GRANT FUNDING OPPORTUNITY

PROGRAMMATIC APPROACH TO EXISTING BUILDINGS RESEARCH, DEVELOPMENT AND

DEMONSTRATION PROGRAM

GFO-17-304http://www.energy.ca.gov/contracts/index.html

State of CaliforniaCalifornia Energy Commission

September 2017

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Table of ContentsI. INTRODUCTION.......................................................................................................................................... 1

A. PURPOSE OF SOLICITATION....................................................................................................................................1B. KEY WORDS/TERMS.............................................................................................................................................3C. APPLICANTS’ ADMONISHMENT...............................................................................................................................6D. ADDITIONAL REQUIREMENTS..................................................................................................................................6E. BACKGROUND.....................................................................................................................................................7F. FUNDING.........................................................................................................................................................13G. KEY ACTIVITIES SCHEDULE...................................................................................................................................15H. NOTICE OF PRE-APPLICATION WORKSHOP..............................................................................................................16I. QUESTIONS......................................................................................................................................................17

II. ELIGIBILITY REQUIREMENTS...................................................................................................................... 19

A. APPLICANT REQUIREMENTS.................................................................................................................................19B. PROJECT REQUIREMENTS....................................................................................................................................20

III. APPLICATION ORGANIZATION AND SUBMISSION INSTRUCTIONS..............................................................29

A. APPLICATION FORMAT, PAGE LIMITS, AND NUMBER OF COPIES.................................................................................29B. PREFERRED METHOD FOR DELIVERY......................................................................................................................30C. HARD COPY DELIVERY........................................................................................................................................30D. APPLICATION ORGANIZATION AND CONTENT...........................................................................................................31

IV. EVALUATION AND AWARD PROCESS......................................................................................................... 36

A. APPLICATION EVALUATION..................................................................................................................................36B. RANKING, NOTICE OF PROPOSED AWARD, AND AGREEMENT DEVELOPMENT................................................................36C. GROUNDS TO REJECT AN APPLICATION OR CANCEL AN AWARD..................................................................................37D. MISCELLANEOUS................................................................................................................................................38E. STAGE ONE: APPLICATION SCREENING..................................................................................................................39F. STAGE TWO: APPLICATION SCORING....................................................................................................................41

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ATTACHMENTS

Attachment Number Title

1 Application Form (requires signature)

2 Executive Summary Form

3 Fact Sheet Template

4 Project Narrative Form

5 Project Team Form

6 Scope of Work Template

6a Scope of Work Template: Project Schedule (Excel spreadsheet)

7 Budget Forms (Excel spreadsheet)

8 CEQA Compliance Form

9 Reference and Work Product Form

10 Contact List Template

11 Commitment and Support Letter Form (letters require signature)

12 References for Calculating Energy End-Use and GHG Emissions

13 Partial List of EPIC-Funded Building Energy Efficiency Research

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I. Introduction

A. PURPOSE OF SOLICITATION The purpose of this solicitation is to establish comprehensive research and development programs aimed at doubling the efficiency of existing buildings by 2030. The tasks for these programs will span the full innovation pipeline—from technology improvements and strategy development (Applied Research and Development) to customer demonstrations (Technology Demonstration and Deployment), to addressing market barriers (technology transfer). The project will bring together technical research and development experts, program design specialists, clean energy finance experts, risk assessment specialists, information technology experts, and industry partners to overcome the cost and implementation barriers that hinder achievement of the State’s goals for energy efficiency in existing buildings. The recipients funded under this solicitation will develop networks that include teams of technology developers working in concert with the trades and others. As the recipients near the end of their agreement terms, a follow-on solicitation may be released under the Third EPIC Investment Plan that could provide funding to build upon and expand successful approaches developed under this solicitation.

Substantial potential for efficiency improvements remains untapped in the existing building stock, but effective strategies that generate widespread consumer interest and adoption have yet to be implemented.1 Shell improvements are invasive, time-consuming and expensive. Compliance with duct testing and other code requirements for HVAC replacements is low. And consumer interest in incremental lighting and plug load measures are tepid and equipment controls have not achieved their full potential for energy savings. The specific challenges of doubling efficiency by 2030 will depend on:

Expanding adoption of energy efficiency upgrades that go beyond existing codes and standards.

Advancements in technologies to increase performance and reduce equipment and labor costs.

Innovative deployment and funding strategies, business models and private/public partnerships and informed decision-making to spur mass adoption and scale-up.

This solicitation focuses on research to address the problem from multiple angles:

Develop technology innovations that increase savings and reduce upgrade costs.

Design game-changing strategies to engage consumers and develop disruptive approaches to public purpose program designs.

Identify support resources—including data resources, workforce training and IOU efficiency program funding mechanisms—that facilitate a robust and sustainable private sector of contractors that can help the State achieve its building efficiency goals.

This solicitation will fund projects that meet all or most of the following objectives:

Develop portfolios of efficiency retrofit strategies—using both existing and innovative technologies—that can be flexibly applied to the needs of different building owners.

1 California Energy Commission, Existing Buildings Energy Efficiency Action Plan. 2015. http://docketpublic.energy.ca.gov/PublicDocuments/15-IEPR-05/TN206015_20150904T153548_Existing_Buildings_Energy_Efficiency_Action_Plan.pdf

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Develop, test and demonstrate innovative technologies that can reduce the investment required to achieve significant reductions in building energy consumption.

Identify barriers to emerging energy efficiency and demand side management solutions and develop strategies for eliminating or overcoming those barriers through demonstrations in existing buildings.

Maximize energy efficiency retrofit participation.Achieve ancillary benefits such as water savings and other environmental benefits in

addition to reducing energy consumption.Develop business models utilizing the portfolio of retrofit strategies that can be used by

private sector contractors to build viable, sustainable businesses and spur mass adoption and scaleup.

Include a network of technical research and development experts, program design specialists, clean energy finance experts, risk assessment specialists, and industry partners to overcome the cost and implementation barriers that hinder mass adoption in existing buildings.

Identify Energy Efficiency Program designs that are needed to support these strategies specifically and the efficiency retrofit market in general.

The funding for this solicitation will be divided among three groups—Northern CA, Southern CA, and Disadvantaged Communities. Proposals can include projects in multiple building types, such as single and/or multifamily residential, commercial, K-12 schools, education facilities, hospitals, institutional and/or government buildings. All proposals must include multiple energy efficiency projects, meet the minimum square footage requirement discussed in Section II in order to demonstrate that the proposed research program will have potential for expansion and development by private markets and help the State meet its goal of doubling the energy efficiency of buildings.

It is anticipated that at least four agreements will be awarded (one in Group 1, one in Group 2 and two in Group 3). Only one award will be made per prime entity for this solicitation. See Section I.B. for entity definition and Section II.B.2 for further information. The following are the funding groups for this solicitation:

1. Group 1: Southern California: Up to $11.25 million, with approximately 1/3 Applied Research and 2/3 technology demonstrations2

2. Group 2: Northern California: Up to $11.25 million, with approximately 1/3 for Applied Research and 2/3 for technology demonstrations3

3. Group 3: Disadvantaged Communities: Up to $10 million, with approximately 1/3 for Applied Research and 2/3 for technology demonstrations4

While there may be substantial overlap on many of the tasks across the groups, the awardees for Group 3 are expected to focus their efforts on the problems faced by disadvantaged communities--including higher proportions of rental properties, lower incomes and limited access to investment capital, older and poorly-maintained building stock and possibly greater need for community-based engagement strategies and split incentives between building owners 2 Refer to definitions in Section I.B.3 Northern California: All other counties not in Southern California.Refer to definitions in Section 1.B.4 These are communities defined as areas representing census tracts scoring in the top 25 percent in CalEnviroScreen 3.0. (https://oehha.ca.gov/calenviroscreen/report/calenviroscreen-30)

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and occupants. Proposals for Group 3 should test strategies that leverage and expand on efforts by community-based organizations, non-profit housing corporations and government housing authorities and help address the aforementioned problems.

The highest scoring proposals for each group will be selected. If none of the proposals pass in a group, the funds allocated to that group may be allocated to passing proposals in the other groups.

See Part II of this solicitation for project eligibility requirements. Applications will be evaluated as follows: Stage One proposal screening and Stage Two proposal scoring. Applicants may submit multiple applications, though each application must address only one of the project groups identified above. If an applicant submits multiple applications that address the same project group, each application must be for a distinct project (i.e., no overlap with respect to the tasks described in the Scope of Work, Attachment 6).

B. KEY WORDS/TERMS

Word/Term DefinitionApplicant The entity that submits an application to this solicitation

Application An applicant’s written response to this solicitation

CAM Commission Agreement Manager, the person designated by the Energy Commission to oversee the performance of an agreement resulting from this solicitation and to serve as the main point of contact for the Recipient

CAO Commission Agreement Officer

CEQA California Environmental Quality Act, California Public Resources Code Section 21000 et seq.

Days Days refers to calendar days

Disadvantaged Community

These are communities defined as areas representing census tracts scoring in the top 25 % in CalEnviroScreen 3.0. (https://oehha.ca.gov/calenviroscreen/report/calenviroscreen-30)

EPIC Electric Program Investment Charge, the source of funding for the projects awarded under this solicitation

Energy Commission or just Commission

State Energy Resources Conservation and Development Commission or as commonly called, the California Energy Commission

Entity Entity means a company (as registered with the Secretary of State’s Office), each campus of the Regents of the University of California, California State University, sole proprietorship registered with the appropriate county, or public/non-profit college, each local government (including all departments), each state government department, a research organization (including all subsidiaries), each national laboratory, and each branch of the military.

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Word/Term DefinitionIOU Investor-owned utility, an electrical corporation as defined in

California Public Utilities Code section 218. For purposes of this EPIC solicitation, it includes Pacific Gas and Electric Co., San Diego Gas and Electric Co., and Southern California Edison Co.

Low Income Communities

Low-income communities means communities within census tracts with median household incomes at or below either of the following levels: a) 80 percent of the statewide median income; or b) the applicable low-income threshold listed in the state income limits updated by the Department of Housing and Community Development and filed with the Office of Administrative Law pursuant to subdivision (c) of Section 50093 of the Health and Safety Code.5

NOPA Notice of Proposed Award, a public notice by the Energy Commission that identifies award recipients

Northern California Northern California is defined as test, demonstration and deployment sites located in electric IOU service areas in any county not listed in Southern California.

Portfolio Portfolio means the group of projects contained in each Applicant’s proposal needed to achieve a minimum average 10 percent reduction in residential building energy use and/or average 20 percent reduction in commercial building energy use due to implementation of the strategies proposed by the Applicant.

Pre-Commercial Pre-commercial Technology means a technology that has not reached commercial maturity or been deployed at scales sufficiently large and in conditions sufficiently reflective of anticipated actual operating environments to enable the appraisal of operational and performance characteristics, or of financial risks.

Pilot Test Pilot test means small scale testing in the laboratory or testing on a small portion of the production line of the affected industry. Pilot tests help to verify the design and validity of an approach, and adjustments can be made at this stage before full-scale demonstrations

Principal Investigator The technical lead for the applicant’s project, who is responsible for overseeing the project; in some instances, the Principal Investigator and Project Manager may be the same person

Project Manager The person designated by the applicant to oversee the project and to serve as the main point of contact for the Energy Commission

Project Partner An entity or individual that contributes financially or otherwise to the project (e.g., match funding, provision of a test, demonstration or deployment site), and does not receive Energy Commission funds

Recipient An entity receiving an award under this solicitation

Solicitation This entire document, including all attachments, exhibits, any addendum and written notices, and questions and answers (“solicitation” may be used interchangeably with “Grant Funding Opportunity”)

5 https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=201720180AB523

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Word/Term DefinitionSouthern California Southern California is defined as test, demonstration and

deployment sites located in electric IOU service areas in the following counties: Imperial, Los Angeles, Orange, Riverside, San Bernardino, San Diego, Santa Barbara, Ventura, Kern and San Luis Obispo

State State of California

Test or Pilot Sites Test or pilot sites are actual buildings where strategies and energy efficiency equipment are evaluated and performance or other attributes studied prior to full scale demonstration. Test or pilot sites must be in electric IOU service territory.

