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Resolution No. 7594
2 3 4 5 6 7 8 10 11 12' 13 14 15 16 17 18 19 20 21 22 23 24 2' 2E 2 21 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AND AUTHORIZING THE EXECUTION OF AN AGREEMENT FOR PROFESSIONAL CONSULTING SERVICES BY AND BETWEEN THE CITY OF VERNON AND GRT, INC. TO PROVIDE ENERGY AUDIT SERVICES AND ASSISTANCE IN THE DEVELOPMENT AND IMPLEMENTATION OF PUBLIC BENEFIT PROGRAMS IN COMPLIANCE WITH AB 1890 WHEREAS, pursuant to Resolution No. 7550 adopted on June 6, 2000, the City Council of the City of Vernon directed the Purchasing Department to negotiate a contract with GRT 4 Associates for energy audit services and associated technical support and to report back to the City Council on the results of said contract negotiations with a recommendation for action; and WHEREAS, the City staff have entered into and completed negotiations with GRT, Inc.; and WHEREAS, the City Council of the City of Vernon desires to enter into a contract with GRT, Inc. to provide energy audit services and to assist in the development and implementation of Public Benefit Programs in compliance with AB 1890. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS: SECTION 1: The City Council of the City of Vernon hereby finds and determines that the recitals contained hereinabove are true and correct. SECTION 2: The City Council of the City of Vernon hereby approves the Agreement for Professional Consulting Services, a copy of which is attached hereto as Exhibit "A" and made a part hereof. SECTION 3: The City Council of the City of Vernon hereby authorizes the Mayor and the City Clerk to execute said Agreement for, and on behalf of, the City of Vernon. SECTION 4: The City Council of the City of Vernon hereby directs the City Clerk, or his designee, to send one fully executed Agreement to: GRT, Inc. Attn: Glenn R. Tanner, President 2377 Crenshaw Boulevard, Suite 156 Torrance, CA 90501 SECTION 5: The City Clerk of the City of Vernon shall certify to the passage of this resolution, and thereupon and thereafter the same shall be in full force and effect. APPROVED AND ADOPTED this 8" day of August, 2000. ATTEST: s/Bruce V. Malkenhorst BRUCE V. MALKENHORST, City Clerk s/Leonis C. Malburg LEONIS C. MALBURG, Mayor - 2 - STATE OF CALIFORNIA ) ) ss COUNTY OF LOS ANGELES ) I, BRUCE V. MALKENHORST, City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. 7594, was duly adopted by the City Council of the City of Vernon at an adjourned regular meeting of the City Council duly held on Tuesday, AU.aust 8 2000, and thereafter was duly signed by the Mayor of the City of Vernon. (SEAL) s/Bruce V. Malkenhorst BRUCE V. MALKENHORST, City Clerk - 3 - EXHIBIT A a k 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 AGREEMENT FOR PROFESSIONAL CONSULTING SERVICES THIS AGREEMENT is made, entered into and executed in duplicate originals, either copy of which may be considered and used as the original hereof for all purposes, as of this day of August, 2000, in the City of Vernon, County of Los Angeles, California BY AND BETWEEN THE CITY OF VERNON, (hereinafter referred to as "City") 4505 Santa Fe Avenue Vernon., California 90058 IAND GRT & ASSOCIATES, INC. (hereinafter referred to as "Consultant") 2377 Crenshaw Blvd., Suite 156 Torrance, California 90501 WITNESSETH WHEREAS, the City desires to retain an energy services company to conduct energy audits and assist with developing and implementing the Public Benefits Programs in compliance with AB 1890; and WHEREAS, Consultant submitted a proposal to City dated April 09, 2000, ("the Proposal"), a copy of which is attached hereto as Exhibit "A" and made a part hereof by reference, which includes a description of proposed services and a cost proposal; and WHEREAS,'�he Consultant represents that it is qualified to perform such services under this Agreement for Professional Consulting Services (hereinafter "Agreement"); and WHEREAS® the City desires to engage the Consultant for the 1 11services hereinafter described. 211 NOW, THEREFORE, THE PARTIES HERETO DO MUTUALLY AGREE AS SET 3 11FORTH HEREIN: 4 I. SCOPE OF SERVICES 5 Consultant shall perform services as outlined in Section 2.2 6 of the Proposal (Exhibit "A") and as described in the Scope of Work for 7 City of Vernon by GRT & Associates, Inc. attached hereto as Exhibit "B" 8 and made a part hereof by reference. Consultant shall not subcontract 9 any portion of the work covered under this Agreement, unless agreed to 10 in advance by City. Consultant shall be solely responsible for the 11 performance of this Agreement, including the performance of any tasks 12 by any authorized subcontractors. 13 II. TIME OF PERFORMANCE 14 Consultant's services herewith shall commence upon signing of 15 the Agreement and shall, be completed within twelve (12) months, unless 16 terminated or extended. 17 III. COMPENSATION 18 1. Services. The City shall compensate the 19 Consultant for all services and expenses performed under this Agreement 20 in accordance with the Project Costs and Fee Schedule itemized in 21 Section 3.0 of the Proposal (Exhibit "A") and as described in the 22 attached Exhibit "B." The compensation paid to Consultant under this 23 agreement shall not exceed Two Hundred Fifty Thousand Dollars and No 24 Cents ($250,000), for all services and expenses. 25 2. Expenses. Consultant shall be responsible for the 26 costs identified in paragraph 9 of Exhibit "B" Other directly related 27 expenses and costs may be billed if approved in advance by the City 28 Administrator. - 2 - - 1 IV. METHOD OF PAYMENT 2 Within thirty (30) days after the East day of any month in 3 which services have been performed or costs incurred hereunder, the 4 Consultant shall submit an invoice to the city stating the amount due 5 the Consultant. Invoices shall contain an itemization of services 6 rendered, directly related to job expenses and subcontract charges, and 7 an estimate of the percentage completed for each milestone or task. 8 Consultant shall be responsible for paying all subcontractors used in 9 the performance of this Agreement; subcontractors shall not bill the 10 City directly. 11 Payment of the invoice shall be made after acceptance and 12 approval by the City within thirty (30) days of receipt. The City's 13 approval of the invoice shall not be unreasonably withheld. 14 V. CHANGES AND EXTRA SERVICES 15 The City reserves the right to request changes in the 16 services to be performed by the Consultant. All such changes shall be 17 incorporated in written change orders executed by the City and the 18 Consultant which shall specify the changes ordered and the adjustment 19 of compensation and completion time required thereof. 20 Any services added to the scope of this Agreement by a change 21 order shall be executed under all applicable conditions of this 22 Agreement. No claim for additional compensation or extension of time 23 shall be recognized unless contained in a duly executed change order. 24 VI. C,ONFIDENTIAL INFORM_ 'T�=ION 25 1. Consultant acknowledges that it will be providing 26 servicesto an electric utility operated by a municipal corporation as 27 that term is used in Article XI, Section 9, of the Constitution of the 28 State of California. The City of Vernon is a charter city for which - 3 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 matters involving municipal affairs are governed by city charter and ordinance and not by State statute. 2. Consultant shall be bound by the provisions of City Council Resolution No. 5600, a copy of which is attached hereto as Exhibit "D'" and made a part hereof by reference. Said resolution prohibits the public disclosure of any data acquired by the City for utility purposes. The Consultant shall maintain the confidentiality of all data and/or records acquired by it and shall not disclose such data and/or records to any person, corporation, or governmental agency including any related sister division, subsidiary, parent corporation, or holding company except as authorized in writing by the City. 3. All information, data, and records acquired by the Consultant shall be the sole and exclusive property of the City subject to the Consultant's right to retain necessary copies for accounting 1purposes. 4. Remedies. In addition to any other remedies that it may have at law or in equity, the City shall be entitled to a - 4 - 1 temporary and permanent injunction by a court of competent jurisdiction 2 against any breach or threatened breach of the Confidential Information 3 provisions of this Agreement. Consultant acknowledges that in case of 4 such breach or threatened breach of said provisions, the City would 5 have no adequate remedy at law. 6 5. Consultant's ProoriPtary Information. Any 7 documents or written information furnished to City by Consultant may be 8 cited as "proprietary information", and will be treated as such by the 9 City to the extent permitted by the California Public Records Act (Cal. 10 Gov. Code Section 6250 et seq.) or the.Ralph M. Brown Act (Cal. Gov. 11 Code Section 54950 et seq.) Lf City determines that City and/or its 12 agents are required to comply with a reporting disclosure requirement 13 contained in the aforementioned laws, it is agreed that City 14 immediately shall notify Consultant of such determination and shall 15 not disclose such information for ten (10) business days after such 16 notice to permit Consultant to seek an appropriate protective order. 17 It is further agreed that City shall cooperate in any way permitted by 10 law with Consultant's efforts to prevent disclosure of such 19 H information. 20 VII. INDEMNITY 21 1. �ndcation of City. The Consultant shall 22 indemnify; defend, protect and hold the City and its officers,, agents 23 and employees, free and harmless from and against any and all claims, 24 demands, losses, damages, liabilities, fines, charges, penalties, 25 orders,.judgments, and all costs and expenses incurred in connection 26 therewith, including reasonable attorney's fees and costs of defense 27 larising out of or attributable to the negligent or wrongful acts of 2811Consultant or its subcontractors, employees or agents in the - 5 - ■ • 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 erformance of services under this Agreement, except to the extent rising from or caused by the sole negligence or willful misconduct of he City, its officers, agents, or employees. 2. Patent or Cou�iaht Tnfr�naement. The Consultant ;hall indemnify, defend, protect and hold the City and its officers, igents, and employees, free and harmless from and against any and all ,laims, demands, losses, damages, liabilities, fines, charges, penalties, orders, judgements, and all costs and expenses incurred in connection therewith, including reasonable attorney's fees and costs of 3efense, based upon a claim that any software program or other product used or furnished by Consultant in the performance of this Agreement constitutes an infringement of any United States patent or copyright, provided that this indemnity shall not apply to any such software program or other product that (i) is based upon specification provided by the City or (ii) is based upon modifications or additions made by the City or (iii) is used in a manner not authorized by Consultant. 3. In r c Consultant shall maintain in full � n� force and effect during the term of this agreement policies of automobile liability, workers compensation and other insurance coverage as set forth in the Schedule of Insurance which is attached hereto as Exhibit C and made a part hereof by reference and shall provide proof thereof as required therein. VIII. GENERAL PROVISIONS 1. Indendent Contractor. At all times during the term of this Agreement, the Consultant shall be an independent contractor and shall not be an employee of the City. The City shall have the right to control the consultant only insofar as the results of the.Consultant's services rendered pursuant to this Agreement; however .1 the City shall not have the right to control the means by which the 2 Consultant accomplishes services rendered pursuant to the Agreement 3 except to the extent that such services involve the use of City 4 property or Confidential Information. 5 2. Consultant NQ Aaent. Except as.the City may 6 specify in writing, the Consultant shall have no authority, express or 7 implied, to act on behalf of the City in any capacity whatsoever as an 8 agent. The Consultant shall have no authority, expressed or implied, 9 pursuant to this Agreement to bind the City to any obligation 10 whatsoever. 11 3. Products of Constl3rina. All products of 12 consulting services with the exception of computer software developed 13 by the Consultant, shall become the property of the City and shall be 14 delivered to the City before the end of the performance of this 15 Agreement. Computer software shall remain the property of the 16 Consultant, except for the City's continued right to use said software 17 at no extra cost. Basic survey notes and sketches, charts, 18 computations and other data shall be made available to City without 19 restrictions or limitations on their use. Except 20 4. A anm n i h��ntrarr7nQ Poh�b� ed. 21 as provided in paragraph I of this Agreement, no party to this 22 Agreement may assign or subcontract any right or obligation pursuant tc 23 this Agreement except with the express written consent of the other 24 party. Any other attempted or purported assignment of any right or 25 obligation pursuant to this Agreement shall be void and of no effect. 26 5. Termination. This Agreement may be terminated by 27 the City without cause on thirty (30) days written notice to the 28 Consultant. The Consultant shall be entitled to the compensation 7 - s 1 2 3 4 5 6 7 81 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 earned by it prior to the date of the termination notice, computed pro rata up to the and including that date, plus compensation for work performed during the thirty -day notice period and authorized in the termination notice. 6. Notices. Notices to the parties unless otherwise requested in writing shall be sent to: City: THE CITY OF VERNON ATTN: BRUCE V. MALKENHORST, CITY.ADMINISTRATOR 4305 SANTA FE AVENUE VERNON, CA 90058-0805 Consultant: GRT & ASSOCIATES,INC. GLENN R. TANNER, PRESIDENT 2377 CRENSHAW BOULEVARD, SUITE 156 TORRANCE, CALIFORNIA 90501 7. GRT & Associates Inc Staff. The City shall not, during the course of this Agreement and for twelve (12) months from the.termination hereof, knowingly, directly or indirectly, endeavor or aid another to solicit or induce GRT & Associates, Inc. staff to accept employment with City. IX. ENTIRE AGREEMENT This Agreement is the entire Agreement of the parties. The Consultant represents that in entering into this Agreement, it has not relied on any previous representations or understandings of any kind or nature. X. BENEFIT AGREEMENT This Agreement shall bind and benefit the parties hereto and their heirs, successors, and permitted assigns. XI. GOVERNING LAW, This Agreement shall be governed by and construed and enforced in accordance with the laws of the State of California. ` 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by and through their authorized officers on the date, month and year first written above. ATTEST: BRUCE V. MALKENHORST, City Clerk (APPROVED AS TO FORM: JEDUARDO OLIVO, City Attorney By: CITY OF VERNON LEONIS C. MALBURG, Mayor By: Title. By: Title: GRT & ASSOCIATES, INC. - 9 - s ASSOCIATES. P-2000-049 April 9, 2000 Ms. Eva De La Rosa Energy Management Representative City of Vernon Utilities Department 4305 Santa Fe Avenue Vernon CA 90058 Dear Eva: As a response to your request for proposal (RFP) dated March 15, 2000, GRT & Associates, Inc. (GR7) is pleased to send you this proposal for technical assistance by providing energy audits for commercial and industrial electric utility customers in the City of Vernon. GRT & Associates, Inc. (GRT) is extremely experienced in this type of engineering evaluation. Recently, we have provided, and continue to provide, enhanced energy, audits that we like to call "Energy Modernization Plans" to "Commercial" and "Industrial" customers located in several municipal utility territories for their AB-1890 programs, including ... • City of Anaheim Public Utility Department "Anaheim Advantage" Program • Southern California Gas Company • City of Riverside Public Utilities • City of Glendale Department of Water & Power Department • City of Azusa Power & Light Department • Los Angeles Unified School District, among others. "Energy Modernization Plans" go beyond strict energy auditing, which simply document how energy is allocated, and identifies the savings and installation costs of potential Energy Efficiency Measures (EEM's) that can be implemented to improve HVAC, mechanical, process machinery, and lighting systems. As we discussed, you need an energy auditing firm that not only has experience,. but has the expertise and engineering services already in place to "hit the ground running" so you can provide this valuable service to your customers NOW. That is what GRT will provide to you. We are a full service mechanical — electrical — plumbing (MEP) design engineering firm. The areas of expertise of our firm and project team include comprehensive energy evaluation and project detailed design & CAD drafting services for large & small commercial, industrial, institutional, hospital, and educational facilities in the areas of lighting and lighting controls, HVAC equipment & heat pumps, thermal storage, variable speed drives, ventilation equipment, energy management 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-551'9 WWW.GRTA,COM 04/ 10/00 Page ii services, building design aspects, industrial equipment energy savings technologies, and Title 24 compliance. The following pages contain the original and two copies of a specific proposal as requested by your RFP. Our proposal contains a list of included sites, scope -of -work description, proposal cost, initial project schedule, project team organization chart, staff resumes, and project team experience list. In addition, we have included one copy of a `sample report' of a large Industrial customer energy audit. In the Appendix, we have included some ideas for Public Benefit training and promotion for your consideration. Finally, we are enclosing a `text' copy of our Power Point presentation regarding "Energy Auditing - A Beginning Point' that we have given to such groups as the Association of Energy Managers, and explains what goes into a complete energy audit. When there is a large commercial customer, or a special need for lighting expertise, we partner with Energy Concepts and Design (ECC). This firm has also extensive experience with commercial & industrial facilities, including installation of lighting and controls in addition to energy auditing. We look forward to working with you on this project. Please feel free to call me anytime with questions. Sincerely, GRT & Associates, Inc. Glenn R. Tanner, PE President & Principal Engineer 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543.5519 • yVWW.GRTA COM 04/10/00 Page u ENERGY AUDITING PROPOSAL TABLE OF CONTENTS Section No. Description 1.0 Company Introduction & Overview 2.0 Scope -of -Work 3.0 Project Costs 4.0 Statement of Qualifications & Listing of Related Experience 5.0 Project Team Qualifications & Resumes 6.0 Appendix 3655 TORRANCE BLVD. SUITE 340 • TORRANCE, CA 90503 • TEL (310) 543-4980 9 FAX (310) 543-5519 • WWW.GRTA.COM 04/ 10/00 Page ENERGY AUDITING PROPOSAL CITY OF VERNON CA GRT & Associates, Ina Section 1.0: Company Introduction & Overview: GRT & Associates, Inc. (GRT) is an association of experienced professional engineers, environmental scientists, field teams, and staff that functions as a multi -disciplinary team to provide our clients with fully developed and creative solutions to engineering design projects. We have been providing these services since 1990. The principals who own the company manage the firm. Each project undertaken by the firm is given immediate direction by a project manager who is fully qualified and authorized to make decisions for the firm. This enables the client to be in direct contact with the firm and to have one person accountable for work quality, project schedule, accuracy, and budget. The several disciplines represented by specialists in the firm include: Licensed Mechanical, Electrical, Chemical, and Civil Engineers, Environmental Engineers, Geologists, Biologists, Chemists, Designers, and Construction Managers. This broad range of capabilities is supplemented by the experience, dedication, and innovation of the various personnel. This statement of qualifications concentrates on GRT & Associates, Ina's. energy conservation, mechanical, and plant facilities engineering services. Our primary areas of expertise are as follows: ENERGY CONSERVATION... ' * Energy Conservation Audits & Plans * Air Emissions Reduction Projects * Boiler Efficiency Improvements * Heat Recovery Systems * Thermal Energy Storage Studies * Gas Cooling Analysis * HVAC System"Analysis * Cogeneration Feasibility Studies MECHANICAL ENGINEERING ... * High Pressure / Steam Piping Design * Chemical / Corrosive Piping Design 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTA.COM 04/10/00 Page 2 * Underground Piping Design * Mechanical Equipment Design Projects * Commercial HVAC System Design * Utility Systems Design ELECTRICAL ENGINEERING ... * Electrical Design Engineering * Power Systems Design * Electrical Distribution System Design * Electrical System Evaluations * Lighting and Lighting Controls Design. CONTROL SYSTEM ENGINEERING... * Control System Sequence of Operations * Operating Instructions / Manuals * Programmable Logic Controller Programming PLANT FACILITIES ENGINEERING ... * Mechanical -Electrical -Plumbing Property Condition Reports (PCR's) * Risk Management Prevention Plans (RMPP's) * Operating Instructions / Manuals * Preventive Maintenance Programs * Industrial Water Treatment Facilities & Programs * Process Improvements Visit our web -site at www.grta.com The following Section 6 of this proposal offers more depth and details in describing GRT's experience and qualifications in