request for proposal 000-00-000 · web view2020/02/25 · ms word version 1997-2003, or version...

GRANT FUNDING OPPORTUNITY

Advancing Envelope Technologies for Single Family Residential Buildings, Low-rise Multifamily Buildings,

and Mobile Homes

GFO-19-307http://www.energy.ca.gov/contracts/index.html

State of CaliforniaCalifornia Energy Commission

January/2020

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

A. PURPOSE OF SOLICITATION....................................................................................................................................1B. KEY WORDS/TERMS.............................................................................................................................................2C. APPLICANTS’ ADMONISHMENT...............................................................................................................................5D. ADDITIONAL REQUIREMENTS..................................................................................................................................5E. BACKGROUND.....................................................................................................................................................6F. FUNDING.........................................................................................................................................................11G. KEY ACTIVITIES SCHEDULE...................................................................................................................................14H. NOTICE OF PRE-APPLICATION WORKSHOP..............................................................................................................15I. QUESTIONS......................................................................................................................................................16

II. ELIGIBILITY REQUIREMENTS...................................................................................................................... 18

A. APPLICANT REQUIREMENTS.................................................................................................................................18B. PROJECT REQUIREMENTS....................................................................................................................................19

III. APPLICATION ORGANIZATION AND SUBMISSION INSTRUCTIONS..............................................................30

A. APPLICATION FORMAT, PAGE LIMITS, AND NUMBER OF COPIES.................................................................................30B. PREFERRED METHOD FOR DELIVERY......................................................................................................................31C. HARD COPY DELIVERY........................................................................................................................................31D. APPLICATION ORGANIZATION AND CONTENT...........................................................................................................32

IV. EVALUATION AND AWARD PROCESS......................................................................................................... 38

A. APPLICATION EVALUATION..................................................................................................................................38B. RANKING, NOTICE OF PROPOSED AWARD, AND AGREEMENT DEVELOPMENT................................................................38C. GROUNDS TO REJECT AN APPLICATION OR CANCEL AN AWARD..................................................................................39D. MISCELLANEOUS................................................................................................................................................40E. STAGE ONE: APPLICATION SCREENING..................................................................................................................41F. STAGE TWO: APPLICATION SCORING....................................................................................................................43

January 2020 Page i GFO-19-307Advancing Envelope Technologies

for Single Family Residential Buildings, Low-rise Multifamily Buildings, and Mobile Homes

ATTACHMENTSAttachment 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 Applicant Declaration (requires signature)

13 References for Calculating Energy End-Use and GHG Emissions

January 2020 Page ii GFO-19-307Advancing Envelope Technologies


I. IntroductionA. Purpose of Solicitation The purpose of this solicitation is to fund applied research and development, and technology demonstration and deployment projects of advanced window and building envelope systems in single family residential homes, low-rise multifamily residential buildings, and mobile homes. The objective is to reduce HVAC and/or lighting energy use and advance California’s goal of decarbonization of the building sector.

For example, by tightening building envelopes and considering new types of installation techniques, less energy would be used to heat and cool buildings, indoor conditions could be easier to regulate, and buildings could require smaller HVAC units. Also, load shifting strategies could emphasize pre-cooling buildings to avoid the afternoon ramp-up of air conditioning use, improved envelopes will be an important element to make this strategy workable.

This solicitation focuses on three main areas: 1) testing and demonstrating new building envelope measures with the goal of reducing costs and increasing energy performance for retrofits to existing low-rise multifamily and single family residential buildings, 2) developing, testing and validating innovative exterior pre-fabricated building envelope packages for retrofits to existing low-rise multifamily buildings with the goal of enhancing energy performance and determining technical and economic feasibility, and 3) developing and testing advanced building envelope measures that have fire resistive qualities while still being energy efficient for new single family mobile homes with the goal of developing affordable all electric homes.

All demonstration or deployment sites must be located in a California electric IOU service territory (Pacific Gas and Electric Co., San Diego Gas and Electric Co., or Southern California Edison Co.).

To be eligible, projects must fall within one of the following project groups:

Group 1: Demonstrate Fenestration Advancements in Existing Low-rise Multifamily and Single Family Residential Buildings in Disadvantaged or Low-income Communities – TRL 6-9

Group 2: Develop, Test and Validate Innovative Exterior Prefabricated Envelope Packages for Low-rise Multifamily Building Retrofits – TRL 3-5

Group 3: Develop and Test Advanced Envelope Measures for Single Family Mobile Homes – TRL 3-5

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).