Test and pilot sites do not include bench scale laboratory or prototype testing, or field study sites used for data collection. These sites do not need to be in electric IOU service territory but must be in California.

ZNE Zero Net Energy

DR Demand Response

DER Distributed Energy Resources means energy measures or technologies, including energy efficiency, demand response, demand management, distributed generation using renewable energy resources, energy storage, and plug in electric vehicle charging infrastructure, that can be used, individually or in combination, to provide value to the electrical grid and electric utility customers.6

6 https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=201720180AB108

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C. APPLICANTS’ ADMONISHMENT

This solicitation contains application requirements and instructions. Applicants are responsible for carefully reading the solicitation, asking appropriate questions in a timely manner, ensuring that all solicitation requirements are met, submitting all required responses in a complete manner by the required date and time, and carefully rereading the solicitation before submitting an application. In particular, please carefully read the Screening/Scoring Criteria and Grounds for Rejection in Part IV, and the terms and conditions located at: http://www.energy.ca.gov/research/contractors.html.

Applicants are solely responsible for the cost of developing applications. This cost cannot be charged to the State. All submitted documents will become publicly available records upon the posting of the Notice of Proposed Award.

D. ADDITIONAL REQUIREMENTS

1. Time is of the essence. Funds available under this solicitation have encumbrance deadlines as early as March 30, 2016 This means that the Energy Commission must approve proposed awards at a business meeting (usually held monthly) prior to March 30, 2018 in order to avoid expiration of the funds. Prior to approval and encumbrance, the Energy Commission must comply with the California Environmental Quality Act (CEQA). To comply with CEQA, the Commission must have CEQA-related information from applicants and sometimes other entities, such as local governments, in a timely manner. Unfortunately, even with this information, the Commission may not be able to complete its CEQA review prior to the encumbrance deadline for every project. For example, if a project requires an Environmental Impact Report, the process to complete it can take many months. For these reasons, it is critical that applicants organize project proposals in a manner that minimizes the time required for the Commission to comply with CEQA and provide all CEQA-related information to the Commission in a timely manner such that the Commission is able to complete its review in time for it to meet its encumbrance deadline.

2. Reservation of right to cancel proposed award. In addition to any other right reserved to it under this solicitation or that it otherwise has, if the Energy Commission determines, in its sole and absolute discretion, that the CEQA review associated with a proposed project would not likely be completed prior to the encumbrance deadline referenced above, and that the Commission’s ability to meet its encumbrance deadline may thereby be jeopardized, the Energy Commission may cancel a proposed award and award funds to the next highest scoring applicant, regardless of the originally proposed applicant’s diligence in submitting information and materials for CEQA review. Examples of situations that may arise related to CEQA review include but are not limited to:

Example 1: If another state agency or local jurisdiction, such as a city or county, has taken the role of lead agency under CEQA, the Energy Commission’s review may be delayed while waiting for a determination from the lead agency.

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Example 2: If the proposed work is part of a larger project for which a detailed environmental analysis has been or will be prepared by another state agency or local jurisdiction, the Energy Commission’s review may be delayed as a result of waiting for a supplemental or initial analysis, respectively, from the other agency.

Example 3: If the nature of the proposed work is such that a project is not categorically or otherwise exempt from the requirements of CEQA, and an initial study or other detailed environmental analysis appears to be necessary, the Energy Commission’s review, or the lead agency’s review, may take longer than the time available to encumber the funds. If an initial study or environmental impact report has already been completed by another state agency or a local jurisdiction, serving as the lead agency, the applicant must ensure that such an analysis covers the work in the proposed project, or must obtain a revised analysis and determination from the lead agency reviewing the proposed project.

Example 4: If the proposed project clearly falls under a statutory or categorical exemption, or is project for which another state agency or local jurisdiction has already adopted a CEQA finding that the project will cause no significant effect on the environment, the project will likely have greater success in attaining rapid completion of CEQA requirements.

The above examples are not exhaustive of instances in which the Energy Commission may or may not be able to comply with CEQA within the encumbrance deadline, and are only provided as further clarification for potential applicants. Please plan project proposals accordingly.

E. BACKGROUND

1. Electric Program Investment Charge (EPIC) ProgramThis solicitation will award projects funded by the EPIC, an electricity ratepayer surcharge established by the California Public Utilities Commission (CPUC) in December 2011.7 The purpose of the EPIC program is to benefit the ratepayers of three investor-owned utilities (IOUs), including Pacific Gas and Electric Co., San Diego Gas and Electric Co., and Southern California Edison Co. The EPIC funds clean energy technology projects that promote greater electricity reliability, lower costs, and increased safety.8 In addition to providing IOU ratepayer benefits, funded projects must lead to technological advancement and breakthroughs to overcome the barriers that prevent the achievement of the state’s statutory energy goals.9 The EPIC program is administered by the California Energy Commission and the IOUs.

2. Program Areas, Strategic Objectives, and Funding InitiativesEPIC projects must fall within the following program areas identified by the CPUC:7 See CPUC “Phase 1” Decision 11-12-035, December 15, 2011, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/156050.PDF.8 See CPUC “Phase 2” Decision 12-05-037, May 24, 2012, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.9 California Public Resources Code, Section 25711.5(a), http://www.leginfo.ca.gov/cgi-bin/displaycode?section=prc&group=25001-26000&file=25710-25712.

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Applied research and development;

Technology demonstration and deployment; and

Market facilitation

In addition, projects must fall within one of the general focus areas (“strategic objectives”) identified in the Energy Commission’s EPIC Investment Plans10 11 and within one or more specific focus areas (“funding initiatives”) identified in the plan. This solicitation targets the following program area(s), strategic objective(s), and funding initiative(s):

Electric Program Investment Chart, 2015-2017 Triennial Investment PlanProgram Area: Applied Research and Development

Strategic Objective S1: Improve Energy Efficiency Technologies and Strategies in California’s Building, Industrial, Agriculture, and Water Sectors.

Funding Initiative S1.1, Advanced Efficient Solutions for Lower Energy Buildings

Program Area: Technology Demonstration and Deployment

Strategic Objective S12, Overcome Barriers to Emerging Energy Efficiency and Demand Side Management Solutions through Demonstrations in New and Existing Buildings

Funding Initiative S12.1 Identify and Demonstrate Promising Energy Efficiency and Demand Response Technologies Suitable for Commercialization and Utility Rebate Programs.

3. Applicable Laws, Policies, and Background Documents This solicitation addresses the energy goals described in the following laws, policies, and background documents.

Laws/Regulations

Assembly Bill (AB) 3212 - Global Warming Solutions Act of 2006 AB 32 created a comprehensive program to reduce greenhouse gas (GHG) emissions in California. GHG reduction strategies include a reduction mandate of 1990 levels by 2020 and a cap-and-trade program. AB 32 also required the California Air Resources Board (ARB) to develop a Scoping Plan that describes the approach California will take to reduce GHGs. ARB must update the plan every five years.

Additional information: http://www.arb.ca.gov/cc/ab32/ab32.htm

Applicable Law: California Health and Safety Code §§ 38500 et. seq.

10 2012-14 EPIC Triennial Investment Plan, http://www.energy.ca.gov/research/epic/documents/final_documents_submitted_to_CPUC/2012-11-01_EPIC_Application_to_CPUC.pdf (Attachment 1), as modified and approved by CPUC Decision 13-11-025, http://docs.cpuc.ca.gov/PublishedDocs/Published/G000/M081/K773/81773445.PDF. 11 2015-17 EPIC Triennial Investment Plan, http://www.energy.ca.gov/2014publications/CEC-500-2014-038/CEC-500-2014-038-CMF.pdf, as modified and approved by CPUC Decision 15-04-020, http://docs.cpuc.ca.gov/PublishedDocs/Published/G000/M151/K183/151183650.PDF. 12 AB 32 (Statutes of 2006, chapter 488)

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AB 758, Building Efficiency13 AB 758 requires the Energy Commission to collaborate with the California Public Utilities Commission and stakeholders to develop a comprehensive program to achieve greater energy and water savings in existing residential and nonresidential buildings. The Energy Commission developed a Existing Buildings Energy Action Plan in August 2015.

Additional information: http://www.energy.ca.gov/ab758/

Applicable Law: California Public Resources Code § 25943, California Public Utilities Code §§ 381.2 and 385.2

SB 350 (Clean Energy and Pollution Reduction Act of 2015 (Statutes of 2015)SB 350 requires the following: 1) the amount of electricity generated and sold to retail customers per year from eligible renewable energy resources be increased by 50 percent by December 31, 2030; 2) the California Energy Commission to establish annual targets for statewide energy efficiency savings in electricity and natural gas final end uses of retail customers by January 1, 2030; and 3) provide for transformation of the Independent System Operator into a regional organization.

Applicable Law: http://www.leginfo.ca.gov/pub/15-16/bill/sen/sb_0301-0350/sb_350_bill_20151007_chaptered.htm

Appliance Efficiency RegulationsThe Energy Commission promulgates appliance efficiency regulations that require manufacturers of various new appliances sold or offered for sale in California to test them using specified test methods. Covered appliances include refrigerators, air conditioners, heaters, plumbing fitting/fixtures, lighting, washers, dryers, cooking products, electric motors, transformers, power supplies, televisions, and battery charger systems.

Additional information: http://www.bsc.ca.gov/; http://www.energy.ca.gov/appliances/Applicable Law: California Code of Regulations, Title 20, Division 2, Chapter 4, Article 4, §§ 1601 et. seq.

California Energy Code

The Energy Code is a component of the California Building Standards Code, and is published every three years through the collaborative efforts of state agencies including the California Building Standards Commission and the Energy Commission. The Code ensures that new and existing buildings achieve energy efficiency and preserve outdoor and indoor environmental quality through use of the most energy efficient technologies and construction.

Additional information: http://www.energy.ca.gov/title24/ Applicable Law: California Code of Regulations, Title 24, Part 6 and associated administrative regulations in Part 1

Policies/Plans

13 AB 758 (Statutes of 2009, chapter 470)

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Governor’s Clean Energy Jobs Plan (2011)In June 2011, Governor Jerry Brown announced a plan to invest in clean energy and increase efficiency. The plan includes a goal of producing 20,000 megawatts (MW) of renewable electricity by 2020 by taking the following actions: addressing peak energy needs, developing energy storage, creating efficiency standards for buildings and appliances, and developing combined heat and power (CHP) projects. Specific goals include building 8,000 MW of large-scale renewable and transmission lines, 12,000 MW of localized energy, and 6,500 MW of CHP.

Additional information: http://gov.ca.gov/docs/Clean_Energy_Plan.pdf

Integrated Energy Policy Report (Biennial)California Public Resources Code Section 25302 requires the Energy Commission to release a biennial report that provides an overview of major energy trends and issues facing the state. The IEPR assesses and forecasts all aspects of energy industry supply, production, transportation, delivery, distribution, demand, and pricing. The Energy Commission uses these assessments and forecasts to develop energy policies. The 2015 IEPR included a multi-agency hearing on drought response and provided recommendations for future research and analysis areas.

Additional information: http://www.energy.ca.gov/energypolicy

Applicable Law: California Public Resources Code § 25300 et seq.

CPUC’s Energy Efficiency Strategic Plan (2008)The Energy Efficiency Strategic Plan creates a roadmap for achieving energy efficiency within the residential, commercial, industrial, and agricultural sectors. The plan was updated in January 2011 to include a lighting chapter.