the areas related to the services described in this RFP. Energy Concepts and Controls (ECC Statement of Qualification Summary: ECC offers a variety of services to assure that your company optimizes your lighting environment while minimizing your energy and maintenance costs. The areas of expertise of ECC includes the following areas: Energy Auditing & Analysis Highly accurate facilities auditing and energy savings analysis Design/Build Construction: Turnkey energy retrofits guarantee system efficacy and completion deadlines Lighting Design/Computer Modeling: allows fast analysis of multiple designs 3655 TORRANCE BLVD. SUITE 340 - TORRANCE. CA 90503 - TEL (310) 543-4980 - FAX (310) 543-5519 WWW.GRTA.COM 04/ 10/00 Page 3 - Life Cycle Cost Analysis/Equipment Specification: What your equipment is TRULY costing in energy and maintenance Energy Audit & Analysis Services A) Investment Grade Lighting Audits: ECC has earned a reputation for producing comprehensive and accurate energy audits through careful inventorying of existing conditions and analysis of utility rates and facility usage patterns. B) Developing Company Wide Implementation Programs: Oftentimes, companies find it difficult to allocate the resources to audit, specify and coordinate a company -wide strategy to implement energy efficiency. BCC develops custom databases that give corporate decision -makers a snapshot of the state of corporate energy efficiency and implementation paths that meet their company's financial prerequisites. C) EPA Greenlights® Implementation & Reporting Services: Does your company have a Greenlights® MOU ? Has its implementation and reporting requirements been languishing waiting for action? ECC can quickly and cost effectively get you back on track and in compliance, compiling and filing the required documents directly with the EPA. D) Energy Audit & Analysis Reference Accounts Take for example, Lockheed Martin Corporation ... ECC has performed audits for over 9 million square ft. for Lockheed Martin, helping Lockheed to assess opportunities related to energy efficient lighting. Visit the ECC web -site at www.expertlighting.com The following Section 4 of this proposal offers more depth and details in describing GRTs experience and qualifications in the areas related to the services described -in this RFP. 3655 TORRANCE BLVD. SUITE 340 - TORRANCE, CA 90503 9 TEL (310) 543-4980 0 FAX (310) 543-5519 - WWW.GRTA.COM 04/10/00 Page 4 Section 2.0: Scope of Work: 2.1 Project Scope Overview: GRT will provide energy auditing services in accordance with Request for Proposal dated March 15, 2000 for City of Vernon commercial & industrial customers. Energy audits will include three key parts: • Data Gathering: On site identification how the facility, equipment or process uses energy along with the costs affecting the energy consumption. • Data Analysis: Identification of Energy Efficiency measures (EEM's) that when implemented will make the energy use more efficient, less expensive, or more environmentally friendly. • Recommendations: Final report with detailed findings, areas of improvement & recommended actions with costs and savings identified. The followin�rtion of tfiis proposal section describes the detailed tasks necessary to complete these audits, 2.1.1 Analysis MethodoloQy Evahiation Order of Ene= Efficiency Measures: Energy Efficiency Measures will be evaluated using the Calif( rni Energy Commission methodology described in their Technical Assistance report guidelines. CEC guidelines require that all Operation and Maintenance items be implemented before evalua ing measures requiring capital expenditure After O&M items are implemented, measures are evaluated in the following order: I O&M Measures I Building Envelope EEM's Lighting EEM's EEM's I EEM s I IOn -site Energy Generation EEM's 3655 TORRANCE BLVD. SUITE 340 9 TORRANCE. CA 90503 9 TEL (310) 543-4980 + FAX (310) 543-5519 • WWW GRTA.COM 04/10/00 Page Each measure will be analyzed for estimated savings and estimated costs. When estimating the installed costs, prices were obtained from vendors, recent past projects, and estimating tables. As recommended in the CEC Technical Assistance report guidelines, the measure cost estimates also include sales taxes, demolition/disposal, engineering/project management, permits, and an inflation factor. We feel that this makes the Payback estimates for these measures rather conservative. 2.1.2 Utility Incentives: No utility incentives or rebates have been included in this analysis unless otherwise noted in the discussion of the specific EEM. The So. Cal. Gas Co., for example, still offers incentives for high efficiency boilers to "Core" commercial customers. The California Energy Commission offers incentives through their Standard Performance Contracting (SPC) program. Briefly summarized, available incentives / rebates include the following that may be applicable to these facilities: City of Vernon Utilities Dept.: Incentive program not fully defined at this time. We will include specific incentives & rebates to measures if programs are developed at time of report issuance. Southern California Gas Company Replace Space Heat Boilers: $1.50 per 1000-Btuh or 20% of equipment cost. Replace Water Heaters: $5.00 per 1000-13tuh or 20% of equipment cost. Heat Recovery: $1.00 per Therm saved, up to 25% of equipment cost. Note: 1000 Btuh = 1 kbh or sometimes referred to using the old-fashioned English units "mbh". Please note that Mbh is 1,000,000 Btuh. California State Energy Commission Standard Performance Contracting (SPC) Program. Lighting: $0.05 per kWh saved HVAC: $0.165 per kWh Saved Other: $0.08 per kWh Saved (Reference 1999 SPC incentives, program may change for Year 2000). 2.2 Specific Scope of Work: GRT shall provide mechanical, electrical, and energy efficiency engineering services to accomplish the performance for a "Energy Management Plan" of the facility's energy using systems for City of Vernon commercial & industrial customers. Quality, content, and organization of this energy audit shall be in accordance with the California Energy Commission's "Guide to Preparing Feasibility Studies for Energy Efficiency Studies (May 1996)". 3655 TORRANCE BLVD. SUITE 340 - TORRANCE. CA 90503 9 TEL (310) 543-4980 - FAX (310) 543-5519 - VVVVW.GRTA.COM 04/10/00 Page 6 Provide on -site inspections of mechanical — electrical — HVAC — lighting systems at each facility. Provide equipment inventory listing. Spot measure lighting intensity illumination levels as applicable. Determine occupancy schedules and equipment operating schedules. Provide an "ASHRAE Level II" equivalent energy audit to identify & quantify present gas & electric energy use, and identify cost-effective energy efficiency opportunities. Each "Energy Efficiency Measure (EEM)" alternative will be evaluated first and foremost for the following items ... Estimated complete installation cost Estimated energy & operating savings Return on Investment In addition, each EEM, and Operating & Maintenance (O&M) item will be evaluated for the following parameters that could impact the ultimate implementation of the EEM, as applicable: Future expansion capability Integration of equipment (tie-ins) Regulatory compliance & Permitting ' Operating complexity ' Ease and cost of maintenance * Limited space requirements Compatible equipment layouts * Constructability * Rebate / incentive reimbursements Energy Audit services include on -site field visits to determine actual equipment conditions, data, and operating characteristics; review or facility drawings; interviews with on -site operating & maintenance personnel; review & analysis of utility bills; data organization & reduction; energy savings calculations / modeling; energy bill balancing; capital cost estimates; and deliverable report (see description below). A list of EEM's anticipated for these facilities as practical, plus any others that may be developed during the study, are as follows for typical Commercial & Industrial customers: Commercial Customers: • Upgraded lighting system,, Exit lights, & motion detectors. • Replacement high efficiency, Non-CFC chillers • Package HVAC system upgrades • Replacement high efficiency cooling tower with Variable Speed Drive (VSD) upgrade • Replacement air handlers /fan coils with 100% outside air economizer cycle • Conversion of air handler I fan coil units to variable air volume— VSD fans • High efficiency boilers with boiler stack waste heat economizer upgrade • Improved digital controls for central plant and building systems Industrial Customers: • Upgraded lighting system, Exit lights, & motion detectors. • Package HVAC system upgrades 3655 TORRANCE BLVD. SUITE 340 • TORRANCE, CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTA-COM 04/10/00 Page 7 • High efficiency boilers with boiler stack waste heat economizer upgrade • Process equipment improvements such as variable speed drives for injection molding / die casting, plating rectifier improvements • NFMA Premium efficiency motors upgrade • High efficiency air compressors • Process chilling & refrigeration equipment improvements • Process thermal energy upgrades Deliverable is a report, signed by a registered engineer, that includes, for each system and alternative, a description of the analyses done, specific site assumptions made, applicable utility rates, available incentive programs, preliminary design sketches, energy analysis calculations, estimate cost worksheets, conclusions, recommendations, and appendix of background information & calculations. • Project meetings: For each audit, Project meetings include 1) Kick-off meeting prior to site inspections, 2) Final presentation warp -up meeting with customer as needed. • Please note that the RFP requests audit services for electric -utility only equip ent. Our energy audits may be expanded to contain also gas fired equipment and recommendations at minimal or no additional costs. • We will also assist Department in Program Organization by provided schedules, list of completed & upcoming audits, audit status reports, and invoice status reports during the duration of the contracted services. 3655 TORRANCE BLVD. SUITE 340 - TORRANCE, CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTA-COM 04/ 10/00 Page 8 Section 3.0: Project Costs: 3.1 Project Cost Schedule: The following table summarizes proposed preliminary rates to complete the scope of work at each site as described in Section 2.0 of this proposal. It must be emphasized that these are non- binding fees, and that we are willing to negotiate final fee schedule for services with the Department when selected. COMMERCIAL CUSTOMERS Facility Size S Lighting -Only Audit $/S HVAC / Mech. Only Audit $/S Comprehensive (Mech.- Lt . Audit $/S 0—10,000 $0.10 $0.08 $0.15 10,001 — 50,000 $0.06 $0.06 $0.10 50,001 — 150,000 $0.05 $0.05 $0.06 Over 150,000 $0.04 $0.03 $0.05 INDUSTRIAL CUSTOMERS Facility Size (SF) Lighting -Only Audit ($/SF) HVAC / Mech. Only Audit ($/SF) Comprehensive (Mech.- Ltg.) Audit $/SF) 0—10,000 $0.05 $0.10 $0.15 10,001 — 50,000 $0.04 $0.07 $0.11 50,001-150,000 $0.03 $0.05 $0.065 Over 150,000 $0.025 $0.035 $0.055 3.2 Project Schedule: Usually, it takes about two — three weeks to arrange access to a site, conduct on -site data collection, provide energy balancing & EEM savings calculations, and complete a report. Small sites may be completed in less than one week. 3.3 Material / Information to be Supplied by Client: In order to complete the Scope of Work as outlined in Section 2.0 of this proposal, reliance on the following items to be supplied by the City of Vernon is assumed: Minimum twelve months utility bills for all Electric meters at each facility. Period of bills to be submitted must be for period with normal or typical operations & occupancy schedules. Electric bills are required not just facility summary sheets and must show rate schedules, monthly kW demand / monthly kWh by time -of -use (as applicable), and total costs paid before & after meter charges & fees /`taxes. Bills must show any collection of utility users taxes and the rate. 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL 610) 543-4980 9 FAX (310) 543-5519 • WWW.GRTA.COM 04/ 10/00 Page 9 • Customer must provide full and complete access to all facilities to allow inspection of all HVAC and lighting systems. On -site escorts in any sensitive areas may be provided by the customer in a timely manner, as not to delay obtaining field data. • Customer may provide all available "as -built" mechanical / electrical drawings. We realize that many of these facilities are old and accurate drawings, or even any drawings at all, may not exist, but it is a big help for complicated industrial facilities. 3.4 Fee Schedule: As requested, the following page contains a 2000 GRT Fee Schedule. Any additional services such `new construction design review' or `engineering design services' may be provided on a `not -to -exceed' or lump sum basis, as agreed upon beforehand, using these Fee Schedule rates. 3655 TORRANCE BLVD. SUITE 340 9 TORRANCE, CA 90503 • TEL (310) 543-4980 0 FAX (310) 543-5519 0 WWW.GRTA.COM Outside Blue Printing Service, CAD Plotting Special Format l Title and Drawing Media » » µ »....... Travel: Air Fare, Car Rental, Meals, Lodging Company Vehicle: per Mile ......................................... Long Distance Telephone Calls Shipping & Delivery»... .»..............» .......... . ............... ... ........ ........ Public Agency Fees / Permits »....... . ................................................................... Special Consultant Soils, Laboratory, Seismic, Surveyor, etc... In -House Plotting '0' Size Bond (each) In -House Plotting_'0' Size Vellum (each) In -House Plotting IF Size Bond (each) In -House PkA6ng 'E" S¢e Vellum (each) GIRT Associates Inc. 3655 Torrance E Typist _ .............. eering Technician yt Accountant / Bookkeeper Designer ........................... ier / Estimator, Specification Writer, Environmental Technician tial.Analyst»... ».......................................................................................................... Weer It: Civil, Environmental, Electrical, Mechanical . ........... ».................................................................................................. veer Civil, Environmental, Electrical, Mechanical, Geologist ............ or Engineer. Civil: Environmental, Electrical, Mechanical, Sr. Geologist Project Manager ;ipal - In - Charge .... incipal - In - Charge we Expenses 0-8LI Cost +20% ....................... Cost +20% Cost +20% ...... $ 0.32 ............. Cost +20% Cost+20% »Cost_+ 20% Cost +20% ........................ $25.00 »..»$30.00 »... $30.00..... $35.00 HOURLY RATE $25.00 $29.50 $37.50 $45.00 ................. $50.00 .................. $55.00 .................. $55.00 ................. $65.00 .................. $65.00 ................... $75.00 ................. $85.00 .................. $99.00 340 Torrance c www.grta.com 04/10/00 Page 11 LISTING OF RELEVANT EXPERIENCE / RELATED PROJECTS City of Riverside Public Utilities Contact: Cindy Chan, 909-782-5816 "Commercial / Industrial Customer Energy Management Technical Assistance Program" Scope of work is same as being requested here. Services included: • Conducted load analysis to identify& quantify electric energy consuming equipment on site. • Advising customers on ways to lower operating costs through energy efficiency improvements. • Assisted customers in developing operating & monitoring schedule for equipment. • Assisted in evaluation on industry -specific operations for greater energy efficiency. • Monitored and analyzed customer's motors and large electric equipment for energy savings. • Provided comprehensive energy analysis reports including energy efficiency recommendations. • Other mutually agreed upon technical assistance related to energy efficiency. Key GRT personnel were" 1) Glenn Tanner, PE, Principal Engineer, project oversight, reports; 2) Jerry Ingwalson, on -site data collection, utility billing analysis, reporting (1999-Present) 3) Mike Dadjoo, on -site data collection, utility billing analysis, reporting, HVAC load modeling (1999-Present). The following is a listing of sites where energy audits have been provided: 1999-2000 • Mission Lakes Office Complex (4 buildings) • Orthopedic Medical Center • BF Goodrich Aerospace • NexCoil Steel Fabricators • Metro Auto Plaza 2. City of Anaheim, Public Utility Department Contact: Earl Lasley, 714-765-4259 "Anaheim Advantage Industrial J Commercial Public Benefit Program" Scope -of -Work is as follows below. GRT was awarded the contract for the calendar year 1999 and was granted an extension for service through the calendar year 2000. Provide comprehensive energy audits at all commercial and industrial facilities requested by Anaheim customers and/or designated by Anaheim staff. The comprehensive audit will 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 0 FAX (310) 543-5519 • WWW.GRTA-COM 04/10/00 Page 12 require an on -site energy audit of all electric energy end -uses including lighting, HVAC, motors, building envelope, water heating and refrigeration. Comprehensive energy audit reports include an analysis of the existing system, a proposed efficiency upgrades, an energy cost evaluation, estimated installation cost, simple payback, and other benefits, including any incentives that may be offered through the Anaheim Advantage Services. 2. Provide design assistance and review of new construction and renovation plans for commercial and industrial customers. Identify electrical demand -side energy measures that exceed Title 24 building code standards or industry standards as applicable and provide economic analysis showing the cost effectiveness of each recommended measure. Assist the Department as necessary in determining the applicable customer rebate for each recommended measure and complete all administrative work necessary to process the rebate under the management of the Department. Handle all phases of administration for all Anaheim Advantage Services including customer pre-screening, scheduling audits, calculating customer incentives, conducting pre - inspections as necessary and submitting incentive application forms as appropriate to Department and conducting post -installation inspections of qualified rebate energy measures as required. 4. Provide monthly status reports of each program's progress, reporting in an ACCESS database the key tracking variables: prospects, customers approved, kW estimates for awarded projects, dollars of incentives committed, dollars of incentives paid; dates of request, approval, installation, and confirmation; personnel involved, etc. 5. Provide training to Department Staff that will explain procedures for conducting audits, processing coupons, etc. as well as discuss and explain as necessary the latest technological advancements in the energy efficiency industry. Key GRT personnel were" 1) Glenn Tanner, PE, Principal Engineer, project oversight, reports; 2) Jerry Gallaugher, PE, Energy Engineer, on -site data collection, utility billing analysis, reporting (1998-1999); 3) Jerry Ingwalson, on -site data collection, utility billing analysis, reporting (1999-Present) 4) Mike Dadjoo, on -site data collection, utility billing analysis, reporting, HVAC load modeling (1999-Present); 5) Dan Skurkis, PE, computer energy modeling, evaluation of alternatives, economic analysis. In addition, Energy Controls & Concepts (ECC) was our partner in providing the lighting audit / evaluation portion of these studies. The following is a partial listing of sites where energy audits / design review have been provided: 1999 - 2000 • South Baylo Univ. • El Bekal Shrine • Volt Industries • N. Anaheim Surgical Ctr. • Freedman Fonun Theatre Extron Electronics • Arden pacific Mgmt. Delphi (Delco) batteries • Pacific Die Cast Action Molding 3655 TORRANCE BLVD. SUITE 340 • TORRANCE, CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • Vi WW.GRTA.COM 04/10/00 Page 13 • Artistic Plating Westmont ES (Design Review) Ellsworth Trucking • Hitachi Mfg. Co. • Church of Grace • 1701, 1655 Euclid • Anaheim Memorial Hosp. • Coors Distribution Ctr. • Essex Wire Co. • Seagate Substrates Inc. • Anh. Screen & Glass • The "Pond" • Anh. Profes. Ctr. • Marriott Hotel • Coventry Court Hlth. Ctr. 3. Southern California Gas Company Contact: Tony Hesam, 562-803-7362 "Commercial Customer Energy Auditing Program" • Textured Designs • Boeing (Design Review) Boeing No. America CEAP • Hilton Hotel • Disney Ice Norcal • 505 N. Euclid • Silgan Plastics • City Center Motel • Anh. General Hosp. Disneyland Theme Park Smart Electronics • Ideal Anodizing • Travel -Lodge Hotel This program was approved by the California Energy Commission (CEC) in 1995. GRT & Associates, Inc. (GRT) was one of the initial consultants retained by The Gas Company to not only provide audits of commercial facilities, but to assist them in designing the program from the ground up. We determined scope -of -work for field audits, list of data to be obtained, report format focusing on maximum value to the customer, and internal items such as standing contracts, authorizations, and quality reviews for completed reports. In addition., we suggested the name of the program as "Energy Management and Modernization Plan ". In 1995, we began the pilot phase of the program, surveying commercial facilities both large (over 1 million SF) and small (under 20,000 SF) to flesh out the program deliverables. Report formats were honed, scope of services was tuned to obtain a valuable deliverable to the customer. As the program became solidified, GRT continues through the present to provide energy surveys for a wide variety of clients including schools, hospitals, large commercial office buildings, hotels, food service, and retail facilities. Audits are "fuel neutral' that is, they comprise an analysis of all energy using equipment including both electrical equipment and gas fired equipment. Costs of services varied according to facility size and complexity between $2,500 — $10,000 with an average of $5,000 per site. As an aside, some of the facilities analyzed have been in City of Vernon Utilities Dept territory so we are very familiar with your