Sample Grant Agreement

APPENDIX B

SAMPLEGRANTAGREEMENT

An actual grant agreement will align with a project’s implementation plan, schedule,

budget, and other details. Note, however, that certain sections of a grant agreement are

not subject to change and are not negotiable, including Section N. Project Records,

Section O. Oversight and Accountability, and Exhibit B. General Provisions.

StatewideCleanCars4AllandFinancingAssistance

Projects

Mobile Source Control Division

California Air Resources Board

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EXHIBIT A

GRANT PROVISIONS

A. AGREEMENT

The parties agree to comply with the requirements and conditions contained

herein, as well as all commitments identified in the Fiscal Year XXXX Grant

Solicitation for the Air Quality Improvement Program (AQIP) and Low Carbon

Transportation Investments from the Greenhouse Gas Emission Reduction Fund

Light-Duty Statewide Clean Cars 4 All (CC4A) and Financing Assistance in Project

and the Grantee Application Package. This includes all provisions, roles, and

responsibilities identified in the current Terms and Conditions and the current

Implementation Manual.

B. Where applicable, the Grantee agrees to acknowledge the California Climate

Investments program and California Air Resources Board (CARB) as a funding

source for the Light-Duty Statewide CC4A and Financing Assistance Project.

Below are specific requirements for acknowledgment.

The California Climate Investments logo and name serve to bring under a single

brand the many investments whose funding comes from the Greenhouse Gas

Reduction Fund (GGRF). The logo represents a consolidated and coordinated

initiative by the State to address climate change by reducing greenhouse gases,

while also investing in disadvantaged communities and achieving many other co-

benefits. The Grantee agrees to acknowledge the California Climate Investments

program as a funding source from CARB’s Low Carbon Transportation program

whenever projects funded, in whole or in part by this Agreement, are publicized in

any news media, websites, brochures, publications, audiovisuals, or other types of

promotional material. The acknowledgment must read as follows: “This Project is

part of California Climate Investments, a statewide program that puts billions of

Cap-and-Trade dollars to work reducing greenhouse gas emissions, strengthening

the economy, and improving public health and the environment, particularly in

disadvantaged communities.” Guidelines for the usage of the CCI logo can be

found at http://www.caclimateinvestments.ca.gov/logo-graphics-request.

Grantee agrees to acknowledge the California Air Resources Board (hereinafter

referred to as CARB or the Board) as a funding source for the Light-Duty Statewide

CC4A and Financing Assistance Project when publicized in any news media,

websites, applications, brochures, publications, audiovisuals, or other types of

promotional material. The grantee agrees to adhere to the Board’s logo usage

requirements in a manner directed by CARB. CARB logos shall be provided to the

Grantee by CARB staff.

The CARB logo is a visual representation of our air environment. The arcs

represent; the different elements that make up air we breathe, the protection of our

atmosphere and the efforts we take to protect the health of Californians, the

collaboration of multiple stakeholders all moving in the same direction together,

and innovation with the arcs all growing and changing.

C. GRANT SUMMARY AND AMENDMENTS (if applicable)

Project Title: Statewide CC4A and Financing Assistance Project

Authorized Official:

Total Grant Amount:

Total Match and In-Kind:

Total Project Cost:

D. GRANT AMENDMENTS

Where and when applicable, if any.

E. GRANT PARTIES AND CONTACT INFORMATION

This Grant is from the California Air Resources Board (hereinafter referred to as

CARB or Board) to TBD (hereinafter referred to as

Grantee).

The CARB Project Liaison is Ali Koohestani. Correspondence regarding this

project must be directed to:

Ali Koohestani

California Air Resources Board

Mobile Source Control Division

1001 I St.

Sacramento, California 95812

Phone: (279) 208-7153

Email: [email protected]

The Grantee Liaison is TBD Correspondence regarding

this project must be directed to:

Name:

Title:

Address:

Phone:

Email:

F. TIME PERIOD

1. Performance of work or other expenses billable to CARB under this Grant may

commence after full execution of this Grant by both parties. Performance on

this Grant ends once the Grantee has submitted the final and quarterly report or

if this Grant is terminated, whichever is earlier.

2. Upon completion of the project, the Grantee must submit a draft final report to

the CARB Project Liaison no later than date (See Section M, Reporting, of this

Grant Agreement).

3. Final request for payment and Final Report must be received by CARB no later

than date (See Sections M and N of this Grant Agreement).

4. The CARB Executive Officer retains the authority to terminate or reduce the

dollar amount of this Grant if by date, 60 percent of project funding has not

been expended by the Grantee. In the event of such termination, Section J(5)

of these provisions apply.

G. CONFIDENTIALITY AND DATA SECURITY

a. “Confidential Information” means information or data that is considered

confidential under relevant State or federal laws, including but not limited to,

application records and supporting documentation that personally identifies or

describes an individual or individuals (see California Civil Code sections

1798, et seq.), unless waived by the subrecipient in writing. The

Implementation Manual will describe the scope of the waivers. The Grantee

will observe all confidentiality requirements required by law with respect to

such information, and not disclose Confidential Information except as

otherwise provided herein or required by law.

b. The Grantee will ensure that the Grantee’s employees working on this grant

are informed of the confidential nature of the Confidential Information and

ensure by agreement or otherwise that they are prohibited from copying,

revealing, or utilizing for any purpose, other than in the fulfillment of this Grant

Agreement, the contents of such information or any part thereof, or from

taking any action otherwise prohibited under this section. The Grantee will

provide access to Confidential Information to those employees needing it to

perform their job duties and will maintain a list of such employees.

(1) The Grantee will not use information or data gathered under this Grant

Agreement for the benefit of others in any form whatsoever whether

gratuitously or for valuable consideration except in the performance of this

Grant Agreement.

(2) The Grantee will notify CARB promptly and in writing of the circumstances

surrounding the disclosure of Confidential Information not authorized

under this Grant Agreement.

(3) The Grantee will not use, without CARB written approval, any CARB

materials for any purpose other than performing the agreed upon services.

(4) At the conclusion of the engagement or upon termination of this Grant

Agreement, the Grantee will surrender all Confidential Information in any

form developed or collected pursuant to this Agreement upon CARB’s

written request.

(5) If the Grantee suspects loss or theft of information, data, or equipment

developed or collected pursuant to this Grant Agreement, the Grantee will

report this to CARB immediately.

(6) The Grantee will provide CARB all pass phrases/passwords used for

private keys to encrypt data used, produced or acquired in the course of

performing duties under this Grant Agreement.

(7) The Grantee agrees to notify CARB immediately of any known security

incident involving the information system, servers, data, or any other

information developed or collected pursuant to this Grant Agreement. The

Grantee agrees that CARB has the right to participate in the investigation

of a security incident involving its data or conduct its own independent

investigation, and that the Grantee will cooperate fully in such

investigations.

(8) Any information or data required to be publicly accessible by CARB or

pursuant to an approved Implementation Manual (such as placement of

such information or data in a publicly accessible website or database) is

not Confidential Information. In addition, the Grantee may disclose

Confidential Information to its governing board, including personally

identifying individuals, for the purpose of providing status updates and

obtaining necessary approvals for awarding contracts under this Grant

Agreement.

(9) Notwithstanding the provisions of this Grant Agreement, Grantee may

disclose any of the Confidential Information in the event it is required to do

so by law or legal process. Prior to making such disclosure, Grantee shall

provide reasonable advanced written notice of any such requirement to

CARB so that CARB may seek a protective order or other appropriate

remedies.

(10) The approved Implementation Manual will identify the data fields

that contain or constitute Confidential Information.

H. DUTIES AND REQUIREMENTS

This section defines the respective duties and requirements of CARB and the Grantee

in implementing the Statewide CC4A and Financing Assistance Project.

California Air Resources Board

CARB is responsible for the following:

a) Updating and finalizing the Implementation Manual in consultation with the

Grantee.

b) Ensure compliance with applicable requirements of the FY 202X-2X Funding

Plan

c) Setting interest rate and buy-down caps for Statewide CC4A and Financing

Assistance programs as follows:

i. Loan loss reserve account-premiums up to 20 percent of the loan amount

on the first $300,000 in enrolled loans, at that point CARB contributions

will be reduced to 10 percent.

ii. For all financing project types the maximum interest rate a lender may

charge is 8 percent annual percentage rate (APR).

iii. For price buy-down, the funding maximums are as follows:

a. For a plug-in hybrid and zero emission vehicle, 8 years old and newer

with combined fuel economy rating of at least 28 miles per gallon of

fuel or more depending on the model year as described in Table 1:

Minimum U.S. EPA Combined Fuel Economy Rating by Model Year, a

maximum price buy-down of $5,000 is allowed.

b. Alterations may be required to the loan loss reserve premiums, interest

rate, and price buy-down caps, at CARB’s sole discretion.

c. Designating advanced technology vehicles eligible for this Statewide

CC4A and Financing Assistance Project funding.

d. Determining Statewide CC4A and Financing Assistance interest rate

cap and price buy-down caps based on vehicle type.

e. Determining eligible lower income consumer criteria.

f. Participating in discussions with the Grantee to guide project

implementation and project refinements.

g. Reviewing and approving project elements provided by the Grantee,

such as the type of financial assistance, educational curriculum,

outreach, and quarterly and final reports.

h. Review and approve all Grant Disbursement Request Forms (Form

MSCD/ISB-90) and distribute Statewide CC4A and Financing

Assistance Project funds to the Grantee.

i. Providing project oversight and accountability (in conjunction with the

Grantee).

