Flexible Technical Assistance (FlexTech) Program Opportunity Notice (PON) 4192

The NYSERDA Flexible Technical Assistance (FlexTech) Program supports New York State Commercial, Industrial and Multifamily customers who pay into the Systems Benefit Charge by providing a cost-share for credible, objective technical assistance services. These services encompass a wide range of activities to help customers make informed clean energy investment and sustainability decisions. Customers faced with unprecedented new challenges, opportunities and technological change can use the FlexTech Program to pinpoint which clean energy investments are right for them. Customers have the option of selecting either a NYSERDA qualified FlexTech Consultant from the following list (https://www.nyserda.ny.gov/Contractors/Find-a-Contractor/FlexTech-Consultants) or an Independent Service Provider of their choosing. The Consultant or Service Provider will identify, analyze and prioritize energy efficiency or carbon reduction recommendations. The recommendations are tailored to the customer’s site and business needs. Implementation of these recommendations may lead to lower annual utility costs, reduced operation and maintenance costs, extended equipment life, and increased occupant comfort.

The primary Technical Assistance Service areas available through the Program include: • Targeted or comprehensive technical analysis including energy studies and/or energy planning (refer to Section II); • Feasibility studies for Energy Storage feasibility studies (refer to Section VI) • Investigation of Clean Heating and Cooling Systems including Air Source Heat Pumps (ASHP), Ground Source

Heat Pumps (GSHP), Variable Refrigerant Flow (VRF), and Solar Heating and Cooling

Program Summary: A one-page synopsis of the FlexTech Program is available for download: https://www.nyserda.ny.gov/flextech-documents

How to Apply: 1. A FlexTech program application must be submitted to FlexTech@nyserda.ny.gov , consisting of the following

documentation: • FlexTech Program Application Form (Attachment A) • Scope of Work, Schedule and Budget; see sample templates (https://www.nyserda.ny.gov/flextech-documents)

Program Questions: Customers, Service Providers, or FlexTech Consultants with Program questions should contact FlexTech@nyserda.ny.gov. No communication intended to influence this procurement is permitted except by contacting the Designated Contact at FlexTech@nyserda.ny.gov. All contractual questions should be directed to Elsyda Sheldon (866-NYSERDA ext.3232, FlexTech@nyserda.ny.gov). Contacting anyone other than the Designated Contacts (either directly by the proposer or indirectly through a lobbyist or other person acting on the proposer’s behalf) in an attempt to influence the procurement: (1) may result in a proposer being deemed a non-responsible offeror, and (2) may result in the proposer not being awarded a contract.

Applications accepted on a first-come, first-serve basis dependent on funding availability until December 31, 2025 by 3:00 PM Eastern Time.

*NYSERDA reserves the right to extend and/or adjust funding to this solicitation. * All applications must be received by 3pm Eastern Time on the date noted above. Incomplete or unsigned applications will be returned. If changes are made to this solicitation, notification will be posted on NYSERDA’s website at www.nyserda.ny.gov.

I. INTRODUCTION This solicitation is divided into the following Sections:

• Section II: Program Cost-Share • Section III: Eligibility • Section IV: Program Parameters • Section V: Program Participation • Section VI: Energy Storage Studies • Section VII: General Conditions • Section VIII: Attachments

PROGRAM TERMINOLOGY

Term Definition

Customer New York State Commercial, Industrial and Multifamily electricity customers who pay into the System Benefits Charge (SBC) through their

electric utility company. The entity paying for FlexTech services.

FlexTech Consultant (FTC) Third-party, NYSERDA qualified firms that provide objective customized technical assistance services to inform the Customer’s clean

energy management and investment decisions. A list of qualified FlexTech Consultants can be found here:

https://www.nyserda.ny.gov/Contractors/Find-a-Contractor/FlexTech- Consultants

Independent Service Provider (ISP) A third-party firm, selected by the Customer, that provides technical services to inform the customer’s clean energy management and

investment decisions. Technical Assistance Services Activities (found in Section II. Program Cost-Share) that inform a

Customer’s decision-making process with respect to clean energy efficiency and sustainability.

Project The set of proposed activities and tasks to be completed as described in the Technical Assistance Services Scope of Work submitted to the

Program.

II. PROGRAM COST-SHARE

For definitions of the Technical Assistance Services listed below and further examples of eligible Projects, please refer to the FlexTech Program website. Additional templates and reference documents are also available to streamline the application process: (https://www.nyserda.ny.gov/flextech-documents)

Standard NYSERDA: Cost

Share

REV Campus Challenge Member: NYSERDA Cost

Share 1

NYSERDA Cost Share Cap per Project

Level 1+ Energy Study up to $10,000 per building

Targeted or Comprehensive Energy StudyTargeted or Comprehensive RCx Study Climate Action Plan or Sustainability Plan Clean Heating and Cooling StudyEnergy Master Planning Energy Advisor Services

up to $500,000 or 10% Annual Energy Expenditure, which ever is

less

Energy Storage (ES) 75% 75%up to $100,000 or 10% Annual

Energy Expenditure, which ever is less

Multifamily Low Carbon Capital Planning 75% Study Cost Share

N/A

up to $100,000 or 2% Annual Energy Expenditure, which ever is less, for portfolio-level studies

up to $500,000 or 10% Annual Energy Expenditure, which ever is

less, for building-specific studies

Investigation of renewable energy technologiesComplete greenhouse gas emission inventoryInstallation of permanent meters or permanent sub-meters $10,000Establish reporting protocol and report to voluntary third-party certification organizations REV CC Only

Utilize a student intern REV CC Only up to $10,000 of intern fees

Develop curriculum/student clean energy engagements REV CC Only 75% $10,000

50%60%

Supp

ortin

g Se

rvic

es 2

1. Colleges and Universities must be REV Campus Challenge members to receive a cost-share of any kind.2. Supporting Services are only eligible for a NYSERDA cost-share if completed in combination with a Primary Service.

Technical Assistance Services

50% Study Cost Share

60% Study Cost Share

Prim

ary

Serv

ices

The following supporting services are eligible if completed in combination with any of the primary services above.

III. ELIGIBILITY

Applications that display a potential for energy savings, carbon savings, or process improvements, as well as opportunities to consider energy efficiency given known energy use increases, will be considered for eligibility.

Eligible participants include New York State Commercial, Multifamily and Industrial facilities that are New York State electricity customers who pay into the System Benefits Charge (SBC) through their electric utility company.

IV. PROGRAM PARAMETERS

• A third-party technical assistance service provider is required for all projects.

o Customers in need of a service provider may choose from NYSERDA’s FlexTech Consultant list comprising of firms who have demonstrated experience and thorough understanding of technical assistance services. Visit the website at: www.nyserda.ny.gov/FlexTech for the current listing of FlexTech Consultants.

Energy consultants, engineering companies, energy service companies (ESCOs) and

other eligible firms interested in becoming a NYSERDA FlexTech Consultant should refer to RFP 3628 for additional information.

o Customers have the option to select their own Independent Service Provider to perform the study.

o Independent Service Providers and FlexTech Consultants may undergo additional review before being approved to perform certain FlexTech studies. Examples of such studies include but are not limited to indoor air quality (IAQ), energy storage, energy advisor projects, and industrial and process efficiency analysis.

• Applications must provide a justification for the NYSERDA cost-share request based on site-specific facility

descriptions along with the potential solutions that will be investigated.

• Project deliverables shall identify and quantify estimated energy impacts including savings expected as a result of all evaluated measures.

o Rule of thumb assumptions and percentage savings calculations are not acceptable. Exceptions may be made

for Level 1+ Energy Studies in NYSERDA’s sole discretion.

• NYSERDA is not committed to cost-sharing a project identified in an application until a Purchase Order (PO) is issued. The commencement of work covered by the FlexTech Program by the FlexTech Consultant, the Independent Service Provider or Customer prior to the issuance of a PO is at their own risk.

• Completed FlexTech studies lacking recommended energy efficiency or process improvement opportunities

or quantified energy or carbon savings may receive a reduced cost-share or may not be reimbursed by NYSERDA.

• NYSERDA reserves the right to add or modify technical assistance services areas and the associated cost-share from

0-100%. Funds may be used for technical assistance only and may not be used toward implementation, equipment purchase (except for eligible metering expenses), or any labor costs outside of the technical assistance effort. At its sole discretion, NYSERDA may limit the cost share associated with a study.

• Travel costs are limited to 3% of the total project cost.

• Unless otherwise negotiated, all work funded under this program must be completed within two (2) years of issuance

of the PO.

• Student interns, eligible for REV Campus Challenge members only, are required to provide a written report on the tasks they completed relevant to the approved Scope of Work, and the report must be submitted as part of the final report. Requests for the student intern bonus should be included as a separate task in the Scope of Work.

• New facilities or those that have undergone substantial renovations must be in operation for more than one year prior

to submission of the FlexTech Program Application to be eligible for energy efficiency (excluding Clean Heating and Cooling and Energy Storage studies) or retro commissioning analysis funding under this solicitation.