Applications will be screened, scored, and ranked within each group and scores will not be compared across groups. So there will be a rank of 1, 2 and so on for group 1, rank of 1, 2, and so on for group 2, and the same for group 3.

January 2020 Page 1 GFO-19-307Advancing Envelope Technologies


B. Key Words/TermsWord/Term DefinitionACH50 Air changes per hour at 50 pascals (Pa) pressure differential

Applicant 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)

EDR Energy Design Rating. A way to express the energy consumption of a building as a rating score index where a score of 100 represents the energy consumption of the building built to the specifications of the Residential Energy Services (RESNET) reference home characterization of the 2006 International Energy Conservation Code (IECC) with Title 24, Part 6 modeling assumptions, and a score of 0 (zero) represents a building that has zero net energy consumption. The EDR is calculated using CEC-approved compliance software as specified by the Alternative Calculation Method Approval Manual1.

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

CEC, Energy Commission or Commission

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

Fenestration Openings in the building envelope, including the installation of windows, doors, and skylights

HUD The U. S. Department of Housing and Urban Development.

IOU Investor-owned Utility, an electrical corporation as defined in 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.

1 California Energy Commission

https://ww2.energy.ca.gov/2015publications/CEC-400-2015-039/CEC-400-2015-039-CMF.pdfJanuary 2020 Page 2 GFO-19-307

Advancing Envelope Technologies for Single Family Residential Buildings,

Low-rise Multifamily Buildings, and Mobile Homes

Word/Term DefinitionLow-income Community

Low-income Communities are defined as communities within census tracts with median household incomes at or below 80 percent of the statewide median income or the applicable low-income threshold listed in the state income limits updated by the Department of Housing and Community Development. https://www.hcd.ca.gov/grants-funding/income-limits/state-and-federal-income-limits.shtml

Low-rise Multifamily A multifamily building that is three-stories or less

Multifamily or MF A Multifamily building consisting of two or more residential units

Mobile Home Mobile homes are also referred to as manufactured homes. The U.S Department of Housing and Urban Development defines this type of home as, “homes built as dwelling units of at least 320 square feet in size with a permanent chassis to assure the initial and continued transportability of the home. All transportable sections of manufactured homes built in the U.S. after June 15, 1976 must contain a certification label (commonly referred to as a HUD Tag) on the home. The label is the manufacturer's certification that the home section is built in accordance with HUD's Manufactured Home Construction and Safety Standards (the Standards). The Standards cover Body and Frame Requirements, Thermal Protection, Plumbing, Electrical, Fire Safety, and other aspects of the home. The Standards are published in the Code of Federal Regulations under 24 CFR Part 3280.”2

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

Pre-Commercial Technology

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

2 U.S Department of Housing and Urban Development. https://www.hud.gov/program_offices/housing/rmra/mhs/factsheetJanuary 2020 Page 3 GFO-19-307



Word/Term DefinitionR-value A unit of thermal resistance used for comparing insulating values of

different material. It is basically a measure of the effectiveness of insulation in stopping heat flow. The higher the R-value number, a material, the greater its insulating properties and the slower the heat flow through it. The specific value needed to insulate a home depends on climate, type of heating system and other factors.

Recipient An entity receiving an award under this solicitation

Single Family or SF A Single Family residential unit consisting of one residential unit

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”)

State State of California

TRL Technology Readiness Level. A method for estimating the maturity level of a certain technology.

Source: U.S. Department of Energy, “Technology Readiness Assessment Guide”. https://www2.lbl.gov/dir/assets/docs/TRL%20guide.pdf

U-factor A measure of how well heat is transferred by the entire window - the frame, sash and glass - either into or out of the building. U-value is the opposite of R-value. The lower the U-factor number, the better the window will keep heat inside a home on a cold day.



C. Applicants’ AdmonishmentThis 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 relevant grant terms and conditions located at: https://www.energy.ca.gov/funding-opportunities/funding-resources.

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 requirements1. Time is of the essence. Funds available under this solicitation have

encumbrance deadlines as early as June 30, 2020. This means that the Energy Commission must approve proposed awards at a business meeting (usually held monthly) prior to June 30, 2020 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.