I. ELIGIBLE ADVANCED TECHNOLOGY VEHICLES

Grantee must confirm the vehicle being purchased or leased meets the following

vehicle eligibility criteria. Eligible vehicles for the purpose of this Statewide CC4A

and Financing Assistance Project include light-duty passenger vehicles that are a

plug-in hybrid electric vehicle (PHEV), a battery electric vehicle (BEV), or a fuel cell

electric vehicle (FCEV).

Any used advance technology clean vehicle selected must have less than 75,000

original miles. This project excludes neighborhood electric vehicles and zero-

emission motorcycles.

Additional vehicle requirements:

1. A chassis that has been modified with aftermarket parts or equipment to create a

PHEV or zero-emission vehicle (ZEV) is not eligible.

2. No modifications to the vehicle’s emission control systems, hardware, software

calibrations, or hybrid system (California Vehicle Code (CVC) section 27156).

3. Vehicle title cannot be salvaged (as defined in CVC section 544).

4. Vehicle inspection must be completed by a licensed automotive mechanic.

5. Vehicle history to be provided and attached to the Statewide CC4A and

Financing Assistance paperwork.

6. Vehicle must have no outstanding recall notices. If there is a recall notice(s), the

vehicle must be fixed before the vehicle can be purchased or leased (see:

http://www.recalls.gov/nhtsa.html).http://www.recalls.gov/nhtsa.html).

B. ELIGIBLE ELECTRIC VEHICLE SUPPLY EQUIPMENT (EVSE)

Grantee must provide a mechanism to allow financial assistance in the form of

grant of up to $2,000 for the purchase and installation of Electric Vehicle Supply

Equipment (EVSE) and related infrastructure expenses, such as electrical panel

updates or subsidized solar power systems, for consumers purchasing or leasing a

BEV/PHEV. If infrastructure cannot be installed at consumer’s residence, a portion

of the funding may go toward subsidizing cost of electricity from public charging

stations. The Grantee must provide a description of the process for funding EVSE

and issuing EVSE funds in the Project Implementation Plan. At CARB’s discretion,

the vehicle eligibility criteria may change during the term of this project.

J. GRANTEE SCOPE OF WORK

The Grantee is responsible for on-the-ground project implementation of distributing

vehicle price buy-down for eligible vehicles and facilitating access to loans for the

purchase or lease of an advanced technology clean vehicle, including, but not

limited to the following tasks. Any requirements identified below are minimum

requirements and are not comprehensive:

1. Throughout the grant term and in consultation with CARB, update and finalize

both the Terms and Conditions and the Project Implementation Plan.

2. Provide lower-income consumer the following:

a. A low interest loan; the project sets an eight percent annual percentage rate

cap on loans.

b. Provide a vehicle price buy-down grant: up to $5,000 for a FCEV, BEV or

PHEV. If the price of the vehicle is less than a vehicle price buy-down, the

price buy-down cannot exceed the price buy-down amount minus $1,000.

At CARB’s discretion, the types of eligible vehicles or grant amounts may

change during the term of the project.

c. For a BEV/PHEV purchaser, allow up to $2,000 in the form of a grant for the

purchase and installation of EVSE and related infrastructure expenses, such

as electrical panel updates or solar power systems. If infrastructure cannot

be installed at consumer’s residence, a portion of the funding may go toward

subsidizing cost of electricity from public charging stations. Funding amounts

may be changed at CARB’s discretion.

d. Education and Outreach: provide the consumer with financial and vehicle

technology familiarization training (See Table 2) and provide customers with

vehicle purchasing assistance.

Table 2: Financial and Vehicle Technology Familiarization Training

Subject

Topics include but are not limited to the following:

Financial

Money Smart Adult Financial Education Curriculum similar to the

Federal Deposit Insurance Corporation modules found at:

https://www.fdic.gov/consumers/consumer/moneysmart/mscbi/mscbi.ht

· Introduction to bank services

· Introduction to credit

· Rights as a consumer

· How your credit history will affect your credit future

· Know what your borrowing before you buy

· Vehicle expenses (payments, insurance, fuel, maintenance,

battery replacement costs)

Vehicle

· Basic auto maintenance

· Vehicle safety (tire, proper maintenance) and care

· Fluid level check

· Electrical System

· Lubrication System

· Fuel System

· Advanced technologies including battery technology, useful life,

warning indicators, charging needs

Infrastructure

· Charging infrastructure options

e. Grantee must coordinate administration of the program with CARB’s other

light-duty projects including Clean Cars 4 All, Clean Vehicle Rebate Project

(CVRP), Access Clean California, and other ZEV and ZEV infrastructure

incentive programs.

f. Work with CARB to determine income verification requirements to align with

and complement other programs such as Clean Cars 4 All, CVRP, Access

Clean California, and CARB’s other vehicle purchase incentive programs.

g. Program criteria are subject to change at CARB’s discretion.

h. Prepare outreach and educational materials that are clear and effective, in

consultation with CARB, and conduct statewide or local (as project requires)

public outreach necessary for the project to be successful. Outreach should

target lower-income consumers with an emphasis in disadvantaged

communities, as well as California tribes. Grantee must also coordinate

outreach efforts with the administrators of Clean Cars 4 All, Clean Mobility

Options/Car Sharing projects, CVRP and Access Clean California. The

Grantee shall clearly identify an outreach plan that contains, at a minimum:

i. The types of outreach planned, printed materials, web-based content,

social media, multimedia tools, video, et cetera. Outreach materials

must be approved by CARB prior to use.

ii. A strategy to support organizations and groups that are representative of

disadvantaged and low-income communities. These groups, tribes, and

organizations should be connected to a network of similar organizations,

culturally-relevant institutions, and community service providers, regional

or centralized community based-organizations, local air districts, utility

groups, or community colleges, to provide education, technical

assistance, ride and drive opportunities, et cetera.

iii. An approximate number of community events and geographic locations

that will be attended to promote the Statewide CC4A and Financing

Assistance project and educate the public on advanced clean vehicle

technology.

iv. A strategy to engage lower-income consumers through activities

relevant to the community being served. This should include the use of

language- specific and culturally-appropriate outreach and education

materials.

v. A strategy to align outreach efforts and coordinate messaging between

Clean Cars 4 All, CVRP, and Access Clean California. The goal is for

the consumer to have clear messaging of how these complimentary

programs can get them into an advanced technology vehicle.

i. Grantee must facilitate the selection and purchase/lease of the advanced

technology clean vehicle, subject to the vehicle eligibility requirements

described in Section G, Eligible Advanced Technology Vehicles, as follows:

i. Ensure inspection for used vehicles is completed by a licensed

automotive mechanic and is provided to the consumer prior to purchase

or lease.

ii. As part of consumer protection, ensure vehicle has no outstanding recall

notices. If there is a recall notice(s), the vehicle must be fixed before the

vehicle can be purchased or leased (see:

http://www.recalls.gov/nhtsa.html).

iii. Distribute vehicle price buy-down payments to the dealership for

consumer’s purchase or lease transaction.

iv. Offer an option to purchase, if available, an extended vehicle warranty, a

battery warranty, or a battery replacement option if necessary.

j. Grantee must ensure the consumer meets all applicable Statewide CC4A

and Financing Assistance Program requirements:

i. Consumer must have a household income less than or equal to 400

percent of the Federal Poverty Level. The Federal Poverty guidelines

(U.S. Department of Health and Human Services, Office of Assistant

Secretary for Planning and Evaluation: https://aspe.hhs.gov/poverty-

guidelines) on income thresholds are updated annually and vary by

household size.

ii. Consumer must reside in California.

iii. Consumer must complete a financial and vehicle technology

familiarization training prior to receiving financial assistance.

iv. Consumer must have a minimum loan or down payment of $1,000. If

participating in Clean Cars 4 All, consumer would meet this requirement

through the scrapping of their old vehicle. If a consumer participates in

the grant or rebate portion of the Clean Cars 4 All or CVRP programs

they are not eligible for the price buy-down in the Statewide CC4A and

Financing Assistance Project. Appropriate documentation to verify

participation is required.

v. Consumer must possess a valid California Class C driver’s license.

k. Grantee must work with CARB to determine income verification

requirements to align with and complement other programs such as Clean

Cars 4 All, CVRP, Access Clean California, and CARB’s other vehicle

purchase incentive programs.

l. Grantee must work with CARB to administer additional consumer

requirements once the vehicle is purchased or leased, as included in the

Implementation Manual, under Exhibit H, and the Terms and Conditions,

under Exhibit I.

m. Ongoing Grantee responsibilities:

i. Establish and maintain project records, as described in Section O,

Project Records.

ii. Conduct consumer surveys during the term of the loan or financial

assistance. Provide a summary of responses which includes survey

statistics.