Additional information: http://www.cpuc.ca.gov/general.aspx?id=4125

California’s Existing Buildings Energy Efficiency Action PlanThe Existing Buildings Energy Efficiency Action Plan provides a 10-year roadmap to activate market forces and transform California’s existing residential, commercial, and public building stock into high performing and energy efficient buildings. The Plan provides a comprehensive framework centered on five goals, each with an objective and a series of strategies to achieve it. Each strategy includes industry and/or government implementation partners. Water related items are addressed in several of the strategies from the Existing Buildings Energy Efficiency Action Plan including but not limited to strategies 1.5, 2.2, 4.1, and 5.7 from the plan.

Additional Information: http://docketpublic.energy.ca.gov/PublicDocuments/15-IEPR-05/TN203806_20150310T093903_California%E2%80%99s_Existing_Buildings_Energy_Efficiency_Action_Plan.pdf

2016 Existing Buildings Energy Efficiency Action Plan UpdateThe 2016 Update includes goal and strategy updates that reflect new policy mandates as well as new initiatives that had been launched since the original EBEE Action Plan was adopted in 2015.

Additional Information: http://www.energy.ca.gov/ab758/

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Executive Order B-30-15

Governor Brown’s Executive Order B-30-15 established a new interim statewide greenhouse gas emission reduction target to reduce greenhouse gas emissions to 40 % below 1990 levels by 2030, to ensure California meets its target of reducing greenhouse gas emissions to 80 % below 1990 levels by 2050.

The Governor's State of Emergency Proclamation on Tree Mortality

The declaration released on October 30, 2015, declared a state of emergency and sought federal action to help mobilize additional resources for the safe removal of dead and dying trees. It also states, “The California Energy Commission shall prioritize grant funding from the Electric Program Investment Charge for woody biomass-to-energy technology development and deployment, consistent with direction from the California Public Utilities Commission.”

Additional Information:

https://www.gov.ca.gov/docs/10.30.15_Tree_Mortality_State_of_Emergency.pdf

Reference Documents

The following is a sample of past and current Energy Commission research projects and activities. Please also refer to Attachment 13 for examples of currently funded EPIC projects.

Energy Commission R&D website: http://www.energy.ca.gov/research/

Innovation showcase of EPIC funded projects: http://innovation.energy.ca.gov/SearchHome.aspx?ti=636313946224224328

EPIC 2015-2017 Triennial Investment Plan: http://www.energy.ca.gov/research/epic/documents/final_documents_submitted_to_CPUC_2014/2014-04-28_EPIC_Application_to_CPUC.pdf

EPIC Annual Reports: http://www.energy.ca.gov/research/annual_reports.html

Berman, Mark; Pepper Smith, Erik Porse (Davis Energy Group) 2013. Large Scale Residential Retrofit Program. California Energy Commission. Publication number: CEC-500-2017-009. http://www.energy.ca.gov/2017publications/CEC-500-2017-009/CEC-500-2017-009.pdf

Demonstrating Scalable Very Energy Efficient Retrofits for Low Income, Multifamily Housing: http://innovation.energy.ca.gov/SearchResultProject.aspx?p=29557&tks=636350506683430962

Customer-Centric Approach to Scaling IDSM Retrofits, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=30924&tks=636350509112132686

Innovative Net Zero: ZNE Demonstration in Existing Low Income Mixed Use Housing, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=30927&tks=636350509929239734

Achieving Zero Net Energy in Multi-family Buildings, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31078&tks=636350510449330398

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Lancaster Advanced Energy Community Project, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31017&tks=636350510780509906

Developing an Advanced Energy master Plan for the Encanto Neighborhood in San Diego, http://innovation.energy.ca.gov/SearchResultProject.aspx? p=31023&tks=636350511331019790

Measure Results from Affordable Zero Net Energy Homes, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31098&tks=636350511921152658

Integrated Whole Building Zero Net Energy Retrofits for Small Commercial Offices, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31077&tks=636350512175582134

Optimization of Energy Efficiency to Achieve Zero Net Energy in Multifamily and Commercial Buildings, http://innovation.energy.ca.gov/SearchResultProject.aspx? p=31080&tks=636350512605507110

The following is a sample of activities associated with Distributed Energy Resources (DER) integration.

Demand Response and Energy Efficiency Roadmap https://www.caiso.com/documents/dr-eeroadmap.pdf

Flexible Control Strategies for Plug Loads with Context Aware Smart Power Outlets to Mitigate Electricity Waste and Support Demand Response, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=30961&tks=636350516634259806

Meeting Customer and Supply-side Market Needs with Electrical and Thermal Storage, Solar, Energy Efficiency and Integrated Load Management Systems, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31042&tks=636350518137437262

Customer-controlled, Price-mediated, Automated Demand Response for Commercial Buildings, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31035&tks=636350518789500542

Empowering Proactive Consumers to Participate in Demand Response Programs, http://innovation.energy.ca.gov/SearchResultProject.aspx?p=31036&tks=636350520197158875

F. FUNDING

1. Amount Available and Minimum/ Maximum Funding AmountsThere is up to $32,500,000 available for grants awarded under this solicitation. The total, minimum, and maximum funding amounts for each project group are listed below.

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Project Group Available funding

Minimum award amount

Maximum award amount

Minimum match funding amount (% of EPIC Funds Requested)

Group 1: Southern California:

$11,250,000 $ 6,000,000 $10,000,000 25%

Group 2: Northern California

$11,250,000 $ 6,000,000 $10,000,000 25%

Group 3: Disadvantaged Communities

$10,000,000 $ 5,000,000 $10,000,000 25%

For Group 1, all demonstration and deployment locations must be in Southern California as defined in Section I.B. The prime recipient must be located in Southern California. However other team members can be located outside of Southern California but this could impact Scoring Criteria 5, Budget and Cost Effectiveness. Please refer to Section I.A. regarding locations for test/pilot sites.

For Group 2, all demonstration and deployment locations must be in Northern California as defined in Section I.B. The prime recipient must be located in Northern California. However other team members can be located outside of Northern California but this could impact Scoring Criteria 5, Budget and Cost Effectiveness. Please refer to Section I.A. regarding locations for test/pilot sites.

For Group 3, demonstration and deployment locations must be in disadvantaged communities as defined in Section I.B. Proposals will be scored to reflect the degree to which the projects meet the intent of serving the needs of disadvantaged communities. The locations can be Northern and/or Southern California as defined in Section I.B. The prime recipient and its team can be located outside of a disadvantaged community. Please refer to Section I.A. regarding locations for test/pilot sites.

2. Match Funding RequirementMatch funding is required in the amount of at least 25% of the requested EPIC project funds. Applicants that provide more than this amount will receive additional points during the scoring phase (See Part IV).

“Match funds” include the following if used for project expenses: (1) “cash in hand” funds; (2) equipment; (3) materials; (4) information technology services; (5) travel; (6) subcontractor costs; (7) contractor/project partner in-kind labor costs; and (8) “advanced practice” costs. Match funding sources include the prime contractor, subcontractors, and pilot testing/demonstration/deployment sites (e.g., test site staff services).

“Match funds” do not include: Energy Commission awards, EPIC funds received from other sources, future/contingent awards from other entities (public or private), the cost or value of the project work site, or the cost or value of structures or other

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improvements affixed to the project work site permanently or for an indefinite period of time (e.g., photovoltaic systems).

Definitions of “match funding” categories are listed below.

o “Cash in hand” Funds means funds that are in the recipient’s possession and are reserved for the proposed project, meaning that they have not been committed for use or pledged as match for any other project. “Cash in hand” funds include funding awards earned or received from other agencies for the proposed technologies or study (but not for the identical work). Proof that the funds exist as cash is required. Cash in hand funds will be considered more favorably than other types of match funding during the scoring phase.

o “Equipment” means an item with a unit cost of at least $5,000 and a useful life of at least one year. Purchasing equipment with match funding is encouraged because there are no disposition requirements at the end of the agreement for such equipment. Typically, grant recipients may continue to use equipment purchased with Energy Commission funds if the use is consistent with the intent of the original agreement.

o “Materials” means tangible project items that cost less than $5,000 and have a useful life of less than one year.

o “Information Technology Services” means the design, development, application, implementation, support, and management of computer-based information systems directly related to the tasks in the Scope of Work. All information technology services in this area must comply with the electronic file format requirements in Subtask 1.1 (Products) of the Scope of Work (Attachment 6).

o “Travel” means all travel required to complete the tasks identified in the Scope of Work. Travel includes in-state and out-of-state travel, and travel to conferences. Use of match funds for out-of-state travel and travel to conferences is encouraged because the Energy Commission might not approve the use of its funds for such travel. Applicants should be aware of and shall adhere to restrictions of using state funds to travel to certain other states pursuant to AB 1887 (2016) and codified at California Government Code Section 11139.8. All applicants should go to the Attorney General’s website https://oag.ca.gov/ab1887 for a current list of states subject to travel restrictions. Grants awarded under this solicitation shall not contain travel paid for with Commission funds (applicants can instead use match funds) to the listed states unless the Commission approves in writing that the trip falls within one of the exceptions under the law.

o “Subcontractor Costs” means all costs incurred by subcontractors for the project, including labor and non-labor costs.

o “Contractor/Project Partner In-Kind Labor Costs” means contractor or project partner labor costs that are not charged to the Energy Commission.

o “’Advanced Practice’ Costs” means costs not charged to the Energy Commission that represent the incremental cost difference between standard and advanced practices, measures, and products used to implement the proposed project. For example, if the cost of purchasing and/or installing insulation that meets the applicable building energy efficiency standard is $1/square foot and the cost of more advanced, energy efficient insulation is $3/square foot, the Recipient may count up to $2/square foot as match funds.

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Match funds may be spent only during the agreement term, either before or concurrently with EPIC funds. Match funds also must be reported in invoices submitted to the Energy Commission.

All applicants providing match funds must submit commitment letters that: (1) identify the source(s) of the funds; (2) justify the dollar value claimed; (3) provide an unqualified (i.e., without reservation or limitation) commitment that guarantees the availability of the funds for the project; and (4) provide a strategy for replacing the funds if they are significantly reduced or lost. Please see Attachment 11, Commitment and Support Letter Form. Commitment and support letters must be submitted with the application to be considered.

3. Change in Funding AmountAlong with any other rights and remedies available to it, the Energy Commission reserves the right to: Increase or decrease the available funding and the group minimum/maximum award

amounts described in this section. Allocate any additional or unawarded funds to passing applications, in rank order. Reduce funding to an amount deemed appropriate if the budgeted funds do not provide

full funding for agreements. In this event, the Recipient and Commission Agreement Manager will reach agreement on a reduced Scope of Work commensurate with available funding.

G. KEY ACTIVITIES SCHEDULE

Key activities, dates, and times for this solicitation and for agreements resulting from this solicitation are presented below. An addendum will be released if the dates change for activities that appear in bold.

ACTIVITY DATE TIME14

Solicitation Release 09/11/2017Pre-Application Workshop 09/18/2017 2:00 p.m. PDTDeadline for Written Questions15 09/20/2017 5:00 p.m. PDTAnticipated Distribution of Questions and Answers week of

10/01/2017

Deadline to Submit Applications 11/16/201711/30/2017

5:00 p.m. PST

Anticipated Notice of Proposed Award Posting DateWeek of 12/18//2017

1/1/2018Anticipated Energy Commission Business Meeting Date 3/14/2018Anticipated Agreement Start Date 5/1/2018Anticipated Agreement End Date 12/31/2021

14 Pacific Standard Time or Pacific Daylight Time, whichever is being observed.15 This deadline does not apply to non-technical questions (e.g., questions concerning application format requirements or attachment instructions) or to questions that address an ambiguity, conflict, discrepancy, omission, or other error in the solicitation. Such questions may be submitted to the Commission Agreement Officer listed in Section H at any time prior to the application deadline. Please see Section H for additional information.