• New Independent Service Providers and FlexTech Consultants are limited to five (5) open applications at any given

time until they have demonstrated the ability to meet program requirements. • REV Campus Challenge Supporting Services:

o Bonus for utilizing a student intern to assist with completing the project: Funding must be used to cover costs of student intern(s) completing tasks that contribute to the

FlexTech project and Scope of Work. Funding may be used to cover fees for more than one student intern.

This activity and its deliverable must be listed as its own task in the Scope of Work. Tasks to be completed by the student intern(s) must be clearly stated and must be commensurate with the NYSERDA funding amount requested.

Deliverables include: • Timesheets (or alternative) • Presentation or report summarizing the project, student intern involvement, and project

results OR • Case study of the project and other campus clean energy efforts to share publicly (within

the classroom, campus, or more broadly). Case studies may be eligible for NYSERDA co-branding. OR

• Alternative deliverable comparable to the above upon NYSERDA approval o Cost-share for developing curriculum/student clean energy engagements:

Funding must be used to cover costs of faculty/staff time for developing curriculum/student clean energy engagements and ways to implement developments at the institution. Faculty/staff must be employed by the REV Campus Challenge Member institution. Funding may also be used to cover costs of the project’s Energy Consultant to support/advise faculty during development.

Curriculum developed must incorporate components of the FlexTech project and intend to integrate clean energy into a semester course, independent study or internship at the REV Campus Challenge Member’s institution.

Student Clean Energy Engagements developed must incorporate components of the FlexTech project and enable students to work with on-campus staff and/or Energy Consultants to identify or complete clean energy projects.

Upon NYSERDA approval, REV Campus Challenge Members may incorporate additional or alternative clean energy-related subject matter as it relates to the institution’s goals and needs.

This activity and its deliverable(s) must be listed as its own task in the Scope of Work. Tasks to be completed by faculty/staff (and the Energy Consultant) must be clearly stated and must be commensurate with the NYSERDA cost-share requested.

Deliverables include: • Timesheets (or alternative) • Documentation of developed curriculum/student clean energy engagements and ways to

implement (e.g. lesson plans, detailed report and implementation plan, proposal outlining curriculum/activities shared with internal staff, etc.)

The following are ineligible for funding:

• Work completed prior to NYSERDA’s receipt of a completed application (which includes the FlexTech application, Scope of Work, schedule and budget)

• Retro commissioning (RCx) study applications that do not have an energy efficiency impact and do not address RCx-specific tasks in the FlexTech Scope of Work & budget template (https://www.nyserda.ny.gov/flextech- documents).

• Energy Storage studies where the potential for energy savings from energy efficiency or energy management

measures have not been previously investigated.

• Technical assistance, studies or assessments whose need is not supported by existing site-specific conditions as documented in the Scope of Work

• Detailed engineering design

• Lighting only studies and analyses

• Power quality, power factor, and power conditioning studies

• Utility billing error analysis • Studies that include the same or like measures more than once every three (3) years without sufficient justification

V. PROGRAM PARTICIPATION

APPLYING TO THE PROGRAM

To apply to the Program, the following must be completed. The FlexTech Consultant or Independent Service Provider may assist in completion of the documents.

A FlexTech program application must be submitted to FlexTech@nyserda.ny.gov , consisting of the following documentation:

• FlexTech Program Application Form (Attachment A) • Scope of Work, Schedule and Budget; see sample templates (https://www.nyserda.ny.gov/flextech-

documents)

A Consolidated Funding Application (CFA) must be completed. By checking “Yes” to the CFA authorization statement on the FlexTech Application the Customer is authorizing NYSERDA to complete the CFA on their behalf. By checking “No” the FlexTech Consultant, Independent Service Provider or Customer must complete the CFA as part of the application submittal.

All applications will be reviewed on a first come, first-served basis dependent on funding availability. A complete application package comprises the FlexTech Program Application, a complete Scope of Work with a detailed budget and schedule, and the CFA. Incomplete project application packages will be rejected.

SCOPE OF WORK REQUIREMENTS

The Scope of Work is a stand-alone document describing the existing conditions of a facility and the Technical Assistance Services to be conducted. The Services should be listed as tasks required to conduct the Project and make clean energy technology and system recommendations. A Scope of Work generally ranges from four to eight pages and should clearly outline where potential energy efficiency and carbon opportunities exist and why a study or third-party service provider assistance is needed. A Scope of Work template has been provided for reference (www.nyserda.ny.gov/flextech- documents). While the exact format of the Scope of Work

template is not required, all information requested within the Scope of Work template must be included in some form in the project Scope of Work. Failure to provide all required information may result in NYSERDA rejecting the scope of work.

Energy Storage study applications containing scopes of work that do not expand upon the requirements outlined in Section VI, or that do not include site and project specific issues, may be rejected. Indoor Air Quality (IAQ) study applications or any project involving investigation of measures related to new guidelines pertaining to safe building operation (i.e. COVID – 19 ) shall contain scopes of work with similar tasks and deliverables as outlined in the IAQ Studies Guidelines document, available at www.nyserda.ny.gov/flextech-documents. The IAQ studies Guideline document may be updated periodically and will contain version and date stamps for version control. IAQ study applications should be sure to reference www.nyserda.ny.gov/flextech-documents for the most current IAQ Studies Guidelines.

Separate submittals are required for energy efficiency and energy storage studies. Energy storage studies and IAQ studies may undergo review by an independent panel to determine eligibility for acceptance into this solicitation. The minimum criteria that must be met for NYSERDA to review energy storage applications are listed in Section VI: Energy Storage Studies. The minimum criteria that must be met for NYSERDA to review IAQ studies may be found in the IAQ Studies Guidelines, available at www.nyserda.ny.gov/flextech-documents.

Multifamily Low Carbon Capital Planning Study applications shall contain scopes of work with tasks and deliverables as outlined in the Multifamily Low Carbon Capital Planning Study Guidelines document, available at www.nyserda.ny.gov/flextech-documents. The Multifamily Low Carbon Capital Planning Study Guidelines document may be updated periodically and will contain version and date stamps for version control. Multifamily Low Carbon Capital Planning Study applications should be sure to reference www.nyserda.ny.gov/flextech-documents for the most current Multifamily Low Carbon Capital Planning Study Guidelines.

PARTICIPATION PROCESS

PROJECT PAYMENTS

For customers using a NYSERDA FlexTech Consultant NYSERDA will contribute its share of the actual study cost, not to exceed the amount agreed upon in the Purchase Order, towards the allowable FlexTech Consultant fees, directly to the FlexTech Consultant per the approved Scope of Work. Customers will pay the remaining balance of the FlexTech Consultant fees directly to the FlexTech Consultant under the terms and conditions to be negotiated by the Customer and FlexTech Consultant. Progress payments are available at the discretion of the NYSERDA Project Manager.

Required Documentation: The FlexTech Consultant’s invoice(s) should be broken out by non-labor costs, individual/staff titles, hourly rates, dates and hours worked on each task. Invoices should also indicate the amount that is being invoiced concurrently to the Customer. In addition, if applicable, NYSERDA may also require a copy of the customer’s canceled check showing payment of their cost-share.

For customers using their own independent service provider At the conclusion of a successful project and upon receipt of all required documentation, NYSERDA will reimburse Customer its share of the cost incurred, not to exceed the cost-share agreed upon in the Purchase Order. Reimbursement will be based on services provided as defined in the Scope of Work and as documented by the approved final report, invoices and other documentation deemed necessary by NYSERDA. Unless otherwise noted, payments will be sent to the authorized Customer listed in the FlexTech Program Application. Progress payments are available at the discretion of the NYSERDA Project Manager, not-to-exceed 50% of NYSERDA’s total financial commitment.

Required Documentation: Reimbursement will be processed after receipt of an invoice from the Customer to NYSERDA, a copy of the service provider’s invoice(s) to the Customer indicating the total study cost, and a copy of the metering equipment/software invoice(s), if applicable. The service provider’s invoice(s) should be broken out by non-labor costs, individuals/staff titles, hourly rates, dates and hours worked on each task. If applicable, NYSERDA may also require a copy of the Customer’s canceled check(s) showing the total study cost amount payed to the service provider. At NYSERDA’s discretion, a copy of the canceled check(s) from the Customer to the service provider showing the total study cost and a copy of the lump-sum invoice may be accepted in lieu of a detailed invoice.

All projects must include cost-sharing in the form of matching cash support from the Customer. In-kind contributions of any type are not allowed as matching funds with the exception of REV Campus Challenge Members that are allowed up to 25% of the institutions cost share. For projects where REV Campus Challenge Members have in-kind contributions, tasks to be completed in house must be clearly stated in the project’s Scope of Work. If in-kind contribution is greater than 15% of the REV Campus Challenge Member’s cost-share, NYSERDA may request verification of faculty/staff qualifications. All invoices including reimbursement documentation must be submitted through https://services.nyserda.ny.gov/Invoices/.