iii. Establish a process to track and enforce measures for defaulted loans or

returned vehicles, cancellations, et cetera.

iv. For a direct loan model: track status of each loan throughout loan term,

defaults, and transactions.

v. For a loan loss reserve (LLR) model: track premiums, defaults and

transactions associated with LLR account. For a LLR, CARB requires

the LLR premiums up to twenty percent of the loan amount. Note that in

a LLR account project, once all loans guaranteed by the LLR account

have been repaid, the Grantee must return to CARB the premium

contributions funded in the lender’s LLR accounts made on behalf of the

borrower and lender.

vi. Track and report vehicle and consumer information, track expenditures

by grant award, fiscal year, and funding sources.

vii. Track and report interest earned on grant funds.

viii. Upon request, provide CARB with access to all project records described

in Section O, Project Records.

n. Develop program related user-friendly public webpages or a

CARB-approved third-party webpage with the ability to integrate and/or

communicate with the Access Clean California platform. Webpages must

include, at a minimum:

i. List of types of eligible vehicles and each vehicle type’s vehicle price

buy-down amount.

ii. Contact information and applicable documents and forms related to the

project.

iii. Links to CARB’s other vehicle purchase incentive programs (i.e. Clean

Cars 4 All, CVRP, Clean Mobility Options/Car Sharing projects).

o. Develop an Implementation Manual, Policies and Procedures, Terms and

Conditions, and a flow chart that describes the Grantee’s administrative

action for conducting financial and vehicle familiarization training,

processing consumer paperwork and the loan approval process. CARB may

at any time require the Grantee to update these documents to reflect any

changes made since the plan was last approved. The Implementation

Manual will provide necessary definitions, explanations, and processes

associated with the project’s minimum requirements, and may be

periodically updated as needed to clarify project requirements and improve

project effectiveness.

p. Store all records in a safe and secure storage facility that maintains

confidentiality and provides fire and natural disaster protection. Files shall

be retained during the term of the Grant Agreement plus three years. Upon

completion of the third year of record retention, the Grantee must submit all

project records to CARB. Hardcopy of electronic records are suitable.

Acceptable forms of electronic media include hard drives, CDs, DVDs, and

flash drives. Other forms of electronic media may be allowed based on prior

written concurrence from CARB.

q. Maintain copies of all disapproved applications for the amount of time

agreed-upon by CARB and Grantee.

r. Develop and maintain accounting procedures to track expenditures by grant

award and all Statewide CC4A and Financing Assistance Project funding

sources.

s. Track vehicle price buy-down per funding source issued in lower-income

and disadvantaged communities.

t. Respond to public inquiries regarding Statewide CC4A and Financing

Assistance Project.

u. Provide CARB with Quarterly Reports and a project Final Report as

described in Section N, Reporting.

v. Develop a project transfer plan in a manner directed by CARB incorporating

the following tasks (CARB and Grantee may from time to time agree on

additional tasks. In addition, tasks are subject to change at CARB’s

discretion, in which case Section R will apply):

i. Loans processed and record of vehicle price buy-down for all project

consumers.

ii. Complete all Grantee tasks associated with closeout.

iii. Process for completing the current applications for loans and vehicle

price buy-down for up to three months after closeout, to ensure a smooth

transition to another administrator.

iv. If applicable, transfer Statewide CC4A and Financing Assistance Project

data and website to a new Grantee/administrator selected by CARB

according to the agreed upon transfer plan.

w. Provide documentation verifying that Grantee is in good standing with the

Internal Revenue Service, California Franchise Tax Board, California

Secretary of State, and/or any other state or federal agency as required for

applicable organizations. In addition, documentation must be provided with

the application that verifies the organization is in full compliance with all

federal and state regulations and requirements in order to fulfill the

requirements of this project such as verification to be a Finance Lender and

Broker in California, to the extent applicable.

x. All information and data received or generated under this Grant Agreement

are the property of CARB. No information or data received or generated by

the Grantee under this agreement shall be released without CARB’s approval,

subject to Section F10 and F11 of this grant agreement.

y. Meet applicable requirements of statutes of the Low Carbon Transportation

Greenhouse Gas Reduction Fund Investments as stated in the Fiscal Year

20XX-XX Funding Plan for Clean Transportation, and the Fiscal Year 20XX-

XX Statewide CC4A and Financing Assistance Project Solicitation.

z. Assess the influence of incentives on used clean vehicles.

i. Establish a waiting list if the project becomes oversubscribed and

CARB determines a waiting list is appropriate.

ii. Insurance Requirements

The Grantee must comply with all requirements outlined in the (1)

General Provisions section and (2) Insurance Requirements

section. No payments will be made under the grant until the

Grantee fully complies with all insurance requirements.

iii. General Provisions

a) Coverage Term – Coverage needs to be in force for the complete

term of the grant. If insurance expires during the term of the grant, a

new certificate must be received by the State at least ten days prior

to the expiration of this insurance. Any new insurance must comply

with the original grant terms.

b) Policy Cancellation or Termination & Notice of Non-Renewal –

Grantee is responsible to notify the State within five business days of

any cancellation, non-renewal, or material change that affects

required insurance coverage. New certificates of insurance are

subject to the approval of the Department of General Services and

the Grantee agrees no work or services will be performed prior to

obtaining such approval. In the event that the Grantee fails to keep

in effect at all times the specified insurance coverage, the State may,

in addition to any other remedies it may have, terminate the grant

upon the occurrence of such event, subject to the provisions of the

grant.

c) Premiums, Assessments and Deductibles – The Grantee is

responsible for any premiums, policy assessments, deductibles or

self-insured retentions contained within their insurance program.

d) Primary Clause – Any required insurance contained in the grant shall

be primary, and not excess or contributory, to any other insurance

carried by the State.

e) Insurance Carrier Required Rating – All insurance companies must

carry an AM Best rating of at least “A–” with a financial category

rating of no lower than VI. If the Grantee is self-insured for a portion

or all of its insurance, review of financial information including a letter

of credit may be required.

f) Endorsements – Any required endorsements requested by the State

must be physically attached to all requested certificates of insurance

and not substituted by referring to such coverage on the certificate of

insurance.

g) Inadequate Insurance – Inadequate or lack of insurance does not

negate the Grantee’s obligations under the grant.

h) Use of Subcontractor – In the case of the Grantee’s utilization of

subcontractors to complete the grant scope of work, the Grantee

shall include all subcontractors as insured’s under the Grantee’s

insurance or supply evidence of the subcontractor’s insurance to the

State equal to policies, coverages, and limits required of the Grantee.

iv. Grant Insurance Requirements – The Grantee shall display evidence of

the following on a certificate of insurance. After the solicitation is

awarded, failure to provide the certificate upon request will result in the

termination of the grant. The following coverages must be evidenced on

the certificate of insurance:

a) Commercial General Liability – The Grantee shall maintain general

liability on an occurrence form with limits not less than $1,000,000

per occurrence for bodily injury and property damage liability

combined with a $2,000,000 annual policy aggregate. A “per project

aggregate” endorsement is required. The policy shall include

coverage for liabilities arising out of premises, operations,

independent Grantees, products, completed operations, personal and

advertising injury, and liability assumed under an insured contract or

grant. This insurance shall apply separately to each insured against

whom claim is made or suit is brought subject to Grantee’s limit of

liability. The policy must name the State of California, its officers,

agents, and employees as additional insured, but only with respect to

work performed under the grant.

b) Automobile Liability – If the Grantee will be using vehicles to

complete the project or driving a vehicle onto State property,

automobile liability insurance is required. The Grantee shall maintain

motor vehicle liability with limits of not less than $1 million per

accident. Such insurance shall cover liability arising out of a motor

vehicle including owned, hired, and non-owned motor vehicles. At

the request of CARB, the Grantee must show proof of automobile

liability. Failure to provide proof upon request will result in the

termination of the grant. The policy must name the State of

California, its officers, agents, and employees as additional insured,

but only with respect to work performed under the grant.

c) Workers’ Compensation and Employer’s Liability – The Grantee shall

maintain statutory worker’s compensation and employer’s liability

coverage for all its employees who will be engaged in the

performance of the grant. In addition, employer’s liability limits of

$1,000,000 are required. A Waiver of Subrogation or Right to

Recover endorsement in favor of the State of California must be

attached to the certificate.

K. CALIFORNIA AIR RESOURCES BOARD

CARB is responsible for the following:

1. Evaluating alterations to the loan loss reserve premiums, interest rate, vehicle

price buy-down based on vehicle type, EVSE grant amount, and other program

criteria.

2. Setting maximum interest rate, vehicle price buy-down amount, maximum

EVSE grant amount for puchase and installation when purchasing a BEV or

PHEV, and maximum lender loan loss reserve premiums for the project.

3. Establishing vehicle price buy-down amounts for lower-income consumers. The

funding maximums are subject to change at CARB’s discretion.

4. For a BEV/PHEV purchaser or lessee, allow up to $2,000 in the form of a grant

for the purchase and/or installation of EVSE and related infrastructure

expenses.