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H. NOTICE OF PRE-APPLICATION WORKSHOP

Energy Commission staff will hold one Pre-Application Workshop to discuss the solicitation with potential applicants. Participation is optional but encouraged. Applicants may attend the workshop in-person, via the internet (WebEx, see instructions below), or via conference call on the date and at the time and location listed below. Please call (916) 654-4381 or refer to the Energy Commission's website at www.energy.ca.gov/contracts/index.html to confirm the date and time.

Date and time: Monday, September 18, 2017 at 2:00 p.m.Location: California Energy Commission

1516 9th StreetSacramento, CA 95814Imbrecht Hearing Room (Hearing Room B)

Wheelchair Accessible

WebEx Instructions: To join the WebEx meeting, go to https://energy.webex.com and enter the meeting

number and password below:

Meeting Number: 495 501 430 Meeting Password: This meeting does not require a password.Topic: GFO-17-304 Pre-bid Application Workshop

To Logon with a Direct Phone Number : After logging into WebEx, a prompt will appear on-screen for a phone number. In the “Number” box, enter your area code and phone number and click “OK” to receive a call for the audio of the meeting. International callersmay use the "Country/Region" button to help make their connection.

To Logon with an Extension Phone Number : After you login, a prompt will ask for your phone number. Select “CANCEL.” Call 1-866-469-3239 (toll-free in the U.S. and Canada). When prompted, enter the meeting number above and the unique Attendee ID number listed in the top left area of the screen after login. International callers may dial in using the “Show all global call-in numbers” link (also in the top left area).

Telephone Access Only:Call 1-866-469-3239 (toll-free in the U.S. and Canada). When prompted, enter the meeting number above. International callers may select their number from https://energy.webex.com/ energy/globalcallin.php.

Technical Support: For assistance with problems or questions about joining or attending the meeting,

please call WebEx Technical Support at 1-866-229-3239. You may also contact Alejandro Venegas at (916) 327-3097.

System Requirements: To determine whether your computer is compatible, visit:http://support.webex.com/support/system-requirements.html.

Meeting Preparation: The playback of UCF (Universal Communications Format) rich media files requires appropriate players. Please determine whether the players are installed on your computer by visiting: https://energy.webex.com/energy/systemdiagnosis.php.

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If you have a disability and require assistance to participate, please Poneh Jones by e-mail at poneh.jones@energy.ca.gov or (916) 654-4425 at least five days in advance of the workshop.

I. QUESTIONS

During the solicitation process, direct questions to the Commission Agreement Officer listed below:

Brad Worster, Commission Agreement OfficerCalifornia Energy Commission

1516 Ninth Street, MS-18Sacramento, California 95814

Telephone: (916) 654-4299FAX: (916) 654-4423

E-mail: brad.worster@energy.ca.gov

Applicants may ask questions at the Pre-Application Workshop, and may submit written questions via mail, electronic mail, and by FAX. However, all technical questions must be received by the deadline listed in the “Key Activities Schedule” above. Questions received after the deadline may be answered at the Energy Commission's discretion. Non-technical questions (e.g., questions concerning application format requirements or attachment instructions) may be submitted to the Commission Agreement Officer (CAO) at any time prior the application deadline.

A question and answer document will be e-mailed to all parties who attended the Pre-Application Workshop and provided their contact information on the sign-in sheet. The questions and answers will also be posted on the Commission’s website at: http://www.energy.ca.gov/ contracts/index.html.

If an applicant discovers a conflict, discrepancy, omission, or other error in the solicitation at any time prior to the application deadline, the applicant may notify the Energy Commission in writing and request modification or clarification of the solicitation. The Energy Commission, at its discretion will provide modifications or clarifications by either an addendum to the solicitation or by written notice to all entities that requested the solicitation. At its discretion, the Energy Commission may, in addition to any other actions it may choose, re-open the question/answer period to provide all applicants the opportunity to seek any further clarification required.

Any verbal communication with a Commission employee concerning this solicitation is not binding on the State and will in no way alter a specification, term, or condition of the solicitation. Therefore, all communication should be directed in writing to the assigned CAO.

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II. Eligibility RequirementsA. APPLICANT REQUIREMENTS

1. EligibilityThis solicitation is open to all entities and individuals with the exception of local publicly owned electric utilities16. In accordance with CPUC Decision 12-05-037, funds administered by the Energy Commission may not be used for any purposes associated with local publicly owned electric utility activities.

2. Terms and ConditionsEach grant agreement resulting from this solicitation will include terms and conditions that set forth the recipient’s rights and responsibilities. By signing the Application Form (Attachment 1), each applicant agrees to enter into an agreement with the Energy Commission to conduct the proposed project according to the terms and conditions that correspond to its organization, without negotiation: (1) University of California and California State University terms and conditions; (2) U.S. Department of Energy terms and conditions; or (3) standard terms and conditions. All terms and conditions are located at http://www.energy.ca.gov/research/contractors.html. Failure to agree to the terms and conditions by taking actions such as failing to sign the Application Form or indicating that acceptance is based on modification of the terms will result in rejection of the application. Applicants must read the terms and conditions carefully. The Energy Commission reserves the right to modify the terms and conditions prior to executing grant agreements.

3. California Secretary of State RegistrationAll corporations, limited liability companies (LLCs), limited partnerships (LPs) and limited liability partnerships (LLPs) that conduct intrastate business in California are required to be registered and in good standing with the California Secretary of State prior to its project being recommended for approval at an Energy Commission Business Meeting.  If not currently registered with the California Secretary of State, applicants are encouraged to contact the Secretary of State’s Office as soon as possible to avoid potential delays in beginning the proposed project(s) (should the application be successful). For more information, contact the Secretary of State’s Office via its website at www.sos.ca.gov.  Sole proprietors using a fictitious business name must be registered with the appropriate county and provide evidence of registration to the Energy Commission prior to their project being recommended for approval at an Energy Commission Business Meeting.

4. Disadvantaged CommunitiesIn 2012, the Legislature passed Senate Bill 535 (De León) directing that, in addition to reducing greenhouse gas emissions, a quarter of the proceeds from the Greenhouse Gas Reduction Fund must also go to projects that provide a benefit to disadvantaged communities. The legislation gives the California Environmental Protection Agency responsibility for identifying those communities.

For more information on disadvantaged communities and to determine if your project is in a disadvantaged community, use the California Communities Environmental Health Screening tool (CalEnviroScreen 3.0):

16 A local publicly owned electric utility is an entity as defined in California Public Utilities Code section 224.3.

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https://oehha.ca.gov/calenviroscreen/report/calenviroscreen-30

While it is not required to complete Group 1 or Group 2 projects within a disadvantaged community, demonstrations in disadvantaged communities are encouraged and will be considered under the scoring criteria for this GFO.

B. PROJECT REQUIREMENTS

1. Research Stage The research projects covered by this program will span applied research, technology demonstration and deployment, and technology transfer.

The “applied research and development” stage includes activities that support pre-commercial technologies and approaches that are designed to solve specific problems in the electricity sector. Applied research and development activities include early, pilot-scale testing activities that are necessary to demonstrate the feasibility of pre-commercial technologies.

The “technology demonstration and deployment” stage involves the installation and operation of pre-commercial technologies or strategies at a scale sufficiently large and in conditions sufficiently reflective of anticipated actual operating environments to enable appraisal of the operational and performance characteristics and the financial risks.17 This stage involves the installation and operation of pre-commercial technologies or strategies at a scale sufficiently large and in conditions sufficiently reflective of anticipated actual operating environments to enable appraisal of operational and performance characteristics, and of financial risks.18

2. Project FocusThe purpose of this solicitation is to establish comprehensive research and development programs to demonstrate scalable deployment strategies that involve multi-measure retrofits aimed at doubling the efficiency of existing buildings by 2030. These programs are intended to bring together technical research and development experts, program design specialists, clean energy finance experts, risk assessment specialists, information technology experts, and industry partners to overcome the cost and implementation barriers that currently stand in the way of achieving the state’s goals for energy efficiency in existing buildings. It is envisioned that each award will result in the development of a team consisting of technology developers working in concert and networking with the trades and others with the goal of maximizing cost beneficial retrofits and spurring widespread adoption. Each award will be comprised of both Applied Research and Technology Demonstration and Deployment funds. The research strategies are intended to identify, test and then demonstrate innovative technologies and implementation strategies that can significantly reduce the costs that and can increase the uptake and scalability of energy efficiency improvements in buildings. It is expected that strategy development and pilot testing will be used to select the most effective portfolios of technologies and implementation strategies for large scale deployment that can help the State achieve its goal of doubling energy efficiency by 2030.

The Applied Research elements of the programs could precede or run in parallel with Technology Demonstration and Deployment. The research program should develop

17 See CPUC “Phase 2” Decision 12-05-037 at pp. 36 and 90, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.18 See CPUC “Phase 2” Decision 12-05-037 at pp. 39-40 and 90, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.

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technological improvements and implementation techniques that together form comprehensive strategies for both increasing impacts and expanding consumer participation. While it is recognized that any specific technology, approach or strategy cannot be applied to all existing buildings or even address all barriers, the programs should address as many of the following issues as possible:

Technologies that significantly improve efficiency in existing buildings at significantly reduced implementation cost over current standard approaches by:

o Reducing consumption directly through technology improvements, controls and/or operational strategies. These can include technologies listed in this section and that result in direct energy or load reductions,

o Improving the ability of retrofit contractors to identify the most impactful suite of measures that fit a potential participant’s needs,

o Developing resources and tools that help retrofit contractors identify potential customers, and

o Reducing equipment and installation costs.

Techniques and strategies for improving uptake of efficiency measures should focus on:

o Reducing customer acquisition costs,

o Increasing uptake rates and scalability,

o Reducing non-compliance with existing code requirements,

o Simple documentation and verification of energy savings and benefits to document quantitative and qualitative benefits and savings to the financial markets, building owners and others,

o Reducing technical and financial risk to the public/private markets due to lack of technical expertise and knowledge, and

o Developing creative mechanisms for financing retrofits with involvement by the financial industry.

The retrofits must be deployed in a minimum number of buildings/facilities totaling at least 300,000 square feet with the potential for larger scale deployments in the future. Proposed strategies should be refined with input from various stakeholders, such as trade associations and community based organizations, and through experimentation and testing over the course of the project. The intent behind the “programmatic” element of this funding opportunity is to allow multiple approaches to be developed, improved and refined with the goal of building a portfolio of proven strategies that can be used to tailor projects to the individual needs and capacities of building owners, and thus dramatically expand the efficiency retrofit market. The strategies can include integrated suites of the following: solid state lighting, advanced HVAC systems-including ventilation and refrigerants, building envelope measures, plug load management, controls, and water and energy efficiency measures. However, applicants should recognize that the primary goal of these programs is to develop strategies that will double the energy efficiency of existing buildings and work in the absence of future research funding for equipment and installation costs. Instead, the research funding should be used to support development, testing and refinement of business models for engaging customers, evaluating the opportunities for efficiency improvements that meet their needs, developing retrofit strategies

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that lower costs and, ultimately, increasing uptake. For this solicitation, on-site energy generation and storage equipment are excluded from using EPIC funds. However, they could be included as match funding but cannot be counted towards the minimum required reduction of site energy use.

The goal is for the retrofitted facilities to demonstrate:

Potential strategies that will achieve a minimum 10 percent average (residential) and 20 percent average (commercial) reduction in on-site electricity use. Natural gas savings can also be included as additional benefits.

Potential for cost effectiveness and scalability of the retrofit approach to stand on its own merits and be deployed broadly in the future, assuming no further EPIC funding.