VI. ENERGY STORAGE STUDIES

Eligible energy storage studies will examine and size distributed energy storage systems in New York State. Distributed energy storage systems are electrochemical, thermal, or mechanical systems located either with load (e.g., at a customer site), co-located with a distributed energy resource (solar PV), or connected directly to the distribution system (i.e. located

with utility equipment). Applications for energy storage studies will be considered for solutions that include a mixture of generation and storage, however the focus of the study must be the energy storage system. Studies that are predicated on business models that are not allowable, viable, or accessible in the New York energy market will not be eligible for funding.

The intended energy storage system installation described in the Scope of Work must meet the following criteria:

• The energy storage systems under consideration must be a commercially available technology that

fulfills the technical requirements in the current version of NYSERDA’s Retail Energy Storage Incentive Program manual with proven performance at the system size proposed. This must be demonstrated by prior commercial deployments, the product carrying a commercial warranty, and any safety certifications required by the local permitting authorities. Contact NYSERDA at energystorage@nyserda.ny.gov if you have questions as to which standards are required in specific jurisdictions.

• If the system integrates storage plus solar PV, the solar PV system must be in compliance with the

System Requirements detailed in the NY-Sun Initiative Program Manuals.

• Systems designed to help defer utility distribution system upgrades, or paired with an intermittent renewable such as solar, are encouraged.

• Studies for systems intended for backup power/resilience are eligible for funding only if the backup

function is secondary to the storage system’s primary purpose of load management or dispatchable grid injections.

• If the energy storage is used at a customer site for building load management (a behind the meter use-

case), a description of the building’s load profile must be provided (as best as can be ascertained prior to FlexTech work beginning) to determine if peak reduction is feasible. If available, one year of historical hourly electric load data must be provided for interval metered customers. If a year of data is not available to fully show seasonal peaks and usage, Customers should provide representative data and any supplemental information sufficient to characterize a facility’s annual load.

• Studies to evaluate business models under hypothetical tariffs or market rules are ineligible. Customers

should refer to the NYSERDA energy storage webpage for resources on retail and wholesale revenue opportunities available to energy storage. Customers may also contact NYSERDA for assistance regarding proposed business models and value maximization at energystorage@nyserda.ny.gov.

ENERGY STORAGE SCOPE OF WORK REQUIREMENTS

A Customer must submit a Scope of Work per the NYSERDA FlexTech Scope of Work and budget template (link to website). The Scope of Work should be written as a series of tasks with specific deliverables, budget, and timeframe. All energy storage submissions must follow the FlexTech requirements as outlined in Sections IV, V and VII as well Attachment B-3 (Detailed Energy Storage Final Study Requirements). Scopes of work shall expand upon the below energy storage study requirements by including site and project specific information. Applications lacking the necessary detail to justify why a site may be a viable candidate for energy storage may be rejected. Consultant staff, contractors, sub-contractors, etc. involved in the study must demonstrate, in the introduction or as an addendum to the Scope of Work, the necessary expertise and resources to execute the proposed study. This may be demonstrated by evidence of engagement in NY markets applicable to the study, prior experience, an accurate representation of the opportunities and risks for the project to be studied, and any relevant letters of support.

Required tasks to be completed and reported on over the course of the FlexTech feasibility study:

• Provide information on the following data: customer load profile (peak load, duration of peak load, etc.), use case

and power/energy requirements, energy storage systems considered (type/chemistry, rated and usable power and energy capacity requirements, charge and discharge rates (C rates and ramp rates)) and state of charge minimums

for the system, proposed kW and kWh of peak reduction achieved by the system (daily, frequency, annual), roundtrip AC system efficiency, estimated revenue and cost savings such as peak demand savings and energy arbitrage savings, and estimated number of cycles/timeframe before components of the energy storage system will require replacement (e.g., batteries, power electronics). For non-interval metered customers, data logging may be included as a first task in the study.

• For systems located at a customer site, examine pairing the storage with solar PV, enrolling the customer in a

utility demand response program, switching the customer to a standby tariff rate or enrolling under the compensation under the value of distributed energy resources (VDER) tariff to maximize savings and/or bill credits.

• Examine and compare alternative siting arrangements, including exterior site placement adjacent to the target

building as part of the study as compared to indoor permitting, maintenance and operation costs and lost rental revenue, if applicable, associated with exterior or interior placement.

• Customers will describe in their application for FlexTech funding how the system being evaluated has been

designed to provide value. Customers will provide information on how the system will be optimized and deployed for value stacking if possible, including demand charge reduction, retail or wholesale demand response participation, compensation under the VDER tariff, other wholesale market participation, or non-wires alternative utility procurement funding. For customer-sited projects, projected peak load reduction by time of day and season should be included. Include any limitations on the system’s operations that highlight how maximizing one value may limit another value (e.g. utility peak load not being coincident with facility peak load).

• Include a return on investment calculation in the study that identifies capital costs (hardware, hardware replacements (e.g., battery, pump, power electronic swaps), major categories of soft costs, energy cost, operating costs, etc.) and present revenue/cost saving streams over the system’s lifetime. The soft costs would include estimates on siting, permitting, interconnection, financing, etc. NYSERDA staff will work with the technical consultant to identify any opportunities for maximizing revenue certainty over the life of the project.

• Ensure that necessary permitting requirements and anticipated timeframes are included in the final project

schedule. NYSERDA will also work with the technical consultant to share experience and best practices.

VII. GENERAL CONDITIONS

PROPRIETARY INFORMATION

Proprietary Information - Careful consideration should be given before confidential information is submitted to NYSERDA as part of your proposal. Review should include whether it is critical for evaluating a proposal, and whether general, non-confidential information, may be adequate for review purposes.

The NYS Freedom of Information Law, Public Officers law, Article 6, provides for public access to information NYSERDA possesses. Public Officers Law, Section 87(2)(d) provides for exceptions to disclosure for records or portions thereof that "are trade secrets or are submitted to an agency by a commercial enterprise or derived from information obtained from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise." Information submitted to NYSERDA that the proposer wishes to have treated as proprietary, and confidential trade secret information, should be identified and labeled "Confidential" or "Proprietary" on each page at the time of disclosure. This information should include a written request to except it from disclosure, including a written statement of the reasons why the information should be excepted. See Public Officers Law, Section 89(5) and the procedures set forth in 21 NYCRR Part 501 http://www.nyserda.ny.gov/About/-/media/Files/About/Contact/NYSERDA- regulations.ashx. However, NYSERDA cannot guarantee the confidentiality of any information submitted.

Omnibus Procurement Act of 1992 - It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority- and women-owned business enterprises, as bidders, subcontractors, and suppliers on its procurement Agreements.

Information on the availability of New York subcontractors and suppliers is available

from: Empire State Development Division for Small Business 625 Broadway Albany, NY 12207

A directory of certified minority- and women-owned business enterprises is available

from: Empire State Development Minority and Women's Business Development Division 625 Broadway Albany, NY 12207

State Finance Law sections 139-j and 139-k - NYSERDA is required to comply with State Finance Law sections 139-j and 139-k. These provisions contain procurement lobbying requirements which can be found at https://online.ogs.ny.gov/legal/lobbyinglawfaq/default.aspx. Proposers are required to answer questions during proposal submission, which will include making required certification under the State Finance Law and to disclose any Prior Findings of Non-Responsibility (this includes a disclosure statement regarding whether the proposer has been found non- responsible under section 139-j of the State Finance Law within the previous four years).

Tax Law Section 5-a - NYSERDA is required to comply with the provisions of Tax Law Section 5-a, which requires a prospective contractor, prior to entering an agreement with NYSERDA having a value in excess of $100,000, to certify to the Department of Taxation and Finance (the "Department") whether the contractor, its affiliates, its subcontractors and the affiliates of its subcontractors have registered with the Department to collect New York State and local sales and compensating use taxes. The Department has created a form to allow a prospective contractor to readily make such certification. See, ST-220-TD (available at https://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf). Prior to contracting with NYSERDA, the prospective contractor must also certify to NYSERDA whether it has filed such certification with the Department. The Department has created a second form that must be completed by a perspective contractor prior to contacting and filed with NYSERDA. See, ST-220-CA (available at https://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf). The Department has developed guidance for contractors which is available at https://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf.

Accessibility Requirements - If awardees from this solicitation will be posting anything on the web, or if the awardee will produce a final report that NYSERDA will post to the web, the following language must be included. NYSERDA requires contractors producing content intended to be posted to the Web to adhere to New York State’s Accessibility Policy. This includes, but is not limited to, deliverables such as: documents (PDF, Microsoft Word, Microsoft Excel, etc.), audio (.mp3, .wav, etc.), video (.mp4, .mpg, .avi, etc.), graphics (.jpg, .png, etc.), web pages (.html, .aspx, etc.), and other multimedia and streaming media content. For more information, see NYSERDA Accessibility Requirements.

