed$ on$ qualifying$ data$ at$ the$ SUBRECIPIENT's$ expense,$ and$ the$ Contracting$Officer$may$agree$to$do$so$if$the$SUBRECIPIENT:$

(i)$Identifies$the$data$to$which$the$omitted$notice$is$to$be$applied;$(ii)$Demonstrates$that$the$omission$of$the$notice$was$inadvertent;$(iii)$Establishes$that$the$use$of$the$proposed$notice$is$authorized;$and$(iv)$ Acknowledges$ that$ the$ Government$ has$ no$ liability$ with$ respect$ to$ the$ disclosure,$ use,$ or$reproduction$ of$ any$ such$ data$ made$ prior$ to$ the$ addition$ of$ the$ notice$ or$ resulting$ from$ the$omission$of$the$notice.$

(2)$The$Contracting$Officer$may$also:$(i)$Permit$correction$at$the$SUBRECIPIENT's$expense$of$incorrect$notices$if$the$SUBRECIPIENT$identifies$the$data$on$which$correction$of$the$notice$is$to$be$made,$and$demonstrates$that$the$correct$notice$is$authorized,$or$(ii)$Correct$any$incorrect$notices.$

(g)!Protection!of!Limited!Rights!Data!and!Restricted!Computer!Software!

When$data$other$than$that$listed$in$subparagraphs$(b)(1)(i),$(ii),$and$(iii)$of$this$clause$are$specified$to$be$delivered$under$this$agreement$and$qualify$as$either$limited$rights$data$or$restricted$computer$software,$if$the$SUBRECIPIENT$desires$to$continue$protection$of$such$data,$the$SUBRECIPIENT$shall$withhold$such$data$and$not$ furnish$ them$ to$ the$Government$under$ this$ agreement.$As$ a$ condition$ to$ this$withholding,$ the$SUBRECIPIENT$shall$identify$the$data$being$withheld$and$furnish$form,$fit,$and$function$data$in$lieu$thereof.$Limited$rights$data$that$are$formatted$as$a$computer$data$base$for$delivery$to$the$Government$are$to$be$treated$as$limited$rights$data$and$not$restricted$computer$software.$

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(h)!Subaward/Contract!

The$ SUBRECIPIENT$has$ the$ responsibility$ to$obtain$ from$ its$ subrecipients/contractors$ all$ data$ and$ rights$therein$necessary$to$fulfill$ the$SUBRECIPIENT's$obligations$to$the$Government$under$this$agreement.$ If$a$subrecipient/contractor$refuses$to$accept$terms$affording$the$Government$such$rights,$the$SUBRECIPIENT$shall$ promptly$ bring$ such$ refusal$ to$ the$ attention$ of$ the$ Contracting$ Officer$ and$ not$ proceed$with$ the$subaward/contract$award$without$further$authorization.$

(i)!Additional!Data!Requirements!

In$addition$to$the$data$specified$elsewhere$in$this$agreement$to$be$delivered,$the$Contracting$Officer$may,$at$anytime$during$agreement$performance$or$within$a$period$of$3$years$after$acceptance$of$all$items$to$be$delivered$under$ this$ agreement,$order$any$data$ first$produced$or$ specifically$used$ in$ the$performance$of$this$agreement.$This$clause$is$applicable$to$all$data$ordered$under$this$subparagraph.$Nothing$contained$in$this$subparagraph$shall$require$the$SUBRECIPIENT$to$deliver$any$data$the$withholding$of$which$is$authorized$by$this$clause,$or$data$which$are$specifically$identified$in$this$agreement$as$not$subject$to$this$clause.$When$data$are$ to$be$delivered$under$ this$ subparagraph,$ the$SUBRECIPIENT$will$be$compensated$ for$ converting$the$data$into$the$prescribed$form,$for$reproduction,$and$for$delivery.$(j)$ The$ SUBRECIPIENT$ agrees,$ except$ as$may$ be$ otherwise$ specified$ in$ this$ award$ for$ specific$ data$ items$listed$as$not$subject$to$this$paragraph,$that$the$Contracting$Officer$or$an$authorized$representative$may,$up$to$three$years$after$acceptance$of$all$items$to$be$delivered$under$this$award,$inspect$at$the$SUBRECIPIENT's$facility$ any$ data$ withheld$ pursuant$ to$ paragraph$ (g)$ of$ this$ clause,$ for$ purposes$ of$ verifying$ the$SUBRECIPIENT's$ assertion$ pertaining$ to$ the$ limited$ rights$ or$ restricted$ rights$ status$ of$ the$ data$ or$ for$evaluating$work$performance.$Where$the$SUBRECIPIENT$whose$data$are$to$be$ inspected$demonstrates$to$the$Contracting$Officer$that$there$would$be$a$possible$conflict$of$interest$if$the$inspection$were$made$by$a$particular$representative,$the$Contracting$Officer$shall$designate$an$alternate$inspector.$As$ prescribed$ in$ 600.325(d)(1),$ the$Alternate$ I$ and/or$ II$ (found$ in$ 10$CFR$600,$ Subpt.$D,$App.$A)$may$be$inserted$in$the$clause$in$the$award$instrument.$$