5. For a LLR, CARB requires the LLR premiums up to twenty percent of the loan

amount. Note that in a LLR account project, once all loans guaranteed by the

LLR account have been repaid, the Grantee must return to CARB the premium

contributions funded in the lender’s LLR accounts made on behalf of the

borrower and lender.

6. Designating advanced technology vehicles eligible for this Statewide CC4A and

Financing Assistance Project funding.

7. Determining eligible lower-income consumer criteria.

8. Participating in discussions with the Grantee to guide project implementation

and refinements.

9. Reviewing and approving the Statewide CC4A and Financing Assistance

Project elements provided by the Grantee, such as the financial assistance

product, education requirement, outreach, surveys, Implementation Manual,

Terms and Conditions, quarterly and final reports, and Policies and Procedures.

10. Reviewing and Approving all Grant Disbursement Request Forms (Form

MSCD/ISB-90) and Advance Payment Request Forms, distribute Statewide

CC4A and Financing Assistance Project funds to the Grantee.

11. Providing Statewide CC4A and Financing Assistance Project oversight and

accountability (in conjunction with the Grantee).

12. Through written direction to the Grantee, and only as needed for case-by-case

situations, waive program criteria as laid out in Grant Agreement. CARB will not

hold the Grantee responsible for deviating from criteria laid forth in the Grant

Agreement provided there is a written record of the instruction.

L. FISCAL ADMINISTRATION

1. Budget

a. The maximum amount of this Grant is up to $XX.XX. Under no circumstance

will CARB reimburse the Grantee for more than this amount. A written Grant

Agreement amendment is required whenever there is a change to the amount

of this grant.

b. The budget summary for this project is shown in Exhibit C, Attachment I.

Grant disbursement requests for the Statewide CC4A and Financing

Assistance Project must not exceed the grant amount.

c. The grant funding may be reallocated by CARB at CARB’s sole discretion in

the event that the Grantee requests less than the total allocated fund amounts

stated in the budget.

d. In consultation with CARB and subject to CARB’s written approval, the

Grantee may redirect any grant or loan processing fees to fund additional

price buy-downs for eligible vehicles and grants for EVSE, and the loan loss

reserve.

e. Notwithstanding Paragraph d. above, subject to prior written approval from

CARB, line item shifts of up to ten percent may be made over the life of the

grant. Grantee can continue work upon written approval of line item shifts by

CARB, and CARB will follow up with a formal amendment to the grant. Line

item shifts may be proposed by either the State or the Grantee and must not

increase the total grant amount.

f. No grant funds may be used to purchase equipment or computers that would

be required to be returned to the State at the completion of this project (if

applicable).

g. The Grantee’s project budget is shown in Exhibit G.

h. CARB agrees to promptly notify Grantee if it becomes aware that it might lose

its funding for this Grant, or if CARB is exercising its rights under Section P,

Oversight and Accountability, of this Grant Agreement to hold funds

contingent on CARB’s receipt and approval of existing audit findings or

reports and/or Grantee’s timely response to requests for a program review. If

at any time Grantee believes that CARB funding may be at risk, Grantee may

suspend all activities required by the Grant Agreement until CARB provides

assurances reasonably acceptable to Grantee that CARB will be able to

timely pay Grantee in accordance with the requirements of this Grant

Agreement.

2. Project Funding

a. Implementation Funds

Implementation funds can be used for project expenses which may include

one or more of the following:

i. Vehicle price buy-down.

ii. Loan loss reserve premiums.

iii. Interest rate buy-down.

iv. Labor expenses (including total staff time and labor costs).

v. External consultant fees for completed work (if applicable).

vi. Printing, mailing, travel, education classes, and other outreach expenses.

Additional invoices may be provided to CARB if warranted. Documentation

substantiating these costs must be maintained by the Grantee and provided to

CARB upon request, as described in this section and in Sections L of the Grant

Agreement.

3. Documentation of Implementation Funds

Implementation funds used for Statewide CC4A and Financing Assistance

Project include processing loans, vehicle price buy-down, interest rate buy-

down, outreach or support of other financial assistance enhancements.

Implementation funds also include: the Grantee’s personnel costs; fringe

benefit costs, operating costs (including rent, supplies, and equipment), indirect

costs (general administrative services, office space, and telephone services),

travel expenses and per diem rates set at the rate specified by California

Department of Human Resources (CalHR)

, overhead, consultant fees (if pre-

approved by CARB); printing, records retention, and mailing.

a. The Grantee must maintain documentation of all Statewide CC4A and

Financing Assistance funds, as follows:

i. Personnel documentation must make use of timesheets or other labor

tracking software. Duty statements or other documentation may also be

used to verify the number of staff and actual hours or percent of time staff

devoted to Statewide CC4A and Financing Assistance Project

administration and outreach.

ii. Funds and fees for external consultants must be documented with copies

of the consultant contract and invoices.

iii. Printing, mailing, records retention, and travel expenses must be

documented with receipts and/or invoices.

iv. Any reimbursement for necessary travel and per diem must be at rates not

to exceed those amounts paid to the State’s represented employees. No

travel outside the State of California will be reimbursed unless prior written

authorization is obtained from CARB. CalHR’s travel and per diem

reimbursement amounts may be found online at

http://www.calhr.ca.gov/employees/pages/travel-

reimbursements.aspx.http://www.calhr.ca.gov/employees/pages/travel-

reimbursements.aspx. Reimbursement must be at the State travel and

per diem amounts that are current as of the date costs are incurred by the

Grantee.

v. If indirect costs are used to document implementation funds for the

Statewide CC4A and Financing Assistance Project, the Grantee must

describe how these costs are determined.

b. The above documentation, records, and referenced materials must be made

available for review during monitoring visits and audits by CARB, or its

designee. These records must be retained for a minimum of three years after

expenditure of the final Statewide CC4A and Financing Assistance Project

funds.

c. The above documentation must be provided to CARB in Quarterly Reports

and a Final Report.

d. CARB and Grantee may from time to time agree on changes to the reporting

requirements set forth in this Section K.3. In addition, reporting requirements

are subject to change at CARB’s discretion, in which case Section R will

apply.

Under no circumstances should the Grantee exceed travel expenses and per diem rates set by CalHR.

4. Grant Disbursements

The CARB will release the first disbursement from the total grant award after the

Grantee submits the following to CARB:

a. A fully executed Grant Agreement.

b. Grant Disbursement Request Form (Form MSCD/ISB-90)

c. The Grantee must mail Grant Disbursement Requests to the CARB Project

Liaison. Disbursement request must be made in conjunction with completed

milestones, details depend on the grantee’s Statewide CC4A and Financing

Assistance model.

d. CARB will have sole discretion to accelerate the timeline for allowable

disbursements of funds identified in Exhibit C. Request for payments are

subject to CARB’s receipt and approval of Quarterly Reports and any

accompanying deliverables to demonstrate program needs.

e. CARB will disburse funds on a reimbursement basis, provided sufficient

documentation is provided to support the disbursement amount requested.

f. Should advance payment be needed for this Grant, advance payments may

be requested with a grant disbursement, as outlined in Advance Payments

(4);

g. Grant Disbursement Request Forms must be supported by documentation of

expenses incurred as of the date of the Grant Disbursement Request.

Supporting documentation must be attached to the Grant Disbursement

Request Form. Acceptable supporting documentation shall include but not

limited to; purchase orders with confirmed delivery dates, invoices, bills of

lading, contracts, confirmed packing lists, time reports and any other

appropriate documentation required by CARB.

h. At no point shall the Grantee be required to use funds from a source other

than CARB to fund activities directly or indirectly related to the program that

have not already been committed in the budget as match or in-kind funds. As

stated in Section K(1), Grantee may suspend all activities required by the

Grant Agreement until CARB provides assurances reasonably acceptable to

Grantee that CARB will be able to timely pay Grantee in accordance with the

requirements of this Grant Agreement.

i. The Grantee shall submit the Grant Disbursement Requests to CARB

Accounting Section at accountspayable@arb.ca.gov with a CC to the CARB

project liaison. The Grantee must submit this electronically, based on

CARB’s current electronic submission guidance at the time of request.

Requests for payment must be made with the Grant Disbursement Request

Form and contain all documentation required with the form.

CARB’s Chief of the Mobile Source Control Division or designee of CARB may

review the CARB Project Liaison’s approval or disapproval of a Grant

Disbursement Request. No reimbursement will be made for expenses that, in

the judgment of CARB’s Chief of the Mobile Source Control Division or

designee of CARB, are not reasonable or do not comply with the Grant.

Subsequent disbursements will be released when project milestones have been

met and grantee submits a completed Grant Disbursement Request Form.

5. Advance Payments

Consistent with the Legislature’s direction to expeditiously disburse grants, CARB

in its sole discretion may provide advance payments of grant awards in a timely

manner to support program initiation and implementation with a focus on

mitigating the constraints of modest reserves and potential cash flow problems.

Grantee acknowledges that CARB has finalized Advance Payment regulations

which become effective on January 1, 2021. Grantee agrees that this Agreement

and all advance payment requests will comply with these regulations, which can be

found at: 17 California Code of Regulations (C.C.R.) Sections 91040-91044.