rate schedules and department services. Key GRT personnel were" 1) Glenn Tanner, PE, Principal Engineer, project oversight, reports; 2) Jerry Gallaugher, PE, Energy Engineer, on -site data collection, utility billing analysis, reporting (1996-1998); 3) Jerry Ingwalson, on -site data collection, utility billing analysis, reporting (1999-Present) 4) Mike Dadjoo, on -site data collection, utility billing analysis, reporting, HVAC load modeling (1999-Present); 5) Dan Skurkis, PE, computer energy 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 0 FAX (310) 543-5519 • WWW.GRTA.COM 04/ 10/00 Page 14 modeling, evaluation of alternatives, economic analysis. The following is a listing of sites where energy audits have been provided: 1995 • Met-Rx Offices • Park Sunset Office Building • Valley Hunt Club, Pasadena • Days Inn Fullerton • Hermosa Beach City Hall • Santa Barbara School District (8 schools) • Riverside City College • South El Monte City Hall • La Sierra University • Merle Norman Office / Manufacturing Plant • Whittier Memorial Hospital 1997 • Placentia — Yorba Linda School District (21 schools, some in Anaheim) • Palos Verdes School District (4 schools) • Chaffey School District (6 high schools) • Chino Unified Schools (3 high schools) • Royal Citrus, Riverside • Riverside / Banning Correctional Facility • San Luis Obispo County Jail and Honor Farm • Hyatt Suites, Palm Springs • Macy's Retail Stores (6 So. Cal. Locations) VS-i • University of Judaism (College) • Mattel Corp. (High Rise Commercial) • The Wellington (Senior Living Complex) • Glendale City Library • City National Bank, High Rise Commercial • Park Plaza Hotel 1999 - 2000 • San Miguel ES, LAUSD • Downtown Business HS, LAUSD • Sylmar HS, LAUSD • L A County Main Jail • US Family Care Medical Complex • Barranca Court, Office Complex • Limoneira Citrus Packing Plant • Glendale School District (2 high schools) • Pacific Alliance Hospital, Los Angeles • Ventura Pacific Citrus Plants No's. 1,2 • Parkview Hospital, Riverside • MCI Center / Hyatt Regency Hotel, Los Angles • Saticoy Lemon Plants No's. 1,2,3,4 • Oxnard Lemon Co. • Tulare Community Hospital • College Hospital, Costa Mesa • 6 Macys Retails Stores, So. Calif. Locations • Kilroy Realty High Rise Commercial • City of Glendale City Hall Complex (4 Bldgs.) • Valley View High Schools (Chaffey) • San Luis Obispo County Hospital • Irvine Valley College • JFK Hospital, Indio • La Palma Hospital • Citi-National Bank Office Building • Radisson Wilshire Hotel • Doheny Eye Institute Orthopedic Hospital, Los Angeles • AT & T Center High rise building • 11222 La Cienega Bl., high rise office • Paramount Developers, 2 high rise bldgs. • Biltmore Hotel, Los Angeles 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 * TEL (310) 543.4980 • FAX'(310) 543-5519 • WWW.GRTA.COM 04/ 10/00 Page 15 • U C L A residential housing complex • Maranatha private prison, Adelanto • Bruin Woods Conference Ctr., Lk. Arrowhead • UCLA West Medical campus • Archer School 0San Gorgonio Hospital • LA County Twin Towers Jail 0Loyola Marymount Law School • Glendale Community College (in progr.) • Los Alamitos Race Track 4. Southern California Gas Company Contact: Tony Hesam, 562-803-7362 "Industrial Customer Energy Auditing Program" This program was approved by the California Energy Commission (CEC) in 1995. GRT & Associates, Inc. (GR7) was one of the initial consultants retained by The Gas Company to not only provide audits of commercial facilities, but to assist them in designing the program. We determined scope -of -work for field audits, list of data to be obtained, report format focusing on maximum value to the customer, and suggested internal items such as standing contracts, authorizations, and quality reviews for completed reports As the program progressed, GRT continues through the present to provide energy surveys for a wide variety of clients including schools, hospitals, large commercial office buildings, hotels, food service, and retail facilities. Audits are "fuel neutral" that is, they comprise an analysis of all energy using` equipment including both electrical equipment and gas fired equipment. In addition, we are charged by the Gas Co. due to our staffs varied industrial experience to determine other "productivity" items of value to customers such as manufacturing or production improvements, reporting systems to track energy and production, and modified procedures. We also provide air and water quality input and permitting information to the Industrial audit customers. Costs of services varied according to facility size and complexity between $2,500 — $10,000 with an average of $5,000 per site. Again, some of the facilities analyzed have been in City of Vernon Utilities Dept. territory so we are very familiar with your rate schedules and department services. Key GRT personnel were" 1) Glenn Tanner, PE, Principal Engineer, project oversight, reports; 2) Jerry Gallaugher, PE, Energy Engineer, on -site data collection, utility billing analysis, reporting (1996-1998); 3) Jerry Ingwalson, on -site data collection, utility billing analysis, reporting (1999-Present) 4) Mike Dadjoo, on -site data collection, utility billing analysis, reporting, HVAC load modeling (1999-Present); 5) Dan Skurkis, PE, computer energy modeling, evaluation of alternatives, economic analysis. The following is a listing of sites where energy audits have been provided: 1995 • Texlon Sail Cloth Mfgr., Torrance • Electronic Enclosures, Div. Of Wyle Corp. El Segundo • Risvolds Food Processing, Gardena • Hallmark Meats packing plant, Chino 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWWGRTA.COM 04/ 10/00 Page 16 1996 • Barry Ave. Metal Plating, Los Angeles • Diversified Compounders, Latex Mfgr. • Zero Corp. metal fabrication, Sylmar • Advanced Chrome Plating, Los Angeles • 1928 Co. jewelry Mfgr., Burbank • Royal Angeles furniture Mfgr. • Continental Heat Treating, 'Santa Fe Springs • Master Halco metal fabrication. • Norco Ranch egg plant, Norco 1997 • Gillette Corp. pen/pencil Mfgr., Santa Monica • Sierracin / Sylmar Corp., Mfgr. of plexi-glass • Douglas Furniture, Redondo Beach • Sunset Tropicals, nursery 1998 • Four -Media (Film Developer) • Fish King (food processor) • Custom Foods (food processor) • Advance Paper Box (container materials) • Scott Bros. Dairy 1999-2000 • Umeya Rice cake Co. • Faith Plating Co. • Hendry telephone Products • JB French Dry Cleaners • Williams Furnace • Guilianos Bakery, Carson • Burlington Engineering, Anaheim Plexco Div. Of Chevron, extruded pipe Mfgr. • Foamex, foam Mfgr. • California Glass Bending Burbank Steel heat treating • B&W Tile Manufacturing Co. • Lander Corp., cosmetics Mfgr., Camarillo • Free Flow Packaging (Container matl's.) • Valley Plating (Metal Finishing) • Prime Plating (Metal Finishing) • MFG West (aerospace fiberglass Mfgr.) • Certified Grocers (Large bakery) • Nippodenso Sales (Auto parts Mfgr.) • California Offset Printing, Glendale • Criteria Catalyst • Ted Levine Drum Co. 5. "Power Agency of California" A cooperation of City Public Municipal Utilities from Azusa, Colton, Riverside Contact: Bob Tang, 818-812-5214 (Former contact Mary Jane Parks) "Customer Assistance Program" This program was implemented by these City -Owned electric utilities, similar to Vernon Public Utility Dept., to provide Public Benefit Programs for their largest commercial and industrial customers. Goals of the program were to : 1) Lessen customers electric costs, 2) Process productivity improvements, and 3) Customer retention. 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-49so • FAX (310) 543-5519 • WWW.GRTA-COM 04/ 10/00 Page 17 GRT was selected as one of the retained consultants after an open request for qualifications / request for proposal process. Customers are selected by the utilities. GRT was assigned to the City of Azusa Water and Electric Department. We assisted in refining the program and setting report formats, scope of services for a typical audit, etc. Actual sites where on -site audits and analyses occurred are as listed below. Costs of services varied according to facility size and complexity between $2,500 — 5,000 with an average of $3,000 per site. Key GRT personnel were" 1) Glenn Tanner, PE, Principal Engineer, on -site data collection, evaluation of mechanical alternatives, project oversight, reports; 2) Jack Rosenthal, PE, Electrical Engineer, on -site data collection, utility billing analysis, evaluation of electric alternatives, reporting; 3) Dan Skurkis, PE, computer energy modeling, evaluation of alternatives, economic analysis. 1996 / 1997 • Optical Radiation, Azusa, optical components Mfgr. • Hansen's, refrigerated food processing, Azusa • TH Molding, Div. Of Rainbird Corp., injected molded plastic irrigation parts 6. Southern California Edison (SCE) Contact: Lance Chontos, 909-394-8922 "Industrial Process -Based Efficiency Pilot program" This was a `pilot program' provided by SCE for one year (1995). Objective of the program was to assist industrial customers with co -funding for technical bases analysis and efficiency studies for process improvements and improve electrical efficiency and reduce waste. The program was not continued beyond 1995. GRT provided one on -site survey of an industrial facility. 1995 • Automotive Wheels Inc., Mfgr. of metal auto wheels 7. "Los Angeles Unified School District" Third Party energy service company auditing, design, financing and design for HVAC, lighting, and Facility improvements for elementary, middle, and high schools/ Contact: 1) Warner Technology Inc, Joe Ferrari 2) Landis & Staefa, Dan Feld, 714-761-2200 3) Johnson Control, Chuck Farmer This program provides preliminary energy evaluation audits for all types of schools, elementary, middle, and high schools. Measures noticed and evaluated include: Classroom & office lighting, emergency lighting, outside lighting, exit lighting, HVAC systems, Heat pumps, central chiller / boiler plants, ventilation, air handlers, variable speed drives, alternative chillers, thermal 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 9 TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTACOM 04/ 10/00 Page 18. energy storage, pre -construction design service, design for submittal to Department of State Architect. 1998 • Mount Vernon Middle 0 Alexandria El. 1070' SL El. • Carver Middle 0 Caroldale Learning 0 Palisades HS • Manual Arts High Sch. Community 0 Raymond Av. EL • Jefferson HS • Fremont HS • San Pedro St. El. 20a' St. EL • Rosewood El. 0 Arlington Heights El. 0 280' SL El. • Plascencia El. 0Broadacres Ave. El. 0 • Banneker Special Ed. Ctr. • Carson St. El. 0 Union Av. El. • MLK Jr. El. 0 Grape St. El. University HS • Barrett El. Gulf Av. El. St. El. 0 0 Vine St. El. Westwood School • Ramona El. • 52"d • 95's St. El. La Salle Ave. EL • 49`s St El. Magnolia El. • Rosemont El. Narbonne HS 1999 • Cabrillo ES. Child Ctr. 0 Hawaiian ES, CC Q Hollywood High Sch. Wilmington Park ES, CC • Hollywood Adult Sch. • • Park West. ES / Child Ctr. Normont ES, Child Ctr. 9 Coeur D'Alene Av. ES Fairfax HS • Harbor Occ. Center 0 Normandie CC Franklin HS St. ES • Roosevelt HS • • Barton Hills ES • Taper ES 0 92"d 112'' St. ES / CC • Muir MS • 186`s St ES 0 West Vernon ES 0 Manna del Rey MS • Fries ES 0 Woodcrest ES 8. "Energy Controls and Concepts" Lighting Retrofit Projects On -site Audits including facility lighting & controls, Exit signs. • Riverside City Hall Complex • Los Angeles Cellulai Tetephone Company • Riverside Unified School District • La Z Boy Corporation 0Mojave Unified School District • • Allegiance Health Care American Suzuki Motor Corporation • Montessori Schools • Bentley Mills, Inc. • NavCom Defense Electronics • Chapman University • Newport Mesa Unified School District • Charles Drew Medical Center • Nippondenso Corporation • Citizens Business Bank aRedlands Community Hospital • Cities of Arcadia, Colton, Covina • Regency Healthcare Corporation • City of Glendale • Santa Barbara Aerospace • City of San Bernardino • Shea Business Properties • Claremont Unified School District • Simi Valley Unified School District • El Monte City School District • Textron Industries • Holiday Retirement Corporation • US Post Office • Inland Valley Medical Center • Petis VA Hospital ® Jurupa Unified School District 0 Voit Companies ® Lockheed Martin Corporation • Whirlpool Corporation 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 9 TEL (310) 543-4980 0 FAX (310) 543-5519 • WWW.GRTA.COM 04/10/00 Page 19 Section 5.0: Project Team Qualifications & Resumes The City Of Vernon PBP "Technical Assistance" team will be led by Glenn Tanner, PE, Principal engineer of GRT & Associates, Inc. As principal of CRT & Associates, Inc. (GR7), Mr. Tanner oversees the firm's Environmental Engineering and Mechanical Engineering /Energy Conservation capabilities. His responsibilities include overall design and engineering responsibility, cost estimating, and work quality assurance, business development, and client relations. Mr. Tanner has over twenty years of experience in general plant management, engineering supervision, project management, project and design engineering, plant operations, maintenance, environmental design, and inspection for the petroleum, chemical processing, power production, and district. heating and cooling industries. He founded the firm in 1990. GRT provides engineering services to Industrial, Power Plant, Petrochemical, Large Commercial, Institutional (Hospitals & Schools), and Retail customers. Specific experience and expertise in the field of energy conservation, mechanical / electrical / plumbing (MEP) design, and facilities engineering services includes: ` Commercial, Industrial, Institutional Energy Audits ` HVAC System Design ` Process Plant / Petrochemical Design ` Oil Field / Refining Processing Design ` Industrial Mechanical -Plumbing Engineering ` Electrical & Utility Engineering ` Cogeneration ` Gas Fired Cooling & Thermal Storage Due Diligence MEP -Fire Protection Inspections • Tenant Improvement MEP Engineering ` Risk Management & Prevention Plans ` Project Management Services Mike Dajoo, Vice President & Project Manger for GRT is presently selected to project leader for this project. Jerry Ingwalson is presently on staff as project engineer & energy auditor. `.r The lighting analysis team is directed by Jonathan H. Baty, a Certified Lighting Management Consultant (CLMC). All lighting auditors are certified Senior Lighting Technicians. All certification has been done through a review and testing procedure in place by the International Association of Lighting Management Companies (NALMCO) of which Energy Controls and Concepts is an active member in good standing. This team has been responsible for conducting over 20 million square feet of lighting audits and analysis for a vast variety of clientsfrom Fortune 500 Companies as part of the EPA Green Lights Program to school districts and local business interests. Please refer to the following pages that contain the requested detailed professional resumes of key project personnel. Also on the following pages, please find the following Organizational Charts: 1) GRT- Vernon 3655 TORRANCE BLVD. SUITE 340 • TORRANCE, CA 90503 • TEL (310) 543-4980 9 FAX (310) 543-5519 0 WWW.GRTA.COM GLENN R. TANNER, PE Principal Engineer Education: Bachelor of Science, Mechanical Engineering University of Southern California Summary: As principal of GRT & Associates, Inc. (GRT), Mr. Tanner oversees the firm's Environmental Engineering and Mechanical Engineering / Energy Conservation capabilities. His responsibilities include overall design and engineering responsibilities, cost estimating, and work quality assurance, business development, and client relations. Mr. Tanner has over twenty years of experience in general plant management, engineering supervision, project management, project and design engineering, plant operations, maintenance, environmental design, and inspection for the petroleum, chemical processing, power production, and district heating and cooling industries. He founded the firm in 1990. GRT provides engineering services to Industrial, Power Plant, Petrochemical, Large Commercial, institutional (Hospitals & Schools), and Retail customers. Specific experience and expertise in the field of energy conservation, mechanical / electrical / plumbing (MEP) design, and facilities engineering services includes: * Process Plant / Petrochemical Design * Energy Audits * Industrial Mechanical -Plumbing Engineering * Cogeneration * Due Diligence MEP -FP Inspections * Risk Management & Prevention Plans * Oil Field / Refining Processing Design * HVAC System Design * Electrical & Utility Engineering * Gas Fired Cooling & Thermal Storage * Tenant Improvement MEP Engineering * Project Management Services Specific experience and expertise in the field of environmental services includes: * Environmental Assessments * Hazardous waste Management Programs * Waste Water Treatment Plant Design * Regulatory Agency Permitting * Pollution Control Facilities * Groundwater & Soil Sampling / Analysis * Site Remediation & Clean -Up * Underground Storage Tank Removals * Air Emissions Reduction Projects * Asbestos Assessments & Removal Glenn founded the firm a sole proprietorship in 1990. Since then, the firm has incorporated in the State of California and has expanded to its present size. Glenn R. Tanner Resume Continued Page 2 Project Experience: Bryant and Associates, Inc., Torrance, CA Vice President Environmental and Engineering Served as principal of Engineering division for Bryant & Associates which includes Environmental Engineering, Civil / Structural Engineering, Construction Management Services, Mechanical / Energy Engineering, and Land Surveying capabilities. Responsible for the overall design, proposals, engineering services, costs, customer satisfaction, plus marketing for new business. Increased billing by 50% within one year, increased staff size, upgraded personnel, and improved content and accuracy of deliverables . Built new JKBA practice in Energy / Mechanical Engineering field and greatly expanded number of environmental projects. Recent projects include contaminated soils & groundwater assessments and remediation projects using a variety of available methods at several sites throughout Southern California. Also performed are Phase 1 Assessments, asbestos sampling, hazardous materials evaluations, and underground storage tank removals. Upgraded boilers and internal combustion engines / turbines to meet SCAQMD regulations and improve efficiency. Pacific Energy / Central Plants, Inc. (CPI) Plant Manager - Century City, Bunker Hill, and Greyhound Mr. Tanner was responsible for all aspects of operations for three plant locations (replacement value: $85 million) comprising 38,000 of the company's 48,000 installed cooling tons; 80% of company's assets replacement value; 65% of the company's annual sold ton -hours; yearly expense budgets'totaling $10 million. The Century City HVAC plant is the largest on the West Coast (22,000 installed tons). As Plant Manager, Mr. Tanner managed a combined crew of twenty-five people (supervisors, licensed steam engineers, operation engineers, mechanics, and assistants) at three plant locations. He had bottom line responsibility for all costs of sales (fuel costs), operating costs, and maintenance costs. Mr. Tanner brought aging and neglected power plants up to current standards. He also provided hazard operation & maintenance plans and air toxins surveys for each facility. Mr. Tanner's specific accomplishments at CPI included reducing total O&M. costs at these locations by $1,100,090 in 1989 vs. 1988 (21 % reduction) and improved plants' thermal efficiencies including raising output / input ratio at Bunker Hill from 84% to 100% in 1989. Prior to becoming Plant Manager, Mr. Tanner was the Engineering and Construction Manager for CPI. His responsibilities included the overall performance of the CPI Engineering & Construction group that consisted of Process Engineers, Project Engineers, Construction Coordinator, Designers, and Technical Assistants. His specific duties were: Performed all group personnel leadership functions such as appraisals, performance planning, and salary administration; set job priorities, and supervised group efforts for operations and maintenance support. Mr. Tanner was hired as the first CPI Project Engineer and was then promoted to Manager where he completed forming the group by hiring a Process Engineer, Construction Coordinator, Drafter, and Technician. He obtained two new energy customers (first for CPI in ten years). Mr. Tanner improved Glenn R. Tanner Resume Continued Page 3 plant -operating costs at all locations including lowering chilled water production cost at Bunker Hill from $7.50 per Million Btu to $5.40 (yearly savings. Chevron USA, Inc. - El Segundo Refinery Project Manager - Pipeline Leak Prevention Program. As Project Manager for Chevron, Mr. Tanner formulated and implemented a $10 million refinery -side task force to eliminate buried pipelines as sources of groundwater pollution. He coordinated the design group to install leak prevention and detection methods and he evaluated experimental methods of detecting hydrocarbon leaks below the ground surface. As Maintenance Supervisor, Mr. Tanner conceived and implemented the chemical cleaning and hydroblasting group in addition to controlling the division capital budget, and performed an economic evaluation of all projects. Mr. Tanner designed and supervised a computerized work activity sampling program and set up a division technical hiring program. His assignments as plant shutdown supervisor and turnaround coordinator were for major maintenance projects between $1 and $12 million. Mr. Tanner also served as Major Project Engineer where he supervised contract engineers and designers on several capital projects over $1 million. He defined project parameters, critical path schedule, priorities, and quality standards and was responsible for contract training and appraisals. While with Chevron, Mr. Tanner served as a Facilities Planning Engineer which included the designing, estimating, and analyzing rate of returns, and preparing large expenditure requests (over $1 million) for final design and construction. As Design Engineer for Chevron, Mr. Tanner worked on the design and construction of capital and maintenance projects in the Fluid Catalytic Cracking Unit, Catalytic Reformer, Low Sulfur Fuel Oil Division, Alkylation plant, and gasoline/ammonia/LPG loading facilities. Mr. Tanner's responsibilities .also included serving as Recruiting Coordinator for Chevron at nine universities throughout the county. In this capacity, he reviewed campus interview files, offered plant visits, interviewed candidates, and formulated salary offers. He was responsible for hiring thirty-one engineers in one year, a refinery record. Professional Registrations & Activities: • Registered Mechanical Engineer - No. M-20147, California • Registered Environmental Assessor - No. REA-03101, California • Association of Energy Engineers, Southern California Chapter (AEE) • Association of Professional Energy Managers (APEM) • International Conference of Building Officials (ICBO) • National Fire Protection Association (NFPA) Community Activities: • Chairman, City of Torrance Planning Commission • President - USC School of Engineering Dean's Circle Leadership Committee • President - Hollywood Riviera Homeowners Association (3,600 Homes) • Graduate - Leadership Torrance - South Bay Program 1998. MIKE M. DADJOO Vice President - Project Manager Education: Bachelor of Science, Mechanical Engineering, 1982 Master of Science, Mechanical Engineering, 1986 University of Muenster, Germany Summary: As Vice President and principal of GRT & Associates, Inc. (GRT), Mr. Dadjoo oversees the firm's Mechanical and Electrical Engineering / Energy Conservation projects. His responsibilities include overall design and engineering responsibilities, cost estimating, and work quality assurance, business development, and client relations. Mr. Dadjoo has over fifteen years of experience in engineering supervision, project management, project and design engineering; plant operations, and maintenance for Large Commercial, Institutional (Hospitals & Schools), Industrial, and Retail customers. Mike has specific experience and expertise in the field of energy conservation, mechanical / electrical / plumbing (MEP) design, and facilities engineering services. Project Experience: Warner Technologies, Inc., Los Angeles, CA. Director of Energy Service & Project Manager Responsible for all aspects of engineering services including HVAC design, mechanical equipment, and plumbing systems. Major projects included replacement, of lighting, air-conditioning, heating, controls, and sprinkler systems at Los Angeles Unified School District elementary, middle, -and high schools plus occupational and child care centers. Building Mechanical Systems, Inc., Irvine CA. Project Manager Responsible for mechanical design and energy management for projects located at large commercial, corporate headquarters type projects. Design activities included: HVAC systems for commercial, industrial, and tenant improvement sites, evaluated alternative solution and cost / benefit analysis to select best value systems, calculated energy uses including heating & cooling loads using computer simulation (Trace, DOE, HAP), documented Title 24 forms in accordance with California Energy Commission guidelines, contract negotiation regarding scope, schedule, and cost estimates, and provided planning, budgeting & troubleshooting of ongoing projects. Mike M. Dadjoo Resume Continued Page 2 Richard Palmer Energy Management Engineering, Santa Ana. CA. Manager of Energy Engineering Consulting engineering firm specializing in energy & mechanical projects for large commercial and retail clients. Design activities included: HVAC systems for commercial, industrial, and tenant improvement sites, evaluated alternative solution and cost / benefit analysis to select best value systems, calculated energy uses including heating & cooling loads using computer simulation (Trace, DOE, HAP), documented Title 24 forms in accordance with California Energy Commission guidelines, contract negotiation regarding scope, schedule, and cost estimates, and provided planning, budgeting & troubleshooting of ongoing projects. Architraff 99, Muenster, Germany Project Engineer Responsible for mechanical and structural design, planning, and project execution.. Prepared schedules, and monitored subcontractors for work quality, scheduling, and cost compliance. Professional Registrations & Activities: • Certified Energy Plan Examiner, State of California • CABEC, California Association of Building Energy Consultants, Certified Energy Analyst • Member American Society of Heating, Refrigeration, Air-conditioning Engineers, ASHRAE • Association of Energy Engineers (AEE) JARED "Jerry" INGWALSON Project Engineer Education: Bachelor of Science: Aviation Technology Purdue University, 1990 Summary: As project engineer / project manager of GRT & Associates, Inc. (GR7), Mr. Ingwalson provides engineeering services in the areas of comprehensive energy audit evaluations and customer design assistance in the areas of heating, ventilation, air conditioning (HVAC) and lighting systems for large commercial, health care, industrial, schools, and utility clients. As a consultant for Anaheim Public Utility, Jerry manages the day to day operations of Anaheim Public Utilities Department's Public Benefits energy programs. Responsibilities include: field inspections of installed equipment, calculations and paperwork required for the issuing of customer incentives, energy audits (audits include lighting, mechanical systems and process equipment), equipment analysis and report preparation. In addition to his duties managing our Anahein contract, Jerry also provides comprehensive energy evaluations for a variety of GRT's commercial & industrial clients. Project Experience: Energy Conservation Study: (Los Angeles Unified School District) As a sub -consultant for Warner Technologies, Siemens, & Johnson Control for-GRT, Jerry conducted mechanical surveys of approximately 75 Elementary, Jr. High Schools, and High Schools for Los Angeles Unified School District. Responsibilities included: field audits of mechanical systems, equipment analysis and report preparation. Energy Conservation Study: University Of Southern California (Energy Alliance) As a sub -consultant for Energy Simulation Specialists, Jerry conducted detailed lighting surveys for the University of Southern California. Responsibilities included: cost estimating, analysis, report preparation as well as performing the lighting surveys. This effort included room -by -room fixture counts as well as evaluating existing light levels for conformance with IES standards. Jerry Ingwalson, Resume Continued Page 2 Energy Conservation Study: City of Los Angeles Civic Center Complex (Southern California Gas Company) As a sub -consultant for Retrofit Originality Incorporated, Jerry conducted the lighting surveys for over three and a half million square feet of city -occupied space within the Los Angeles Civic Center Complex. Responsibilities included: development of a lighting measure database, cost estimating, report preparation as well as performing all of the lighting surveys. This effort included room -by - room fixture counts as well as evaluating existing light levels for conformance with IES standards. Energy and Water Conservation Study: Naval Construction Battalion Center, Port Hueneme (Southern California Edison) As a sub -consultant for Robert Bein, William Frost & Associates, Mr. Ingwalson served as the lighting audit field supervisor for the survey and analysis of approximately five hundred facilities at NCBC Port Hueneme. Responsibilities included: management of four lighting auditors, development of a lighting measure database, cost estimating, as well as physically participating in day-to-day audit activities. This effort involved performing room -by -room fixture counts, evaluating existing light levels for conformance to IES standards and developing a base -wide lighting standard for retrofits as well as future new construction. In addition to the lighting audits, Jerry assisted with the auditing of building mechanical systems. Responsibilities included data collection and evaluation of mechanical systems. Energy and Water Conservation Study: Naval Air Weapons Station, Point Mugu (Southern California Edison) As a sub -consultant for RBF & Associates, Jerry served as the lighting audit field supervisor for the survey and analysis of approximately 130 facilities at NAWS Point Mugu. Responsibilities included: management of four lighting auditors, development of lighting measure database, cost estimating as well as physically participating in day-to-day audit activities. This effort involved performing room - by -room fixture counts, evaluating existing light levels for conformance to IES standards and developing a base -wide lighting standard for retrofits as well as future new construction. In addition to the lighting audits, he assisted with the auditing of building mechanical systems. Responsibilities included data collection and evaluation of mechanical systems. Energy and Water Conservation Study: Naval Medical Center, San Diego (San Diego Gas & Electric) As a sub -consultant for RBF & Associates, he provided lighting retrofit analysis support for specific facilities as part of the survey of twenty facilities totaling two million square feet. Energy Management and Modernization Program (Southern California Gas Company) As a sub -consultant for RBF & Associates, Jerry provided field surveys, analysis, report preparation and construction cost estimating for the lighting portion of a number of both commercial and industrial facilities for the Energy Management and Modernization Program projects. These facilities included hospitals, schools, hotels, commercial office buildings as well as manufacturing facilities. RESUME: Stephen T. Guthrie, is President and CEO of Energy Controls & Concepts. Stephen manages the day-to-day business and is responsible for overseeing all management activity including, operations, accounting, design & engineering, marketing and administration. Stephen is also involved in political and government interests, industry organizations, and other business related matters. Stephen was responsible for the formation of the Inland Empire Association of Professional Energy Managers (APEM) and is a past President for that organization. Stephen has an extensive 20 year background in business and marketing, having built, developed, operated and managed several small cable television franchises. Stephen sold his ownership interest of cable television properties in 1994 and is now totally focused on building and developing Energy Controls & Concepts. Since the inception of ECC, Stephen has actively engaged course studies in lighting'through the Illuminating Engineering Society including some of the. most advanced classes that IES has to offer. Stephen is also a past president of the Arrowhead IES Section and has an active interest in independent studies related to lighting, the aging eye, perceptual and behavioral aspects related to lighting. Education: Graduate 1973, Frankfurt High School, Germany 1974 - General studies, Longview Community College, KC, MO Special training with Westinghouse Corp. in media,. media marketing and market segmentation. Excellent computer skills. RESUME: Jonathan H. Baty, is Lighting Design/Applications Engineer for Energy Controls & Concepts. Jonathan has been employed by ECC for over 7 years. Jonathan's responsibilities include nearly all technical concerns as it relates to lighting design, specifications and analysis, and daylighting design. Jonathan has been responsible for the lighting designs of many notable projects. He is highly regarded as an expert in his field and respected for his design talents in developing highly efficient lighting systems. His responsibilities at ECC include directing our technical analysis, developing feasibility studies, architectural and reflected ceiling designs, maintenance program development, daylighting controls; lighting systems analyses. Jonathan is also ECC's corporate liaison to the EPA's "Green Lights' - program. Jonathan worked collaboratively with the Green Lights program to develop case studies of FCC's innovative design/build approaches. He has also authored articles discussing computer visualization tools for lighting design in various lighting publications. Jonathan is a Certified Lighting Management Consultant (CLMC) by the International Association of Lighting Management Companies. Jonathan graduated with honors from University of Colorado -Boulder Department of Civil Engineering -Architectural Engineering in 1990. 1990-Present . Energy Controls & Concepts. Education University of Colorado, Boulder 1986-1990 - Student, studies included architecture, design and design theory, luminous radiative transfer, illumination I & II, daylighting, day -lighting design, building electrical systems, historic preservation technologies and the psychology of human perception. B.S. Architectural Engineering, University of Colorado at Boulder August 1990 - (Honors) 1985-1987 Day & Armantrout Architects & Planning Consultants, Architects Assistant, summer job while in school. Responsibilities included CAD specifications, site visit reporting, preliminary design, prepared submittal/ proposals for various projects. JUDI SYREN OFFICE MANAGER CUENT CONTACT GLENN R. TANNER, PE PRINCIPAL ENGR PROJECT MGR. MIKE DADJOO VICE PRESIDENT I PROJECT MGR. BUD KELLY, PE ROY LEE, PE CML ENGINEER ELECTRICAL ENGINEER JIM MUNGER I DAN SKURKIS, PE COMPUTER H.VAC. GEOLOGIST I MODELING KEN WICKS I ENVIR ENGR I ENVIRONMENTAL SERVICES I SOIL/GROUNDWATER I PROJECTS SITE ASSESSMENTS SITE REMEDIATION WATER TREATMENT WASTE WATER PROJECTS ENVIRONMENTAL DRAWING TITLE: GILT ENERGY CONSERVATION ASSOCIATES, INC. MECNANICAUELECTRICAi SCALE: None FACILITIES ENGNEERNG 3655 TORRANCE BL SURE 340 TEL (3101 $43-4980 ,pe NO.: TORRANCE CA 905M FAX (3101 $43-5519 SUB-CONTR'S SUBCONSULTS HERMAN GERKE SENIOR MECH. ENGINEER RAUL VIVAS, PE CMUSTRUCTT, EN( CADD SUPERVIS01 CARD DESIGNERS CADD DRAFTING JERRY INGWALSON SENIOR ENERGY ENGINEER PROD. FINANCIAL ANALYST ESTIMATOR 8wV Audtm (FUo Taw) (Part Time) ENERGY CONSERVATION PROGRAMS MECHANICAL PROJECTS ELECTRICAL PROJECTS H.V.A.C. PROJECTS FACILITIES ENGINEERING AIR QUALITY GRT & ASSOCIATES, INC. Organization Chart DRAWN BY: 2&1- DATE: 08-198 DRAWING NO.: REVISION NO.: 0 AUDITOR: LIGHTING CLIENT CONTACT C40N R. TANNER PE PRNCIPAL ENGR PROJECT MGR. MIKE DADJOO, VP PROJECT MANAGER JON BAN E.C.C. LIGHTING AUDITOR LIGHTING AUDITOR I PROD. ENGR. JERRY INGWALSON AUDITOR: AUDITOR MECHANICAL, MECHANICAL, ENERGY ENERGY VERNON PUBLIC BENEFITS PROGRAM G&TENERGY ENVIMONMENTAL DRAWING TITLE: Organization Chart CONSERVATION & ASSOCIATES, INC. MEcHAN A xLECTRm SCALE: None DRAWN BY: —Z2--Z - — DATE: 4-5-2000 FACNTIES ENGINEERING AV 3655 TORMA ICE BL SUITE 340 TEL (310I 543-4980 DRAWING REVISION TORWCE CA 9= FAX •(31q 543-5519 JOB NO.: NO.: NO.. 0 wwwfu= E-ma0: iafobucom .k 04/ 10/00 Page 10 Section 4.0: Statement of Qualifications & Listing of Related Experience: 4.1 Overall Statement of Qualifications: GRT & Associates, Inc. (GRT) is very experienced in providing these services as we have doing exactly what you desire for other Utilities and Municipalities. We have provided comprehensive "Public Benefit Program" per AB-1890 energy audit services in the related fields outlined in your RFP for the Southern California Gas Company, City of Azusa Public Utilities Department, Southern California Edison, and the Los Angeles Unified School' District, among others. We were selected in 1998 by. the City of Anaheim to implement their Public Benefit Program for Commercial & Industrial customers and are in our second contract year of service. We are a full service mechanical — electrical — energy engineering firm. The areas of expertise of our firm and project team include comprehensive energy evaluation and project design services for large & small commercial, industrial, institutional, hospital, and educational facilities in the areas of lighting and lighting controls, exit signs, food services, HVAC equipment & heat pumps, thermal storage, variable speed drives, ventilation equipment, energy management services, building design aspects, and Title 24 compliance. In addition, we are partnering with the well known lighting design and retrofit firm, "Enery Controls and Concepts (FCC) "to provide expert / specialized lighting and lighting controls evaluations services wherever needed as part of this proposal A comprehensive list of related energy auditing projects recently completed is shown in this Section of this proposal. 4.2 References & Specific Listing of Recent Related Experience: - The advantage for working with GRT is that we are a smaller firm designed to provide maximum responsiveness and customer service with customized, high quality service. In addition to our extensive experience performing actual Public Benefit Programs to customers for other utilities including Demand Side Management surveys, load shifting scenarios, power generation alternatives, etc ..., we have also participated in many development and demonstration projects by installing new types of equipment to qualify for funding from other utilities, so we also familiar with these requirements. We have had past customers located inside the City of Vernon, so we already are familiar with your rate schedules and department services. 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTACOM 04/10/00 Page 20 Public Benefits Program Project Organizational Chart; and 2) Present GRT &Associates, Inc. firm organizational chart. Section 6.0: APPENDIX The following items are included for your review ... • Text Summary of Our Presentation to the Association of Energy Engineers (AEE): "Energy Auditing -A Beginning Point" • Sample / Suggested Flow Diagram - P.B.P. Program Overview • Suggested Public Benefits Program Marketing & Training Strategies • Example GRT Energy Audit Report (Sample Industrial Customer) • GRT & Associates, Inc. Standard Terms & Conditions forms • GRT & Associates, Inc. brochure 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543.5519 • WWW.GRTA.COM 04/10/00 Page 21 Energy Auditing - A Beginning Point By Glenn R. Tanner, PE President & Principal Engineer GRT & Associates, Inc. Commercial & Industrial Customer Energy Management & Modernization Evaluations ... Overview of Today's Topic... • Buzzwords • Define Various levels of Energy Evaluations • Hierarchy of Measures • Collecting Data • Performing Evaluation • Presenting Results • Case Studies But First, a Few Acronyms... • ASHRAE — American Society of Heating, Refrigeration & Air-conditioning Engineers • DHW - Domestic Hot Water • ECM - Energy Conservation Measure • EEM - Energy Efficiency Measure • EMS — Energy Management System • HVAC - Heating, Ventilation, Air Conditioning • O&M — Operating & Maintenance • VAV — Variable Air Volume • VSD —Variable Speed Drive 3655 TORRANCE BLVD. SUITE 340 • TORRANCE, CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTA.COM 04/ 10/00 Page 22 How is an "Energy Management & Modernization Evaluation" Different from an "Energy Audit" . Energy Audit ... • Defined by Code of Federal Regulations 10 CFR § 455 • Survey of all Energy -Using Equipment • Does Not Result in ID & Evaluation of EEM's Energy Management & Modernization Evaluation • Defined By ASHRAE 1995 Handbook, Section 32.10 (3 Levels) • Includes ID & Evaluation of EEM's • "Value Added" Service for Customers ASHRAE Energy Evaluation Levels: • Level I "Walk -Through Assessment" • Level II "Energy Survey & Analysis" • Level III "Detailed Analysis of Capital -Intensive Modifications" Level I "Walk -Through Assessment" 1 Energy bill analysis and brief survey of building. Provide estimated costs & savings for no/low-cost measures. List potential capital improvements that merit further evaluation. Level of detail dependant on experience of person performing audit and paying client specifications. Level 11 "Energy Survey & Analysis" More detailed survey & analysis. Breakdown of energy use provided. Identifies and provides savings & costs for all practical measures. Discussion of impacts on facility O&M procedures. Evaluation of potential capital measures and recommendation for further data collection & analysis. Adequate level for most buildings & measures. Level 111 "Energy Survey & Analysis" 1 Detailed data collection and engineering analysis focusing on capital -intensive measures. Includes some preliminary design to define measures. Detailed project costs and savings information with high level of confidence sufficient for capital investment decisions. 