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. Background1. Electric Program Investment Charge (EPIC) Program

This solicitation will award projects funded by the EPIC, an electricity ratepayer surcharge established by the California Public Utilities Commission (CPUC) in December 2011.3 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.4 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.5 The EPIC program is administered by the California Energy Commission and the IOUs.

3 See CPUC “Phase 1” Decision 11-12-035, December 15, 2011, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/156050.PDF.4 See CPUC “Phase 2” Decision 12-05-037, May 24, 2012, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.5 California Public Resources Code, Section 25711.5(a), http://www.leginfo.ca.gov/cgi-bin/displaycode?section=prc&group=25001-26000&file=25710-25712.January 2020 Page 6 GFO-19-307



2. Program Areas, Strategic Objectives, and Funding InitiativesEPIC projects must fall within the following program areas identified by the CPUC:

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 Plans 6 7and within one or more specific focus areas (“funding initiatives”) identified in the plan. This solicitation targets the following program areas, strategic objective, and funding initiatives:

EPIC 2018-2020 Triennial Investment Plan Program Area: Applied Research and Development, Technology Demonstration and

Deployment

Strategic Objective S1 Advance Technology Solutions for Continued Energy Savings in Buildings and Facilities

o Funding Initiatives: S1.2.1: Deploy Next Generation Window and Building Envelope System in Existing Residential Buildings, S1.2.2: Best Residential Envelope, and S1.2.3: Multifamily Factory Built Homes for Highly Efficient Building Envelopes

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) 328 - 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.

Senate Bill (SB) 32 - California Global Warming Solutions Act of 2006: emissions limit

6 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.7 2018-20 EPIC Triennial Investment Plan, https://ww2.energy.ca.gov/research/annual_reports.html.8 AB 32 (Statutes of 2006, chapter 488)January 2020 Page 7 GFO-19-307



AB 32 designates the State Air Resources Board as the state agency charged with monitoring and regulating sources of greenhouse gas (GHG) emissions. The state board is required to approve a statewide GHG emissions limit equivalent to the statewide GHG emissions level in 1990 to be achieved by 2020 and to adopt rules and regulations in an open public process to achieve the maximum, technologically feasible, and cost-effective GHG emissions reductions. This requires the state board to ensure that statewide GHG emissions are reduced to 40% below the 1990 level by 2030.

Additional information: https://ww3.arb.ca.gov/cc/scopingplan/scopingplan.htm

AB 758, Building Efficiency9 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:

https://ww2.energy.ca.gov/efficiency/existing_buildings/documents/ab_758_bill_20091011_chaptered.pdf

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

SB 35010 Clean Energy and Pollution Reduction Act of 2015, SB 350 does the following: 1) expands California’s RPS goals and requires retail sellers of electricity and local publicly owned electricity to increase their procurement of eligible renewable energy resources; 2) requires the 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.

Additional information: 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.

9 AB 758 (Statutes of 2009, chapter 470) 10 SB 350 (Statutes of 2015, chapter 547)January 2020 Page 8 GFO-19-307



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

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 2019 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

New Residential Zero Net Energy Action Plan 2015-2020The Residential New Construction Zero Net Energy Action Plan supports the California Energy Efficiency Strategic Plan’s goal to have 100 % of new homes achieve zero net energy beginning in 2020. The action plan provides a foundation for the development of a robust and self-sustaining zero net energy market for new homes.

Additional information: http://www.californiaznehomes.com/

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: https://www.energy.ca.gov/programs-and-topics/programs/energy-efficiency-existing-buildings

2019 California Energy Efficiency Action Plan

The Energy Efficiency Action Plan expands on the Existing Buildings Energy Action Plan and includes topics related to existing buildings energy efficiency, low-income barriers to energy efficiency, and doubling energy efficiency by 2030 process. The SB 350 Doubling of Energy Efficiency by 2030 report also expands beyond existing buildings to include agriculture, industry, newly constructed buildings, conservation voltage reduction, and electrification. This report combines these topics with the scope of the Existing Buildings Energy Efficiency Action Plan to create a comprehensive statewide energy efficiency action plan.

Additional information: https://ww2.energy.ca.gov/efficiency/existing_buildings/

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.