Recognizing that appropriate safeguards are needed to ensure grant monies are

used responsibly, CARB has developed the grant conditions described below to

establish control procedures for advance payments. CARB may provide advance

payments to grantees of a grant program or project if CARB determines all of the

following:

a. The advance payments are necessary to meet the purposes of the grant

project.

b. The use of the advance funds is adequately regulated by grant or budgetary

controls.

c. The request for application or the request for proposals contains the terms

and conditions under which an advance payment may be received consistent

with this section.

d. The Grantee is either a small air district or the Grantee meets all of the

following criteria:

i. Has no outstanding financial audit findings related to any of the moneys

eligible for advance payment and is in good standing with the Franchise

Tax Board and Internal Revenue Service.

ii. Agrees to revert all unused moneys to CARB if they are not liquidated

within the timeline specified in the grant agreement.

iii. Submits a spending plan to CARB for review prior to receiving the

advance payment.

iv. The spending plan shall include project schedules, timelines, milestones,

and the Grantee’s fund balance for all state grant programs.

v. CARB shall consider the available fund balance when determining the

amount of the advance payment.

vi. Reports to CARB any material changes to the spending plan within 30

days.

vii. Agrees to not provide advance payment to any other entity.

e. In the event of the nonperformance of the Grantee, CARB shall require the

full recovery of the unspent moneys. A Grantee shall provide a money

transfer confirmation within 45 days upon the receipt of a notice from CARB.

f. The Grantee must complete and submit to CARB for review and approval,

an Advance Payment Request Form, along with each grant disbursement

that is requesting advance payment. The Advance Payment Request Form

shall be provided by CARB to the Grantee after the grant execution.

g. Grantee must also submit a certification to CARB pursuant to 17 C.C.R.

Section 91043 for each advance payment request.

h. CARB may provide an advance of the direct project costs of the grant, if the

program has moderate reserves and potential cash flow issues. Advance

payments will not exceed the Grantee’s interim cash needs.

i. The grantee assumes legal and financial risk of the advance payment.

j. Grantee shall place funds advanced under this section in an interest-bearing

account. Grantee shall track interest accrued on the advance payment.

Interest earned on the advance payment shall only be used for eligible

grant-related expenses as outlined in the Grant Provisions, Exhibit A or will

be returned to CARB.

k. Grantee shall report to CARB the value of any unused balance of the

advance payment and interest earned and submit quarterly fiscal accounting

reports consistent with Section 9 (Reporting and Documenting Expenditure

of State Funds) of this grant agreement.

l. Grantee shall remit to CARB any unused portion of the advance payment

and interest earned within 90 days following the end date of this Grant

Agreement term on June 30, 202X or the reversion date of the

appropriation.

6. Suspension of Payments and Grant Termination

a. CARB reserves the right to issue a grant suspension order in the event that a

dispute should arise. The grant suspension order shall only apply to those

activities or amounts in dispute and will not apply to commitments made by

Grantee in accordance with this Grant before receiving notice of the

suspension. The grant suspension order will be in effect until the dispute has

been resolved or the grant has been terminated. If the Grantee chooses to

continue work on the project after receiving a grant suspension order, the

Grantee will not be reimbursed for any expenditure incurred during the

suspension in the event CARB terminates the grant. If CARB rescinds the

suspension order and does not terminate the grant, CARB at its sole

discretion will reimburse the Grantee for any expenses incurred during the

suspension that CARB deems reimbursable in accordance with the terms of

the grant.

b. CARB reserves the right to terminate this Grant upon 30 days’ written notice

to the Grantee. In the case of early termination, the Grantee will submit a

Quarterly Report covering activities up to, and including, the termination

date and following the requirements specified herein and in Section I of

these provisions and immediately return remaining funds.

c. The Grantee reserves the right to terminate this Grant upon 60 days’ written

notice to CARB. In the case of early termination, the Grantee will submit a

Quarterly Report covering activities up to, and including, the termination

date and following the requirements specified herein and in Section I of

these provisions and immediately return remaining funds.

d. CARB reserves the right to immediately terminate this Grant in accordance

with Exhibit B, General Grant Provisions (23).

e. Upon termination, remaining grant funds must be immediately returned to

CARB.

7. Contingency Provision

In the event, this Grant is terminated for whatever reason, the CARB Executive

Officer or designee reserves the right in his or her sole discretion to award any

remaining funds to other Statewide CC4A and Financing Assistance Project

recipients (or Grantees) or other projects.

8. Earned Interest

“Earned interest” means any interest generated from Statewide CC4A and

Financing Assistance Project funds provided to the Grantee and held in an

interest-bearing account.

a. Interest earned by the Grantee on the Statewide CC4A and Financing

Assistance Project funds must be reported to CARB. All interest income on

the Statewide CC4A and Financing Assistance Project funds must be

reinvested in the Statewide CC4A and Financing Assistance Project to fund

additional eligible vehicles. The Grantee is responsible for reporting to CARB

on all vehicles and consumers funded with interest earned on the Statewide

CC4A and Financing Assistance Project funds.

b. The Grantee must maintain accounting records (e.g. general ledger) that

tracks interest earned and expended on the Statewide CC4A and Financing

Assistance Project funds, as follows:

i. The calculation of interest must be based on an average daily balance or

some other reasonable and demonstrable method of allocating the

proceeds from the interest-generating account back into the program.

ii. The methodology for tracking earned interest must ensure that it is

separately identifiable from interest earned on non-Statewide CC4A and

Financing Assistance Project funds.

iii. The methodology for calculating earned interest must be consistent with

how it is calculated for the Grantee’s other fiscal programs.

iv. Earned interest must be fully expended or returned to CARB by

completion of project, or by date, whichever comes first.

c. Documentation of interest earned on the Statewide CC4A and Financing

Assistance Projects funds must be retained for a minimum of three years after

it is generated. Documentation of interest expended on eligible vehicles must

be retained for a minimum of three years after the interest-funded Statewide

CC4A and Financing Assistance has been redeemed.

d. The above documentation must be provided to CARB in Quarterly Reports

and Final Report.

e. Interest on the loan loss reserve funds will be held in the loan loss reserve

account.

f. CARB acknowledges and agrees that Grantee will deposit the Grant funds

in a commercial checking account at Beneficial State Bank, an affiliate of

Grantee, and that Beneficial State Bank will pay interest and charge fees on

that account in accordance with its customary interest and fee schedules in

effect from time to time.

Grantee and CARB agree that any interest earned on deposit accounts held

by the Grantee at Beneficial State Bank which hold the loan loss reserves

provided by CARB for the Project will be used by the Project in accordance

with the terms of section K. 8 “Earned Interest” of this Grant Agreement.

CARB agrees that no amounts earned by Beneficial State Bank arising out

of the Project and the loan loss reserves will be treated for any purposes as

amounts subject to restrictions or uses set forth in the Grant Agreement.

9. In-Kind Services

The Grantee is encouraged, but not required, to contribute in-kind services to

improve Statewide CC4A and Financing Assistance Project effectiveness. “In-

kind services”, for the purposes of Statewide CC4A and Financing Assistance

Project, means payments or contributions made in the form of goods and

services, rather than direct monetary contributions. Funds expended on in-kind

services must meet all the requirements described herein and must be

documented in the Quarterly Status Report(s) and Final Report to CARB.

10. Grantee Match Funding

Match funding from the Grantee is encouraged, but not required, and may

include funding from other State, federal, non-profit, or private revenue sources.

All match funding sources and amounts must be reported to CARB in the

Quarterly Status Report(s) and the Final Report.

M. PROJECT MONITORING

1. Meetings with CARB (and any sub-contractor)

a. Initial meeting: After a grant agreement is executed, a meeting will be held

between key project personnel and CARB staff before work on the Statewide

CC4A and Financing Assistance Project begins. The purpose of the first

meeting will be to discuss the overall plan, details of performing the tasks, the

project schedule, and any issues that may need to be resolved. Topics may

include process for program decision-making, frequency and process for

ongoing project team coordination, and process for coordinating activities with

CARB’s other equity projects and Public Information Office.

b. Review meetings: Meetings to discuss progress may be held beginning three

months after the initial meeting. Additional meetings may be scheduled at the

sole discretion of the CARB Project Liaison or by the Grantee upon request.

Such meetings may be conducted by phone, if deemed appropriate by the

CARB Project Liaison. The Grantee is responsible for developing the agenda

in collaboration with CARB Project Liaison, and for facilitating the quarterly

meetings.

c. Site visits: Site visits may be established by the CARB Project Liaison during

the term of this grant.

2. Technical Monitoring

a. Any change in the scope or schedule for the project requires the prior written

approval of the CARB Project Liaison and possibly a written Grant Agreement

Amendment. Technical monitoring may be necessary or adjustments to the

project scope or requirements may need to be made.

b. The Grantee must notify the CARB Project Liaison and Grant Coordinator in

writing, immediately if any circumstances arise (technical, economic, or

otherwise), which might place completion of the project in jeopardy. The

Grantee must also make such notification if there is a change in key project

personnel.

c. In addition to Quarterly Reports (see Section M, Reporting, of this Grant

Agreement), the Grantee must provide information requested by the CARB

Project Liaison that is needed to assess progress in completing tasks and

meeting the objectives of the project.

d. Any change in budget allocations, re-definition of deliverables, or extension of

the project schedule must be requested in writing to the CARB Project Liaison

and approved by CARB, in its sole discretion and may require a written Grant

Agreement Amendment.