3655 TORRANCE BLVD. SUITE 340 9 TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTA.COM .t 04/ 10/00 Page 23 - Array of Skills Needed for an "Energy Management & Modernization Evaluation'. • Mechanical Engineering • Electrical Engineering • Control System Engineering • Energy Analysis • Construction • Operating & Maintenance • Economics • Sales & Marketing Typical GIRT & Associates, Inc. Energy Evaluations: • Can be Considered ASHRAE Level II • May Lead to Level III for Certain Measures Energy Evaluation Overview. • Hierarchy of Measures • Gathering & Organizing Field Data • Evaluation & Calculations of Savings • Installation Costs • Presenting Findings Hierarchy of Measures Cali%mia Energy Commission methodology described in Technical Assistance report guidelines. O&M Measures Building Envelope Measures Lighting Measures DHW HVAC Measures Measures On -site Energy Generation 3655 TORRANCE BLVD. SUITE 340 9 TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 0 WWW.GRTA.COM 04/ 10/00 Page 24 Gathering & Organizing Field Data • Fully Equipped "Survey Kit" • Data Collection Forms • Facility Staff Interviews Evaluation & Calculations of Savings • "Equipment Based" vs. Load Based" • Straight -Line Calculations • Hourly Load Modeling The "Must -Have" Rule for Energy Surveys: • Balance the Utility Bills !!!!!! • "Disaggregation" or Breakdown of Demand & Energy Use Energy Savings Calculation Summary Maximum Load Equipment Operating Final (Nameplate) 10 Factor Operating Factor Energy Load (LF) Schedule (OF) Usage Installation Costs • Level I: "Rule of Thumb / Cost Indices" • Level II Engineering Estimates • Level III: Contractor Bids Presentation of Findings • Executive Summary / Table • Facility Description • Historical Energy Use • Utility Rate Schedules • Description of measures • Energy Savings Summary • "Next Steps" / Recommendations with Costs 3655 TORRANCE BLV®. SUITE 340 • TORRANCE, CA 90503 • TEL (310) 543-4980 0 FAX (310) 543.5519 • WWNIGRTA-COM 04/10/00 Page 25 SUGGESTED PUBLIC BENEFITS PROGRAM MARKETING & TRAINING STRATEGIES GRT is available, as an extra service of the requested energy auditing services described in this proposal, to provide Staff training and PBP marketing services to maximize the benefits of the PBP. Training of Dept. Staff could be performed at two levels: 1) Written training manual / booklet; and 2) On -site training class(es). Areas of training could include the following areas: • Energy management principles • Energy audit fundamentals • Sources of energy inefficiency • Lighting & lighting controls efficiency • Mechanical & HVAC systems efficiency • Insulation energy savings • Electric motor & VSD upgrades • Measurement & Verification (MV 90) software Training booklet would contain written procedures of programs, sample forms, staff and consultant contacts, audit checklists in addition to technical material relating to the evaluation and analysis of the public benefit program included items such as lighting, exit signs, HVAC, heat pumps, energy management controls, and food service equipment. On -site training classes would be up to half -day class to review the booklet and establish procedures needed to complete program audits and required forms in accordance with Department requirements. Contents might include details of each program and help available from prime contractor, where to obtain information regarding the programs, contact addresses, telephone numbers and e-mail addresses, review of typically found energy efficiency opportunities in typical commercial and industrial customer facilities Resources required for training class are space sufficient for attendees and- trainers, overhead projector, screen, booklet reproduction capabilities. Materials to be provided by Department have been discussed throughout this proposal. GRT is available to provide form design and content review for each of the required forms. As a minimum, required forms are: Host Pre -approval Forms (HPF); specific Incentive application forms required for each of the eight programs; Project completion notice (PCN) form. In addition, specialized forms and materials will be developed and evolved from our standard audit forms and formats that will become specific to the Vernon PBP system. These will be developed by GRT and the Department as customer audits progress. Finally, there will be many marketing and promotional materials required as discussed below. GRT will provide design on an agreed upon fee basis, but Department will provide reproductions, mailing, and distribution costs. Note that any promotional related fees are not included in your project cost forms. 3655 TORRANCE BLVD. SUITE 340 9 TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543.5519 • VWVW.GRTA.COM 04110/00 Page 26 `Public Benefit Program' Promotiolr GRT recommends the following ideas for aggressively promoting all public benefit programs to Department customers: INTERNET WEB PAGE: Recommend that an Internet web page be established (www.vemonPBP.com ?) to publicize the Public Benefit programs to customers. In addition to detailed explanations of each program, program rules & regulations, eligibility requirements, and program parameters could be provided. Plus, on-line applications and FAX -back response of forms could be implemented. • P.B.P. FLYER MAILERS: Also suggest that attractive, comprehensive flyers fully explaining the Public Benefit Programs be designed, reproduced and placed in the monthly utility bill mailing envelopes for all commercial and industrial Department customers. • 1-800 TOLL FREE HOT LINE: Another method of proving program promotion is a toll free telephone hot line. Toll free line to have interactive voice mail capabilities such as `press l to hear a description of ...., or press 2 to obtain forms :.. INFORMATIONAL PRESENTATIONS: GRT would be available to provide one -or two 2 — 4 hour long presentation at various locations in the city (Department headquarters) to announce and explain the programs. Possibly the Department could interface with the Chamber of Commerce to search interested companies and use this mailing list as an additional source of promotion. 3655 TORRANCE BLVD. SUITE 340 • TORRANCE. CA 90503 9 TEL (310) 543.4980 0 FAX (310) 543-5519 • WWW GRTA.COM ' 04/10/00 Page 27 SAMPLE / SUGGESTED FLOW DIAGRAM P.B.P. PROGRAM OVERVIEW FCustomer signs Host Pre - approval Form (HPF) GRT: On -site energy audit survey & evaluation Comprehensive Audit report, select Programs applicable, Calc. Incentive Customer / GIRT submit Incentive Application form to Department Department review and approve Application Cust. Obtain 3 bids for installation, Begin Installation Customer. Complete Installation Project Department review installation, Final inspection Cust. submit Proj. Compl. Notice (PCN) to Dept Department review & approve PCN Department issue rebate / incentive check 90 Days 120 Days 3655 TORRANCE BLVD. SUITE 340 9 TORRANCE. CA 90503 • TEL (310) 543-4980 • FAX (310) 543-5519 • WWW.GRTA.COM 1 only mom i. 1 EXHIBIT B 2 SCOPE OF WORK FOR CITY OF VERNON 3 GRT & ASSOCIATES, INC. 4 1. Consultant shall perform comprehensive energy audits at all commercial and industrial facilitic 5 requested by Vernon customers and/or designated by City of Vernon staff. The comprehensiN 6 audit will require an on -site energy audit of all electric energy end -uses including lighting, HVA( 7 motors, building, envelope, water heating and refrigeration. 8 2. Consultant shall provide comprehensive energy audit reports that include an analysis of tY 9 existing system, proposed efficiency upgrades, an energy cost evaluation, estimated installatic 10 cost, simple payback, and other benefits including incentives that may be offered through the Cil 11 of Vernon Public Benefits Programs. Consultant will assist customer in obtaining whenev, 12 possible, three installation bids for any energy efficiency measures listed in the audit repot 13. Report shall be provided to customer and Department. 14 3. Consultant shall, as necessary, at the request of the customer provide individual equipment and/ 15 application audits. Consultant may be required to perform an audit that is specifically related 16 only lighting or HVAC. The same standards and requirements of service and product as 17 comprehensive audit must be met. 18 4. Consultant shall at the direction of the Department provide design assistance and review of ne 19 construction and renovation plans for commercial and industrial customers.. The consultants 20 identify electrical demand -side energy measures that exceed Title 24 building code standards 21 industry standards as applicable and provide economic analysis showing the cost effectiveness 22 each recommended measure. Furthermore, Consultant shall assist the Department as necessary 23 determining the applicable customer rebate for each recommended measure and complete g 24 administrative work necessary to process the rebate under the management of the Department. 25 5. Consultant shall assist City of Vernon with administration of all Public Benefits Prograr 26 including customer pre-screening, scheduling audits, calculating customer incentives, conductii 27 pre -inspections as necessary and submitting incentive application forms as appropriate 28 B - 1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Department and conducting post -installation inspections of qualified rebate energy measures a required. i. Consultant agrees to provide monthly status reports of each program's monthly progress, reporting in a database the key tracking variables such as prospects, customers approved, kW estimates for awarded projects, dollars of incentives committed, dollars of incentives paid, and other pertinen customer information. 7. Consultant agrees to respond to customer requests in a timely fashion. A timely fashion i determined as returning telephone calls within two (2) business days upon receipt and scheduling appointments for audits within two (2) weeks of contacting customers. Consultant 'agrees t complete all work including energy audits and incentives in a timely manner and provide customer and Department an appropriate product of service. 8. Consultant agrees to provide training to Department Staff that will explain Consultant's procedure for conducting audits, and processing coupons as well as discuss and explain as necessary the lates technological advancements in the energy efficiency industry. 9. Consultant agrees to be responsible for his own telephone service, computer hardware, software, and transportation. GRT & Associates, Inc. Project Cost Schedule 2000 Project Cost Schedule The following table summarizes proposed rates to complete the scope of work at each site as described in the Scope of Work (Exhibit "B"). Facility Size (SF) COMMERCIAL CUSTOMERS Lighting -Only Audit HVAC / Mech. Only ($/SF) Audit ($/SF) Comprehensive (Mech.- Ltg.) Audit $/SF 0 - 10, 000 $0.10 $0.08 $0.15 10,001 - 50,000 $0.06 $0.06 $0.10 50,001 - 150,000 $0.05 $0.04 $0.05 $0.03 $0.06 $0.05 Over 150,000 B - 2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 INDUSTRIAL CUSTOMERS Facility Size (SF) Lighting -Only Audit ($/SF) HVAC / Mech. Only Audit ($/SF) Comprehensive (Mech. - Ltg.)Audit ($/SF) 0 - 10,000 $0.05 $0.10 $0.15 10,001 - 50,000 $0.04 $0.07 $0.11 50,001 - 150,000 $0.03 $0.05 $0.065 Over 150,000 $0.025 $0.035 $0.055 FEE SCHEDULE The following table summarizes GRT's fee schedule for the year 2000. Any additional services, such a "new construction design review" or "engineering design services" may be provided on a "not -to -exceed or lump sum basis, as agreed upon beforehand, using these Fee Schedule rates. In CLASSIFICATION Clerk Typist Engineering Technician Proiect Accountant / Bo Drafter CAD Designer Planner/Estimator, Specification Writer, Environmental Technician Financial Analyst Engineer II• Civil, Environmental, Electrical, Mechanical Engineer: Civil, Environmental, Electrical, Mechanical, Geologist Senior Engineer: Civil, Environmental, Electrical, Mechanical, Sr. incinal - In - HOURLY RATE $25.00 $29.50 $37.50 $45.00 $50.00 $55.00 $55.00 $65.00 $65.00 $75.00 Geologist, Project $85.00 Professional Witness, Arbitration, Court, Deposition, Settlement Conference Services CLASSIFICATION HOURLY RATE Senior Engineer: Civil, Environmental, Electrical, Mechanical, Structural $120.00 Principal - In - Charge $150.00 B - 3 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Reimbursible Expenses ITEM Outside Blue PrintingService, CAD PlottingCost + 20% Special Format / Title and DrawingMedia Cost + 20% Travel: Air Fare, Car Rental, Meals, Lodging Cost + 20% Company Vehicle, per mile $0:32 Cost + 20% Long Distance Telephone Calls Cost + 20% Shipping & Delivery� Cost+ 20% Public Agency Fees / Permits Cost + 20% Special Consultant Soils, Laboratory, Seismic, Surveyor.. etc. In -House Plotting"D" Size Bond each $.00 In -House Plotting"D" Size Vellum each $30.00 In -House Plotting"E" Size Bond each $30.00 In -House Plotting"E" Size Vellum(each)$35.00 B e 4 EXHIBIT C 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 INSURANCE SCHEDULE (CONSULTANT) GRT & Associates, Inc. shall provide proof of insurance, within thirty (30) days of the full execution of this Agreement, including a standard certificate of insurance, in at least the following amounts and coverage (combined single limit permitted): Cov§rage PersonBodily IW= Property Damage Hazards Each , Automobile Liability Owned Automobiles $ 500,000 $1,000,000 $ 500,000 Hired Automobiles $ 500,000 $1,000,000 $ 500,000 Non Owned Automobiles $ 500,000 $1 000 000 $ 500,000 Workers' Compensation $Statutory Employers' Liabilily$1 OOO,QQ2ger emnlover II. General and Professional Liability General Liability $1,000,000 $2,000,000 $1,000,000 Premises Operations $1,000,000 $2,000,000 $1,000,000 Elevators (if applicable) $1,000,000 $2,000,000 $1,000,000 Independent Contractors $1,000,000 $2,000,000 $1,000,000 Products -Completed Operations $1,000,000 $2,000,000 $1,000,000 Contract Liability $1,000,004 $2 000 000 $1.000.004 Professional Liability$2,000-000 $2,000,000 $2,000,000 a. The general liability policy shall contain the following special endorsements which shall be noted on or attached to the standard certificate of insurance: 1. An endorsement naming the City of Vernon, its officers, and employees as additional insureds under the policy. 2. An endorsement providing the City of Vernon thirty (30) clays notice of cancellation or material reduction of coverage. 3. An endorsement providing coverage for all operations under this Agreement. 4. Such other endorsement as may be required by addendum hereto. b. In addition to the standard certificate of insurance, proof of general and professional liability coverage shall be furnished in the form checked below. Certification of the followin_g.proofs by th_e insurance ent or broker will not be accented: X For each policy, a notarized letter from the underwriter or carrier certifying that the coverage and statements in the standard certificate of insurance (attached thereto) are true and correct and that the signator is an officer authorized to so certify. A copy of each policy certified by an officer of the underwriter or carrier and notarized. EXHIBIT EXHIBIT D 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 211 22, 23 24 25 26 27 28 RESOLUTION NQ. 5600 A RESOLUTION OF THE CITY VERNON PROHIBITING THE COUNCIL CITY OF DISCLOSURE OF DATA AND INFORMATION GATHERED BY THE CITY FROM UTILITY CUSTOMERS AND BUSINESSES FOR PLANNING PURPOSES WHEREAS, the Department of Water and Power for the City of Vernon conducts surveys of utility customers for pur- poses of planning future growth and in order to advise cus- tomers on energy and water conservation; and WHEREAS, other departments from time to time find it necessary to gather information from businesses and industry for planning and advisory purposes; and WHEREAS, utility customers, businesses and industry have expressed concern about the confidentiality of such sur- veys and other information gathered for the use of the City of Vernon's departments, and have requested assurance that such materials shall be treated confidentially; and WHEREAS, Section 6254 of the Government Code of the State of California provides that certain public records are exempt from public disclosure, including, but not limited to, "Geological and geophysical data, plant production data, and similar information relating to utility systems development, or market or crop reports, which are obtained in confidence from any person"; and WHEREAS, Government Code, Section 6254.5 provides that the exempt status of such public records may be lost, if they are disclosed to any member of the public, unless the dis- closure of such records is: 1 EXHIBIT D 1 "(d) Not required by law, and prohibited 2 by formal action of an elected legisla 3 tive body of the local agency which 4 retains the writings. 5 (e) Made to any governmental agency 6 which agrees to treat the disclosed 7 material as confidential. Only persons 8 authorized in writing by the person in 9 charge of the agency shall be permitted 10 to obtain the information. Any informa 11 tion obtained by the agency shall only be 12 used for purposes which are consistent 13 with existing law.11 14 NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF 15 THE CITY OF VERNON AS FOLhoWS: 16 SECTION 1: The City Council of the City of Vernon 17 hereby finds and determines that the recitals contained 18 hereinabove are true and correct. 19 SECTION 2: Any records, including, but not limited to 20 data, information, reports, surveys, studies, estimates, 21 evaluations, and statements of any kind, which are gathered 22 by any department of the City of Vernon, shall be obtained in 23 confidence, if such records are exempt from disclosure as a 24 public record, pursuant to Government Code, Section 6250, 25 se.� 26 SECTION 3: The disclosure of any such record, except 27 as required by law, or made pursuant to the provisions of 28 Government Code, Section 6254.5, shall be and is prohibited. 2 0 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 2' 24 2' 21 2 2 SECTION 4: The City Clerk of the City of Vernon shall certify to the passage of this resolution and thereupon and thereafter the same shall be in full force and effect. APPROVED AND ADOPTED this 28th day of Februarys 1989. 0 ATTEST: BRUCE V. MALKENHORSTI City Clerk E LEONIS C . MALBu.Ku l Mayor 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 2( 2i 2( STATE OF CALIFORNIA ) ) ss. COUNTY OF LOS ANGELES) I, BRUCE V. MALKENHORST, City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. 5600, was duly adopted by the City Coun- cil of the City of Vernon, and was approved by the Mayor of said City `at a adjourned regular meeting of the City Council held on Tuesday, February 28, 1989. 111 ( SEAL) BRUCE V. MALRENHORST, City Clerk 4 OCT-03-2000 TUE 04:01 PM EDUARDO OLIVO CITY OF VERNON City Attt> mey's Office Memo '1'0: cc: 1"Mm: Date: Re: Joan Iyrancone Richard Sweeney Eva De La. Rosa Bruce V, Malkenborst Eduardo Olivo September 27, 2000 GRT & Associates, Inc. - Insurance Requirements I have received your niemordiidum dated September 18, 2000, As indicated in your memo, the reduction in professional liability policy limits for the abovo-referenced contiact have been approved by my office. dsknrugpiimMavr.na\CimcwcO92900 MEMORANDUM RISK MANAGEMENT/PERSONNEL TO: Gloria Orosco, Chief Deputy City Clerk FROM: Joan Francone, Risk Manager DATE: September 18, 2000 SUBJECT: GRT & Associates, Inc. The above referenced insurance coverage is acceptable pending the City Attorney's approval of the reduction in professional liability policy limits. Please contact me if you have any questions. JF/fs Enclosures cc: City Attorney Richard Sweeney, Resource and Project Planning Manager Eva De La Rosa, Energy Management Representative Agency Name and Address: Professional Practice Insurance Brokers, Inc. 2244 West Coast Highway, Suite 200 Newport Beach, CA 92663 Insureds Name and Address: GRT & Associates, Inc. 2377 Crenshaw Boulevard, Suite 156 Torrance, CA 90501-4813 Certificate of Insurance 1 OI 1 #191L4 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED THE POLICIES LISTED BELOW. A. Firemen's Fund Insurance Con B. Arnerican Motorists Insurance C,Continental Casualty Company D. E. COVERAGES: THIS IS TO CERTIFY THAT POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAT rtKIAM. i nt INbUKANGt AFI-UKUtD BY I HE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS, AND CONDITIONS OF SUCH PULIGIES. TYPE OF INSURANCE POLICY NUMBER EFF.DATE EXP.DATE POLICY LIMITS A GENERAL LIBILITY ASlAZC80513118 04/01/00 04/01/01 0 Commercial General Liability ❑ Claims Made ® Occurrence ❑ Owner's and Contractors Protective • AUTO LIABILITY ❑ Any Automobile ASlAZC80513118 04/01/00 04/01/01 ❑ All Owned Autos ❑ Scheduled Autos 0 Hired Autos Non -owned Autos ❑ Garage Liability EXCESS LIABILITY ❑ Umbrella Form ❑ Other than Umbrella Form B WORKERS' 7BG08841801 09/01/00 09/01/01 COMPENSATION AND EMPLOYER'S LIABILITY C PROFESSIONAL SFE113963942 04/01/99 04/01/02 LIABILITY* General Aggregate: $2,000,000 Products-Com/Ops Aggregate: $1,000,000 Personal and Adv. Injury: $1,000,000 Each Occurrence: $1,000,000 Fire Dmg. (any one fire): $100,000 Combined Single Limit: $1,000,000 Bodily Injury/person: $0 Bodily Injury/accident: $0 Property Damage: $0 Each Occurrence: Aggregate: Statutory Limits Each Accident: $1,000,000 Disease/Policy Limit: $1,000,000 Disease/Employee: $1,000,000 Per Claim $250,000 Aggregate $500,000 $0 Description of Operations/LocationsNehicles/Restrictions/Special items: ALL OPERATIONS OF THE NAMED INSURED. INCLUDING THE PROFESSIONAL CONSULTING SERVICES FOR ENERGY AUDIT AND ASSISTANCE FOR PUBLIC BENEFIT PROGRAMS PROJECT. GENERAL LIABILITY ONLY: ADDITIONAL INSURED ENDORSEMENT ATTACHED. *Writtan at annrpnata limitc of liahility not lace than amni int ehrnnm Certificate Holder: City of Vernon Attn: Joan Francone 4305 Santa Fe Ave Los Angeles, CA 90058 THE AGGREGATE LIMIT IS THE TOTAL INSURANCE AVAILABLE FOR CLAIMS PRESENTED WITHIN THE POLICY FOR ALL OPERATIONS OF THE INSURED. CANCELLATION: SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY, ITS AGENTS OR REPRESENTATIVES WILL MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, EXCEPT IN THE EVENT OF CANCELLATION FOR NON-PAYMENT OF PREMIUM IN WHICH CASE 10 DAYS NOTICE WILL BE GIVEN. _ Representative: 09/13/00 ((Wemper. kwKanacompwies CARRIER NAME: AMERICAN MOTORISTS INSURANCE COMPANY NCCI CARRIER NO. 10065 WORKERS COMPENSATION AND EMPLOYERS LIABILITY POLICY INFORMATION PAGE DIRECT BILL Issue Date 08/26/2000 Policy No. 7BG 088418-01 Renewal/Rewrite of Policy No. 7BG 088418-00 Status RENEWAL Item 1. NAMED INSURED AND MAILING ADDRESS Federal Employer I.D. No. 330498089 GRT & ASSOCIATES, INC. 3655 TORRANCE BLVD STE 340 LOS ANGELES COUNTY TORRANCE, CA 90503-4813 Risk I.D. No. Entity of Insured CORPORATION LOCA�IONS -- All usual work places of the Insured at or from which operations covered by this policy are conducted or located at the above address unless otherwise stated herein. SEE EXTENSION OF THE INFORMATION PAGE FOR ADDITIONAL INSUREDS AND/OR LOCATIONS. Item 2. POLICY PERIOD: FROM 09/01/2000 TO 09/01/2001 12:01 A.M. Standard Time at the Address of the Insured stated herein. Item 3.A. WORKERS COMPENSATION INSURANCE: Part One of the policy applies to the Workers Compensation Law of the states listed here: CA. Item 3.B. EMPLOYERS LIABILITY INSURANCE: Part Two of the policy applies to work in each state listed in Item 3A.. The limits of our liability under Part Two are: Bodily Injury by Accident $1, 000, 000 each accident Bodily Injury by Disease $1, 000, 000 each employee Bodily Injury by Disease $1, 000 , 000 policy limit Item 3.C. OTHER STATES INSURANCE: Part Three of the policy applies to the states, if any, listed here: ALL EXCEPT THOSE LISTED IN ITEM 3A AND ND, OH, WA, WY AND WV. Item 3.D. This policy includes these endorsements and schedules: SEE EXTENSION OF THE INFORMATION PAGE FOR ENDORSEMENTS FORMING PART OF THE POLICY. Item 4. The premium for this policy will be determined by our Manuals of Rules, Classifications, Rates and Rating Plans. All information required below is subject to verification and change by audit. SEE EXTENSION OF THE INFORMATION PAGE FOR SCHEDULE OF OPERATIONS. $1,377 SEE EXTENSION OF THE INFORMATION PAGE FOR MISCELLANEOUS SURCHARGES. $3 Expense Constant $0 Total Estimated Cost $1, 380 Minimum Premium $500 (CA) Deposit Amount $1,380 Adjustment of premium shall be made: ANNUALLY PRODUCER INFORMATION 052-02683 PROFESSIONAL PRACTICE Cal wil ry► INSURANCE BROKERS COUNTERSIGNATURE: 2244 W COAST HWY STE 200 NEWPORT BEACH CA 92663 Telephone: 714 - 7 29 -0 77 7 Date: SERVICING OFFICE: KEMPER INSURANCE COMPANIES/KSA CENTER 9900 W. 109 STREET OVERLAND PARK, KS 66210-1441 Copyright 1987 National Council on Compensation Insurance WC 00 00 01A (Ed. 05 88) Page 1 of 5 Printed in U.S.A. AGENT 'Kemper. nsranoa Comperras WORKERS COMPENSATION AND EMPLOYERS LIABILITY POLICY INFORMATION PAGE EXTENSION SCHEDULE -- Item 1. Continued Policy No. 7BG 088418-01 Renewal/Rewrite of Policy No. 7BG 088418-00 Status RENEWAL Named Insured GRT & ASSOCIATES, INC. Issue Date 08/26/2000 LOCATIONS Location Address Entity Number Number 0001 3655 TORRANCE BLVD STE 340 001 LOS ANGELES COUNTY TORRANCE, CA 90503-4813 Copyright 1987 National Council on Compensation Insurance WC 00 00 01A Page 2 of 5 Printed in U.S.A. �emlper. WORKERS COMPENSATION AND EMPLOYERS LIABILITY POLICY INFORMATION PAGE EXTENSION SCHEDULE -- Item 1. Continued Policy No. 7BG 088418-01 Renewal/Rewrite of Policy No. 7BG 088418-00 Status RENEWAL Named Insured GRT & ASSOCIATES, INC. Issue Date 08/26/2000 ENDORSEMENTS Number Edition Description/State Date CK2000-3 0492 WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY - POLICY JACKET CA WC040101A 0492 LONGSHOREMEN'S AND HARBOR WORKERS COMPENSATION ACT COVERAGE ENDORSEMENT - CALIFORNIA CA WC040301A 0398 POLICY AMENDATORY ENDORSEMENT-CALIFORNIA CA WC040303 0185 OFFICERS AND DIRECTORS COVERAGE/EXCLUSION ENDORSEMENT - CALIFORNIA CA WC040305 0185 VOLUNTARY COMPENSATION AND EMPLOYERS LIABILITY COVERAGE ENDORSEMENT - CALIFORNIA CA WC040306 0484 WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT -- CALIFORNIA CA WC040360A 1199 EMPLOYERS' LIABILITY COVERAGE AMENDATORY ENDORSEMENT - CALIFORNIA CA WC040407 1099 PREMIUM ADJUSTMENT ENDORSEMENT -- CALIFORNIA CA WC040601A 1293 CALIFORNIA CANCELLATION ENDORSEMENT CA WC990447B 0499 CALIFORNIA NOTICE TO POLICYHOLDER CA WC990615F 0192 GROUP DIVIDEND ENDORSEMENT CA Copyright 1987 National Council on Compensation Insurance WC 00 00 01A Page 3 of 5 Printed in U.S.A. ( .Kemper WORKERS COMPENSATION AND EMPLOYERS LIABILITY POLICY INFORMATION PAGE EXTENSION SCHEDULE -- Item 1. Continued Policy No. 7BG Named Insured 088418-01 Renewal/Rewrite of Policy No. GRT & ASSOCIATES, INC. 7BG 088418-00 Status RENEWAL Issue Date 08/26/2000 CALIFORNIA SCHEDULE OF OPERATIONS Loc. Code Type Classifications of Operations (Entries in Total Estimated Rate per Estimated No. Risk this item, except as specifically provided Annual $100 of Annual elsewhere in this policy, do not modify any of Remuneration Remu- Premium the other provisions of this policy) neration 0001 8601 1 ENGINEERS: CONSULTING - 115,000 1.51 $1,737 MECHANICAL, CIVIL, ELECTRICAL AND MINING ENGINEERS AND ARCHITECTS -NOT ENGAGED IN ACTUAL CONSTRUCTION OR OPERATION - NPD 8601 1 F ENGINEERS: CONSULTING - IF ANY 3.04 $0 MECHANICAL, CIVIL, ELECTRICAL AND MINING ENGINEERS AND ARCHITECTS -NOT ENGAGED IN ACTUAL CONSTRUCTION OR OPERATION - NPD 8810 1 CLERICAL OFFICE EMPLOYEES - NOC 31,200 1.07 $334 TOTAL BY LOCATION $2,071 9887 SCHEDULE MODIFICATION CREDIT 0.33500- $694- TOTAL ESTIMATED STANDARD PREMIUM FOR CALIFORNIA $1,377 TOTAL DEPOSIT PREMIUM AND SURCHARGES FOR CALIFORNIA $1,380 TOTAL SCHEDULE OF OPERATIONS PREMIUM Copyright 1987 National Council on Compensation Insurance WC 00 00 01A Page 4 of 5 $1,377 Printed in U.S.A. (( -f C��- - WORKERS COMPENSATION AND EMPLOYERS LIABILITY POLICY INFORMATION PAGE EXTENSION SCHEDULE -- Item 4. Continued Policy No. 7BG 088418-01 Renewal/Rewrite of Policy No. 7BG 088418-00 Status RENEWAL Named Insured GRT & ASSOCIATES, INC. Issue Date 08/26/2000 SCHEDULE OF MISCELLANEOUS SURCHARGES State Description Rate CA STATE FRAUD INVESTIGATION 0.23630% TAX AND SURCHARGE AMOUNTS LISTED ABOVE ARE INCLUDED IN THE DEPOSIT AMOUNT. Copyright 1987 National Council on Compensation Insurance WC 00 00 01A Page 5 of 5 Amount $3 Printed in U.S.A. . WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY CALIFORNIA LONGSHORE AND HARBOR WORKERS COMPENSATION ACT COVERAGE ENDORSEMENT (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by SCHEDULE Code Classification Estimated Rate Per Estimated No. Annual $100 of Annual Remuneration Remun- Premium eration 8601 OIL OR GAS GEOLOGIST $0 3.14 Total Estimated Annual Premium $1 WC 04 01 01A (Ed. 04 92) Page 1 of 2 Printed in U.S.A. WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY POLICY AMENDATORY ENDORSEMENT -- CALIFORNIA (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by It is agreed that, anything in the policy to the contrary payments not covered under this policy and will notwithstanding, such insurance as is afforded by this reimburse us for any increase in indemnity payment policy by reason of the designation of California in Item 3. not covered under the policy when the aggregate of the Information Page is subject to the following total amount of the reimbursement payments paid in provisions: a policy year exceeds one hundred dollars ($100). 1. Minors Illegally Employed -- Not Insured This policy does not cover liability for additional compensation imposed on you under Section 4557, Division IV, Labor Code of the State of California, by reason of injury to an employee under sixteen years of age and illegally employed at the time of injury. 2. Punitive or Exemplary Damages -- Uninsurable This policy does not cover punitive or exemplary damages where insurance of liability therefor is prohibited by law or contrary to public policy. 3. Increase in Indemnity Payment — Reimbursement You are obligated to reimburse us for the amount of increase in indemnity payments made pursuant to Subdivision (d) of Section 4650 of the California Labor Code, if the late indemnity payment which gives rise to the increase in the amount of payment is due less than seven (7) days after we receive the completed claim form from you. You are obligated to reimburse us for any increase in indemnity If we notify you in writing, within 30 days of the payment, that you are obligated to reimburse us, we will bill you for the amount of increase in indemnity payment and collect it no later than the final audit. You will have 60 days, following notice of the obligation to reimburse, to appeal the decision of the insurer to the Department of Insurance. 4. Application of Policy PART ONE -- WORKERS COMPENSATION INSURANCE, A., How This Insurance Applies, is amended to read as follows: . This workers compensation insurance applies to bodily injury by accident or disease, including death resulting therefrom. Bodily injury by accident must occur during the policy period. Bodily injury by disease must be caused or ,aggravated by the conditions of your employment. Your employee's exr^sure to those conditions causing or aggravating sucn bodily injury by disease must occur during the policy period. WC 04 03 01A (Ed. 03 98) Pagel of 2 Printed in U.S.A. , WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY OFFICERS AND DIRECTORS COVERAGE/EXCLUSION ENDORSEMENT -- CALIFORNIA (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by If the employer named in Item 1. of the Information Page is a private corporation whose officers and directors are the sole shareholders, this policy applies to all such officers and directors, as employees, except those excluded below or named as excluded in Item 4. of the Information Page. Officers and Directors Excluded Title GLENN TANNER PRESIDENT MIKE DADJ00 UP THIS ENDORSEMENT CHANGES THE POLICY TO WHICH IT IS ATTACHED AND IS EFFECTIVE ON THE DATE ISSUED UNLESS OTHERWISE STATED. WC 04 03 03 (Ed. 01 85) Page 1 of 1 Printed in U.S.A. , WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY VOLUNTARY COMPENSATION AND EMPLOYERS LIABILITY COVERAGE ENDORSEMENT -- CALIFORNIA (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by SCHEDULE Employees ALL EMPLOYEES NOT SUBJECT TO A WORKERS COMPENSATION LAW If the employer named in Item 1. of the Information Page has in his employment persons not entitled to compensation under Division 4 of the Labor Code of. the State of California, this policy shall operate as an election on the part of the employer to come under the compensation provisions of Division 4 with respect to those persons described in the Schedule above. This policy applies to those persons described in the Schedule above as employees. THIS ENDORSEMENT CHANGES THE POLICY TO WHICH IT IS ATTACHED AND IS EFFECTIVE ON THE DATE ISSUED UNLESS OTHERWISE STATED. WC 04 03 06 (Ed. 01 86) Page 1 of 1 Printed in U.S.A. , WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT -- CALIFORNIA (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Insured GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by SCHEDULE Person or Organization Job Description ANYONE FOR WHOM THE NAMED INSURED HAS AGREED TO FURNISH THIS WAIVER MINIMUM PREMIUM: $100 Endorsement No. Premium THE PREMIUM FOR THIS COVERAGE WILL BE DETERMINED AND BILLED AT AUDIT. We have the right to recover our payments from anyone liable for an injury covered by this policy. We will not enforce our right against the person or organization named in the Schedule. (This agreement applies only to the extent that you perform work under a written contract that requires you to obtain this agreement from us.) You must maintain payroll records accurately segregating the remuneration of your employees while engaged in the work described in the Schedule. The additional premium for this endorsement shall be 2. 00% of the California workers compensation premium otherwise due on such remuneration. THIS ENDORSEMENT CHANGES THE POLICY TO WHICH IT IS ATTACHED AND IS EFFECTIVE ON THE DATE ISSUED UNLESS OTHERWISE STATED. WC 04 03 06 (Ed. 04 84) Printed in U.S.A. , WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY EMPLOYERS' LIABILITY COVERAGE AMENDATORY ENDORSEMENT -- CALIFORNIA (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by The insurance afforded by PART TWO -- brought in the United States of America, EMPLOYERS' LIABILITY INSURANCE by reason of its territories or possessions or Canada. designation of California in Item 3. of the Information Page is subject to the following provisions: C. The "Exclusions," section is modified as follows (all other exclusions in the "Exclusions" section A. "How This Insurance Applies," is amended to remain as is): read as follows: 1. Exclusion 1. is amended to read as follows: A. How This Insurance Applies 1. Liability assumed under a contract. This ,employers' liability insurance applies to bodily injury by accident or bodily injury by 2. Exclusion 2. is deleted. disease. Bodily injury means a physical injury, including resulting death. 3. Exclusion 7. is amended to read as follows: 1. The bodily injury must arise out of and in 7. Damages arising out of coercion, criticism, the course of the injured employee's demotion, evaluation, reassignment, employment by you. discipline, defamation, harassment, humiliation, discrimination against or 2. The employment must be necessary or termination of any employee, termination of incidental to your work in California. employment, or any personnel practices, policies, acts or omissions. 3. Bodily injury by accident must occur during the policy period. 4. The following exclusions are added: 4. Bodily injury by disease must be caused or 1. Bodily injury to any member of the flying aggravated by the conditions of your crew of any aircraft. employment. The employee's last day of last exposure to the conditions causing or 2. Bodily injury to an employee when you are aggravating such bodily injury by disease deprived of statutory or common law must occur during the policy period. defenses or are subject to penalty because of your failure to secure your obligations 6. If you are sued, the original suit and any under the workers compensation law(s) related legal actions for damages for bodily applicable to you or otherwise fail to injury by accident or by disease must be comply with that law. THIS ENDORSEMENT CHANGES THE POLICY TO WHICH IT IS ATTACHED AND IS EFFECTIVE ON THE DATE ISSUED UNLESS OTHERWISE STATED. Copyright 1999, Workers Compensation Insurance Rating Bureau of California. WC 04 03 60A (Ed. 11 99) Printed in U.S.A. WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY CALIFORNIA CANCELLATION ENDORSEMENT (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY { Countersigned by This endorsement applies only to the insurance g. Failure to comply with Federal or State safety provided by the policy because California is shown in orders; Item 3.A. of the Information Page. The cancellation condition in Part Six (Conditions) of the policy is replaced by these conditions: Cancellation 1. You may cancel this policy. You must mail or deliver advance written notice to us stating when the cancellation is to take effect. 2. We may cancel this policy for one or more of the following reasons: a. Non-payment of premium; b. Failure to report payroll; c. Failure to permit us to audit payroll as required by the terms of this policy or of a previous policy issued by us; d. Failure to pay any additional premium resulting from an audit of payroll required by the terms of this policy or any previous policy issued by us; e. Material misrepresentation made by you or your agent; f. Failure to cooperate with us in the investigation of a claim; h. Failure to comply with written recommendations of our designated loss control representatives; i. The occurrence of a material change in the ownership of your business; j. The occurrence of any change in your business or operations that materially increases the hazard for frequency of severity of loss; k. The occurrence of any change in your business or operation that requires additional or different classification for premium calculation; I. The occurrence of any change in your business or operation which contemplates an activity excluded by our reinsurance treaties. 3. If we cancel your policy for any of the reasons listed in a. through f., we will give you 10 days advance written notice, stating when the cancellation is to take effect. Mailing that notice to you at your mailing address shown in Item 1. of the Information Page will be sufficient to prove notice. If we cancel your policy for any of the reasons listed in Items g. through I., we will give you 30 days advance written notice; however, we agree that in the event of cancellation and WC 04 06 01A (Ed. 12 93) Pagel of 2 Printed in U.S.A. WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY PREMIUM ADJUSTMENT ENDORSEMENT -- CALIFORNIA (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective 09/01/2000 Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by We have the right to adjust the policy premium after issuance of the policy if the cost of providing the benefits required under the workers compensation laws of California is affected by legislative or regulatory changes adopted after issuance of the policy. The amount of the adjustment will not exceed the change in the cost of providing the benefits as reflected in the pure premium rates approved by the Insurance Commissioner. THIS ENDORSEMENT CHANGES THE POLICY TO WHICH IT IS ATTACHED AND IS EFFECTIVE ON THE DATE ISSUED UNLESS OTHERWISE STATED. Copyright 1999, Workers Compensation Rating Bureau of California. WC 04 04 07 (Ed.10 99) Printed in U.S.A. ( Kemper. Insurance Companies WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY CALIFORNIA NOTICE TO POLICYHOLDER CALIFORNIA WORKERS COMPENSATION INSURANCE RATING LAWS Pursuant to Section 11752.8 of the California Insurance Code, we are providing you with an explanation of the California workers compensation rating laws applicable to new and renewal policies with anniversary rating dates on and after January 1, 1995. I. The laws requiring all insurers to charge the same minimum rate uniformly to all employers within a given classification has been repealed. Beginning January 1, 1995, we will establish our own rates for workers compensation. Our rates will not be applicable prior to the first normal anniversary rating date of a policy incepting on or after January 1, 1995. Our rates, rating plans and related information are filed with the Insurance Commissioner and are open for public inspection. 2. The Insurance Commissioner can disapprove our rates, rating plans or classifications only if he has determined after public hearing that our rates might jeopardize our ability to pay claims or create a monopoly in the market. A monopoly is defined by law as a market where one insurer writes 20% or more of that part of the California workers compensation insurance that is not written by the State Compensation Insurance Fund. If the Insurance Commissioner disapproves our rates, rating plans or classifications, he may order an increase in the rates applicable to outstanding policies. 3. Rating organizations may develop pure premium rates which are subject to the Insurance Commissioner's approval. A pure premium rate reflects the anticipated cost and expenses of claims per $100 of payroll for a given classification. Pure premium rates are advisory only, as we are not required to use the pure premium rates developed by any rating organization in establishing our own rates. 4. We must adhere to a single, uniform experience rating plan. If you are eligible for experience rating under the plan, we will be required to adjust your premium to reflect your claim history. A better claim history generally results in a lower experience rating modification; more claims, or more expensive claims, generally result in a higher experience rating modification. The uniform experience rating plan developed by the insurance rating organization designated by the Insurance Commissioner is subject to the approval of the Insurance Commissioner. 5. A standard classification system developed by the insurance rating organization designated by the Insurance Commissioner is subject to approval of the Insurance Commissioner. The standard classification system is a method of recognizing and separating policyholders into industry or occupational groups according to their similarities and/or differences. We can adopt and apply the standard classification system or develop and apply our own classification system, provided that we can report the payroll, expenses and other costs of claims in a way which is consistent with the standard classification system. 6. Our rates and classifications may not violate the Unruh Civil Rights Act or be unfairly discriminatory. 