Potential retrofit packages that can meet the economic requirements of the existing building sector demonstrated (e.g., simple paybacks that reflect the implicit investment needs of the targeted customers).

Potential for data sharing of project results, including documentation of energy savings and other benefits and inclusion in future Investor-Owned-Utility incentive programs, on-bill financing, Energy Commission loans or other programs.

Different approaches for different sectors, as well as the adaptability of different approaches to the needs of different subsets of customers—the ability to match solutions to almost any customer need and level of interest with the goal of expanding participation—essentially, the portfolio of approaches should apply across the majority of potential customers.

For all groups, each proposal must include the following:

Applied Research

The primary focus is to develop technologies and strategies to address key market barriers to installing energy efficiency measures and then to test these strategies in a limited number of existing buildings to show cost effectiveness and potential to achieve a minimum 10 percent average (residential) and/or 20 percent average (commercial) reduction in on-site electricity use from energy efficiency. The research team must include industry partners such as community based organizations, trade associations, contractors, tradespeople and others that will be key to future replication of the developed strategies to other buildings.

The proposed projects must include the following, at a minimum in the Scope of Work:

a. Identification of potential innovative technologies to be developed and tested that can significantly improve efficiency in existing buildings at significantly reduced implementation cost over current standard approaches. These technologies can include those previously listed in this section and the focus is on technology improvements, controls and/or operational strategies.

b. Development of multiple retrofit strategies for existing buildings, building on lessons learned from past efforts by the Energy Commission and other existing building retrofit programs. Techniques and strategies for improving uptake of efficiency identified previously should be part of the retrofit strategies.

c. Collaboration with industry partners such as community based organizations, local governments, institutions, building and trade associations, contractors, financing organizations and others.

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d. Identification of an integrated suite of cost effective innovative/emerging energy efficiency technologies. Discuss technologies evaluated and reasons for rejected and selected. Discuss any behavioral elements or other factors associated with these technologies that would impact the potential reduction in building energy use.

e. Description of the methods to be used to test the strategy and suite of innovative /emerging efficiency technologies in a sample of buildings to show potential for meeting the required on-site energy reduction prior to the technology demonstration/deployment phase.

f. Determination of the cost effectiveness criteria to be used for each building type (e.g., residential, government, schools, private businesses, etc.), such as simple payback or life cycle cost.

g. For properties projects focused on disadvantaged communities, discuss strategies to overcome constraints faced by low income renters and building owners with respect to split incentives, timing for major refinancing events, minimum savings relative to transaction time and costs, and technical expertise requirements.

h. A task or sub-task specifying that the required commitment letters identified in Attachment 11 will be submitted once the existing building test sites for the Applied Research Phase have been determined.

Measure strategies should include both traditional and well-documented retrofit methods and equipment improvements as well as innovative, disruptive and less-well documented methods and equipment improvements. The latter could be the focus of additional testing and research as part of the proposal. Building diagnostics, shell repair/improvements, duct testing/sealing, equipment replacement and lighting measures should be considered options along with Internet of Things device controls, cost effective and technically feasible electrification of gas end uses, DER integration and alternative heating/cooling technologies. Implementation strategies should focus on the problem of actually generating demand for retrofit services and convincing customers to make efficiency investments. To that end, the primary focus for developing improvement packages should be to identify customer interests, needs and budget constraints in order to recommend the most cost-effective suite of improvements that they are willing to buy and that can help the State meet its energy efficiency targets. Substantial research effort should be spent on developing approaches contractors could use to build their businesses while achieving state policy goals for reducing energy consumption in existing buildings. A secondary focus should be on identifying energy efficiency program design improvements that can most effectively facilitate the efficiency retrofit industry in expanding and spurring participation and increasing savings. Equipment purchases and installations and tests in existing buildings should be included but not be the main focus of EPIC funding. See also requirements regarding paying prevailing wage.

It is expected that different strategies will be more or less effective with different groups of building owners, certainly across different sectors (such as landlords compared to homeowners) but also within sectors (such homeowners with different approaches to using credit). The portfolios of strategies developed using this funding should be designed to reach large numbers of existing buildings by using multiple approaches to penetrate multiple markets and sub-markets.

Approximately one-third of the proposed award should be allocated to the Applied Research portion of the project.

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Technology Demonstration and Deployment

For strategies that have been tested and verified, such as through Applied Research, the next step is to scale up demonstration and deployment in targeted building(s) totaling at least 300,000 square feet using the strategies developed under Applied Research or others, as approved by the Commission Agreement Manager. The test and demonstration sites could be the same. Test sites that are part of the Applied Research phase can be the same as those in the Technology Demonstration and Deployment phase for purposes of meeting the square footage and energy savings minimum requirements.

The proposal must include the following, at a minimum, in the Scope of Work:

a. Secure commitments from demonstration sites.

b. Propose one or more existing buildings totaling at least 300,000 square feet (e.g., residential, multifamily, low income, commercial buildings). Conduct an energy audit of and provide data about the building, such as building characteristics that make them good retrofit targets, building energy use and equipment, ownership and governance, IOU support for the project, and previous energy efficiency renovations or renewable/energy generation installations. Once the existing building demonstration sites have been determined submit the required commitment letters identified in Attachment 11.

c. Conduct detailed independent monitoring and verification using IOU accepted protocols for minimum period of six months pre- and six months post retrofit for each building, and extrapolation to annualize the data, including assumptions and inputs to be used for building simulation model. Include simplified plan or method for on-going monitoring and verification to evaluate persistence and sustainability of savings, post-EPIC funding.

d. Discuss the deployment strategy(ies) for each building type and how the strategy(ies) would lead to a pathway to a viable business model for replicating and scaling up into similar buildings without need for further EPIC grant funding, and how the model would overcome barriers to retrofits. Include any commitments for future retrofits, independent of EPIC funds.

e. Discuss how project results will be reported, how energy savings will be documented, and how the project will achieve the following:

Reduced customer acquisition costs.

Potential to increase future retrofit uptake rates and scalability.

Potential to reduce non-compliance with existing code requirements.

Documentation of quantitative and qualitative benefits and savings to the financial markets, building owners and others.

Potential to reduce the technical and financial risk to the public/private markets and to help overcome barriers associated with lack of technical expertise and knowledge.

Develop creative mechanisms for financing retrofits with involvement by the financial industry.

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f. For properties focused on disadvantaged communities, discuss the impact of the resulting demonstration to overcome constraints faced by low income renters and building owners with respect to split incentives, timing for major refinancing events, minimum savings relative to transaction time and costs, and lack of technical expertise.

g. Discuss the overall potential for cost effectiveness and how the project will meet the savings goals across the portfolio of sites.

Approximately two-thirds of the proposed award should be allocated to the Technology Demonstration and Deployment portion of the project.

Technology Transfer and Codes and Standards

In parallel with Applied Research and Technology Development and Demonstration activities, this task should focus on sharing research results and recommendations, developing proposals for providing recommendations for complementary incentive, loan or grant programs and facilitating support—including creation of contractor resources and references on strategy implementation and the fundamental tools needed to help a retrofit contracting business succeed.

The research must include the following, at a minimum, in the Scope of Work:

a. Develop business models that are viable in the marketplace and address and overcome barriers to customer demand and contractor participation. This effort should include input from the building and trade industries and verified throughout the project.

b. Develop a database of energy savings potential from various innovative/emerging technologies. In addition, building upon the database, include financial and procurement information and strategies to engage the real estate industry, appraisers, and performance contractors.

c. Discuss Pplans for working with the real estate industry, discussion of and assess the potential of integrating energy efficiency into property valuation and appraisal should be assessed. In addition, methods of utilizing this data to support the retrofit and performance contracting industries should be developed.

d. Discuss the market potential of the portfolio of strategies developed and tested over the course of the project with an emphasis on identifying risks, the need for continued assistance or subsidization of the retrofit activities themselves (e.g. financing availability; equipment rebates; subsidy of diagnostic testing; etc.) or of information/data sources (e.g. maintenance of a publicly-accessible database of retrofit impacts; available support for diagnostic software; maintenance of a trade organization). Also, identify potential participants (both suppliers of retrofit services and customers) and identify strategies for reaching them and expanding participation.

e. Discuss how the results will be shared with the public, including ability to impact future codes and standards.

f. Discuss future consideration and implementation of research results by affected parties, community based organizations, IOUs and other energy efficiency retrofit programs at the Energy Commission, Housing and Community Development, Strategic Growth Council, HUD and others.

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All the technology transfer activities must be done in conjunction with the Applied Research and Technology Demonstration and Deployment portions of the project and the work should be included in the proposed budgets accordingly. However, this work can be its own section in the Scope of Work. In general, research associated with identifying strategies to overcome customer barriers and increase participation—along with industry partner collaboration—would be focused in the early stages of the work, as critical elements of strategy development in the applied research stage. Similarly, collecting data, constructing/populating databases, and developing methods of utilizing those data would largely be accomplished during the technology demonstration and deployment stage.

3. Awards per Group and EntityThe highest scoring passing proposals for each group will be selected and there is a potential of multiple awards in Group 3. If none of the proposals pass in a group, the funds allocated to that group may be used to fund another high ranking proposal in one of the other groups.

It is anticipated that up to four agreements will be awarded under this solicitation. However, if there are funds remaining, the Energy Commission reserves the right to fund another high ranking proposal in one of the other groups.

Only one award per entity (prime) will be allowed for this solicitation. See Section I.B. for entity definition. If multiple applications are received from the same entity for the same or different groups, only the highest-scoring proposal will be selected. The intent is to provide opportunities for multiple awardees. For example, company A submits a proposal for all groups and each one is ranked #1, only the proposal with the highest score will be selected.

4. Additional Requirements to be Included in the Project Narrative (Attachment 4) for all groups.

The Project Narrative must discuss the following in the sections identified.

a. Technical approach

1. Explain how the building retrofit strategies will be developed and ensure that they will lead to future replicable and scalable projects that will help the State achieve the doubling of energy efficiency by 2030 and could be sustained in the future without further EPIC funds. Provide examples of past experience developing effective strategies, the effectiveness of the strategies, the number of resulting deployments and what made the projects successful. Also include other funding that could help offset future retrofit costs.

2. Discuss your approach to selecting target buildings and/or markets, including reasons for selections, replicability across other sectors, and likelihood for continued customer uptake without future EPIC funding. Provide examples of your past experience working with this sector and potential for success.

3. Explain the methodology that you will use to determine energy savings.

4. For Group 3 applicants, please dDiscuss your approach to overcoming the challenges of encouraging participation, private investment, financing and ongoing project operation for projects in disadvantaged communities, especially energy efficiency upgrades of multi-unit rental properties. Explain your experience working on energy retrofit projects with disadvantaged or low income communities, the types of retrofit projects implemented, percentage energy savings achieved, sources of funding and how the challenges of multi-layered

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financing with lien structures that only allow for energy efficiency retrofit opportunities to occur once every 15-25 years were overcome.19

5. Discuss how your approach will lead to a sustainable existing building retrofit model for other sectors that can continue without future EPIC funds and how it differs with existing past existing building retrofit endeavors, such as those in Section I.E.

6. Discuss your approach for achieving the scope of work items listed under Applied Research, Technology Demonstration and Technology Transfer discussed in Section II.B.2.

b. Budget and Cost Effectiveness

1. Explain how you will comply with the prevailing wage provisions discussed in Section III.D.7.8.

c. Respond to the additional information requirements discussed in the Questions and Answers document dated October 20, 2017, including responses to questions 19, 21, 22, 40, 53, 54, 58, and 68.

5. Ratepayer Benefits, Technological Advancements, and BreakthroughsCalifornia Public Resources Code Section 25711.5(a) requires EPIC-funded projects to:

Benefit electricity ratepayers; and

Lead to technological advancement and breakthroughs to overcome the barriers that prevent the achievement of the state’s statutory energy goals.