N. REPORTING AND DOCUMENTING EXPENDITURE OF STATE FUNDS

The Grantee must provide CARB with documentation accounting for the proper

expenditure of CARB funds. The documentation must be provided in Quarterly

Status Reports submitted at least every three months to CARB and a Final Report

submitted after all Statewide CC4A and Financing Assistance funds have been

expended.

1. REPORTING

1. Quarterly Status Reports

a. The Grantee must submit Quarterly Status Reports at a minimum of

three-month intervals. The Quarterly Status Reports must be provided in a

format agreed upon between the CARB Project Liaison and the Grantee and

meet the requirements specified herein. CARB may specify an electronic

format for quarterly reporting.

b. The Grantee must provide a Quarterly Status Report to CARB detailing the

vehicles, consumers, and associated Statewide CC4A and Financing

Assistance amounts assigned and redeemed to date. The Quarterly Status

Report must include the following components:

i. Excel spreadsheet of:

a) Purchased or leased vehicle Information, including make, model,

model year, vehicle identification number, mileage at time of purchase

and vehicle type.

b) Dollar amount of the Statewide CC4A and Financing Assistance (loan,

vehicle price buy-down or other financial assistance mechanism),

financing terms (interest rate, term of loan), consumer’s income level,

consumer’s zip code, census tract, identifying if the consumer resides

in a disadvantaged community census tract, whether the vehicle is

purchased or leased and purchase/lease date.

c) If a consumer is purchasing a BEV/PHEV and financial assistance is

provided for EVSE, report must include EVSE purchase and

installation costs.

ii. Summary report of:

a) Program participation rates.

b) Status of education and outreach efforts

c) Survey results, feedback received from consumers, including those

consumers that ultimately did not receive any Statewide CC4A and

Financing Assistance, if available.

d) Remaining grant funds available.

e) Accounting records, including expenditure and supporting

documentation.

f) If a loan loss reserve account is used, any changes (withdrawals or

deposits) from loan loss reserve account, claims, net proceeds, or

other withdrawals or deposits with a description of transaction (fees,

sales records, etc.).

g) Copies of any reports from sub-contractors or partner agencies

concerning the performance of the program, if appropriate.

h) Identified problems or concerns, proposed solutions, lessons learned,

and suggested best practices, if applicable.

i) Other data and analysis as required by CARB.

c. The Quarterly Status Report provides a mechanism for the Grantee to justify

a need for additional Statewide CC4A and Financing Assistance Project funds

from CARB. The Quarterly Status Report must be submitted at least every

three months but may be provided on an as needed basis to justify payment

from CARB. The first Quarterly Status Report must be submitted three

months after the grant agreement is fully executed or when requesting

additional disbursement of funds, whichever is sooner.

2. Status Reports

a. The Status Report provides a mechanism for the Grantee to justify a need for

additional incentive funding and may be provided on an as needed basis to

request additional funding from CARB. The Status Report is intended to be a

streamlined reporting mechanism by which the Grantee can receive timely

disbursements from CARB.

b. The Status Reports shall be provided in a format agreed upon between the

CARB Project Liaison and the Grantee and meet the requirements specified

herein. CARB may specify an electronic format for Status Reports. CARB and

Grantee may from time to time agree on additional items to be included in the

Status Reports.

c. The Status Report must include:

i. Excel spreadsheet of vehicle incentives and/or EVSE incentives issued to

date.

ii. Summary of incentive applications received and/or applications approved

for funding, and associated dollar amount of incentives reserved.

3. Final Report

a. The Grantee must submit a Final Report to CARB within 30 days of the

project end date. The Final Report must include the following components:

The Final Report must include, at a minimum:

i. Excel spreadsheet of:

a) Purchased or leased vehicle information, including make, model,

vehicle identification number, model year, mileage at time of purchase

or lease, and vehicle type.

b) Dollar amount of the Statewide CC4A and Financing Assistance (loan,

vehicle price buy-down, or other financial assistance mechanism),

financing terms (interest rate, term of loan), consumer’s income level,

consumer’s zip code, census tract, identifying if the consumer resides

in a disadvantaged community census tract, whether the vehicle is

purchased or leased and purchase/lease date.

c) Expenditure documentation of Statewide CC4A and Financing

Assistance, administration costs, match and in-kind contributions.

d) If a consumer is purchasing a BEV/PHEV and financial assistance is

provided for EVSE, report must include EVSE purchase and

installation costs.

ii. Summary report of:

a) Program participation rates.

b) Outreach efforts.

c) Survey results, feedback received from consumers, including those

consumers that ultimately did not receive any Statewide CC4A and

Financing Assistance, if available.

d) Copies of any reports from sub-contractors or partner agencies

concerning the performance of the program, if appropriate.

e) Accounting records, including expenditure and supporting

documentation.

f) Project records, including any changes (withdrawals or deposits) from

the loan loss reserve account, claims, net proceeds, or other

withdrawal or deposit with auditable documentation.

g) Implementation challenges and recommendation for potential program

improvements.

h) Other data and analysis as required by CARB.

i) Remaining grant funds available.

j) Earned interest.

iii. Overview of the Statewide CC4A and Financing Assistance Project from

inception through project end, including project background, partnerships,

funding sources, challenges, successes, and suggestions going forward.

iv. Table of milestones and narrative of how the milestones have been met.

v. Other co-benefits to the disadvantaged community, including customer

testimonials.

vi. Expenditure and income information and supporting documentation.

vii. Other data and analysis as developed with CARB.

Additional reporting requirements may be added during the project period

if deemed necessary by CARB.

b. The draft Final Report must be submitted to CARB in an appropriate format

as directed by CARB. The Final Report must meet the requirements

specified herein. Upon approval of the draft Final Report by the CARB

Project Liaison, the Grantee must provide either a hard copy of the final

version, or an electronic file.

c. In addition to the Final Report, the Grantee must submit to CARB all

Statewide CC4A and Financing Assistance records and supporting

documentation in an electronic format.

O. PROJECT RECORDS

Project records consist of the financial and Statewide CC4A and Financing

Assistance records described below. CARB and Grantee may from time to time

agree on additional project records to be maintained. In addition, project record

requirements are subject to change at CARB’s discretion, in which case Section R

will apply. All project records must be retained for period of three years after final

payment under this Grant. All project records are subject to audit pursuant to

Exhibit B, General Grant Provision (4) of this Grant Agreement. Upon completion

of the third year of record retention, the Grantee must submit all project records to

CARB.

1. Grantee Record:

The Grantee must retain all Statewide CC4A and Financing Assistance Project

files containing:

a. Original executed copy of the Statewide CC4A and Financing Assistance

Project Grant Agreement and Grant Agreement Amendments (if applicable).

b. Project Implementation Manual and policies and procedures documentation

c. Copies of Grant Disbursement Request Forms

d. Documentation of earned interest generation and expenditure (see

Section K (8) for more information).

2. Financial Records:

Without limitation of the requirement to maintain project accounts in accordance

with generally accepted accounting principles, the Grantee must:

a. Establish an official file for Statewide CC4A and Financing Assistance Project

which must adequately document all significant actions relative to the project.

b. Establish separate accounts which will adequately and accurately depict all

amounts received and expended on the Statewide CC4A and Financing

Assistance Project.

c. Establish separate accounts which will adequately and accurately depict all

income received which is attributable to the Statewide CC4A and Financing

Assistance Project.

d. Establish an accounting system which will adequately depict final total costs

of the Statewide CC4A and Financing Assistance Project.

3. Statewide CC4A and Financing Assistance Records:

Grantee is required to establish and maintain Statewide CC4A and Financing

Assistance records which must include, at a minimum:

a. Consumer Statewide CC4A and Financing Assistance Project application,

containing consumer details (Federal Poverty Level, address, census tract,

disadvantaged community designation, etc.) and assistance details (vehicle

type, loan amount, interest rate, term, price buy-down amount, EVSE,

training, etc.). CARB and Grantee may from time to time agree on additional

application features. In addition, application features are subject to change at

CARB’s discretion, in which case Section R will apply. For vehicle price buy-

down, provide vehicle details (make, model, model year, mileage at purchase,

etc.).

b. Copy of loan documentation, Statewide CC4A and Financing Assistance

check(s) or other form of documentation demonstrating how the funds were

spent.

c. Documentation on any deviations from the normal processing of Statewide

CC4A and Financing Assistances (examples include enforcement action,

CARB case-by-case approvals).

d. Develop a system to track all disapproved Statewide CC4A and Financing

Assistance applications, including explanation(s) of disapproval.

P. OVERSIGHT AND ACCOUNTABILITY

1. Funding for this grant may be held contingent upon CARB review and approval

of any existing audit findings or reports and/or Grantee's timely response to

requests for a program review.