3 CEC!Funding!Restrictions!

(a)! Applicability!of!Funding!Restrictions$

SUBRECIPIENTS$ are$ required$ to$ comply$ with$ all$ regulations$ applicable$ to$ the$ ARFVT$ program.$$ The$following$funding$restrictions$are$based$on$the$Energy$Commission’s$current$regulation$found$at$Title$20,$California$Code$of$Regulations,$section$3103,$as$of$November$2012.$$ $SUBRECIPIENT$should$note$that$the$following$item$was$approved$at$the$November$14,$2012$Business$Meeting:$$$

ALTERNATIVE$ AND$ RENEWABLE$ FUEL$ AND$ VEHICLE$ TECHNOLOGY$ PROGRAM$ REGULATIONS.$ Possible$approval$ of$ proposed$ rulemaking$ proceeding$ to$ consider$ possible$ revision$ of$ Section$ 3103$ of$ the$Alternative$and$Renewable$Fuel$and$Vehicle$Technology$(ARFVTP)$Program$regulations.$(Title$20,$California$Code$of$Regulations,$Section$3103.)$This$includes$but$is$not$limited$to$consideration$of$possible$elimination$of$the$Low$Carbon$Fuel$Standard$credit$discount$provisions$set$forth$in$subsection$(b)$of$the$regulation,$as$well$as$possible$revisions$to$Subsection$(a)$of$the$regulation.$

If$the$rulemaking$proceeding$results$in$any$changes,$revision$or$elimination$of$all$or$any$portion$of$current$Regulation$3103,$the$following$funding$restrictions$shall$automatically$become$inapplicable$to$the$extent$they$ are$ inconsistent$with$ the$ new$ regulation.$$ If$ Regulation$ 3103$ does$ not$ change,$ then$ the$ following$funding$restrictions$shall$continue$to$be$fully$applicable$as$provided$below.$

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(b)!Funding!Restrictions$ $

(1)$ If$ SUBRECIPIENT$ is$ an$obligated$party$under$either$ the$California$ Low$Carbon$Fuel$ Standard$ (17$CCR$95480:95490)$ (LCFS)$ or$ initiatives$ under$Assembly$ Bill$ 32$ (17$ CCR$ 95800:96023)$ (AB$ 32),$ SUBRECIPIENT$may$only$receive$funding$for$the$portion$of$the$project$that$exceeds$what$is$required$for$compliance$with$the$applicable$performance$requirement.$$For$purposes$of$this$Agreement,$an$“obligated$party”$is$one$that$is$required$to$meet$a$performance$standard$under$the$LCFS$or$AB$32$initiatives.$

(2)$ If$ SUBRECIPIENT$ is$ an$ obligated$ party$ under$ the$ LCFS$ or$ AB$ 32$ or$ if$ Recipient$ “opts$ in”$ to$ either$program$before$or$during$the$Agreement$term,$SUBRECIPIENT$agrees$that$if$it$transfers$credits$during$the$term$ of$ the$ Agreement$ or$ for$ a$ period$ of$ three$ years$ thereafter,$ it$ will$ do$ so$ at$ a$ discounted$ value$ in$proportion$to$the$funding$received$from$the$Energy$Commission$for$the$project,$according$to$the$following$formula:$

(Fair$market$value$of$credits)$X$(1$–$[Commission$Share/Total$Facility$Costs]),$$

where$ “Total$ Facility$Costs”$ $ includes$ the$Commission$ share$plus$ all$ costs$ incurred$ for$ the$grant$ funded$project,$ even$ if$ not$ counted$ as$match$ share$ (such$ as$ data$ collection,$ operation$ and$maintenance$ costs,$feedstock$costs,$etc.),$and$any$prior$investments$related$to$the$production$of$fuel$from$the$project.$