Limitation - This solicitation does not commit NYSERDA to award a contract, pay any costs incurred in preparing a proposal, or to procure or contract for services or supplies. NYSERDA reserves the right to accept or reject any or all proposals received, to negotiate with all qualified sources, or to cancel in part or in its entirety the solicitation when it is in NYSERDA's best interest. NYSERDA reserves the right to reject proposals based on the nature and number of any exceptions taken to the standard terms and conditions of the Sample Agreement. NYSERDA reserves the right to disqualify proposers based upon the results of a background check into publicly available information and the presence of a material possibility of any reputational or legal risk in making of the award.

Disclosure Requirement - The proposer shall disclose any indictment for any alleged felony, or any conviction for a felony within the past five years, under the laws of the United States or any state or territory of the United States and shall describe circumstances for each. When a proposer is an association, partnership, corporation, or other organization, this disclosure requirement includes the organization and its officers, partners, and directors or members of any similarly governing body. If an indictment or conviction should come to the attention of NYSERDA after the award of a contract, NYSERDA may exercise its stop-work right pending further investigation or terminate the agreement; the contractor may be subject to penalties for violation of any law which may apply in the particular

circumstances. Proposers must also disclose if they have ever been debarred or suspended by any agency of the U.S. Government or the New York State Department of Labor.

CONTRACT AWARDS

NYSERDA may request additional data or material to support submissions including Scope of Work modifications or negotiations before issuing a Purchase Order. Each application should be submitted using the most favorable cost and technical terms. NYSERDA will use the FlexTech Program Application (Attachment A) and Scope of Work and Budget Template (https://www.nyserda.ny.gov/flextech-documents) to contract successful applications. A sample Purchase Order is available on request. NYSERDA expects to notify customers in approximately three (3) weeks from the receipt of a complete project package whether the submission has been selected to receive an award. NYSERDA may notify the customer’s utility of participation in the FlexTech Program in order to facilitate information sharing about potential utility implementation incentives available.

VIII. ATTACHMENTS

• Attachment A: FlexTech Program Application • Attachment B-1: Report Requirements • Attachment B-2: Project Summary Sheet • Attachment B-3: Detailed Energy Storage Study Requirements • Attachment B-4: Terms and Conditions

PROGRAM APPLICATION (ATTACHMENT A) Flexible Technical Assistance (PON 4192)

This application must be signed by the customer submitting the application. A scope of work & budget are required. Please see PON 4192 for details on the scope of work requirements. Submit this completed application, along with a scope of work & budget to FlexTech@nyserda.ny.gov.

Company Legal Name

Parent Company Name (if applicable)

First Name Last Name

Title

Email Phone (include area code and extension)

Street Address Choose State

City State Zip/Postal Code

Are you working with FlexTech Consultant? ❑ Yes ❏✔ No

Consultant Company Name

First Name Last Name

Title

Email Phone (include area code and extension)

Street Address Choose State

City State Zip/Postal Code

CUSTOMER INFORMATION

CONSULTANT INFORMATION

________________________________

_______________________________

Is the primary facility’s address the same as the customer address? ❑ Yes ❑ No (If “No,” fill out the below information)

Primary Facility Name

First Name Last Name

Title

Email Phone (include area code and extension)

Street Address Choose Stat

City State Zip/Postal Code

Facility Borough-Block-Lot (BBL) Number, if located in NYC:

Is the facility contributing to the electric System Benefits Charge (SBC)? ❏✔ Yes ❏ No

Select the facility’s sector:

Electric Utility Company:

Choose One

Choose One

If “Other,” please describe:

Annual Electricity Cost ($): 0

Annual Electricity Consumption (kWh):

Natural Gas Utility Company: Choose One

If “Other,” please describe:

Annual Natural Gas Costs ($): 0

Annual Natural Gas Consumption (therms):

Other Fuel Type:

Annual Fuel Costs ($): 0

Annual Fuel Consumption (Indicate Unit):

Total Annual Energy Costs ($): 0

I (Customer), authorize the New York State Research and Development Authority (NYSERDA) to complete the Consolidated Funding Application (CFA) on my behalf: ❏✔ Yes ❏ No

FACILITY INFORMATION

UTILITY INFORMATION

CONSOLIDATED FUNDING APPLICATION (CFA)

TECHNIC AL ASSIST ANCE TERMS

I, the Customer, certify that the facility or lead facility named in the scope of work is interested in technical assistance and is requesting that NYSERDA set aside funds to reimburse the facility, or FlexTech Consultant if applicable, for certain eligible costs, as outlined in the scope of work, in pursuing a project. I certify that the information provided is true to the best of my knowledge. As part of this project, NYSERDA will oversee the Service Provider or FlexTech Consultant’s progress and results in completing the scope of work, provide technical review of any applicable report, and be available to address any questions or concerns which arise during the conduct of this project. I, the Customer, also certify that NYSERDA does not provide any endorsement of the Consultant’s capabilities to provide services outside of the Scope of Work to be conducted pursuant to this agreement. The Customer acknowledges that neither NYSERDA nor its consultant is responsible for assuring that the design; engineering or installation of any recommendation of the technical service is proper or complies with any particular laws (including patent laws), codes, or industry standards. Overall NYSERDA does not make any representations of any kind regarding the results to be achieved or the adequacy or safety of any recommendation. NYSERDA does not endorse, guarantee, or warrant any particular manufacturer or product, and NYSERDA provides no warranties, expressed or implied for any product of service. I, the Customer, certify the number provided is my correct taxpayer identification number (or I am waiting for a number to be issued to me); I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and I am a U.S. citizen or other U.S. person (as defined in IRS Form W-9).

I authorize the New York State Energy Research and Development Authority (NYSERDA), and its designated representatives, to access energy billing and consumption data for my site(s). This authorization automatically terminates at the end of eight years following the execution date of the Purchase Order associated with this Application. As an authorized representative of the site(s) listed in this Application, I authorize NYSERDA, and its designated representatives, to access and utilize any and all energy consumption information and data. I understand that this information will be used to evaluate energy use patterns for the purpose of measuring energy performance and determining the potential and actual energy savings resulting from evaluated or implemented energy projects. I agree to cooperate with activities designed to evaluate program effectiveness, such as responding to questionnaires and allowing on-site inspection and measurement of installed measures. I understand that NYSERDA is subject to the NYS Freedom of Information Law, Public Officers law, Article 6, and that NYSERDA cannot guaran- tee confidentiality of any information submitted.

AUTHO RIZ ED CUST OM ER (ENTIT Y PAYING FOR THE STUDY)

SIGNATURE:

NAME AND TITLE:

ORGANIZATION AND PHONE:

FEDERAL ID:

COM-FT-pon4192-form-1-v1 11/19

Submit

Attachment B-1: Study Report Requirements

Report Format – NYSERDA will accept the final study report deliverable in any format (Word, PDF, PowerPoint, Excel, etc.), if it includes all of the information identified in this section. Executive Summary - Provide a high-level project summary relevant to the customer’s objectives (ex. the FlexTech project’s intent, approach, and tasks performed, findings, recommendations, the economics of the recommendations, explanation of any deviations from the Scope of Work during the project, if applicable. Background - Provide information about the Customer and the project that is relevant to the study (ex. type of business or organization, average number of employees per location, annual energy costs by fuel type, electric and gas suppliers, rate tariff, etc.). A description of all existing building systems evaluated, including but not limited to sizing, location, operation, age, condition, and efficiency, should also be included. Project Results/Recommendations – Include all relevant results of the evaluated measures, including:

• Project Summary Sheet: The content in this summary table is required in all project reports (see Attachment B-2). The table provides an overview of the project metrics by identifying the payback, costs and savings in dollars, mmBtus, and kWh, kW (where appropriate), current energy consumption at the facility, costs/rates used in the analysis and the status of each evaluated recommendation.

• Evaluated measure findings: Provide a description of the evaluated measures, such as what was evaluated, analysis

results, proposed conditions, and recommendations.

• Include reasons for recommendations on all energy efficiency measures and capital improvements. • • Economic analysis: Provide thorough economic evaluation to include, at minimum, all parameters required for simple

payback analysis. Life-cycle cost or other more detailed analyses (e.g. ROI, IRR, etc.) may also be included, if desired or if required by the Scope of Work.

• Additional benefits: Reports should strive to include information on additional potential project benefits, such as increased productivity, job creation or retention, greenhouse gas reduction, or environmental benefits. Include as a qualitative description of other project benefits, such as increased knowledge or information base, comfort, competitiveness, product quality, or energy affordability.