2. The Grantee must comply with all oversight responsibilities identified herein.

3. CARB or its designee may recoup the GGRF investments which were received

based upon misinformation or fraud, or for which a Grantee, vehicle

manufacturer, technology provider, or lower-income consumer is in significant

or continual non-compliance with the terms of this Grant Agreement or State

law. CARB also reserves the right to prohibit any entity from participating in

Statewide CC4A and Financing Assistance Projects due to non-compliance

with project requirements.

4. If the Grantee detects any actual and/or potentially fraudulent activity by a

finance assistance administrator, vehicle dealer, purchaser, or lessee, it must

notify CARB as soon as possible and work with CARB to determine an

appropriate course of action.

Q. INTELLECTUAL PROPERTY

Any webpage(s), software, databases, project data, or other intellectual property

developed or purchased by the Grantee for the purposes of administering or

implementing the Statewide CC4A and Financing Assistance Project are the

property of CARB. Should a different grantee be selected to manage the

Statewide CC4A and Financing Assistance Project in subsequent funding years, it

will be the Grantee’s responsibility to turn over this property and information to

CARB and the new grantee and provide all reasonable and necessary assistance

needed to ensure a smooth transfer. It is CARB’s intention that Statewide CC4A

and Financing Assistance access and redemption be seamless to vehicle

purchasers and lessees as Statewide CC4A and Financing Assistance Project

transfers to each new fiscal year.

R. CHANGES BY CARB

Where CARB has the right under this Grant to require new terms and conditions of

or make changes to the program, require currently unspecified Alignment or

otherwise exercise discretion (each, a “Change”), the following rules will apply:

a. No Changes may increase Grantee’s unreimbursed costs or require Grantee to

advance funds.

b. CARB will provide such advance notice, in reasonable detail, of the Change or

exercise so as to enable Grantee to mobilize the resources needed to smoothly

implement the action, minimize adverse impacts to project participants and

maintain the reputation of the program. During this time the parties will in good

faith work together to resolve these concerns or, if applicable, to initiate the

termination and wind down contemplated by Section R.d.

c. The Change will not require Grantee to delay performance of or fail to perform

program commitments that were made by Grantee in accordance with this

Grant before it received notice of the Change.

d. If the Grantee in good faith believes that the Change is unreasonable or will

make it impracticable or unduly burdensome to continue with the program, the

Grantee may initiate the termination and wind down process described in this

Grant.

e. A reasonable timeframe for implementing the Change will be determined by the

Grantee and CARB.

f. As feasible, Grantee must comply with and implement program criteria changes

that occur throughout the project term in a reasonable timeframe.

EXHIBIT B

GENERAL GRANT PROVISIONS

1. Amendment: No amendment or variation of the terms of this

Grant Agreement shall be valid unless made in writing, signed

by the parties and approved as required. No oral

understanding or agreement not incorporated in the Grant

Agreement is binding on any of the parties.

2. Americans with Disabilities Act (ADA) Language: Grantee must ensure

that products and services submitted to CARB, uploaded, or otherwise

provided to CARB by the Grantee and/or its subcontractors, subgrantees,

and any other agreement (hereinafter referred to as subawardees) under

this Grant, as specified in Exhibit (insert exhibit # here) or (list items here)

to (collectively, the “Work”), comply with Web Content Accessibility

Guidelines 2.0, levels A and AA, and otherwise meet the accessibility

requirements set forth in California Government Code Sections 7405 and

11135, Section 202 of the federal Americans with Disabilities Act (42

U.S.C. § 12132), and Section 508 of the federal Rehabilitation Act (29

U.S.C. § 794d) and the regulations promulgated thereunder (36 C.F.R.

Parts 1193 and 1194) (collectively, the “Accessibility Requirements”).

For any Work provided to CARB in PDF format, Grantee shall also

provide an electronic version in the original electronic format (for

example, Microsoft Word or Adobe InDesign). CARB may request

documentation from the Grantee of compliance with the requirements

described above and may perform testing to verify compliance. Grantee

agrees to respond to and resolve any complaint brought to its attention

regarding accessibility of deliverables provided under this Grant.

Deviations from the Accessibility Requirements are permitted only by

written consent by CARB.

3. Assignment: This grant is not assignable by the Grantee either in whole or

in part, without the consent of CARB in the form of a formal written

amendment.

4. Audit: Grantee agrees that CARB, the Department of General Services,

Department of Finance, the California State Auditor, or their designated

representative shall have the right to review and to copy any records and

supporting documentation pertaining to the performance of this Grant and

all State funds received. Grantee agrees to maintain such records for

possible audit for a minimum of three (3) years after the term of this Grant

is completed, unless a longer period of records retention is stipulated.

Grantee agrees to allow the auditor(s) access to such records during

normal business hours and to allow interviews of any employees who

might reasonably have information related to such records. Further,

Grantee agrees to include similar right of the State to audit records and

interview staff in any Grant or Contract related to performance of this

Agreement.

5. Availability of funds: It is mutually agreed that if the Budget Act of the

current year and/or any subsequent years covered under this grant does

not appropriate sufficient funds for the program, this grant shall be of no

further force and effect. In this event, the State shall have no liability to pay

any funds whatsoever to Grantee or to furnish any other considerations

under this grant and Grantee shall not be obligated to perform any

provisions of this grant.

6. Compliance with law, regulations, etc.: The Grantee agrees

that it will, at all times, comply with and require its contractors

and subcontractors to comply with all applicable federal, State

and local laws, rules, guidelines, regulations, and requirements.

7. Computer software: The Grantee certifies that it has

appropriate systems and controls in place to ensure that State

funds will not be used in the performance of this Grant

Agreement for the acquisition, operation, or maintenance of

computer software in violation of copyright laws.

8. Confidentiality: Prior to CARB releasing any information to

Grantee which CARB has designated as confidential, CARB

will notify Grantee in writing of such confidential designation.

Except as may be required by the California Public Records Act

(California Government Code Section 6250 et seq.), no record

which has been designated as confidential by CARB, shall be

disclosed by the Grantee. If the Grantee believes disclosure of

a confidential record may be required under the California

Public Records Act, the Grantee shall first give CARB at least

10 calendar days written notice prior to any planned disclosure

so CARB can seek an order preventing disclosure from a court

of competent jurisdiction.

9. Conflict of interest: The Grantee certifies that it is in

compliance with applicable State and/or federal conflict

of interest laws.

10. Disputes: The Grantee shall continue with the responsibilities

under this Grant Agreement during any dispute. Grantee staff or

management may work in good faith with CARB staff or

management to resolve any disagreements or conflicts arising

from implementation of this Grant Agreement. However, any

disagreements that cannot be resolved at the management

level within 30 days of when the issue is first raised with CARB

staff shall be subject to resolution by the CARB Executive

Officer, or his designated representative. Nothing contained in

this paragraph is intended to limit any of the rights or remedies

that the parties may have under law.

11. Environmental Justice: In the performance of this Grant

Agreement, the GRANTEE shall conduct its programs,

policies, and activities that substantially affect human health

or the environment in a manner that ensures the fair

treatment of people of all races, cultures, and income levels,

including minority populations and low-income population of

the State.

12. Fiscal management systems and accounting standards: The

Grantee agrees that, at a minimum, its fiscal control and

accounting procedures will be sufficient to permit tracing of

grant funds to a level of expenditure adequate to establish that

such funds have not been used in violation of State law or this

Grant Agreement. Unless otherwise prohibited by State or local

law, the Grantee further agrees that it will maintain separate

Grant award accounts in accordance with generally accepted

accounting principles.

13. Force Majeure: Neither CARB nor the Grantee must be liable for

or deemed to be in default for any delay or failure in performance

under this Grant Agreement or interruption of services resulting,

directly or indirectly, from acts of God, enemy or hostile

governmental action, civil commotion, strikes, government

declaration of emergency, national or state declared pandemics,

lockouts, labor disputes, fire, flood, earthquakes or other physical

natural disaster. If either party intends to invoke this clause to

excuse or delay performance, the party invoking the clause must

provide written notice to the other party immediately but no later

than within fifteen (15) calendar days of the intent to invoke the

clause and reasons that the force majeure event is preventing

that party from or delaying that party in performing its obligations

under this grant. CARB may terminate this Grant Agreement

immediately in writing without penalty in the event Grantee

invokes this clause.

14. If the Grant Agreement is not terminated by CARB pursuant to

this clause, upon completion of the event of force majeure, the

Grantee must as soon as reasonably practicable recommence

the performance of its obligations under this Grant Agreement.

The Grantee must also provide a revised schedule to minimize

the effects of the delay caused by the event of force majeure. An

event of force majeure does not relieve a party from liability for an

obligation which arose before the occurrence of that event.

15. Governing law and venue: This Grant Agreement is governed by

and shall be interpreted in accordance with the laws of the State

of California. CARB and the Grantee hereby agree that any action

arising out of this Grant Agreement shall be filed and maintained

in the Superior Court in and for the County of Sacramento,

California, or in the United States District Court in and for the

Eastern District of California. The Grantee hereby waives any

existing sovereign immunity for the purposes of this Grant

Agreement.