This$requirement$applies$only$to$credits$generated$by$the$project$during$the$term$of$the$Agreement.$

(3)$ If,$ during$ the$ term$ of$ the$ Agreement$ or$ for$ a$ period$ of$ three$ years$ thereafter,$ the$ SUBRECIPIENT$transfers$ credits$ generated$ by$ the$ project$ during$ the$ term$ of$ the$ agreement,$ the$ SUBRECIPIENT$ shall$submit$a$report$to$the$Energy$Commission$that$demonstrates$that$the$value$of$the$credit$was$discounted$in$proportion$to$the$funding$received$by$the$Energy$Commission.$The$report$shall$include:$

• The$SUBRECIPIENT’s$name$and$Grant$Agreement$number,$• The$ percentage$ of$ Commission$ funds$ to$ SUBRECIPIENT$ funds$ expended$ during$ the$ grant$

agreement,$• The$amount$of$fuel$produced$and$credits$generated$during$the$term$of$the$Agreement,$• The$fair$market$value$of$ the$credits$at$ the$time$of$ transfer,$ including$a$ justification$of$ that$ fair$

market$value,$• The$negotiated$value$of$the$credits$at$the$time$of$transfer$(must$be$at$least$reduced$from$the$fair$

market$value$by$the$percentage$of$Commission$funds$received),$• Any$additional$information$as$specified$in$writing$in$advance$by$the$CAM.$

(4)$ If! SUBRECIPIENT$ violates! this! term,! the! Commission! may,! without! prejudice! to! any! of! its! legal!remedies,!require!the!SUBRECIPIENT!to!repay!the!project!funds!in!proportion!to!the!value!of!the!credits!transferred! in!violation!of!this!provision,!remove!the!SUBRECIPIENT!from!eligibility!for!Alternative!and!Renewable!Fuel!and!Vehicle!Technology!Program!funding!and/or!bring!a!debarment!action!to!preclude!future!incentives!and!awards.$

(5)$This$term$survives$the$end$of$the$Agreement$for$any$reason.$

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Appendix E: Certifications and Assurances

1. Nondiscrimination.

By$ executing$ this$ Agreement,$ SUBRECIPIENT$ agrees$ that$ it$ will$ comply$ with$ applicable$ federal$nondiscrimination$statutes$and$regulations$applicable$to$the$project,$including$but$not$limited$to:$

$i. E.O.$11246$(3$CFR,$1964:1965$Comp.,$p.$339),$“Equal$Employment$Opportunity,”$as$amended$

by$E.O.$11375$(3$CFR,$1966:1970$Comp.,$p.$684),$“Amending$Executive$Order$11246$Relating$to$Equal$Employment$Opportunity,”$and$as$ supplemented$by$ regulations$at$41$CFR$chapter$60,$“Office$ of$ Federal$ Contract$ Compliance$ Programs,$ Equal$ Employment$ Opportunity,$Department$of$Labor.”$$

$ii. Section$ 504$ of$ the$ Rehabilitation$ Act$ of$ 1973,$ as$ amended,$ 29$ U.S.C.$ 794,$ which$ prohibits$

discrimination$on$the$basis$of$handicap;$$$

iii. The$ Age$ Discrimination$ Act$ of$ 1975,$ as$ amended,$ 42$ U.S.C.$ 6101:6107,$ which$ prohibits$discrimination$on$the$basis$of$age;$$

$iv. The$ Drug$ Abuse$ Office$ and$ Treatment$ Act$ of$ 1972,$ Pub.$ L.$ 92:255,$ March$ 21,$ 1972,$ and$

amendments$hereto,$21$U.S.C.$1174$et$seq.,$which$relate$to$nondiscrimination$on$the$basis$of$drug$abuse;$$

$v. The$Comprehensive$Alcohol$Abuse$and$Alcoholism$Prevention$Act$of$1970,$Pub.$L.$91:616,$Dec.$

31,$1970,$and$amendments$thereto,$42$U.S.C.$4581$et$seq.,$which$relate$to$nondiscrimination$on$the$basis$of$alcohol$abuse$or$alcoholism;$$

$$$

2. Environmental.Standards.

By$executing$this$Agreement,$SUBRECIPIENT$agrees$that$ it$will$comply$with$all$federal$environmental$laws,$regulations,$and$standards$applicable$to$the$project,$including$but$not$limited$to:$$