The CPUC defines “ratepayer benefits” as greater reliability, lower costs, and increased safety.20 The CPUC has also adopted the following guiding principles as complements to the key principle of electricity ratepayer benefits: societal benefits; GHG emissions mitigation and adaptation in the electricity sector at the lowest possible cost; the loading order; low-emission vehicles/transportation; economic development; and efficient use of ratepayer monies.21

Accordingly, the Project Narrative Form (Attachment 4) and the “Goals and Objectives” section of the Scope of Work Template (Attachment 6) must describe how the project will: (1) benefit California IOU ratepayers by increasing reliability, lowering costs, and/or increasing safety; and (2) lead to technological advancement and breakthroughs to overcome barriers to achieving the state’s statutory energy goals.

6. Measurement and Verification Plan Include a Measurement and Verification Plan for all groups in the Project Narrative (Attachment 4) that describes how actual project benefits will be measured and quantified, such as by pre and post-project energy use (kilowatt hours, kilowatts), water use (million gallons), and cost savings for energy, water, and other benefits. Any estimates of energy and water savings or GHG impacts must be calculated using the

19 http://docketpublic.energy.ca.gov/PublicDocuments/16-OIR-02/TN213843_20160929T152126_Maria_Stamas_Comments_Comments_of_the_GREENEnergy_Efficiency_fo.pdf20 Id. at p. 19.21 Id. at pp. 19-20.

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References for Calculating Electricity End-Use, Electricity Demand, and GHG Emissions (Attachment 12).

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III. Application Organization and Submission InstructionsA. APPLICATION FORMAT, PAGE LIMITS, AND NUMBER OF COPIES The following table summarizes the application formatting and page limit recommendations:

Format Font: 11-point, Arial (excluding Excel spreadsheets, original template headers and footers, and commitment or support letters)

Margins: No less than one inch on all sides (excluding headers and footers)

Spacing: Single spaced, with a blank line between each paragraph Pages: Numbered and printed double-sided (when determining

page limits, each printed side of a page counts as one page) Signatures: Manual (i.e., not electronic) Labeling: Tabbed and labeled as required in Sections B and C

below Binding: Original binder clipped; all other copies spiral or comb

bound (binders discouraged) File Format: MS Word version 1997-2003, or version 2007 or later

(.doc or .docx format), excluding Excel spreadsheets and commitment or support letters (PDF files are acceptable for the letters)

File Storage: Electronic files of the application must be submitted on a CD-ROM or USB memory stick

Page Limit Recommendations Executive Summary (Attachment 2): two pages

Fact Sheet (Attachment 3): two pages Project Narrative Form (Attachment 4): twenty pages excluding

documentation for CEQA Project Team Form (Attachment 5): two pages for each resume Reference and Work Product Form (Attachment 9): one page for

each reference, two pages for each project description Commitment and Support Letter Form (Attachment 11): two

pages, excluding the cover page

The following attachments are recommended not to exceed seventy pages:o Executive Summary Formo Fact Sheet Templateo Project Narrative Formo Scope of Work Template (Attachments 6 and 6a)

There are no page limits for the following:o Application Form (Attachment 1)o Budget Forms (Attachment 7)o CEQA Compliance Form (Attachment 8)o Contact List Template (Attachment 10)

Number of Copies of the Application

For Hard Copy Submittal Only: 1 hard copy (with signatures) One electronic copy (on a CD-ROM or USB memory stick)

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B. PREFERRED METHOD FOR DELIVERY

The preferred method of delivery for this solicitation is the Energy Commission Grant Solicitation System, available at: https://gss.energy.ca.gov/. This online tool allows applicants to submit their electronic documents to the Energy Commission prior to the date and time specified in this solicitation. Electronic files must be in Microsoft Word XP (.doc format) and Excel Office Suite formats unless originally provided in the solicitation in another format.  Attachments requiring signatures may be scanned and submitted in PDF format.  Completed Budget Forms, Attachment 7, must be in Excel format.  The system will not allow applications to be submitted after the due date and time.

First time users must register as a new user to access the system. Applicants will receive a confirmation email after all required documents have been successfully uploaded. A tutorial of the system will be provided at the pre-application workshops and you may contact the Commission Agreement Officer identified in the Questions section of the solicitation for more assistance.

C. HARD COPY DELIVERY

An applicant may also deliver a hard copy of an application by:

U.S. Mail In Person Courier service

Applications submitted in hard copy must be delivered to the Energy Commission Contracts, Grants and Loans Office according to the schedule in Section I.G. If applications are delivered prior to the due date shown on this schedule, then they can be delivered during normal business hours (8 am – 5 pm) . Applications received after the specified date and time shown in Section I.G. are considered late and will not be accepted. There are no exceptions to this.  Postmark dates of mailing, E-mail and facsimile (FAX) transmissions are not acceptable in whole or in part, under any circumstances.  There is no need to submit a hard copy of an application that is submitted through the Grant Solicitation System as it will only cause confusion.

Number of CopiesApplicants submitting a hard copy application are only required to submit one paper copy.  Applicants must also submit electronic files of the application on CD-ROM or USB memory stick along with the paper submittal.  Electronic files must be in Microsoft Word XP (.doc format) and Excel Office Suite formats.  Completed Budget Forms, Attachment 7, must be in Excel format. Electronic files submitted via e-mail will not be accepted.

Packaging and LabelingAll hard copy applications must be labeled "Grant Funding Opportunity GFO-17-304," and include the title of the application.

Include the following label information on the mailing envelope:

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Applicant’s Project ManagerApplicant’s NameStreet AddressCity, State, and Zip Code

GFO-17-304Contracts, Grants, and Loans Office, MS-18California Energy Commission1516 Ninth Street, 1st FloorSacramento, California 95814

D. APPLICATION ORGANIZATION AND CONTENT1. For all hard copy submittals, submit attachments in the order specified below.

2. Label the proposal application cover “Grant Funding Opportunity GFO-17-304” and include: (a) the title of the application; and (b) the applicant’s name.

3. Separate each section of the application by a tab that is labeled only with the tab number and section title indicated below.

Tab/Attachment Number

Title of Section

1 Application Form (requires signature)2 Executive Summary3 Fact Sheet4 Project Narrative5 Project Team6 (includes 6a) Scope of Work7 Budget8 CEQA Compliance Form9 References and Work Product10 Contact List11 Commitment and Support Letters (require signature)

Below is a description of each required section of the application. Completeness in submitting are the required information requested in each attachment will be factored into the scoring:

1. Application Form (Attachment 1)This form requests basic information about the applicant and the project. The application includes an original form that includes all requested information. The application must be signed by an authorized representative of the applicant’s organization or will be failed as indicated in Section IV.E.

2. Executive Summary Form (Attachment 2)The Executive Summary includes: a project description; the project goals and objectives to be achieved; an explanation of how the goals and objectives will be achieved, quantified, and measured; and a description of the project tasks and overall management of the agreement.

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3. Fact Sheet Template (Attachment 3)The project fact sheet presents project information in a manner suitable for publication (if the project receives funding, the Energy Commission may use the fact sheet to publicize the project). The fact sheet follows the template, which includes a summary of project specifics and a description of the issue addressed by the project, a project description, and anticipated benefits for the state of California.

4. Project Narrative Form (Attachment 4) This form will include the majority of the applicant’s responses to the Scoring Criteria in Section IV, including the following which must be addressed for both Applied Research & Technology Demonstration projects (Groups 1 and 2):

a. Group Specific Questions (optional) Include required group specific information (see Section II.B.4) in the

specified sections.

b. Project Readiness Include information about the permitting required for the project and whether

or not the permitting has been completed. If complete, provide appropriate documentation. If local jurisdiction CEQA review and project approval is not complete, applications must include information documenting progress towards and a schedule for achieving compliance under CEQA within the timeframes specified in this solicitation (see Section I.D). All supporting documentation must be included in Attachment 8.

5. Project Team Form (Attachment 5)Identify by name all key personnel22 assigned to the project, including the project manager and principal investigator (if applicable), and individuals employed by any major subcontractor (a major subcontractor is a subcontractor receiving at least 25% of Commission funds or $100,000, whichever is less). Clearly describe their individual areas of responsibility. Include the information required for each individual, including a resume (maximum two pages, printed double-sided).

6. Scope of Work Template (Attachments 6 and 6a)Applicants must include a completed Scope of Work for each project, as instructed in the template. The Scope of Work identifies the tasks required to complete the project. It includes a project schedule that lists all products, meetings, and due dates. All work must be scheduled for completion within 36 to 48 months of the project start date.

Electronic files for Parts I-IV of the Scope of Work are in MS Word. Part V (Project Schedule, Attachment 6a) is in MS Excel.

7. Budget Forms (Attachment 7)The budget forms are in MS Excel format. Detailed instructions for completing them are included at the beginning of Attachment 7. Read the instructions before completing the worksheets. Complete and submit information on all budget worksheets. The salaries, rates, and other costs entered on the worksheets will become a part of the final agreement.

22 “Key personnel” are individuals that are critical to the project due to their experience, knowledge, and/or capabilities.

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1) All project expenditures (match share and reimbursable) must be made within the approved agreement term. Match share requirements are discussed in Part I of this solicitation. The entire term of the agreement and projected rate increases must be considered when preparing the budget.

2) The budget must reflect estimates for actual costs to be incurred during the agreement term. The Energy Commission may only approve and reimburse for actual costs that are properly documented in accordance with the grant terms and conditions. Rates and personnel shown must reflect the rates and personnel the applicant would include if selected as a Recipient.

3) The proposed rates are considered capped and may not change during the agreement term. The Recipient will only be reimbursed for actual rates up to the rate caps.

4) The budget must NOT include any Recipient profit from the proposed project, either as a reimbursed item, match share, or as part of overhead or general and administrative expenses (subcontractor profit is allowable, though the maximum percentage allowed is 10 % of the total subcontractor rates for labor, and other direct and indirect costs as indicated in the Category Budget form). Please review the terms and conditions and budget forms for additional restrictions and requirements.

5) The budget must allow for the expenses of all meetings and products described in the Scope of Work. Meetings may be conducted at the Energy Commission or by conference call, as determined by the Commission Agreement Manager.

6) Applicants must budget for permits and insurance. Permitting costs may be accounted for in match share (please see the discussion of permits in the Scope of Work, Attachment 6).

7) The budget must NOT identify that EPIC funds will be spent outside of the United States or for out of country travel.  However, match funds may cover these costs if there are no legal restrictions.

8) Prevailing wage requirement: Projects that receive an award of public funds from the Energy Commission often involve construction, alteration, demolition, installation, repair or maintenance work over $1,000. For this reason, projects that receive an award of public funds from the Energy Commission are likely to be considered public works under the California Labor Code. See Chapter 1 of Part 7 of Division 2 of the California Labor Code, commencing with Section 1720 and Title 8, California Code of Regulations, Chapter 8, Subchapter 3, commencing with Section 16000.

Projects deemed to be public works require among other things the payment of prevailing wages, which can be significantly higher than non-prevailing wages.

By accepting this grant, Recipient as a material term of this agreement shall be fully responsible for complying with all California public works requirements including but not limited to payment of prevailing wage. Therefore, as a material term of this grant, Recipient must either:

(a) Proceed on the assumption that the project is a public work and ensure that:

(i) prevailing wages are paid; and

(ii) the project budget for labor reflects these prevailing wage requirements; and

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(iii) the project complies with all other requirements of prevailing wage law including but not limited to keeping accurate payroll records, and complying with all working hour requirements and apprenticeship obligations;

or, (b) Timely obtain a legally binding determination from the Department of Industrial Relations or a court of competent jurisdiction before work begins on the project that the proposed project is not a public work.