Supporting Documentation - Include all relevant supporting documentation for the evaluated measures, including: • Historical energy costs (minimum 12 months)

• Energy or carbon savings calculations evaluated, including:

o Clearly demonstrated assumptions based on anticipated changes to the system or equipment being evaluated must be provided

o Clearly stated conversion factors used must be provided

o Energy and carbon savings calculations must be presented as savings at the customer’s utility meter(s), and not

at the individual building or tenant space. For example, self-generated steam or chilled water savings should be reported back to the source of generation (i.e. natural gas)

• Measured data logs with accurate units of measure and indication of the measured data source(s), where appropriate

• Itemized project implementation cost estimates (at minimum material and labor costs associated with each measure)

• Sources of cost estimates and/or vendor quotes, as applicable

• For projects where computer modeling is used, reports must also include: 1. Brief presentation of the manipulations which the software program performed (e.g. utility bill calibration and

accuracy level) 2. Input data for the building and for each EEM should be presented in a manner which allows easy identification of

input parameters 3. Output data from model with clear and precise presentation of the results in both tabular and narrative forms 4. Verification that interaction effects were taken into account

• For projects that include RCx, reports must also include:

1. Final current facilities requirement (CFR) document that includes: a. Setpoints – Heating and cooling b. b. Setpoints – occupied and unoccupied c. Ventilation d. Schedule e. Space pressurization f. Expected occupancy g. Filtration requirements

2. A description of all existing building systems included in the RCx effort, including but not limited to a. Basic control ideology for each individual system a. Distribution system design b. Design and/or tested flow rates c. Known issues at the project start

3. All forms (pre and post) for tested deficiencies that demonstrate methodology and completeness of the testing 4. Each deficiency must also be included on the required Project Summary Sheet

• For projects that include a student intern (REV Campus Challenge members only), student interns must complete a

final report summarizing their tasks and how it relates to the project.

ATTACHMENT B-2: PROJECT SUMMARY SHEET

Attachment B-3 DETAILED ENERGY STORAGE STUDY REQUIREMENTS

The following information must be included in detailed energy storage feasibility studies, in addition to general study report requirements in Attachment B-1.

System Information • The use case requirements must be detailed, which includes an explanation of the barriers or complexities that would

need to be addressed, how these issues can be addressed, and by what metric(s) the project will be considered feasible or infeasible. A model that describes system operation for a year must be provided in the final report. Assumptions used in the model should be clearly indicated in the final report.

• For behind-the-meter installations, one year of interval load data, or sufficient representative data and supplemental information sufficient to characterize a facility’s annual load, must be reviewed in detail to accurately determine the level of peak load reduction to be provided by the energy storage system.

• The proposed energy storage system must be described. o Manufacturer, developer, and integrator o Power capacity, energy capacity, the energy storage chemistry or type

• A description of any existing distributed generation equipment and backup generation equipment on the site which is connected to serve the same electric load as the proposed energy storage system.

• A description of the operational strategy for system optimization to meet the requirements of the business model for the project must be provided.

• A project schedule that includes durations for procurement, customer contracting, design (engineering & architectural), interconnection, permitting, and commissioning must be provided.

• Site-specific grid interconnection issues and costs must be discussed. A brief, clear plan describing if and how the system will be properly interconnected to the grid, must be presented. A brief description of the necessary permits that the customer needs to obtain must be provided. Anticipated time frames should be incorporated in the Project schedule. Economic Evaluation

• A summary of project economics must be included. Economics must be presented in a simple payback format. Additionally, a cash flow analysis or life cycle cost analysis must be presented. Maintenance costs should also be described. The value provided by the storage system and who those services are provided to should be broken out.

• Limitations or requirements to monetize value streams, and the cost/benefit analysis undertaken must be provided. The economic evaluation must include any impact or change to the customer’s electricity rates. The standby tariff analysis must include the impact on the customer’s billing rate and the potential for accessing additional revenue. The customer’s electricity rates before and after the proposed system should be analyzed, and how future changes would impact the economics of the project should be presented.

• The proposed economic model and the revenue sought for the project must be possible under current market rules. The specific value streams, the quantified benefits, and the operational, regulatory and business model complexities must be sufficiently described in order to indicate that the proposed business model is viable and accessible.

• If the proposed project includes revenue from the wholesale market, or under a non-wires solution or other non- traditional utility investment, clear indication from the NYISO or the utility must be provided to show that this revenue is viable and accessible.

• The expected total installed cost of the potential installation must include:

o Hardware cost (Battery modules, inverter, containerization, controller, power control, HVAC system, meter, insulation. Excludes upgrades required for permitting or interconnection approval.)

o Engineering and Construction cost (Design, site preparation/survey, transportation, PE approval, testing, electrician and installation labor, wiring, fencing, testing, commissioning, and enrollment in energy markets. Excludes upgrades required for permitting or interconnection approval.)

o Permitting cost (including application fees, responding to requests for additional information, studies, and unique safety protections required from the permitting authority)

o Interconnection cost (including application, and required upgrades or studies cost) o Customer acquisition cost o Finance cost (including cost of capital and due diligence)

Attachment B-4 Flexible Technical Assistance Program Terms & Conditions

Exhibit A TERMS AND CONDITIONS

1. Approval

NYSERDA’s approval of a complete Project Application shall be evidenced by the issuance of a Purchase Order (PO). The commencement of work covered by the FlexTech Program by the FlexTech Consultant, the Independent Service Provider or Customer prior to the issuance of a PO is at their own risk.

NYSERDA reserves the right, for any reason, to stop approving applications at any time without notice.

2. Amounts Payable The NYSERDA Agreement with the FlexTech Consultant or Customer is a not-to-exceed amount, based on the approved Scope of Work and Budget. All NYSERDA payments will be based on approved payment requests, and any backup documentation, when required. If the total amount is lower than the original not-to-exceed amount, NYSERDA reserves the right to lower the not-to-exceed amount accordingly. NYSERDA also reserves the right to seek a refund for monies paid if, at any time, it learns that the work was not completed as required in the approved Scope of Work.

3. Payments All payments are made at the conclusion of a successful project and upon receipt of required documentation. Progress payments are available at the discretion of NYSERDA, not-to-exceed 50% of NYSERDA’s total financial commitment. Payment will be based on services provided as defined in the Scope of Work and as documented by the approved final report, invoices and other documentation deemed necessary by NYSERDA.

For customers using a NYSERDA FlexTech Consultant NYSERDA will pay its agreed upon cost share directly to the FlexTech Consultant, per the approved Scope of Work. The NYSERDA cost share will be for up to the not to exceed amount agreed upon in the Purchase Order and will be reflective of NYSERDA’s share of the approved actual project costs. The Customer will pay the remaining balance of the FlexTech Consultant fees directly to the FlexTech Consultant under terms and conditions to be negotiated by the Customer and FlexTech Consultant.

Required Documentation:

The FlexTech Consultant’s invoice(s) should be broken out by non-labor costs, individual/staff titles, hourly rates, dates and hours worked on each task. Invoices should also indicate the amount that is being invoiced concurrently to the Customer. In addition, if applicable, NYSERDA may also require a copy of the customer’s canceled check showing payment of their cost-share.

For customers using their own independent service provider NYSERDA will pay its agreed upon cost share to the Customer, per the approved Scope of Work. The NYSERDA cost share will be for up to the not to exceed amount agreed upon in the Purchase Order. Unless otherwise noted, payments will be sent to the authorized Customer listed in the FlexTech Program Application.

Required Documentation:

Reimbursement will be processed after receipt of an invoice from the customer to NYSERDA, a copy of the service provider’s invoice(s) to the customer indicating the total study cost, and a copy of the metering equipment/software invoice(s), if applicable. The service provider’s invoice(s) should be broken out by non-labor costs, individuals/staff titles, hourly rates, dates and hours worked on each task. If applicable, NYSERDA may also require a copy of the customer’s canceled check(s) showing the total study cost amount payed to the service provider. At NYSERDA’s discretion, a copy of the canceled check(s) from the customer to the service provider showing the total study cost and a copy of the lump-sum invoice may be accepted in lieu of a detailed invoice.

4. Customer Cost Share

All projects must include cost-sharing in the form of matching cash support from the customer. In-kind contributions of any type are not allowed as cost share with the exception of REV Campus Challenge Members that are allowed up to 15% of the institutions cost share. All invoices including reimbursement documentation must be submitted through https://services.nyserda.ny.gov/Invoices/. NYSERDA reserves the right to withhold payment in cases where program deliverables are not being met.

5. Changes in the Program The FlexTech Program and these Terms & Conditions may be changed by NYSERDA at any time without notice. Approved Project Applications, however, will be processed to completion under the Terms & Conditions in effect at the time of application to NYSERDA.

6. Indemnification The Customer shall protect, indemnify and hold harmless NYSERDA and the State of New York from and against all liabilities, losses, claims, damages, judgments, penalties, causes of action, costs and expenses (including, without limitation, attorneys’ fees and expenses) imposed upon or incurred by or asserted against NYSERDA or the State of New York resulting from, arising out of or relating to Customer’s or its subcontractors’ performance of this Agreement. The obligations of the Customer under this Article shall survive any expiration or termination of this Agreement and shall not be limited by any enumeration herein of required insurance coverage.

7. No Warranties a. NYSERDA does not endorse, guarantee, or warrant any particular manufacturer or product, and

NYSERDA provides no warranties, expressed or implied, for any product or services. b. The Customer acknowledges that neither NYSERDA nor any of its contractors, including the FlexTech

Consultants, are responsible for assuring that the design, engineering and construction of the Project is proper or complies with any particular laws (including patent laws), codes, or industry standards. NYSERDA does not make any representations of any kind regarding the results to be achieved by the Project or the adequacy or safety of such measures.