7. We will provide an appeal process for you to appeal the way we rate your insurance policy. The process will require us to respond to your written appeal within 30 days. If you are not satisfied with the result of your appeal, you may appeal our decision to the Insurance Commissioner. WC 99 04 47B (Ed. 04 99) Page 1 of 4 Printed in U.S.A. 8. APPEAL TO THE INSURANCE COMMISSIONER. If your written request for policyholder information, request for reconsideration, or request for review regarding the manner in which we, or the WCIRB, applied a rating system in connection with the insurance afforded or offered you is rejected or not acted upon, you may appeal to the Insurance Commissioner pursuant to the provisions of Insurance Code Sections 11752.6(c), 11753.1, or 11737(c), and Title 10, California Code of Regulations, Sections 2509.40 et seq. An appeal from a written decision by us, or the WCIRB, may be filed within 30 days after you receive the decision or, if no written decision is sent, the appeal may be filed within 60 days after you served your request for policyholder information, reconsideration, or review. The Insurance Commissioner will hold a hearing upon your appeal and may either affirm, modify, or reverse our action or that of WCIRB. The filing address for all appeals to the Commissioner is: Insurance Commissioner . California Department of Insurance 45 Fremont Street, 23rd Floor San Francisco, California 94105 Attention: Agent for Service of Process This notice does not change the policy to which it is attached. NOTE: Information and assistance on policy questions is also available from the Department of Insurance HOTLINE, 1-800-957-HELP. CALIFORNIA INSURANCE CODE (Policyholder Information Available to Employer) 11752.6. a) A licensed rating organization shall make available, in writing, to an employer insured under a workers compensation policy, all policyholder information contained in its records upon request of the employer and after notice to the employer's insurer. b) As used in the section, "policyholder information" means all information relating to the employer's loss experience, claims, classification assignments, and policy contracts, and includes information relating to rating plans, rating systems, manual rules, and any other information that impact the policyholder's pure premium rates. c) If the licensed rating organization rejects an employer's request for that information, the rating organization shall notify the employer in writing as to the reasons for the rejection. An employer whose request for that information has been rejected in whole or in part may appeal to the commissioner in accordance with Section 11753.1. If the commissioner finds that the reasons for the rejection are not justified, he or she may order the rating organization to furnish that information to the employer. d) No licensed rating organization or member thereof, or member of a committee of a licensed rating organization when acting in its capacity as a member of the committee, or officer or employee of a licensed rating organization, when acting within the scope of his or her employment, shall be liable to any person for injury, personal or otherwise, or damages caused or alleged to have been caused, either directly or indirectly, by the disclosure of information to an employer pursuant to this section or for the accuracy or completeness of the information so disclosed. e) This section shall not be construed as implying the existence of liabilityin circumstances not defined in this section, nor does it imply a legislative recognition that, except for enactment of this section, a liability has existed or would exist in the circumstances stated in this section. f) This section shall not be construed as limiting any authority of a licensed rating organization to disclose information contained in its records to others. WC 99 04 47B (Ed. 04 99) Page 3 of 4 Printed in U.S.A. WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY GROUP DIVIDEND ENDORSEMENT (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) Endorsement Effective Policy No. 7BG 088418-01 Endorsement No. Insured Premium GRT & ASSOCIATES, INC. Insurance Company AMERICAN MOTORISTS INSURANCE COMPANY Countersigned by Group PROFESSIONAL DESIGN CONSULTANTS ASSOCIATION The insured under this policy is classified as a member of the group indicated in the Schedule and shall receive such unabsorbed premium refunds (dividends) as shall be declared by the Board of Directors pursuant to the dividend resolutions, regulations and procedures then in effect pertaining to such association (group). Under current rules, premiums and losses (claims) are valued approximately six months after the end of the term to which the refund (dividend) applies. The refund (dividend) is computed as soon as practicable thereafter pursuant to applicable dividend declaration procedures, plans, resolutions and regulations adopted by the Board of Directors. Any refund (dividend) declared by the Board of Directors normally will be paid within nine months after the end of the term to which the refund (dividend) applies. However, refunds (dividends) which apply to the final term of a classification dividend plan will result from premiums and losses (claims) valued approximately eighteen months after the end of the final term. Any refund (dividend) so declared will normally be paid within twenty-one months after the end of the final term. The group dividend plan is one under which premium earnings of the company represented by surplus accumulated from premiums on California Workers Compensation policies in excess of requirements of losses, expenses, reserves and surplus additions are apportioned to the policyholders who are entitled under the rules of the company to participate therein. Under California Law it is unlawful for an insurer to promise the future payment of dividends under an expired workers compensation policy or to misrepresent the conditions for dividend payment. Dividends are payable only pursuant to conditions determined by the Board of Directors or other governing board of the company following policy expiration. THIS ENDORSEMENT CHANGES THE POLICY TO WHICH IT IS ATTACHED AND IS EFFECTIVE ON THE DATE ISSUED UNLESS OTHERWISE STATED. WC 99 06 16F (Ed. 01 92) Printed in U.S.A. S m N_ 9 lV H a C7 LL W a N V Fireman's Fund POLICY NUMBER A S1 AZC 80513118 RENEWAL CERTIFICATE GENERAL DECLARATIONS Previous Policyy Numbers A S1 AZC 80513118 Named Insured and Mailing Address GLENN TANNER DBA: GRT & ASSOCIATES 3655 TORRANCE BLVD TORRANCE CA 90503 Producer Name and Address PAVLO, WEINBERG & ASSOCIATES 6300 VARIEL AVENUE, SUITE C WOODLAND HILLS ICA 91367 The Named Insured is a(n) PARTNERSHIP Coverage for policies other than WORKERS' COMPENSATION is provided in the following Company: FIREMAN'S FUND INSURANCE COMPANY NOVATO, CA 94998 A STOCK INSURANCE CO. (01) Risk ID. J38/ Business or Operations of the Named Insured: ENGINEERING OFFICE Insurance is provided only under each coverage of this policy or the WORKERS' COMPENSATION AND EMPLOYERS' LIABILITY POLICY listed below, subject otherwise to all the terms and conditions of the General Provisions and of said Coverage(s) or policy having reference thereto. PROPERTY/LIABILITY COVERAGES In consideration of the premium stated below, and subject otherwise to all of the provisions of this policy existing on expiration thereof, it is agreed that the policy period is extended and made to read: Policy Period (For above coverages) INCEPTION DATE 04-01-00 EXPIRATION DATE 04-01-01 Beginning and Ending at 12:01 A.M., Standard Time at the address of the insured a m 8 RC-1 0 POLICY NUMBER A S1 AZC 80513118 RENEWAL CERTIFICATE Named Insured G R T & ASSOCIATES RENEWAL CERTIFICATE Continued Forms Added at the Inception of this Renewal Certificate PROPERTY/LIABILITY AB9187 09-98 VACANCY CLAUSE AMENDATORY ENDORSEMENT (AB 91 87 09 98) Forms Deleted at the Inception of this Renewal Certificate IL0270 12-96`CALIFORNIA CHANGES - CANCELLATION AND NONRENEWAL (IL 02 70 12 96) Countersignature of Authorized Agent: Producer PAVLO, WEINBERG & ASSOCIATES 6300 VARIEL AVENUE, SUITE C WOODLAND HILLS CA 91367 Date 02/16/00 RC - 3 f A X POLICY NUMBER A S1 AZC 8051 31 18 Named Insured G R T & ASSOCIATES Sequential Endorsement Number R07 (continued) THESE DECLARATIONS ARE ISSUED IN CONJUNCTION WITH AND ARE PART OF POLICY FORM AB9000 -12-93 REV 01 END OF PROPERTY/LIABILITY DECLARATIONS END OF RENEWAL CERTIFICATE 0 M M i� Page 5 e Rating Wo'rksheet PROP/LIABILITY POLICY NUMBER A S1 AZC 80513118 CO 01 Insured G R T & ASSOCIATES Quote S1-12712-05 Producer PAVLO, WEINBERG & ASSOCIATES Policy Period 04-01-00 to 04-01-01 Risk/Member J38/ RENEWAL UW ARtE Rating Period 04-01-00to 04-01-01 Date Rated 01-19-00 Issued Endorsement No. AO R07/ EFFECTIVE DATE 04-01-00 Page 1 ------------------------------------------------------------------------------- PROPERTY/LIABILITY COVERAGES BUSINESS LIABILITY $1,000,000 PER OCCURRENCE $2,000,000 GENERAL AGGREGATE SECTION 1"DEDUCTIBLE $ 250 ------------------------------------------------------------------------------- LOC STATE 04 TERR 007 PROTECTION CL 02 CONST 1 FRAME 001 RATE GROUP 1 CLASS 10391 PROGRAM TYPE 4 OFFICE SPRINKLERED CSP TERR 6070 RATING 1=SPRINKLER 2=DEDUCT 1.00 4=CONDO 8=LIAB I/L LOAD FACTORS BLDG 3=FIRE RESISTIVE 5=SINGLE OCC BUILDING PERS .79 BUILDING 6=TNT LGL LIAB PER PROP .24 OPTN .50 PER PROP 7=DRY CLNR 9=FINAL MOD 1.000 C=THEFT EXCL D=TRIPLE N LSE EXPOSURE BASE RATING FINAL LIMIT/ COV COVERAGE BASE RATE FACTORS RATE EXPOSURE PREMIUM CODE BUS PERS PROP COV B LMT 10.06 1 2 8 9 8.19 20,000 164 (02) VALUABLE PAPERS V/P LIMIT 2.82 1 2 9 1.41 35,000* 49 (14) * BUILT IN LIMIT EXCLUDED. LOCATION 001 TOTAL PREMIUM 213 ------------------------------------------------------------------------------- LOC STATE 04 TERR 007 PROTECTION CL 02 CONST 2 MASONRY 002 RATE GROUP 1 CLASS 10391 PROGRAM TYPE 4 OFFICE CSP TERR 6070 RATING 1=SPRINKLER 2=DEDUCT 1.00 4=CONDO 8=LIAB I/L LOAD FACTORS BLDG 3=FIRE RESISTIVE 5=SINGLE OCC BUILDING PERS BUILDING 6=TNT LGL LIAB PER PROP .24 OPTN PER PROP 7=DRY CLNR 9=FINAL MOD 1.000 C=THEFT EXCL D=TRIPLE N LSE N U Fireman's Fund Final Premium Summary POLICY NUMBER A S1 AZC 80513118 Insured G R T & ASSOCIATES Producer Code 04-494-753 AID 09 Producer Name and Address PAVLO, WEINBERG & ASSOCIATES 6300 VARIEL AVENUE, SUITE C WOODLAND HILLS CA 91367 Policy Period 04-01-00 to 04-01-01 Quote S1-12712-05 Pot Sub Code Under Grp A Under Id A R L E Rating Period 04-01-00 to 04-01-01 Risk Id J 38 Member Sequential Endorsement No (AD/WC R07/ ) Branch WESTERN ABC CENTER EFFECTIVE DATE 04-01-00 SIC Code 6399 UJW PROG. COVERAGE COMM PREMIUM FLAT SIZE EXPER SCHED EXPEN ABC-PROPERTY/LIABILITY 15.0 468 00 X 00 X to equal P/L Min Prem 15.0 32 TOTAL PREMIUM 500.00 ACCOUNT #000313844 BILL OPTION - CD Express Service Billing - This policy will be billed under the "Tri-pay" option. It requires a downpayment of 50% of the total premium. The remaining balance will be billed in two installments of 25% at 90 and 180 days after the Policy effective date. CEI 02/16/00 0409CD FPS-1 n Rating Worksheet SUMMARY POLICY NUMBER A S1 AZC 80513118 Insured G R T & ASSOCIATES Producer PAVLO, WEINBERG & ASSOCIATES Policy Period 04-01-00 to 04-01-01 Rating Period 04-01-00 to 04-01-01 Endorsement No. AO R07i COVERAGE ABC PROPERTY/LIABILITY TO EQUAL P/L MIN PREM TOTALS TAX LOC- LOC 001 SIC CODE: 6399 CO 01 Quote S1-12712-05 EFFECTIVE DATE 04-01-00 ESTIMATED PREMIUM DUE ANNUAL PREMIUM AT INCEPTION $468 $32 $500.00 LOC 002 $468 $32 $500.00 Page 3 PROFESSIONA- LIABILITY DESIGN PROFESSIONALS For AN the Coauuttmenu You MaW Small Firm DECLARATIONS AGENCY BRANCH PREFIX POLICY NUMBER 056124 .969 SFE ;' 11-396-39-42 NOTICE INSURANCE IS PROVIDED BY CONTINENTAL CASUALTY COMPANY, CNA PLAZA, CHICAGO, IL 60685, HEREIN CALLED WE, US, OR OUR. THIS IS A CLAIMS -MADE POLICY. PLEASE READ THIS POLICY CAREFULLY AND DISCUSS THE COVERAGE WITH YOUR INSURANCE AGENT OR BROKER. 1. NAMED INSURED: LGRT & ASSOCIATES, INC. 2. POLICY TERM: From: 04/01/99 To: 04/01/02 AT 12:01 AM Standard time at your address shown below. 3. ADDRESS: Suite 340 --'�3655 Torrance Boulevard Torrance, California 90503-4813 4. INCEPTION DATE: 04/01/96 is the effective date of the first policy issued and continuously renewed by us. 5. DEDUCTIBLE: $ 1,000 is Deductible per claim (including claim expenses) 6. LIMIT OF LIABILITY: a. $ 250,000 per claim per policy year limit of liability (including claim expenses) b. $ 500,000 aggregate limit of liability per policy year (including claim expenses). 7. CANCELLATION/NONRENEWAL Notice will be given to you in accordance with the State Provisions Endorsement attached hereto. �M No Signature nor Countersignature is required in the State of California 137399 Countersigned by Authorized Representative 1-19617-C -1 - (`ED . 01/ 9 8 ) PROFESSIONAL LIABILITY DESIGN PROFESSIONALS For AMR You MAW DECLARATIONS CONTINUED Policy SFE 11-396-39-42 Effective 04/01/99 8. $ 440,000 Annual Total Billings 9. PREMIUM: 10. INSTALLMENT PREMIUM PAYMENT: $ 16,590 Standard $ 0 Reserve $ 5,530.00 Due 04/01/99 $ 16,590 Total $ 5,530.00 Due 04/01/00 $ 5,530.00 Due 04/01/01 11. Endorsements attached at policy effective date: G-11715-DO4 State Provisions - California G-126969-A(1) Multi -Year Policy Endorsement - BIII 1-16846-B Profit Sharing Agreement 1-19021-B Specific Additional Limit Of Liability Endorseme 1-19021-B Specific Additional Limit Of Liability Endorseme G-126985-A Professional Liability Policy No Signature nor Countersignature is required in the State of California 137399 Countersigned by Authorized Representative 1-19617-C _JA_ e PROFESSIONAL LIABILITY DESIGN PROFESSIONALS For Yea Mole` INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 04/01/99 Endorsement Number 1 STATE PROVISIONS - CALIFORNIA Any cancellation or non -renewal provisions contained in the policy to which this endorsement is attached are deleted and replaced by the following: I. CANCELLATION A. This policy can be cancelled by either the first of you named or us. 1. You can cancel this policy at any time. To do so, you must: a. return the policy to us or any of our authorized representatives; or b. mail a written notice to us; stating when the cancellation is to be effective. We must receive the policy or written notice before the cancellation date. 2. We can cancel the policy by giving written notice to you at least: a. 10 days, if cancellation is for: (1) non-payment of premium. You may continue the coverage by payment in full at any time prior to the date the cancellation is effective; (2) fraud relating to this policy or to a claim made under this policy; or b. 30 days, if cancellation is for any other reason; before the cancellation is effective. B. We will mail or deliver notice to the first of you named at the mailing address shown in the policy. A copy shall also be mailed or delivered to your agent. 137399 G-11715-D04 PAGE 1 (Ed. 02/94) PROFESSIONAL LIABILITY DESIGN PROFESSIONALS Foe AM dw Comm Uu U You Ma W' INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 4/l/99 Endorsement Number 1 ENDORSEMENT CONTINUED C. Notice of cancellation will state the date the cancellation is effective. The policy will end on that date. The grounds for such cancellation shall also be stated. D. If notice is mailed, proof of mailing will be sufficient proof of notice. E. If this policy is cancelled, we will send the first of you named any premium refund due. If we cancel, the refund will be pro-rata. If you cancel, the refund may be less than pro-rata. The cancellation will be effective even if we have not made or offered a refund. F. If this policy has been in effect for more than 60 days or is a renewal policy, we shall not cancel this policy except for one or more of the following conditions: 1. non-payment of premium; 2. any: a. material misrepresentation; or b. fraud relating to this policy or to a Claim made under this policy; C. discovery of willful or grossly negligent acts or omissions; or d. violation of state laws or regulations; by or with the knowledge of you or your representatives; 3. a material increase in the hazard insured against: a. which could not have been reasonably contemplated at the inception of the contract unless you have notified us of the change and we have accepted it; 137399 G-11715-D04 PAGE 2 (Ed. 02/94) e PROFESSIONAL LIABILITY DESIGN PROFESSIONALS Fw An 16o Comnthwnu You Males' INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 4/1/99 Endorsement Number 1 ENDORSEMENT CONTINUED b. having as one of its necessary elements the conviction of a crime; 4. failure to eliminate conditions that increase the chance of loss after notification that the condition must be removed; 5. substantial loss of reinsurance by us affecting this particular type of insurance, certified by the insurance regulatory authority; 6. a determination by the insurance regulatory authority that continuation of the policy will place us in violation of the insurance laws of the state or will jeopardize our solvency. II. NON -RENEWAL If we decide not to renew this policy, at least 60 days but not more than 120 days advance written notice shall be mailed or delivered to the first of you named at the address shown in the policy. The notice shall include the reason for such non -renewal. This provision shall not apply in the event you have: A. requested a change in the terms or conditions or hazards covered by the policy within 60 days prior to the end of the policy period; B. requested or agreed to non -renewal; or C. insured elsewhere or accepted replacement coverage. If we offer to renew.this policy at less favorable terms as to the dollar amount of coverage, deductibles, higher rates or rating plans exceeding 25%, such less favorable terms will take effect on the renewal date if we have notified the first of you named of the less favorable terms at least 60 days but not more than 120 days prior to the expiration date of this policy. If we have not given such advance notice, the first of you 137399 G-11715-D04 PAGE 3 (Ed. 02/94) e PROFESSIONAL LIABILITY DESIGN PROFESSIONALS Foe AH tho CommitmomU You M&W INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 4/1/99 Endorsement Number 1 ENDORSEMENT CONTINUED named may cancel the renewal policy within 60 days after receiving notice, and any earned premium shall be calculated on a pro-rata basis of the premium applicable to the policy being renewed. All other provisions of this policy remain unchanged. 137399 No Signature nor Countersignature is required in the State of California Countersigned by Authorized Representative G-11715-D04 PAGE 4 e PROFESSIONAL LIABILITY DESIGN PROFESSIONALS Foe AMR tho Caaamltmoata YOU Make` INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 04/01/99 Endorsement Number 2 Multi -Year Policy Endorsement - BIII In consideration of the premium charged, we agree with you as follows : A. Section II. Definitions, is amended to include the additional definition of policy year as follows: Policy year means the period of one year following the effective date of the policy term or any subsequent one year anniversary thereof. A policy year may be extended or reduced by endorsement, but only as permitted by individual state law, or by termination of the policy. B. Section IV. Limits of Liability/Deductible, paragraphs A and B are deleted in their entirety and replaced by the following: A. Limits of Liability 1. The limit of liability shown under Item 6.a. on the Declarations is the maximum we will pay for any single claim first made or circumstance reported during a policy year. This limit applies as excess over any deductible amount. 2. The aggregate limit of liability shown under Item 6.b. on the Declarations is the maximum we will pay for all claims first made or circumstances reported during a policy year. This limit applies as excess over any deductible amount. 3. All claims constituting a single claim, whenever made, shall be considered first made during the policy year in which the earliest claim was made or circumstance reported. All such claims or reported circumstances shall be subject to the limit of liability and deductible for the policy year in which the earliest claim was made or circumstance reported. 4. Claim expenses are subject to and included within the applicable limit of liability. 137399 G-126969-A(1) PAGE 1 (Ed. 01/98) »><>`> e PROFESSIONAL LIABILITY CNR DESIGN PROFESSIONALS For AH tlw Commltmonu You Moles' INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 4/l/99 ENDORSEMENT CONTINUED B. Deductible Endorsement Number 2 1. You have the obligation to pay: a. the deductible amount shown in Item 5 of the Declarations for claims, but not claim expenses resulting from a single claim; b. at a maximum, the amount shown in Item 5 of the Declarations for claims first made during the policy year. 2. If we and you agree to use mediation and if we and you resolve any claim by mediation, your deductible obligation will be reduced by 50% subject to a maximum reduction of $15,000. Deductible payments made prior to the application of the above credit will be reimbursed within 30 days of the resolution of the claim. C. Section V. Conditions, Item L. Cancellation/Non-Renewal, is amended to include the following: We will make the premium adjustment with�you at the time that cancellation is effective, or as soon as practicable thereafter. If we cancel premium will be computed pro-rata of unearned premium. If you cancel, on other than the policy year anniversary date, only 90% of the unearned premium will be returned to you. Premium adjustment is not a condition of cancellation. All other provisions of this policy remain unchanged. No Signature nor Countersignature is required in the State of California 137399 Countersigned by Authorized Representative G-126969-A(1) PAGE 2 (Ed. 01/98) e PROFESSIONAL LIABILITY CMR DESIGN PROFESSIONALS 1'ar AD !Lo Commlftenu you Malin INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 04/01/99 Endorsement Number 3- PROFIT SHARING AGRE MENT Section V. CONDITIONS, Sub -section G., Reserve Premium/Participating Provision, is deleted in its entirety and replaced by the following: G. Profit Sharing Agreement If the loss experience of the Program permits, we will return to you, or a successor firm, a part of the premium you have paid, with interest. Such a return will be computed, and paid, according to the Profit Sharing Agreement, or any of its amendments, between the commending organization and us. All other provisions of this policy remain unchanged. No Signature nor Countersignature is required in the State of California 137399 Countersigned by Authorized Representative 1-16846-B (Ed. 02/95) PROFESSIONAL LIABILITY CM DESIGN PROFESSIONALS Far A6 fps Commitments YOU maw INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 04/01/99 Endorsement Number 4 SPECIFIC ADDITIONAL LIMIT OF LIABILITY ENDORSEMENT We agree with you that Item 6. of the Declarations, LIMIT OF LIABILITY, is amended to add the following additional limit: Specific Additional Limit of Liability Per Claim Aggregate $500,000 $500,000 This Specific Additional Limit of Liability shall apply only to claim or claim expenses made during the policy term arising out of the contract identified below. Claim or claim expenses against such specific limit of liability shall not erode the limit of liability shown in Item 6. of the Declarations until the specific limit of liability has been exhausted. Specific Contract: Whalers Cove Homeowners Association Complex located on Loynes Avenue in the City of Long Beach All other provisions of this policy remain unchanged. No Signature nor Countersignature is required in the State of California 137399 Countersigned by Authorized Representative 1-19021-B (Ed. 04/95) e PROFESSIONAL LIABILITY DESIGN PROFESSIONALS For AN tho Couualtownu You Mole INSURED: GRT & Associates, Inc. Policy SFE-11-396-39-42 Effective 04/01/99 Endorsement Number 5 SPECIFIC ADDITIONAL LIMIT OF LIABILITY ENDORSEMENT We agree with you that Item 6. of the Declarations, LIMIT OF LIABILITY, is amended to add the following additional limit: Specific Additional Limit of Liability Per Claim Aggregate $750,000 $750,000 This Specific Additional Limit of Liability shall apply only to claim or claim expenses made during the policy term arising out of the contract identified below. Claim or claim expenses against such specific limit of liability shall not erode the limit of liability shown in Item 6. of the Declarations until the specific limit of liability has been exhausted. Specific Contract: City of Anaheim Public Benefit Program All other provisions of this policy remain unchanged. No Signature nor Countersignature is required in the State of California 137399 Countersigned by Authorized Representative 1-19021-B (Ed. 04/95) MAY-21-199d 10:33 �/VA 1xwnUYQU Makg' FAXCOM VOSCO DC OPLR THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS © 1998, Member Companies of CNA Insurance. All rights reserved. TABLE OF CONTENTS 1. COVERAGE AGREEMENTS, Page 2. 