8. California Environmental Quality Act (CEQA) Compliance Form (Attachment 8)The Energy Commission requires the information on this form to facilitate its evaluation of proposed activities under CEQA (California Public Resources Code Section 21000 et. seq.), a law that requires state and local agencies in California to assess the potential environmental impacts of their proposed actions. The form will also help applicants to determine CEQA compliance obligations by identifying which proposed activities may be exempt from CEQA and which activities may require additional environmental review. If proposed activities are exempt from CEQA (such as paper studies), the worksheet will help to identify and document this. This form must be completed regardless of whether the proposed activities are considered a “project” under CEQA.

Failure to complete the CEQA process in a timely manner after the Energy Commission’s Notice of Proposed Award may result in the cancellation of a proposed award and allocation of funding to the next highest-scoring project.

9. Reference and Work Product Form (Attachment 9)1) Section 1 : Provide applicant and subcontractor references as instructed. 2) Section 2 : Provide a list of past projects detailing technical and business experience

of the applicant (or any member of the project team) that is related to the proposed work. Identify past projects that resulted in market-ready technology, advancement of codes and standards, and/or advancement of state energy policy. Include copies of up to three of the applicant or team member’s recent publications in scientific or technical journals related to the proposed project, as applicable.

10. Contact List Template (Attachment 10)The list identifies the names and contact information of the project manager, administrator, accounting officer, and recipient of legal notices.

11. Commitment and Support Letter Form (Attachment 11)A commitment letter commits an entity or individual to providing the service or funding described in the letter. A support letter details an entity or individual’s support for the project. Commitment and Support Letters must be submitted with the application. Letters that are not submitted by the application deadline will not be reviewed and counted towards meeting the requirement specified in the solicitation.

1) Commitment Letters If match funding will be provided that exceeds the minimum requirements in

Section I.F., applicants must submit a match funding commitment letter signed by each representative of the entity or individual that is committing to providing match funding. The letter must: (1) identify the source(s) of the funds; and (2) guarantee the availability of the funds for the project.

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While it is acceptable for a complete list of proposed project sites to be determined as an early project task in the Scope of Work, we expect the Applied Research phase of the project to begin immediately, thus, it is critical to identify as many sites as possible for this first phase of the project in the application. Because the details of TD&D phase of the project will depend on results from the Applied Research phase, identifying those sites in the application is less critical. This grant has a very limited time and must be completed by December 31, 2021. A clear plan for identifying the Applied Research and TD&D phase sites and assuring their compliance with CEQA in sufficient time to complete the work and meet the grant requirements must be discussed in Attachment 4, items 1 and 4. Site commitment letters must be a site commitment letter signed by an authorized representative of the proposed test/ demonstration/ deployment site. The letter must: (1) identify the location of the site (street address, parcel number, tract map, plot map, etc.) which must be consistent with Attachments 1 and 8. and (2) commit to providing the site for the proposed activities.

Project partners that are making contributions other than match funding or a test/ demonstration/ deployment (select applicable site) site, and are not receiving Energy Commission funds, must submit a commitment letter signed by an authorized representative that: (1) identifies how the partner will contribute to the project; and (2) commits to making the contribution.

2) Support Letters All applicants must include at least one support letter from a project stakeholder (i.e., an entity or individual that will benefit from or be involved in the project) that: (1) describes the stakeholder’s interest or involvement in the project; (2) indicates the extent to which the project has the support of the relevant industry and/or organizations; and (3) describes any support it intends (but does not necessarily commit) to provide for the project, such as funding or the provision of a test/ demonstration/ deployment site.

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IV. Evaluation and Award Process A. APPLICATION EVALUATION

Applications will be evaluated and scored based on responses to the information requested in this solicitation. To evaluate applications, the Energy Commission will organize an Evaluation Committee that consists primarily of Energy Commission staff. The Evaluation Committee may use technical expert reviewers to provide an analysis of applications. Applications will be evaluated in two stages:

1. Stage One: Application Screening The Contracts, Grants, and Loans Office and/or the Evaluation Committee will screen applications for compliance with the Screening Criteria in Section E of this Part. Applications that fail any of the screening criteria will be rejected. The Evaluation Committee may conduct optional in-person or telephone Clarification Interviews with applicants during the screening process to clarify and/or verify information submitted in the application. However, these interviews may not be used to change or add to the content of the original application. Applicants will not be reimbursed for time spent answering clarifying questions.

2. Stage Two: Application Scoring Applications that pass Stage One will be submitted to the Evaluation Committee for review and scoring based on the Scoring Criteria in Section F of this Part.

The scores for each application will be the average of the combined scores of all Evaluation Committee members.

A minimum score of 70.00 points is required for the application to be eligible for funding. In addition, the application must receive a minimum score of 49.00 points for criteria 1−4 to be eligible for funding.

Clarification Interviews: The Evaluation Committee may conduct optional in-personor telephone interviews with applicants during the evaluation process to clarify and/or verify information submitted in the application. However, these interviews may not be used to change or add to the content of the original application. Applicants will not be reimbursed for time spent answering clarifying questions.

B. RANKING, NOTICE OF PROPOSED AWARD, AND AGREEMENT DEVELOPMENT

1. Ranking and Notice of Proposed AwardApplications that receive a minimum score of 70.00 points for all criteria will be ranked according to their score.

The Energy Commission will post a Notice of Proposed Award (NOPA) that includes: (1) the total proposed funding amount; (2) the rank order of applicants; and (3) the amount of each proposed award. The Commission will post the NOPA at its headquarters in Sacramento and on its website, and will mail it to all entities that submitted an application. Proposed awards must be approved by the Commission at a business meeting.

Debriefings: Unsuccessful applicants may request a debriefing after the release of the

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NOPA by contacting the Commission Agreement Officer listed in Part I. A request for debriefing must be received no later than 30 calendar days after the NOPA is released.

In addition to any of its other rights, the Energy Commission reserves the right to:o Allocate any additional funds to passing applications, in rank order; ando Negotiate with successful applicants to modify the project scope, schedule,

and/or level of funding.

2. AgreementsApplications recommended for funding will be developed into a grant agreement to be considered at an Energy Commission Business Meeting. Recipients may begin the project only after full execution of the grant agreement (i.e., approval at an Energy Commission business meeting and signature by the Recipient and the Energy Commission).

Resolution Requirement (for government agency recipients only): Prior to approval of the agreement at a business meeting, government agency recipients (e.g., federal, state, and local governments; air/water/school districts; joint power authorities; and state universities) must provide a resolution that authorizes the agency to enter into the agreement and is signed by a representative authorized to execute the agreement and all documents related to the award. Resolutions must include: (1) a brief description of the project; (2) the award amount; and (3) an acceptance of the award.

Agreement Development: The Contracts, Grants, and Loans Office will send the Recipient a grant agreement for approval and signature. The agreement will include the applicable terms and conditions and will incorporate this solicitation by reference. The Energy Commission reserves the right to modify the award documents (including the terms and conditions) prior to executing any agreement.

Failure to Execute an Agreement: If the Energy Commission is unable to successfully execute an agreement with an applicant, it reserves the right to cancel the pending award and to fund the next highest-ranked, eligible application.

Agreement Amendment: The executed agreement may be amended by mutual consent of the Energy Commission and the Recipient. The agreement may require amendment as a result of project review, changes in project scope, and/or availability of funding.

C. GROUNDS TO REJECT AN APPLICATION OR CANCEL AN AWARD

Applications that do not pass the screening stage will be rejected. In addition, the Energy Commission reserves the right to reject an application and/or to cancel an award in any of the following circumstances:

The application contains false or intentionally misleading statements or references that do not support an attribute or condition contended by the applicant.

The application is intended to erroneously and fallaciously mislead the State in its evaluation and the attribute, condition, or capability is a requirement of this solicitation.

The application does not comply or contains caveats that conflict with the solicitation, and the variation or deviation is material.

The applicant has previously received funding through a Public Interest Energy Research (PIER) agreement, has received the PIER royalty review letter (which the Energy Commission annually sends out to remind past recipients of their obligations to

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pay royalties), and has not responded to the letter or is otherwise not in compliance with repaying royalties.

The applicant has received unsatisfactory agreement evaluations from the Energy Commission or another California state agency.

The applicant is a business entity that is not in good standing with the California Secretary of State.

The applicant has not demonstrated that it has the financial capability to complete the project.

The applicant fails to meet CEQA compliance within sufficient time for the Energy Commission to meet its encumbrance deadline, as the Energy Commission in its sole and absolute discretion may determine.

The applicant has included a statement or otherwise indicated that it will not accept the terms and conditions, or that acceptance is based on modifications to the terms and conditions.

The application contains confidential information or identifies any portion of the application as confidential.

D. MISCELLANEOUS

1. Solicitation Cancellation and AmendmentIt is the policy of the Energy Commission not to solicit applications unless there is a bona fide intention to award an agreement. However, if it is in the State’s best interest, the Energy Commission reserves the right, in addition to any other rights it has, to do any of the following:

Cancel this solicitation; Revise the amount of funds available under this solicitation; Amend this solicitation as needed; and/or Reject any or all applications received in response to this solicitation.

If the solicitation is amended, the Energy Commission will send an addendum to all entities that requested the solicitation, and will also post it on the Energy Commission’s website at: www.energy.ca.gov/contracts. The Energy Commission will not reimburse applicants for application development expenses under any circumstances, including cancellation of the solicitation.

2. Modification or Withdrawal of ApplicationApplicants may withdraw or modify a submitted application before the deadline to submit applications by sending a letter to the Commission Agreement Officer listed in Part I. Applications cannot be changed after that date and time. An Application cannot be “timed” to expire on a specific date. For example, a statement such as the following is non-responsive to the solicitation: “This application and the cost estimate are valid for 60 days.”

3. ConfidentialityThough the entire evaluation process from receipt of applications up to the posting of the NOPA is confidential, all submitted documents will become publicly available records after the Energy Commission posts the NOPA or the solicitation is cancelled. The Energy Commission will not accept or retain applications that identify any portion as confidential.

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4. Solicitation Errors

If an applicant discovers any ambiguity, conflict, discrepancy, omission, or other error in the solicitation, the applicant should immediately notify the Energy Commission of the error in writing and request modification or clarification of the solicitation. The Energy Commission will provide modifications or clarifications by written notice to all entities that requested the solicitation. The Energy Commission will not be responsible for failure to correct errors.

5. Immaterial DefectThe Energy Commission may waive any immaterial defect or deviation contained in an application. The Energy Commission’s waiver will not modify the application or excuse the successful applicant from full compliance with solicitation requirements.

6. Disposition of Applicant’s DocumentsUpon the posting of the NOPA, all applications and related materials submitted in response to this solicitation will become property of the State and publicly available records. Unsuccessful applicants who seek the return of any materials must make this request to the Agreement Officer listed in Part I, and provide sufficient postage to fund the cost of returning the materials.

E. STAGE ONE: APPLICATION SCREENING

SCREENING CRITERIAThe Application must pass ALL criteria to progress to Stage Two.

Pass/Fail

1. The application is received by the Energy Commission’s Contracts, Grants, and Loans Office by the due date and time specified in the “Key Activities Schedule” in Part I of this solicitation and is received in the required manner (e.g., no emails or faxes).

Pass Fail

2. The application Form (Attachment 1) is signed where indicated. Pass Fail

3. The application addresses only one of the eligible project groups, as indicated on the Application Form.

Pass Fail

4. If the applicant has submitted more than one application for the same project group, each application is for a distinct project (i.e., no overlap with respect to the tasks described in the Scope of Work, Attachment 6).

If the projects are not distinct and the applications were submitted at the same time, only the first application screened by the Energy Commission will be eligible for funding. If the applications were submitted separately, only the first application received by the Energy Commission will be eligible for funding.