8. Consultant Selection NYSERDA has the right to prohibit a vendor, contractor, or direct hire of the Customer, FlexTech Consultant, or Independent Service Provider from participating in the Program.

9. Miscellaneous a. This Agreement (the Application and these Terms and Conditions) is the entire agreement between the

parties and supersedes all other communications and representations. b. If either NYSERDA, the FlexTech Consultant or the Customer desires to modify this Agreement, the

modification must be in writing and approved by an authorized representative of both parties.

10. Stop Work Order a. NYSERDA may at any time, by written Order to the FlexTech Consultant or Customer, require the FlexTech

Consultant or Customer to stop all or any part of the Work called for by this Agreement for a period of up to ninety (90) days after the Stop Work Order is delivered to the FlexTech Consultant or Customer, and for any further period to which the parties may agree. Any such order shall be specifically identified as a Stop Work Order issued pursuant to this Section. Upon receipt of such an Order, the FlexTech Consultant or Customer shall forthwith comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the Work covered by the Order during the period of work stoppage consistent with public health and safety. Within a period of ninety (90) days after a Stop Work Order is delivered to the FlexTech Consultant or Customer, or within any extension of that period to which the parties shall have agreed, NYSERDA shall either:

(i) by written notice to the FlexTech Consultant or Customer, cancel the Stop Work Order, which shall be effective as provided in such cancellation notice, or if not specified therein, upon receipt

by the FlexTech Consultant or Customer, or (ii) terminate the Work covered by such order as provided in the Termination Section of this Agreement.

b. If a Stop Work Order issued under this Section is cancelled or the period of the Order or any extension thereof expires, the FlexTech Consultant or Customer shall resume Work. An equitable adjustment shall be made in the delivery schedule, the estimated cost, the fee, if any, or a combination thereof, and in any other provisions of the Agreement that may be affected, and the Agreement shall be modified in writing accordingly, if:

(i) the Stop Work Order results in an increase in the time required for, or in the FlexTech Consultant or Customer’s cost properly allocable to, the performance of any part of this Agreement, and

(ii) the FlexTech Consultant or Customer asserts a claim for such adjustments within 30 days after the end of the period of Work stoppage; provided that, if NYSERDA decides the facts justify such action, NYSERDA may receive and act upon any such claim asserted at any time prior to final payment under this Agreement.

c. If a Stop Work Order is not cancelled and the Work covered by such Order is terminated, the reasonable costs resulting from the Stop Work Order shall be allowed by equitable adjustment or otherwise.

d. Notwithstanding the provisions of this Section, the maximum amount payable by NYSERDA to the FlexTech Consultant or Customer pursuant to this Section shall not be increased or deemed to be increased except by specific written amendment hereto.

11. Termination

a. This Agreement may be terminated by NYSERDA at any time during the term of this Agreement with or without cause, upon ten (10) days prior written notice to the FlexTech Consultant or Customer. In such event, payment shall be paid to the FlexTech Consultant or Customer for Work performed and expenses incurred prior to the effective date of termination in accordance with the provisions of the Article hereof entitled Incentive Payment and in reimbursement of any amounts required to be paid by the FlexTech Consultant or Customer pursuant to Subcontracts; provided, however, that upon receipt of any such notice of termination, the FlexTech Consultant or Customer shall cease the performance of Work, shall make no further commitments with respect thereto and shall reduce insofar as possible the amount of outstanding commitments (including, to the extent requested by NYSERDA, through termination of subcontracts containing provisions therefor).

b. NYSERDA specifically reserves the right to terminate this agreement in the event that the certification filed by the FlexTech Consultant or Customer in accordance with State Finance Law Sections 139-j and 139-k is found to have been intentionally false or intentionally incomplete, or that the certification filed by the FlexTech Consultant or Customer in accordance with New York State Tax Law Section 5-a is found to have been intentionally false when made. Terminations under this subsection (b) will be effective upon Notice.

c. Nothing in this Article shall preclude the FlexTech Consultant or Customer from continuing to carry out the Work called for by the Agreement after receipt of a Stop Work Order or termination notice at its own election, provided that, if the FlexTech Consultant or Customer elects:

(i) any such continuing Work after receipt of the Stop Work Order or termination notice shall be deemed not to be Work pursuant to the Agreement, and

(ii) NYSERDA shall have no liability to the FlexTech Consultant or Customer for any costs of the Work continuing after receipt of the Stop Work Order or termination notice.

12. Relationship of the Parties

It is understood and agreed that the personnel furnished by the FlexTech Consultant or Customer to perform the services stipulated in this Agreement, including personnel who may perform such services at NYSERDA’s offices, shall be the FlexTech Consultant or Customer’s employee(s) or agent(s), and under no circumstances are such employee(s) to be considered NYSERDA’s employee(s) or agent(s), and shall remain the employees of the FlexTech Consultant or Customer, except to the extent required by section 414(n) of the Internal Revenue Code. The relationship of the parties to this Agreement is that of independent contractors. Nothing in this Agreement shall be construed as creating a partnership, joint venture, employment, agency, legal representation or other relationship between NYSERDA and the FlexTech Consultant or Customer for any reason, including but not

limited to unemployment, workers’ compensation, employee benefits, expense reimbursement, vicarious liability, professional liability coverage or indemnification. Neither party shall have the right, power or authority to obligate or bind the other in any manner not specified in this Agreement.

13. No Benefits The FlexTech Consultant or Customer agrees that the personnel furnished by the FlexTech Consultant or Customer are determined to be “leased employees” within the meaning of section 414(n) of the Internal Revenue Code, the FlexTech Consultant or Customer acknowledges that leased employees are excluded from participation in the employee benefit plans, funds and programs provided by NYSERDA to its employees including, but not limited to, any group health plan, sickness or accident plan, retirement plan, retirement plan or similar benefit plan provided to employees by NYSERDA, by the terms of such benefit plans, funds or programs. The FlexTech Consultant or Customer agrees to notify NYSERDA if it maintains (or ceases to maintain) a plan described in section 414(n)(5)(B) of the Internal Revenue Code.

14. Notification of Claims/Events The FlexTech Consultant or Customer expressly acknowledges NYSERDA’s need to be advised, on an immediate basis, of the existence of any claim or event that might result in a claim or claims against NYSERDA, the FlexTech Consultant or Customer and/or a member of a FlexTech Consultant or Customer’s staff. Accordingly, the FlexTech Consultant or Customer expressly covenants and agrees to notify NYSERDA of any such claim or event, including but not limited to, requests for accommodation and allegations of harassment and/or discrimination, immediately upon the FlexTech Consultant or Customer’s discovery of the same, and to fully and honestly cooperate with NYSERDA in its efforts to investigate and/or address such claims or events, including but not limited to, complying with any reasonable request by NYSERDA for disclosure of information concerning such claim or event even in the event that this Agreement should terminate for any reason.

15. FlexTech Data for the Market

a. NYSERDA reserves the right to publish de-identified project. NYSERDA shall follow New York State's Data Governance policy [NYS-S14-002 and NYS P03-002] for classification of information and no personally identifiable information shall be published.

b. NYSERDA reserves the right to share a Customer's program participation status with the electric and/or natural gas utility serving the facility's location. Only the Customer's status as a participant in the FlexTech program and the FlexTech Consultant or Independent Service Provider will be shared for the purposes of allowing collaboration between NYSERDA and the utility on additional programmatic offerings.

Exhibit B Standard Terms and Conditions for all NYSERDA Agreements

REVISED 5/12

(Based on Standard Clauses for New York State Contracts and Tax Law Section 5-a)

The parties to the Agreement agree to be bound by the following clauses which are hereby made a part of the Agreement:

1. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Customer will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is an Agreement for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this Agreement shall be performed within the State of New York, Customer agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this Agreement. If this is a building service Agreement as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Customer agrees that neither it nor its subcontractors shall, by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Customer is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this Agreement and forfeiture of all moneys due hereunder for a second subsequent violation.

2. WAGE AND HOURS PROVISIONS. If this is a public work Agreement covered by Article 8 of the Labor Law or a building service Agreement covered by Article 9 thereof, neither Customer’s employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Customer and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Customer understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment by NYSERDA of any NYSERDA-approved sums due and owing for work done upon the project.

3. NON-COLLUSIVE BIDDING REQUIREMENT. In accordance with Section 2878 of the Public Authorities Law, if this Agreement was awarded based upon the submission of bids, Customer warrants, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Customer further warrants that, at the time Customer submitted its bid, an authorized and responsible person executed and delivered to NYSERDA a non-collusive bidding certification on Customer’s behalf.

4. INTERNATIONAL BOYCOTT PROHIBITION. If this Agreement exceeds $5,000, the Customer agrees, as a material condition of the Agreement, that neither the Customer nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the Federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Customer, or any of the aforesaid affiliates of Customer, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the Agreement’s execution, such Agreement, amendment or modification thereto shall be rendered forfeit and void. The Customer shall so notify NYSERDA within five (5) business days of such conviction, determination or disposition of appeal. (See and compare Section 220-f of the Labor Law, Section 139-h of the State

Finance Law, and 2 NYCRR 105.4).