11. DEFINITIONS Pages 2. — 4. III. EXCLUSIONS Pages 4. — 5_ IV. LIMITS OF LIABILITY/DEDUCTIBLE Rages 6. — 7. V. CONDMONS Pages 7. —11. G-126985-A (Ed. 01 /98) P.02 FAXCOM MAY-21-199e 10:33 VOSCO DC OPLR P.03 THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS 1998, Member Companies of CNA Insurance. All rights reserved. bt1 ' P .OFESSfON4L '_laABIUT-Y. INSURANCE POLICY IS WRMTEN ON A "CLAIMS -MODE" A'SIS; tND APPLIES ONLY- TO" THOSE CLAIMS: FIRST MAI)E AGAINST YOU - WHILE THIS IStriRA t!~E:1S.iN QRCE,.iVO CO? ERAGE EXISTS FOR CLAiMS:FtRST'MADE AGAINST VOU FTlR ;TIEiENO :OF THE=PQLlCY 'TERM UNLESS, AND TO THE'EXTENTy AN EXTENpED EP0,0114 W—PERIQD APPLIES Throughout this policy, the terms "We," "Us" and "Our" refer to the Stock Insurance Company, named on the policy Declarations, providing this insurance. We agree with you as follows: COVERAGE AGREEMENTS A. We will pay all amounts in excess of the deductible up to the limit of liability that you become legally obligated to pay as a result of a wrongful act anywhere in the world, provided that on the inception date on the Declarations any officer, director, principal, partner or insurance manager did not know and could not reasonably have expected that a claim would be made. B. A claim arising out of a wrongful act must first be made during the policy term or any applicable extended reporting period. A claim is considered first made when you receive notice of the claim or you report a circumstance in accordance with Section V. Conditions, Item C. C. We have the right and duty to designate counsel to defend any claim against you seeking amounts that are payable under the terms of this policy, even if any of the allegations of the claim are groundless, false or fraudulent. We are not obligated to defend any suit or pay any claim amounts or claim expenses after the applicable limit of our liability has been exhausted by such payments. D. We will not settle any claim without your informed consent. If we recommend a settlement to you, that is acceptable to the claimant, and you elect to contest the claim or continue any legal proceedings in connection with the claim, our obligation to defend ceases and liability is limited to the total amount for which the claim could have been settled plus the amount of claim expenses incurred up to the time we made the recommendation for settlement. 11, DEFINITIONS When used in this policy, or endorsements hereto, the following terms displayed in "bold face type" will only have the meaning as stated herein. Circumstance means an event reported during the policy term from which you reasonably expect that a claim could be made. G-1269OS-A (Ed. 01/98) Page 2 FAXCOM MAY-21-199B 10:34 VOSCO DC OPLR P.04 THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS ®1"S, Member Companies of CNA insurance. All rights reserved. Claim means a demand for money or services, naming you and alleging a wrongful act. Claim Expenses means: 1. fees charged by an attorney designated or approved by us to represent you; and 2. all other fees, costs and expenses resulting from the investigation, adjustment, defense and appeal of a claim, if incurred by: a. the designated attorney; b. us; or C. you with our written consent. CI81M Expenses do not include salaries of our employees or officials, or fees and expenses of independent adjusters. Effective Date means the date on which protection under this policy begins. The effective date is shown on the Declarations as the beginning of the policy term. Entity means any individual, partnership, corporation or other form of association recognized as such by law. Extended Reporting Period extends the time within which a claim, resulting from a_wrong- ful act that happened prior to the final policy expiration date, may be made and reported. Inception Date means the date of the first policy issued to you and continuously renewed by us. Insured means any of you under this policy. Mediation means non -binding intervention by a neutral third party, Nuclear Facility means the site at which a nuclear reactor is located or where nuclear waste or material Is disposed of or stored. Personal Injury means: 1. bodily injury, sickness, disease, death, mental anguish and emotional distress; 2. false arrest, detention or imprisonment, wrongful entry or eviction or other invasion of privacy; 3. malicious prosecution; G-126985-A (Ed. 01/96) Page 3 FAXCOM MAY-21-1998 10:34 VOSCO DC OPLR P.05 THE PROFESSIONAL LrAisr Ty POLICY FOR DESIGN PROFESSIONALS © 1998, Member Companies of CNA Insurance. All rights reserved. 4. humiliation; 5. slander, libel, or other disparaging comments or materials in violation of an individual's right of privacy. Policy Term means the period of time between the effective date and the date of termination, expiration or cancellation. Policy term does not in ing period. clude any extended report - Professional Services means those services that you are legally qualified to perform construction manager, or as specifically defined by endofor others in your practice as an architect, engineer, land surveyor, landscape architect, rsement to this policy. Single Claim means one or more claims arising out of a single wrongful act, or out of related wrongful acts. Wrongful Act means a negligent act, error or omission in the performance of professional services for others by you or any entity, including joint ventures, for whom you are legally liable_ You or Your means: 1. an entity listed in Item 1 _ on the Declarations; 2- any pastor present partner, officer, director, stockholder or employee while acting within the scope of their duties for an entity listed in item 1. of the Declarations, or leased personnel under your direct supervision; 3. a retired partner, officer, director or employee while acting within the scope of their duties as a consultant for an entity listed in Item 1. on the Declarations. Ill. EXCLUSIONS We will not defend or pay under this policy for claim or claims expenses arising out of; A. any dishonest, fraudulent, or criminal conduct committed intentionally by you or at your direction; B. fines, penalties or liquidated damages imposed on any insured, or the failure or refusal Of a client to pay all or any part of monies due you; C. punitive or exemplary amounts assessed against any insured, unless such amounts arise solely out of a claim for libel or slander and payment by us is not held to be against public policy. This exclusion will not apply in any jurisdiction where the regulatory authority governing this type of insurance prohibits such exclusion; G-126985-A (Ed. 01 /98) Page 4 FAXCOM MAY-21-1999 10:35 VOSCO DC OPLR P.06 THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS 01998, Member Companies of CNA Insurance. All rights reserved. D. liability of others you have assumed under a contract or agreement unless the liability is caused by your wrongful act; E. the cost to repair or replace faulty workmanship in any construction, erection fabrication, installation, assembly, manufacture or remediation performed by you Including any materials, parts or equipment furnished in connection therewith; F. express warranties or guarantees; G. the design or manufacture of any goods or products which are sold or supplied by you or by others under license from you; H. a claim made against you by any entity in which you are an officer or director which: 1. is operated, managed or controlled by you or in which you have an ownership interest in excess of 15%; or 2. wholly or partly owns, operates or manages you; I. personal injury sustained by any employee of yours arising out of employment by you; or any obligation for which you must pay under any unemployment, workers' compensation, disability benefits or other similar laws; J. actual or alleged discrimination because of race, religion, color, sex, national origin, age or disability against: 1 a past or present employee or officer, or employment applicant of yours; or 2. any party in the awarding of, or failure to award any contract; K. any claim brought by you or on your behalf against another of you covered by this policy; L. nuclear reaction, radiation or contamination, under any circumstances and regardless of cause, within or originating_ from a nuclear facility; M. professional services for which you are insured, under any professional liability policy issued for a specific project or projects. This exclusion applies even if claim or claim expenses are not covered in whole or in part by that policy for any reason, including but not limited to: 1. an exclusion; 2. a reduction or exhaustion of the limits of liability under such policy. G.-126986-A (Ed. 01l98) Page 5 r HAwrl MAY-21-1998 10:35 VOSCO DC OPLR P•07 THE PROFESSIONAL L.IASILITY POLICY FOR ]DESIGN PROFESSIONALS ® 1998, Member Companies of CNA insurance. All rights reserved. IV. LIMITS OF LIABILITY/DEDUCTIBLE A. Limits of Liability 1. The limit of liability shown under item 6.a. on the Declarations is the maximum we will pay for any single claim first made or circumstance reported during this policy term. This limit applies as excess over any deductible amount. 2. The aggregate limit of liability shown under Item 6.b. on the Declarations is the maximum we will pay for all claims first made or circumstances reported during the policy term. This limit applies as excess over any deductible amount. 3. All claims constituting a single claim, whenever made, shall be considered first made during the policy term in which the earliest claim or reported circumstance was made and all such claims or reported circumstances shall be subject to the limit of liability and deductible of the policy term in which the earliest claim was made or circumstance reported. 4. Claim expenses are subject to and included within the applicable limit of liability. B. Deductible 1. You shall have the obligation to pay up to the applicable deductible amount shown on the Declarations for claim and/or claim expenses combined resulting from a single claim. 2. Until a claim is made, the deductible does not apply to claim expenses when you report a circumstance. Any claim expenses must be approved by us before being incurred. 3. If we and you agree to use mediation and if we and you. resolve any claim by mediation, your deductible obligation will be reduced by 50% subject to a maxi- mum reduction of $15,000. Deductible payments made prior to the application of the above credit will be reimbursed within 30 days of the resolution of the claim. C. Reimbursement if we have paid any amounts for claim or claim expenses in excess of the applicable limit of liability, or within the amount of your deductible, you shall be liable to us for all such amounts, and upon demand, shall pay such amounts to us. D. More Than One Of You The inclusion of more than one of you covered under this policy shall not increase either the applicable limit of liability or your deductible. G-126585-A (ad. 01198) Page 6 FRXCOM MAY-21-1998 10:36 VOSCO DC OPLR P.08 THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS ® 1998, Member Companies of CNA Insurance. All rights reserved. E. Defendants Reimbursement In addition to our limit of liability, we will also pay your actual loss of earnings' up to $250 a day, subject to a maximum amount of $5,000 per claim, because of time off from work for attendance, at our request, at a trial, hearing or deposition involving a civil suit, mediation or arbitration proceeding against you otherwise covered by this policy. These supplementary payments are not subject to the deductible. V. CONDITIONS A. Your Duties As The First Named Entity On The Policy Declarations When there is more than one entity named in Item 1. on the Declarations, the first named entity, on behalf of all others, will be: 1. authorized to make changes in the terms of this policy with our written consent; 2. the payee of any premiums we refund; 3. responsible for: a. the payment of all premiums and deductible obligations due us: b. keeping records of the information we need for premium computation, and sending us copies at such times as we may request; c. notifying us that you want to cancel this policy. B. Your Duties If There Is A Claim If there is a claim, you must do the following: 1. - promptly notify us in writing. This notice must be sent or faxed to the attention of: Director of Claims CNA Insurance Two Wisconsin Circie Chevy Chase, Maryland 20815-7003 The notice must be given to us promptly and within the policy term or within 60 days after its expiration or termination; 2. specify the names and addresses of the persons making claim against you and provide us with information on the time, place and nature of the claim; G-126985-A (Ed. 01/98) Page 7 FAXCOM MAY-21-1998 10:36 VOSCO DC OPLR P.09 THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS m 1998, Member Companies of CNA Insurance. All rights reserved. 3. promptly forward to us all documents which you receive in connection with the claim; 4. fully cooperate with us or our designee in the making of settlement, the conduct of suits or other proceedings, enforcing any right of contribution or indemnity against another who may be liable to you. You shall attend hearings and trials, assist in securing evidence and obtaining the attendance of witnesses; 5. refuse, except solely at your own cost, to voluntarily make without our approval any payment, admit liability or assume any obligation or incur any expense. If you have the right under any professional services contract to either reject or demand arbitration or other alternative dispute resolution process of any claim, you shall only do so with our written consent. C. Your Rights And Duties In The Event Of A Circumstance If you become aware of a circumstance for which coverage is provided hereunder, and if you, during the policy term, give us written notice containing: 1. what happened and the professional services you provided; 2. the nature of any possible injury or damages, and 3. how you first became aware of such circumstance; then any claim that may subsequently be made against you arising out of such circumstance shall be deemed to have been made on the date we received written notice of the circumstance. You will refuse, except solely at your own cost, to voluntarily make without our approval any payment, admit liability or assume any obligation or incur any expense. D. Subrogation If any of you have rights to recover amounts from another, those rights are transferred to us to the extent of our payment. You must do everything necessary to secure these rights and must do nothing after claim is made to jeopardize them. We hereby waive subrogation rights against your client to the extent that you had, prior to the claim or circumstance, a written agreement to waive such rights. E. Premium All premium charges under this policy will be computed according to the rules, rates and rating plans which apply at the effective date of the current policy term. G-12s985=A (Ed. 01/98) Page a t RXCOM MAY-21-1998 10:37 VOSCO DC OPLR P.10 THE PROFESSIONAL LIABILITY POLICY FOR DESIGN PROFESSIONALS C) 11,998, Member Companies of CNA Insurance. All rights reserved. F. Examination and Audit You agree to allow us to examine and audit your financial books and records that relate to this insurance. We may do this at any time during the policy term or any extensions, and up to three years after the end of the policy term. G. Reserve Premium/Participating Provision If a reserve premium is charged for this policy, it will be returned to you or your principal successor firm, except for that portion used to pay claims, claim expenses, or earned but uncollected premiums as pursuant to application of the Experience Adjustment Plan between the commending organizations and us. H. Legal Action Limitation 1. You agree not to bring any legal action against us concerning this policy unless you have fully complied with all the provisions of this policy, and the amount of your obligation to pay has been decided. 2. ' Such amount can be decided by final judgment against you after actual trial, or by written agreement between you, us and the claimant. You agree to bring any such action in two years, or during any applicable statute of limitations for the bringing of such action, whichever is longer. 3. Any entity, or its legal representative, is entitled to recover under this policy after it has secured such judgment or written agreement. Recovery is limited to the extent of the insurance afforded by this policy_ No entity has any right under this policy to include us in any action against you to determine your liability, nor will we be brought into such an action by you or your representative. . 4. if you or your estate become bankrupt or insolvent, it does not change any of our obligations under this policy. 1. Changes Notice to any of our agents or -knowledge possessed by any such agent or any other person shall not act as a waiver or change in any part of this policy. it also will not prevent us from asserting any rights under the provisions of this policy. None of the provisions of this policy will be waived, changed or modified except by written endorse- ment issued to form a part of this policy. G-126985-A Page 9 (Ed. 01/98), t-RAUUM MAY-21-1998 10:38 VOSCO DC OPLR P.11 THE PROFESSIONAL LIABrLITY POLICY FOR DESIGN PROFESSIONALS 01998, Member Companies of CNA Insurance. All rights reserved- J. Transfer of Interest You must first obtain our written consent to transfer or assign this policy. Should you die, the policy will continue for the remaining part of the policy term, first, for the benefit of your legal representative while acting within the scope of such duties; and second, for the benefit of anyone having proper temporary custody of your property until a legal representative is appointed. K. Other Insurance If you have other insurance that applies to any claim covered by this policy, the other insurance must pay first. This policy applies to the amount of the claim that exceeds the available limit of liability of the other insurance. L. Cancellation/Non-Renewal We will make the premium adjustment with you at the time that canceliation is effective, or as soon as practicable thereafter. Premium return will be computed pro rata if we cancel, but if you cancel, only 90% of that amount will be returned to you. This provision is subject to any state regulations. Your rights and ours are stated in the attached State Provisions endorsement. M. Severability of Interests The term you is used severally and not collectively. N. Innocent Principals If coverage under this policy would not apply because of Exclusion A. or because of non-compliance with Condition B., such Exclusion or Condition will not apply to each of you who did not commit, participate in, or have knowledge of any of the acts described provided you comply with all policy provisions. O. Extended Reporting Period If this policy is terminated for any reason, other than non-payment of premium or failure to pay any deductible when due, you may purchase an extended reporting period. To exercise this right, you must write to us within 60 days of the termination requesting such extension, and pay the premium to us promptly when due. The period of time allowed by the policy for the reporting of claims first made against you and immediately reported in writing to us will then be extended for a period of one year, or as otherwise required by the regulatory guidelines governing this type of G-126986-A (Ed. Ot /98) Page 10 FAXCOM MAY-21-19913 10:38 VOSCO DC OPLR P.12 THE PROFESMNAI. LIABILITY POLICY FOR DESIGN PROFESSIONALS © 1998, Member Companies of CNA Insurance. All rights re-%erved. insurance in your state. The limit of liability applicable for the extended reporting period shall be the limit of liability remaining under the terminated policy, or as otherwise required by the regulatory guidelines governing this type of insurance in your state. The premium for such extension will be developed in accordance with the rules, rates and rating plans then In effect for us. Such extension for the reporting of claims shall not apply to any pending claim or proceedings; any paid claim; any professional services rendered after the effective date of this extension; or claims that are covered under any subsequent insurance purchased by you, or that would be covered but for exhaustion of the limits of liability applicable to such claims. This policy shall not be valid unless countersigned on the Declarations by a duly authorized representative of this Company. Chairman of the Board Secretary TOTAL P.12 SEP-27-2000 WED 12:01 PM EDUARDO OLIVO FAX NO. 1 P. 02/02 Memo To: Joan Francone cc: Richard Sweeney Eva De La Rosa Bruce V. MalkeWiorst From: Eduardo Olive C.- J Dale: September 27, 2000 Re. CRT & Associates, Inc. -- i have received your mcmoiandum dated September 18, 2000. As indicated in your memo, the wduetion in professional liability policy limits for the above -referenced contract have been approved by my office. riskmvkgpiisoMnion ioum lcwtO92700 P. 01 TRANSACTION REPORT �c SEP-27-2000 WED 12:06 PM RECEIVE DATE START SENDER RX TIME PAGES TYPE NOTE M# DP SEP-27 12:05 PM 1 35" 2 RECEIVE OK �c ..., • V A III ,:UurtWV Vt.1 VV FAX NO. CITY ATTORNEY'S OFFICE CITY 01 VERNON 8135 Florence Avenue Suite#202 Downey, California 90240 lrelepbm: (562) 927-7702 liactioge: (562) 927-8722 EACSIWE COVER SHEET TO: DATE: COMPANY: FAX NO.: Mr. Bruce V. Malkeshorst City Administrator September 27, 2000 CITY OF VERNON (323) $81-7924 FROM: ]Eduardo 01ho i`L' CRT & Associates, Inc. - Insurance Requirements COMMENTS: if YOU da not receive _,2 pages in their entirety (including this cover sheet), pleasc call Lynelle at (562) 927-7702. This Pacsimiic transmission may contain CONFIDENTIAL INFORMATION, which may also be UGALLY.PRIVILEGED and which is intended only for the use of the addressegspamcd above. If you are not the inlenAad reciiliont of this facsimile, or the employee or agent resPonsible for delivering it to the intended recipient, you tire heroby notified that any dissomination or copying of this facsimile may be strictly prohibited. If you have received this facsimile in error, please immediately notify us by tcicphonc and return the original facsimile, to us at tbo above address via tho postal Service. Tbxik you. P. 01 /02 1