$i. The$Clean$Water$Act$pursuant$to$10$CFR$Part$600,$App.$A;$Federal$Water$Pollution$Control$Act$

(“Clean$Water$Act”),$ 33$U.S.C$1251$et$ seq.,$ 33$U.S.C.$136;$E.O.$11,738,$38$Fed.$Reg.$25,$161$(Sept.$10,$1973)$$

ii. The$Clean$Air$Act,$10$C.F.R.$Part$600,$App’x$A;$Air$Pollution$Control$Act,$42$U.S.C.$7401$et.$seq.$$

iii. Institution$of$environmental$quality$control$measures$under$the$National$Environmental$Policy$Act$of$1969$and$Executive$Order$11514;$$

$iv. Notification$of$violating$facilities$pursuant$to$Executive$Order$11738;$$

$v. Protection$of$wetlands$pursuant$to$Executive$Order$11990;$$

$vi. Evaluation$of$flood$hazards$in$floodplains$in$accordance$with$Executive$Order$11988;$$

$vii. Assurance$ of$ project$ consistency$with$ the$ approved$ State$management$ program$ developed$

under$the$Coastal$Zone$Management$Act$of$1972,$16$U.S.C.$1451$et$seq.;$$

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$viii. Protection$of$ underground$ sources$of$ drinking$water$under$ the$ Safe$Drinking$Water$Act,$ 42$

U.S.C.$300h:3(e);$$$

ix. Protection$of$endangered$species$under$the$Endangered$Species$Act$of$1973,$as$amended;$$$

x. The$Fish$and$Wildlife$Coordination$Act,$16$U.S.C.$661$et$seq.$$$

xi. The$Wild$ and$ Scenic$ Rivers$ Act$ of$ 1968,$ 16$U.S.C.$ 1271$ et$ seq.,$ which$ relates$ to$ protecting$components$or$potential$components$of$the$national$wild$scenic$rivers$system.$$

$3. Additional.Federal.Statutes.

By$executing$this$Agreement,$SUBRECIPIENT$agrees$that$ it$will$comply$with$all$other$ federal$statutes$applicable$to$the$DOE:funded$project,$including$but$not$limited$to:$$

$i. Title$II$and$III$of$the$Uniform$Relocation$Assistance$and$Real$Property$Acquisition$Policies$Act$

of$1970,$which$provides$for$fair$and$equitable$treatment$of$persons$displaced$whose$property$is$acquired$as$a$result$of$federal$or$federally:assisted$programs;$$

$ii. The$ Hatch$ Act,$ 5$ U.S.C.$ 1501:1508$ and$ 7324:7328,$ which$ limits$ the$ political$ activities$ of$

employees$whose$principal$employment$activities$are$funded$in$whole$or$in$part$with$federal$funds;$$

$iii. The$Flood$Disaster$Protection$Act$of$1973,$which$requires$the$purchase$of$flood$ insurance$ in$

certain$instances;$$$

iv. Section$106$of$the$National$Historic$Preservation$Act$of$1966,$as$amended,$16$U.S.C.$470;$$$

v. Executive$Order$11593,$which$relates$to$identification$and$protection$of$historic$properties;$$$

vi. The$Archaeological$and$Historic$Preservation$Act$of$1974,$16$U.S.C.$469a:1$et$seq.;$$$

vii. The$Laboratory$Animal$Welfare$Act$of$1966,$as$amended,$7$U.S.C.$2131$et$seq.,$which$relates$to$the$care,$handling,$and$treatment$of$warm:blooded$animals$held$for$research,$teaching,$or$other$activities$supported$by$a$federal$award$of$assistance;$$

$viii. The$ Lead:Based$ Paint$ Poisoning$ Prevention$ Act,$ 42$ U.S.C.$ 4801$ et$ seq.,$ which$ relates$ to$

prohibiting$ the$ use$ of$ lead:based$ paint$ in$ construction$ or$ rehabilitation$ of$ residence$structures;$$

$ix. The$Drug$Abuse$Office$and$Treatment$Act,$42$U.S.C.$290dd,$and$ the$Comprehensive$Alcohol$

Abuse$ and$ Alcohol$ Prevent,$ Treatment$ and$ Rehabilitation$ Act$ of$ 1970,$ 42$ U.S.C.$ 290dd:1,$which$ relate$ to$ the$ provision$ of$ drug$ education$ and$ training,$ drug$ testing,$ employee$assistance,$and$removal,$discipline,$treatment,$and$rehabilitation$of$any$employees$using$drugs$and$DOE$notification$of$drug:related$actions$taken$

$$4. Subcontracts.