16. Grantee’s responsibility for work: The Grantee shall be

responsible for work and for persons or entities engaged in

work, including, but not limited to, contractors, subcontractors,

suppliers, and providers of services. The Grantee shall be

responsible for any and all disputes arising out of its contract for

work on a Project funded by this Grant Award, including but not

limited to payment disputes with contractors, subcontractors,

and providers of services. The State will not mediate disputes

between the Grantee and any other entity concerning

responsibility for performance of work.

17. Grantee’s requirements for electric vehicle charging

infrastructure and equipment: The requirements of this

section do not apply to any of the following:

1) Electric vehicle charging infrastructure installed by employees of an

electrical corporation or local publicly owned electric utility.

2) Electric vehicle charging infrastructure funded by moneys derived

from credits generated from the Low Carbon Fuel Standard

Program (Subarticle 7 (commencing with Section 95480) of Article 4

of Subchapter 10 of Chapter 1 of Division 3 of Title 17 of the

California Code of Regulations).

3) Single-family home residential electric vehicle chargers that can use

an existing 208/240-volt outlet.

Prior to executing contracts grantee must ensure the following requirements are

included in all subawardee contracts and or other agreements:

a. Prior to authorizing work, a subawardee that was awarded funds to install

electrical charging equipment for use by on-road transportation vehicles, must

require both:

a. An AB 841 Certification that certifies the project will comply with all AB 841

(2020) requirements or describes why the AB 841 requirements do not

apply to the project. The certification shall be signed by the sub-awardees

authorized representative.

b. EVITP Certification Numbers of each Electric Vehicle Infrastructure

Training Program certified electrician that will install electric vehicle

charging infrastructure or equipment. Evidence such as Certification

Numbers is not required to be obtained by Grantee if AB 841 requirements

do not apply to a project. Prior to remitting payment to a sub-awardee, the

grantee is responsible for collecting all AB 841 Certifications to ensure the

project did comply with all AB 841 (2020) requirements and shall retain

Certification Numbers in accordance with the grantee’s records retention

schedule.

18. Indemnification: The Grantee agrees to indemnify, defend,

and hold harmless the State and CARB and its officers,

employees, agents, representatives, and successors-in-

interest against any and all liability, loss, and expense,

including reasonable attorneys’ fees, from any and all claims

for injury or damages arising out of the performance by the

Grantee, and out of the operation of equipment that is

purchased with funds from this Grant Award.

19. Independent contractor: The Grantee, and its agents and

employees, if any, in their performance of this Grant

Agreement, shall act in an independent capacity and not as

officers, employees or agents of CARB.

20. Nondiscrimination: During the performance of this Grant

Agreement, the Grantee and its contractors shall not

unlawfully discriminate against, harass, or allow harassment

against any employee or applicant for employment because

of race, religious creed, color, national origin, ancestry,

physical disability, mental disability, medical condition,

genetic information, marital status, sex, gender, gender

identity, gender expression, age (over 40), sexual

orientation, or veteran or military status, or allow denial of

family-care leave, medical-care leave, or pregnancy-

disability leave. The Grantee and its contractors shall ensure

that the evaluation and treatment of their employees and

applicants for employment are free of such discrimination

and harassment. The Grantee and its contractors shall

comply with the provisions of the Fair Employment and

Housing Act (Gov. Code section 12900 et seq.) and the

applicable regulations promulgated thereunder (California

Code of Regulations, title 2, section 11000 et seq.). The

applicable regulations of the Fair Employment and Housing

Commission implementing Government Code section 12990

(a)-(f), set forth in Chapter 5 of Division 4.1 of title 2 of the

California Code of Regulations, are incorporated into this

Agreement by reference and made a part hereof as if set

forth in full. The Grantee and its contractors shall give written

notice of their obligations under this clause to labor

organizations with which they have a collective bargaining or

other agreement. The Grantee shall include the

nondiscrimination and compliance provisions of this clause in

all subcontracts to perform work under this Grant

Agreement.

21. No third party rights: The parties to this Grant Agreement do

not create rights in, or grant remedies to, any third party as a

beneficiary of this Grant Agreement, or of any duty, covenant,

obligation or undertaking establish herein.

22. Ownership: All information or data received or generated by

the Grantee under this Grant Agreement shall become the

property of CARB. No information or data received or

generated under this Grant Agreement shall be released

without CARB approval.

23. Personally identifiable information: Information or data that

personally identifies an individual or individuals is

confidential in accordance with California Civil Code sections

1798, et seq. and other relevant State or Federal statutes

and regulations. The Grantee shall safeguard all such

information or data which comes into their possession under

this Grant Agreement in perpetuity, and shall not release or

publish any such information or data.

24. Prevailing wages and labor compliance: Grantee agrees to

monitor all agreements subject to reimbursement from this

Grant Agreement to ensure that the provisions of Labor

Code Sections 1720-1861 are being met by sub awardees.

25. Professionals: Grantee agrees that only licensed

professionals will be used to perform services under this

Grant Agreement where such services are called for and

licensed professionals are required for those services under

State law.

26. Severability: If a court of competent jurisdiction holds any

provision of this Grant Agreement to be illegal, unenforceable

or invalid in whole or in part for any reason, the validity and

enforceability of the remaining provisions, or portions of

those provisions, will not be affected.

27. Termination: CARB may terminate this Grant Agreement for

cause by written notice at any time prior to completion of

projects funded by this Grant Award, upon violation by the

Grantee of any material provision after such violation has

been called to the attention of the Grantee and after failure of

the Grantee to bring itself into compliance with the provisions

of this Grant Agreement within the time frame set forth by

CARB via written notice to the Grantee.

28. Timeliness: Time is of the essence in this Grant Agreement.

Grantee shall proceed with and complete the projects in an

expeditious manner.

29. Waiver of Rights: Any waiver of rights with respect to a

default or other matter arising under the Grant Agreement at

any time by either party shall not be considered a waiver of

rights with respect to any other default or matter. Any rights

and remedies of the State provided for in this Grant

Agreement are in addition to any other rights and remedies

provided by law.

30. Order of precedence: In the event of any inconsistency

between the article exhibits, attachments, specifications, or

provisions which constitute this Grant Agreement, the

following order of precedence shall apply:

a. Grant Agreement Cover Sheet

b. Exhibit A – Grant Provisions

c. Exhibit B – Work Statement

d. Exhibit D – Grant Solicitation Package

e. All other Exhibits incorporated into the Grant Agreement as listed

on the Grant Agreement Cover Sheet.

EXHIBIT C

WORK STATEMENT

Attachment I – Budget Summary

Grantee:

Grant No.:

Project: Statewide CC4A and Financing Assistance Project

Total Funding

Funding Source Amount

Total Project

SAMPLE

EXHIBIT C

WORK STATEMENT

Attachment II – Estimated Project Milestones and Disbursement Schedule

Grantee:

Grant No.:

Project: Statewide CC4A and Financing Assistance Project

# Task

Project

Milestones

Start Date End Date

Disburse

ment

Amount

(Up to)

Execute Grant

Agreement

Kick-off meeting X/XX/XX X/XX/XX $ 0

2 Milestone Task X/XX/XX X/XX/XX $ XXX

3 Milestone Task X/XX/XX X/XX/XX $ XXX

4 Milestone Task X/XX/XX X/XX/XX $ XXX

Disbursement Schedule:

Disbursement

Description

Associated Task Up to Amount

1.1 Vehicle buy-downs XXX $XXX

1.2 Loan Loss Reserve XXX $XXX

1.3 EVSE XXX $XXX

1.4 Processing Fee XXX $XXX

Total $XXX

SAMPLE

EXHIBIT C

WORK STATEMENT

Attachment III – Key Project Personnel

Grantee:

Grant No.:

Project: Statewide CC4A and Financing Assistance Project

Name Position Duties

EXHIBIT D

SOLICITATION

EXHIBIT E

APPLICATION PACKAGE

EXHIBIT F

SAMPLE CONSUMER SURVEY

1. On a scale of 1 to 10, with 1 being very unsatisfied and 10 being very satisfied, how

satisfied are you with the vehicle you chose?

2. On a scale of 1 to 10, with 1 being very unsatisfied and 10 being very satisfied, how

satisfied are you with the finance assistance process to purchase your vehicle?

3. On a scale of 1 to 10, with 1 being very unsatisfied and 10 being very satisfied, how

satisfied are you with the terms of your loan?

4. Do you expect to be able to keep up with your loan payments?

5. What, if anything, about your loan worries you?

6. Has the vehicle you purchased or leased changed your employment opportunities or

your plans for your future

7. How much more or how much less is your income now that you have a newer

vehicle?

8. How much have you spent in repairs on the vehicle?

9. How much do you spend on gas for your vehicle each month?

10. Date of vehicle purchase or lease and number of miles at the time of purchase or

lease?

11. Date of recording mileage and miles driven since vehicle purchase or lease?

12. On average, how many miles do you drive in a month?

13. Approximately how many miles have you driven this year?

14. What, if anything, about your new vehicle worries you?

15. What, if anything, do you like/enjoy about your vehicle?

16. Would you be willing to answer some follow up questions in a few months to help us

continue to improve the replacement program?

(Optional) Name:

Date:

Contact number:

Please return to:

EXHIBIT G

BUDGET