Pass Fail

5. The Application Form / budget specify that the applicant will provide at least 25% or greater of the requested Energy Commission funds in match funds.

Pass Fail

6. If the project involves pilot testing/ demonstration/ deployment activities:o The Application Form identifies one or more test/

Pass Fail N/A

(project does not involve testing/

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SCREENING CRITERIAThe Application must pass ALL criteria to progress to Stage Two.

Pass/Fail

demonstration/ deployment site locations.o All test/ demonstration/ deployment sites are located in a

California electric IOU service territory (PG&E, SDG&E, or SCE)-See Section I.B. for definition.

demonstration/ deployment activities)

7. For projects that require match funding: The proposal includes one or more match funding commitment letter.

Pass Fail

8. For projects with a demonstration or test site: The proposal includes a site commitment letter (Section III.D.11).

Pass Fail N/A

(project does not involve testing/ demonstration/ deployment activities)

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F. STAGE TWO: APPLICATION SCORING

Proposals that pass ALL Stage One Screening Criteria and are not rejected as described in Section IV.C. will be evaluated based on the Scoring Criteria on the next page and the Scoring Scale below (with the exception of criteria 6−8, which will be evaluated as described in each criterion). Each criterion has an assigned number of possible points, and is divided into multiple sub-criteria. The sub-criteria are not equally weighted. The Project Narrative (Attachment 4) must respond to each sub-criterion, unless otherwise indicated. The minimum passing score for criteria 1−4 is 49.00 points and the total minimum

passing score is 70.00 out of 100 points for criteria 1-7. The points for criteria 5−7 will only be applied to proposals that achieve the minimum score

for criteria 1−4. The points for criteria 8-10 will only be applied to proposals that achieve the minimum scores for criteria 1-4 and criteria 1-7.

SCORING SCALE

% of Possible Points

Interpretation Explanation for Percentage Points

0% Not Responsive

The response fails to address the criteria. The omissions, flaws, or defects are significant and

unacceptable.

10-30% Minimally Responsive

The response minimally addresses the criteria. The omissions, flaws, or defects are significant and only

minimally acceptable.

40-60% Inadequate

The response addresses the criteria. There are one or more omissions, flaws, or defects or the

criteria are addressed in a limited way that results in a low degree of confidence in the proposed solution.

70% Adequate The response adequately addresses the criteria. Any omissions, flaws, or defects are inconsequential and

acceptable.

80% Good

The response fully addresses the criteria with a good degree of confidence in the applicant’s response or proposed solution.

There are no identified omissions, flaws, or defects. Any identified weaknesses are minimal, inconsequential, and acceptable.

90% Excellent

The response fully addresses the criteria with a high degree of confidence in the applicant’s response or proposed solution.

The applicant offers one or more enhancing features, methods, or approaches that exceed basic expectations.

100% Exceptional

All criteria are addressed with the highest degree of confidence in the applicant’s response or proposed solution.

The response exceeds the requirements in providing multiple enhancing features, a creative approach, or an exceptional solution.

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SCORING CRITERIA

The Project Narrative (Attachment 4) must respond to each criterion below, unless otherwise indicated. The responses must directly relate to the solicitation requirements and focus as stated in Section I.A. and Section II.B. Failure to comply with the solicitation could be grounds for application rejection as stated in Section IV.C. Any estimates of energy savings or GHG impacts should be calculated as specified in the References for Calculating Energy End-Use and GHG Emissions (Attachment 12), to the extent that the references apply to the proposed project.

Scoring Criteria Maximum Points

1. Technical Merit and Needa. Provides a clear and concise description of the goals, objectives,

technological or scientific knowledge advancement, and innovation in the proposed project.

b. Explains how the proposed project will lead to technological advancement and breakthroughs that overcome barriers to achieving the State’s statutory energy goals.

c. Summarizes the current status of the relevant technology and/or scientific knowledge, and explains how the proposed project will advance, supplement, and/or replace current technology and/or scientific knowledge.

d. Justifies the need for EPIC funding, including an explanation of why the proposed work is not adequately supported by competitive or regulated markets.

e. Discusses the degree to which the proposed work is technically feasible and achievable within the proposed project schedule in Attachment 6A and the key activities schedule in Section I.F

f. Provides a clear and plausible measurement and verification plan that describes how energy savings and other benefits specified in the application will be determined and measured.

g. Provides information documenting progress towards achieving compliance with the California Environmental Quality Act (CEQA) by addressing the areas in Section I.D, and Section III.D.4, and Section III.D.8.

h. Provides information described in Section II.B.4 .

20

2. Technical Approacha. Describes the technique, approach, and methods to be used in

performing the work described in the Scope of Work. Highlights any outstanding features.

b. Describes how tasks will be executed and coordinated with various participants and team members.

c. Identifies and discusses factors critical for success, in addition to risks, barriers, and limitations. Provides a plan to address them.

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d. Describes how the knowledge gained, experimental results, and lessons learned will be made available to the public and key decision-makers.

e. Includes a complete Scope of Work and Project Schedule, as instructed in Attachments 6 and 6a.

f. Provides information described in Section II.B.4.

3. Impacts and Benefits for California IOU Ratepayersa. Explains how the proposed project will benefit California Investor-Owned

Utility (IOU) ratepayers with respect to the EPIC goals of greater reliability, lower costs, and/or increased safety).

b. Provides clear, plausible, and justifiable quantitative estimates of potential benefits for California IOU electricity ratepayers, including the following (as applicable): annual electricity and thermal savings (kilowatt-hour and therms), peak load reduction and/or shifting, energy cost reductions, greenhouse gas emission reductions, air emission reductions (e.g., NOx), and water use and/or cost reductions.

c. States the timeframe, assumptions, and calculations for the estimated benefits, and explains their reasonableness.

d. Identifies impacted market segments in California, including size and penetration or deployment rates, with underlying assumptions.

e. Discusses any qualitative or intangible benefits to California IOU electricity ratepayers, including timeframe and assumptions.

f. Provides a cost-benefit analysis that compares project costs to anticipated benefits. Explains how costs and benefits will be calculated and quantified, and identifies any underlying assumptions.

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4. Team Qualifications, Capabilities, and Resourcesa. Describes the organizational structure of the applicant and the project

team. Includes an organizational chart that illustrates the structure.

b. Identifies key team members, including the project manager and principal investigator (include this information in Attachment 5, Project Team Form).

c. Summarizes the qualifications, experience, capabilities, and credentials of the key team members (include this information in Attachment 5, Project Team Form).

d. Explains how the various tasks will be managed and coordinated, and how the project manager’s technical expertise will support the effective management and coordination of all projects in the application.

e. Describes the facilities, infrastructure, and resources available to the team.

f. Describes the team’s history of successfully completing projects (e.g., RD&D projects) and commercializing and/or deploying results/products.

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g. Identifies past projects that resulted in a market-ready technology (include this information in Attachment 9, Reference and Work Product Form).

h. References are relevant to the proposed project and are current, meaning within the past three years (include this information in Attachment 9, Reference and Work Product Form).

i. Identifies any collaborations with utilities, industries, or others. Explains the nature of the collaboration and what each collaborator will contribute.

j. Demonstrates that the applicant has the financial ability to complete the project, as indicated by the responses to the following questions:

Has your organization been involved in a lawsuit or government investigation within the past five years?

Does your organization have overdue taxes? Has your organization ever filed for or does it plan to file for

bankruptcy? Has any party that entered into an agreement with your

organization terminated it, and if so for what reason? For Energy Commission agreements listed in the application that

were executed (i.e., approved at a Commission business meeting and signed by both parties) within the past five years, has your organization ever failed to provide a final report by the date indicated in the agreement?

k. Support or commitment letters (for match funding, test sites, or project partners) indicate a strong level of support or commitment for the project.

l. Provides information described in Section II.B.4 .

Total Possible Points for criteria 1−4(Minimum Passing Score for criteria 1−4 is 49.00) 70

5. Budget and Cost-Effectivenessa. Budget forms are complete, as instructed in Attachment 7.b. Justifies the reasonableness of the requested funds relative to the project

goals, objectives, and tasks.c. Justifies the reasonableness of costs for direct labor, non-labor (e.g.,

indirect overhead, general and administrative costs, and subcontractor profit), and operating expenses by task.

d. Explains why the hours proposed for personnel and subcontractors are reasonable to accomplish the activities in the Scope of Work (Attachment 6).

e. Explains how the applicant will maximize funds for the technical tasks in Part IV of the Scope of Work and minimize expenditure of funds for program administration and overhead.

f. The requested funding falls within the minimum and maximum range specified in Part I of this solicitation.

g. Provides information described in Section II.B.4.

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6. EPIC Funds Spent in CaliforniaProjects that spend EPIC funds in California will receive points as indicated in the table below. “Spent in California” means that: (1) Funds under the “Direct Labor” category and all categories calculated based on direct labor (Prime and Subcontractor Labor Rates) are paid to individuals who pay California state income taxes on wages received for work performed under the agreement; and/or (2) Business transactions (e.g., material and equipment purchases, leases, rentals, and contractual work) are entered into with a business located in California.

Airline ticket purchases for out-of-state travel and payments made to out-of-state workers are not considered funds “spent in California.” However, funds spent by out-of-state workers in California (e.g., hotel and food) and airline travel originating and ending in California are considered funds “spent in California.”

Percentage of EPIC funds spent in CA(derived from budget Attachment 7)

Percentage of Possible Points

>60% 20%>70% 40%>80% 60%>90% 80%>98% 100%

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7. Ratio of Direct Labor and Fringe Benefit Costs to Loaded Labor Costs

The score for this criterion will derive from the Category Budget in the budget forms, which compare the total Energy Commission funds for the direct labor and fringe benefits costs to the total loaded costs (Total Direct Labor + Total Fringe)/ (Total Direct Labor + Total Fringe + Total Indirect + Total Profit). This ratio, as a percentage, is multiplied by the possible points for this criterion and rounded two decimal places. For the purposes of this criteria, the Energy Commission will include the facility charges (e.g., rent, utilities, etc.), burdens and other like costs that are budgeted as direct costs into the indirect costs in the formula.

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Total Possible Points(Minimum Passing Score is 70) 100

Additional Points Applications must meet both minimum passing scores (Scoring Criteria 1-4 and 1-7) to be eligible for the additional points.

8. Match Funding above the 25% Minimum

Each match funding contributor above the minimum must submit a commitment letter that meets the requirements of Attachment 11. Failure to meet these requirements will affect the match funding points.

Points for this criterion will be awarded as follows:o 5 points will be awarded based on the percentage of match funding

that exceeds the minimum match funding amount divided by the total amount of EPIC funds requested. This ratio will be multiplied

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by 5 to yield the points.For example: If requested EPIC funds are $1,000,000, the applicant must provide at least $250,000 (25% of $1,000,000) in match funding. If the applicant pledged $500,000 in match funding, the amount that will be evaluated for additional points is $250,000. The match funding ratio is 0.25. (5 x 0.25 = 1.25 points).

o 5 points will be awarded based on the level of commitment above the minimum percentage and will consider type of match funding (cash in hand funds will be considered more favorably than other types of match funding), dollar value justification, and funding replacement strategy described in the match funding commitment letter for the amount above the minimum (see Attachment 11). The proposal scoring scale in Section F will be used to rate these criteria.

Any match funding pledged in Attachment 1 must be consistent with the amount or dollar value described in the commitment letter(s) (e.g., if $5,000 “cash in hand” funds are pledged in a commitment letter, Attachment 1 must match this amount). Only the total amount pledged in the commitment letter(s) will be considered for match funding points.

9. Disadvantaged CommunitiesProjects with all test or demonstration sites located in disadvantaged communities, as defined in Section 1.B, and justifies how the project will benefit the disadvantaged communities will receive additional points.

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