5. SET-OFF RIGHTS. NYSERDA shall have all of its common law and statutory rights of set-off. These rights shall include, but not be limited to, NYSERDA’s option to withhold for the purposes of set-off any moneys due to the Customer under this Agreement up to any amounts due and owing to NYSERDA with regard to this Agreement, any other Agreement, including any Agreement for a term commencing prior to the term of this Agreement, plus any amounts due and owing to NYSERDA for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto.

6. PROPRIETARY INFORMATION. Notwithstanding any provisions to the contrary in the Agreement, Customer and NYSERDA acknowledge and agree that all information, in any format, submitted to NYSERDA shall be subject to and treated in accordance with the NYS Freedom of Information Law (“FOIL,” Public Officers Law, Article 6). Pursuant to FOIL, NYSERDA is required to make available to the public, upon request, records or portions thereof which it possesses, unless that information is statutorily exempt from disclosure. Therefore, unless the Agreement specifically requires otherwise, Customer should submit information to NYSERDA in a non-confidential, non- proprietary format. FOIL does provide that NYSERDA may deny access to records or portions thereof that “are trade secrets or are submitted to an agency by a commercial enterprise or derived from information obtained from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise.” [See Public Officers Law, § 87(2)(d)]. Accordingly, if the Agreement specifically requires submission of information in a format Customer considers a proprietary and/or confidential trade secret, Customer shall fully identify and plainly label the information “confidential” or “proprietary” at the time of disclosure. By so marking such information, Customer represents that the information has actual or potential specific commercial or competitive value to the competitors of Customer. Without limitation, information will not be considered confidential or proprietary if it is or has been (i) generally known or available from other sources without obligation concerning its confidentiality; (ii) made available by the owner to others without obligation concerning its confidentiality; or (iii) already available to NYSERDA without obligation concerning its confidentiality. In the event of a FOIL request, it is NYSERDA’s policy to consider records as marked above pursuant to the trade secret exemption procedure set forth in 21 New York Codes Rules & Regulations § 501.6 and any other applicable law or regulation. However, NYSERDA cannot guarantee the confidentiality of any information submitted. More information on FOIL, and the relevant statutory law and regulations, can be found at the website for the Committee on Open Government (http://www.dos.ny.gov/about/foil2.html) and NYSERDA’s Regulations, Part 501 http://www.nyserda.ny.gov/About/New-York-State-Regulations.aspx

7. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. As a condition to NYSERDA’s obligation to pay any invoices submitted by Customer pursuant to this Agreement, Customer shall provide to NYSERDA its Federal employer identification number or Federal social security number, or both such numbers when the Customer has both such numbers. Where the Customer does not have such number or numbers, the Customer must give the reason or reasons why the payee does not have such number or numbers.

(b) PRIVACY NOTIFICATION. The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by Customer to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law.

8. CONFLICTING TERMS. In the event of a conflict between the terms of the Agreement (including any and all attachments thereto and amendments thereof) and the terms of this Exhibit B, the terms of this Exhibit B shall control.

9. GOVERNING LAW. This Agreement shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise.

10. NO ARBITRATION. Disputes involving this Agreement, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily required) without the NYSERDA’s written consent, but must, instead, be heard in a court of competent jurisdiction of the State of New York.

11. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law and Rules ("CPLR"), Customer hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete upon Customer’s actual receipt of process or upon NYSERDA’s receipt of the return thereof by the United States Postal Service as refused or undeliverable. Customer must promptly notify NYSERDA, in writing, of each and every change of address to which service of process can be made. Service by NYSERDA to the last known address shall be sufficient. Customer will have thirty (30) calendar days after service hereunder is complete in which to respond.

12. CRIMINAL ACTIVITY. If subsequent to the effectiveness of this Agreement, NYSERDA comes to know of any allegation previously unknown to it that the Customer or any of its principals is under indictment for a felony, or has been, within five (5) years prior to submission of the Customer’s proposal to NYSERDA, convicted of a felony, under the laws of the United States or Territory of the United States, then NYSERDA may exercise its stop work right under this Agreement. If subsequent to the effectiveness of this Agreement, NYSERDA comes to know of the fact, previously unknown to it, that Customer or any of its principals is under such indictment or has been so convicted, then NYSERDA may exercise its right to terminate this Agreement. If the Customer knowingly withheld information about such an indictment or conviction, NYSERDA may declare the Agreement null and void and may seek legal remedies against the Customer and its principals. The Customer or its principals may also be subject to penalties for any violation of law which may apply in the particular circumstances. For a Customer which is an association, partnership, corporation, or other organization, the provisions of this paragraph apply to any such indictment or conviction of the organization itself or any of its officers, partners, or directors or members of any similar governing body, as applicable.

13. PERMITS. It is the responsibility of the Customer to acquire and maintain, at its own cost, any and all permits, licenses, easements, waivers and permissions of every nature necessary to perform the work.

14. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Customer certifies and warrants that all wood products to be used under this Agreement will be in accordance with, but not limited to, the specifications and provisions of State Finance Law Section 165 (Use of Tropical Hardwoods), which prohibits purchase and use of tropical hardwoods, unless specifically exempted by NYSERDA.

15. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic Development Division for Small Business 625 Broadway Albany, New York 12207 Telephone: 518-292-5200

Fax: 518-292-5884 http://www.esd.ny.gov

A directory of certified minority and women-owned business enterprises is available from: NYS Department of Economic Development Division of Minority and Women’s Business Development 625 Broadway Albany, New York 12207 Telephone: 518-292-5200 Fax: 518-292-5803 http://www.empire.state.ny.us

The Omnibus Procurement Act of 1992 requires that by signing this Agreement, Customers certify that whenever the total amount is greater than $1 million:

(a) The Customer has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Customer has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Customer agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Customer agrees to document these efforts and to provide said documentation to the State upon request; and

(d) The Customer acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts.

16. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision.

17. COMPLIANCE WITH NEW YORK STATE INFORMATION SECURITY BREACH AND NOTIFICATION ACT. Customer shall comply with the provisions of the New York State Information Security Breach and Notification Act (General Business Law Section 899-aa; State Technology Law Section 208).

PROCUREMENT LOBBYING. To the extent this Agreement is a “procurement contract” as defined by State Finance Law Sections 139-j and 139-k, by signing this Agreement the Customer certifies and affirms that all disclosures made in accordance with State Finance Law Sections 139-j and 139-k are complete, true and accurate. In the event such certification is found to be intentionally false or intentionally incomplete, NYSERDA may terminate the agreement by providing written notification to the Customer in accordance with the terms of the agreement. COMPLIANCE WITH TAX LAW SECTION 5-a. The following provisions apply to Customers that have entered into agreements in an amount exceeding $100,000 for the purchase of goods

and services:

a) Before such agreement can take effect, the Customer must have on file with the New York State Department of Taxation and Finance a Contractor Certification form (ST-220-TD).

b) Prior to entering into such an agreement, the Customer is required to provide NYSERDA with a completed Contractor Certification to Covered Agency form (Form ST-220-CA).

c) Prior to any renewal period (if applicable) under the agreement, the Customer is required to provide NYSERDA with a completed Form ST-220-CA.

Certifications referenced in paragraphs (b) and (c) above will be maintained by NYSERDA and made a part hereof and incorporated herein by reference. NYSERDA reserves the right to terminate this agreement in the event it is found that the certification filed by the Customer in accordance with Tax Law Section 5-a was false when made.

18. IRANIAN ENERGY SECTOR DIVESTMENT. In accordance with Section 2879-c of the Public Authorities Law, by signing this contract, each person and each person signing on behalf of any other party certifies, and in the case of a joint bid or partnership each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief that each person is not on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law (See https://ogs.ny.gov/iran-divestment-act-2012).

Exhibit C NYSERDA Prompt Payment Policy Statement

504.1. Purpose and Applicability. (a) The purpose of this Exhibit is to provide a description of Part 504 of

NYSERDA’s regulations, which consists of NYSERDA’s policy for making payment promptly on amounts properly due and owing by NYSERDA under this Agreement. The section numbers used in this document correspond to the section numbers appearing in Part 504 of the regulations.1

(b) This Exhibit applies generally to payments due and owing by the NYSERDA to the Customer pursuant to this

Agreement. However, this Exhibit does not apply to Payments due and owing when NYSERDA is exercising a Set-Off against all or part of the Payment, or if a State or Federal law, rule or regulation specifically requires otherwise.

504.2. Definitions. Capitalized terms not otherwise defined in this Exhibit shall have the same meaning as set

forth earlier in this Agreement. In addition to said terms, the following terms shall have the following meanings, unless the context shall indicate another or different meaning or intent:

(a) “Date of Payment” means the date on which NYSERDA requisitions a check from its statutory fiscal agent,

the Department of Taxation and Finance, to make a Payment.