To$the$extent$SUBRECIPIENT$is$required$by$federal$law,$any$work,$commodity,$or$professional$services$subcontracted$ for$ shall$ be$ specified$ by$ written$ contract,$ and$ shall$ be$ subject$ to$ all$ provisions$contained$ in$ this$ Agreement.$ Subcontracts$ of$ $25,000$or$more$must$ be$ approved$ in$writing$ by$ CTE$

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prior$to$their$effective$dates.$SUBRECIPIENT$shall$be$liable$for$the$performance,$acts,$or$omissions$of$any$person,$organization,$partnership,$entity,$business,$or$corporation$with$which$it$contracts.$$

$5. Lobbying.Certifications.

SUBRECIPIENT$ certifies$ that$ it$ complies$ with$ all$ federal$ law$ and$ regulations$ relating$ to$ lobbying.$$Federal$ funds$ are$ prohibited$ from$ being$ used$ for$ influencing$ or$ attempting$ to$ influence$ persons$ in$connection$ with$ covered$ federal$ transactions,$ which$ include$ the$ awarding,$ making,$ entering$ into,$extension,$ continuation,$ renewal,$ amendment,$ or$ modification$ of$ federal$ grants$ or$ contracts.$ If$receiving$more$than$$$100,000$ pursuant$ to$ this$ Contract,$ SUBRECIPIENT$ agrees$ to$ provide$ a$ Certification$ Regarding$Lobbying$ to$ CTE$ and,$ if$ applicable,$ a$ Disclosure$ of$ Lobbying$ Activities$ form.$ If$ a$ subcontractor$ will$receive$more$than$$100,000$in$federal$funds$pursuant$to$this$Contract,$SUBRECIPIENT$will$provide$to$CTE$ a$ Certification$ Regarding$ Lobbying$ and,$ if$ applicable,$ a$ Disclosure$ of$ Lobbying$ Activities$ form$signed$by$ the$ subcontractor.$ The$SUBRECIPIENT$must$provide$ these$ certifications$and$disclosures$as$required$by$CTE.$$

$$6. Disadvantaged.Business.Enterprise.(DBE).Assurance.

SUBRECIPIENT$certifies$that$it$shall$not$discriminate$on$the$basis$of$race,$color,$national$origin,$or$sex$in$the$ implementation$of$ the$project$or$program$and$ in$ the$award$and$performance$of$any$ third:party$contract,$ or$ subcontract$ supported$with$ federal$ funds,$ in$ violation$ of$ the$ requirements$ of$ the$ DBE$program$and$any$additional$guidance$or$requirements$promulgated$by$any$relevant$federal$agency.$$

$7. Drug.Free.Workplace.Certification.

By$ signing$ this$ Agreement,$ SUBRECIPIENT$ hereby$ certifies$ that$ CONTRACOTR$ will$ comply$ with$ the$requirements$of$ the$California$Drug:Free$Workplace$Act$of$1990$ (Government$Code$Section$8350$et$seq.)$and$the$Federal$Drug$Free$Workplace$Act$of$1989$(41$U.S.C.$8101)$and$will$provide$a$drug:free$workplace$by$taking$the$following$actions:$

(1) 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$ California$ Government$ Code$Section$8355(a)(1).$

(2) Establish$ a$ Drug:Free$ Awareness$ Program$ as$ required$ by$ California$ Government$ Code$ Section$8355(a)(2)$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$violations.$

(3) Provide,$as$required$by$California$Government$Code$Section$8355(a)(3),$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.$

$$8. Procurement.Compliance.Certification.

SUBRECIPIENT$certifies$that$its$procurements$and$procurement$system$will$comply$with$all$applicable$

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third:party$ procurement$ requirements$ of$ federal$ laws,$ Executive$ Orders,$ regulations,$ and$ any$directives$ and$ requirements$ promulgated$ by$ any$ relevant$ federal$ agency.$ SUBRECIPIENT$ further$certifies$ that$when$required$by$ federal$ law$ it$will$ include$ in$ its$ subcontractor$agreements$all$ clauses$required$by$federal$laws,$Executive$Orders,$or$regulations.$$

$9. Section.503/VEVRAA.Assurance.

SUBRECIPIENT$ shall$ abide$ by$ the$ requirements$ of$ 41$ CFR$ 60:741.5(a).$ This$ regulation$ prohibits$discrimination$against$qualified$individuals$on$the$basis$of$disability,$and$requires$affirmative$action$by$covered$ prime$ contractors$ and$ subcontractors$ to$ employ$ and$ advance$ in$ employment$ qualified$individuals$with$disabilities.$$$$SUBRECIPIENT$ shall$ abide$ by$ the$ requirements$ of$ 41$ CFR$ 60:300.5(a).$ This$ regulation$ prohibits$discrimination$against$qualified$protected$veterans,$and$requires$affirmative$action$by$covered$prime$contractors$and$subcontractors$to$employ$and$advance$in$employment$qualified$protected$veterans.$$

$10. Federal.Debarment/Suspension.

SUBRECIPIENT$certifies$that$neither$SUBRECIPIENT$nor$its$subcontractors$are$debarred,$suspended,$or$otherwise$excluded$from$or$ineligible$to$engage$in$a$procurement$that$is$funded$in$whole$or$in$part$by$federal$funding.$$

$$11. Eligibility.for.Employment.in.the.United.States.

SUBRECIPIENT$shall$complete$and$keep$on$file,$as$appropriate,$Immigration$and$Naturalization$Service$Employment$Eligibility$Forms$(I:9).$These$forms$shall$be$used$by$SUBRECIPIENT$to$verify$that$persons$employed$by$SUBRECIPIENT$are$eligible$to$work$in$the$United$States.$$

$$ $

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Appendix F: Data Collection Requirements

DOE!Attachment!2a!Vehicle!Descriptive!Parameters!

Template$updated:$January$5,$2012$(NREL)$ $$Parameter! Units!

Date!of!Input! yyyy/mm/dd!Configuration!ID! __!

Vehicle!Year! yyyy!Make!! !!Model! __!

Technology!Generation! __!Frontal!Area! m2!

Coefficient!of!Drag! __!Curb!Weight! kg!

Fuel!Economy!(EPA!rating)! miles/kg!Range! miles!

Usable!Hydrogen!Storage! kg!Top!Speed! miles/hour!

Acceleration!(0_60!mph)! s!Fuel!Cell!System!

Manufacturer! __!!Model! __!

System!Net!Power!Rating! kW!Fuel!Cell!Stack!Max!Power! kW!

Open!Circuit!Voltage! V!Idle!Current!Load! Amp!

Max!Operating!Current! Amp!Current!Density!!@!Rated!Power! Amp/cm2!

Fuel!Cell!System!Mass! kg!Fuel!Cell!System!Volume! L!

Balance!of!Plant!Mass! kg!Balance!of!Plant!Volume! L!

Fuel!Cell!Stack!Mass! kg!Fuel!Cell!Stack!Volume! L!

Number!of!Cells!in!Stack! !!Calculated!Specific!Power!! W/kg!Calculated!Power!Density! W/L!

Fuel$Cell$System$Efficiency$(LHV$based)$Gross$System$Power$at$Idle$ kW$Efficiency$at$5%$net$power$ %$

Efficiency$at$10%$net$power$ %$Efficiency$at$25%$net$power$ %$Efficiency$at$50%$net$power$ %$Efficiency$at$75%$net$power$ %$

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Efficiency$at$100%$net$power$ %$Hydrogen!Storage!

Number!of!Tanks! !!Tank!Type! !!Cycle!Life! cycles!

Tank!Pressure! bar!Total!H2!Mass! kg!

Total!H2!Volume! L!

Total!Tank!Mass! kg!Total!External!Tank!Volume!! L!

Balance!of!Plant!Mass! kg!Balance!of!Plant!Volume! L!

Calculated!Weight!%!Hydrogen! kg/kg!Calculated$Mass$of$H2$per$Liter$ kg/L$

Electric!Motor(s)!Number!of!Traction!Motors! !!

Type! !!Power!Rating!(Max!Continuous)! kW!

Peak!Power!Rating! kW!Torque!@!0!rpm!(locked!rotor)! Nm!