(b) “Designated Payment Office” means the Office of NYSERDA’s Controller, located at 17 Columbia Circle, Albany, New York 12203. “Payment” means payment properly due and owing to Customer pursuant to this Agreement.

(c) “Prompt Payment” means a Payment within the time periods applicable pursuant to Sections 504.3 through

504.5 of this Exhibit in order for NYSERDA not to be liable for interest pursuant to Section 504.6.

(d) “Payment Due Date” means the date by which the Date of Payment must occur, in accordance with the provisions of Sections 504.3 through 504.5 of this Exhibit, in order for NYSERDA not to be liable for interest pursuant to Section 504.6.

(e) “Proper Invoice” means a written request for Payment that is submitted by a Customer setting forth the

description, price or cost, and quantity of goods, property or services delivered or rendered, in such form, and supported by such other substantiating documentation, as NYSERDA may reasonably require, including but not limited to any requirements set forth in Exhibits A or B to this Agreement; and addressed to NYSERDA’s Controller, marked “Attention: Accounts Payable,” at the Designated Payment Office.

(g)(1) “Receipt of an Invoice” means:

(i) if the Payment is one for which an invoice is required, the later of:

(a) the date on which a Proper Invoice is actually received in the Designated Payment Office during

normal business hours; or

(b) the date by which, during normal business hours, NYSERDA has actually received all the purchased goods, property or services covered by a Proper Invoice previously received in the Designated Payment Office.

(ii) if the Agreement provides that a Payment will be made on a specific date or at a predetermined

interval, without having to submit a written invoice the 30th calendar day, excluding legal holidays, before the date so specified or predetermined.

(2) For purposes of this subdivision, if the Agreement requires a multifaceted, completed or working system, or delivery of no less than a specified quantity of goods, property or services and only a portion of such systems or less than the required goods, property or services are working, completed or delivered, even though the Customer has invoiced NYSERDA for the portion working, completed or delivered, NYSERDA will not be in Receipt of an Invoice until the specified minimum amount of the systems, goods, property or services are working, completed or delivered.

1 This is only a summary; the full text of Part 504 can be accessed at: http://www.nyserda.ny.gov/About/New-York-State-Regulations.aspx

(h) “Set-off” means the reduction by NYSERDA of a payment due a Customer by an amount equal to the amount of an unpaid legally enforceable debt owed by the Customer to NYSERDA.

504.3. Prompt Payment Schedule. Except as otherwise provided by law or regulation or in Sections 504.4 and

504.5 of this Exhibit, the Date of Payment by NYSERDA of an amount properly due and owing under this Agreement shall be no later than thirty (30) calendar days, excluding legal holidays, after Receipt of a Proper Invoice.

504.4. Payment Procedures.

(a) Unless otherwise specified in this Agreement, a Proper Invoice submitted by the Customer to the Designated Payment Office shall be required to initiate payment for goods, property or services. As soon as any invoice is received in the Designated Payment Office during normal business hours, such invoice shall be date-stamped. The invoice shall then promptly be reviewed by NYSERDA.

(b) NYSERDA shall notify the Customer within fifteen (15) calendar days after Receipt of an Invoice of:

(1) any defects in the delivered goods, property or services;

(2) any defects in the invoice; or (3) suspected improprieties of any kind.

(c) The existence of any defects or suspected improprieties shall prevent the commencement of the time

period specified in Section 504.3 until any such defects or improprieties are corrected or otherwise resolved.

(d) If NYSERDA fails to notify a Customer of a defect or impropriety within the fifteen (15) calendar day period specified in subdivision (b) of this section, the sole effect shall be that the number of days allowed for Payment shall be reduced by the number of days between the 15th day and the day that notification was transmitted to the Customer. If NYSERDA fails to provide reasonable grounds for its contention that a defect or impropriety exists, the sole effect shall be that the Payment Due Date shall be calculated using the original date of Receipt of an Invoice.

(e) In the absence of any defect or suspected impropriety, or upon satisfactory correction or resolution of a defect

or suspected impropriety, NYSERDA shall make Payment, consistent with any such correction or resolution and the provisions of this Exhibit.

504.5. Exceptions and Extension of Payment Due Date. NYSERDA has determined that, notwithstanding the

provisions of Sections 504.3 and 504.4 of this Exhibit, any of the following facts or circumstances, which may occur concurrently or consecutively, reasonably justify extension of the Payment Due Date:

(a) If this Agreement provides Payment will be made on a specific date or at a predetermined interval, without

having to submit a written invoice, if any documentation, supporting data, performance verification, or notice specifically required by this Agreement or other State or Federal mandate has not been submitted to NYSERDA on a timely basis, then the Payment Due Date shall be extended by the number of calendar days from the date by which all such matter was to be submitted to NYSERDA and the date when NYSERDA has actually received such matter.

(b) If an inspection or testing period, performance verification, audit or other review or documentation

independent of the Customer is specifically required by this Agreement or by other State or Federal mandate, whether to be performed by or on behalf of NYSERDA or another entity, or is specifically permitted by this Agreement or by other State or Federal provision and NYSERDA or other entity with the right to do so elects to have such activity or documentation undertaken, then the Payment Due Date shall be extended by the number of calendar days from the date of Receipt of an Invoice to the date when any such activity or documentation has been completed, NYSERDA has actually received the results of such activity or documentation conducted by another entity, and any deficiencies identified or issues raised as a result of such activity or documentation have been corrected or otherwise resolved.

(c) If an invoice must be examined by a State or Federal agency, or by another party contributing to the funding

of the Contract, prior to Payment, then the Payment Due Date shall be extended by the number of calendar days from the date of Receipt of an Invoice to the date when the State or Federal agency, or other contributing party to the Contract, has completed the inspection, advised NYSERDA of the results of the inspection, and any deficiencies identified or issues raised as a result of such inspection have been corrected or otherwise resolved.

(d) If appropriated funds from which Payment is to be made have not yet been appropriated or, if appropriated,

not yet been made available to NYSERDA, then the Payment Due Date shall be extended by the number of calendar days from the date of Receipt of an Invoice to the date when such funds are made available to NYSERDA.

504.6. Interest Eligibility and Computation. If NYSERDA fails to make Prompt Payment, NYSERDA shall pay

interest to the Customer on the Payment when such interest computed as provided herein is equal to or more than ten dollars ($10.00). Interest shall be computed and accrue at the daily rate in effect on the Date of Payment, as set by the New York State Tax Commission for corporate taxes pursuant to Section 1096(e)(1) of the Tax Law. Interest on such a Payment shall be computed for the period beginning on the day after the Payment Due Date and ending on the Date of Payment.

504.7. Sources of Funds to Pay Interest. Any interest payable by NYSERDA pursuant to Exhibit shall be paid

only from the same accounts, funds, or appropriations that are lawfully available to make the related Payment. 504.8. Incorporation of Prompt Payment Policy Statement into Contracts. The provisions of this Exhibit shall

apply to all Payments as they become due and owing pursuant to the terms and conditions of this Agreement, notwithstanding that NYSERDA may subsequently amend its Prompt Payment Policy by further rulemaking.

504.9. Notice of Objection. Customer may object to any action taken by NYSERDA pursuant to this Exhibit that

prevents the commencement of the time in which interest will be paid by submitting a written notice of objection to NYSERDA. Such notice shall be signed and dated and concisely and clearly set forth the basis for the objection and be addressed to the Vice President, New York State Energy Research and Development Authority, at the notice address set forth in this Agreement. The Vice President of NYSERDA, or his or her designee, shall review the objection for purposes of affirming or modifying NYSERDA’s action. Within fifteen (15) working days of the receipt of the objection, the Vice President, or his or her designee, shall notify the Customer either that NYSERDA‘s action is affirmed or that it is modified or that, due to the complexity of the issue, additional time is needed to conduct the review; provided, however, in no event shall the extended review period exceed thirty (30) working days.

504.10. Judicial Review. Any determination made by NYSERDA pursuant to this Exhibit that prevents the

commencement of the time in which interest will be paid is subject to judicial review in a proceeding pursuant to Article 78 of the Civil Practice Law and Rules. Such proceedings shall only be commenced upon completion of the review procedure specified in Section 504.9 of this Exhibit or any other review procedure that may be specified in this Agreement or by other law, rule, or regulation.

504.11. Court Action or Other Legal Processes.

(a) Notwithstanding any other law to the contrary, the liability of NYSERDA to make an interest payment to a Customer pursuant to this Exhibit shall not extend beyond the date of a notice of intention to file a claim, the date of a notice of a claim, or the date commencing a legal action for the payment of such interest, whichever occurs first.

(b) With respect to the court action or other legal processes referred to in subdivision (a) of this section, any

interest obligation incurred by NYSERDA after the date specified therein pursuant to any provision of law other than Public Authorities Law Section 2880 shall be determined as prescribed by such separate provision of law, shall be paid as directed by the court, and shall be paid from any source of funds available for that purpose.