Electrical!Energy!Storage!!Type! !!

Manufacturer! !!Total!Capacity! kWh!

!System!Volume! L!System!Mass! kg!

Number!of!Cells! !!Voltage! V!

Max!Power! kW!

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DOE$Attachment$2b$Vehicles$Quarterly$Operations$Summary$

Data$should$include$all$vehicles$since$inception$of$the$program$$ !! !! !! !! !! !!Template$updated:$July$7,$2014$(NREL)$ $$ $$ $$ !! !! !! !!

Date!data!updated:! insert'date'updated' '' '' !! !! !! !!

Automaker! insert'name'of'automaker' !! !! !! !! !! !!

Date!!updated!

Unique!Vehicle!Identifier!

Vehicle!Configuration!(1,2,…!from!separate!

template)!

Starting!Date!of!Vehicle!

Operation!

!Odometer!at!start!of!

DOE!program!

Final!Date!of!Vehicle!Operation!

(if!no!longer!in!service)!

Primary!Location!!

of!Operation!!

Primary!Refueling!Location(s)!

Still!in!Operation!! Comments!

mm/dd/yyyy! LL! configurationx!mm/dd/yy

yy! mile!mm/dd/yy

yy! City,!State! LL! (Y,N)! LL!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !! !! !!

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DOE$Attachment$2c$OnKRoad$Vehicle$Data1,2$

Data$does$not$need$to$be$provided$via$Excel$spreadsheet,$provided$the$information$below$is$clearly$identified$in$the$data$file$and$formatted$the$same$for$each$report.!Template$updated:$July$7,$2014$(NREL)$ !! !! !! !! !! !! !! !! !! !! !! !! !!

On#Board)Vehicle)and)Refueling)Data3,4) !! !! !! !! !! !! !! !! !! !! !! !! !! !!

Start!Time!(yyyymmddHHMMSS)! Start'TimeStamp' !! ''!

!!! !!

Vehicle!Number! unique'vehicle' !! !! !!!!!!!

!!

!Footnotes:!(1)!Data!will!be!delivered!to!NREL's!National!Fuel!Cell!Technology!Evaluation!Center!(NFCTEC)!and!will!be!protected!as!commercially!valuable!data!in!accordance!with!HSDC!security!procedures.!!(2)!Data!must!be!collected!at!a!minimum!frequency!of!1!Hz.!!(3)!Values!may!be!calculated!rather!than!directly!measured.!(4)!Fueling!information!is!needed!to!gather!fueling!rates,!fueling!times,!fueling!amounts!and!temperature!changes!during!fueling!events.! !! !! !! !!! ! ! ! ! ! ! ! ! ! ! ! ! !Data!files!submitted!need!to!contain!the!unique!vehicle!name!as!well!as!a!time!stamp!(down!to!the!second)!for!the!start!of!each!set!of!data!(example:!Veh12_20111015_155905.csv).!!Data!will!be!converted!to!Matlab!*.mat!files!

!! !! !! !! !! !! !! !! !! !! !! !! !!

!! !! !! !! !! !! !! !! !! !! !! !! !!

Component! N/A! Vehicle!!! N/A!

Measurement! Time2!Vehicle!Speed! Odometer! Ambient!Temperature!

Units! Seconds!(at!least!1!data!point!per!second)! Miles/hour! Miles! degrees!C!! ! ! $ !

! ! ! $ !

! ! ! $ !

!! !! !! $$ !!

!!

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Fuel!Tank4! Fuel!Cell!Stack!

Pressure! Temperature! Tank!Level! Voltage! Current!Out! Stack!Hours! State! H2!mass!flowrate!

psig! deg!C! %! Volts! Amperes! Hours!

Example:!0=Off,!1=On,!2=Standby,!3=Start,!

!4=Shutdown! g/s!!! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !!!! !! !! !! !! !! !! !!

!Energy!Storage! Traction!Motor!(Motoring!&!Regen)!

Voltage! Current! State!of!Charge! Voltage! Current!

Volts!!Amperes!(Positive!=!current!in,!Negative!=!

current!out)! %!SOC! Volts!!Amperes!!!!!!(Positive!=!current!in![motoring],!Negative!=!current!

out![regen])!!! !! !! !! !!!! !! !! !! !!!! !! !! !! !!!! !! !! !! !!!! !! !! !! !!

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