Executive Order B-55-18

Governor Brown’s Executive Order B-55-18 established a new statewide goal to achieve carbon neutrality as soon as possible, and no later than 2045, and achieve and maintain a negative emissions thereafter. This goal is in addition to the existing statewide targets of reducing greenhouse gas emissions.

Additional information:

https://www.ca.gov/archive/gov39/wp-content/uploads/2018/09/9.10.18-Executive-Order.pdf

Reference Documents

o California Energy Commission. https://www.energy.ca.gov/

o California Energy Commission – Energy Research & Development. https://ww2.energy.ca.gov/research/

o California Energy Commission, 2017. The Electric Program Investment Charge: Proposed 2018 – 2020 Triennial Investment Plan. Publication Number: CEC-500-2017-023-CMF. https://www.energy.ca.gov/research/epic/17-EPIC-01/ - Chapter 2

o Department of Energy, Windows and Building Envelope Research and Development: Roadmap for Emerging Technologies. 2014 https://www.energy.gov/eere/buildings/downloads/research-and-development-roadmap-windows-and-building-envelope

o Hopkins,A., Takhashi, K., Glick, D., Whited, M., Decarbonization of Heating Energy Use in California Buildings, Synapse, Energy Economics, Inc., October 2018,



http://www.synapse-energy.com/sites/default/files/Decarbonization-Heating-CA-Buildings-17-092-1.pdf (86% natural gas and 8.5% electric for residential space heating)

o “California Energy Commission Tracking Progress Energy Efficiency. September 2018 Edition. https://www.energy.ca.gov/sites/default/files/2019-05/energy_efficiency.pdf

o Shirakh, M., et al, California Energy Commission, 2016, Building Energy Efficiency Standards, Adoption Hearing, June 10, 2015. https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/2016-building-energy-efficiency

o Less, Brennan; Iain Walker, Jonathan Slack, Leo Rainer, Ronnen Levinson. 2018. Sealed and Insulated Attic Hygrothermal Performance in New California Homes Using Vapor and Air Permeable Insulation – Field Study and Simulations. California Energy Commission. Publication Number: CEC-500-2019-039. https://ww2.energy.ca.gov/2019publications/CEC-500-2019-039/CEC-500-2019-039.pdf

o Levinson, Ronnen, Haley Gilbert, Jiachen Zhang, George Ban-Weiss, Jan Kleissl, Matteo Pizzicotti, Weilong Zhang, Nathalie Dumas, Benjamin Kurtz, Yan Long, Negin Nazarian, Arash Mohegh, Yun Li, Xiaochen Tang, Sharon Chen, Marion Russell, Sébastien Houzé de l’Aulnoit, Paul Berdahl, Pablo Rosado, Jonathan Slack, Howdy Goudey, and Hugo Destaillats. 2019. Solar-Reflective “Cool” Walls: Benefits, Technologies, and Implementation. California Energy Commission. Publication Number: CEC-500-2019-040. http://innovation.energy.ca.gov/SearchResultProject.aspx?p=30001&tks=637073523796824581

o Tinnianov, Brandon. 2016. ZNE Demonstration- Integration of Dynamic Daylighting and Passive Cooling/Heating for High Return on Investment. http://innovation.energy.ca.gov/SearchResultProject.aspx?p=29520&tks=637008039494989764

o Gupta, Smita, Jeremy Smith. Itron, Inc. 2019. Research Gap Analysis for Zero-net Energy Buildings. California Energy Commission. Publication Number: CEC-500-2019-031. https://ww2.energy.ca.gov/2019publications/CEC-500-2019-031/CEC-500-2019-031.pdf

o Levy, E.; Rath, P., et. al., The Levy Partnership, Inc., 2017. Advanced Envelope Systems for Factory Built Homes. California Energy Commission. Publication Number: CEC-500-2019- 007. Assumes, incremental cost of $2,671, annual savings of $852.https://static1.squarespace.com/static/545a90ede4b026480c02c5c7/t/5d361d78389dca0001aec327/1563827577499/Syphard_Fires+of+the+Future_Lopez_Final.pdf

o California Public Utilities Commission (CPUC) Rulemaking (R.) 08-11-005 and R.15-05-006, "CPUC Fire-Threat Map," https://ia.cpuc.ca.gov/firemap/

o California Department of Housing and Community Development Mobilehome and Special Occupancy Parks Laws and Regulations. https://www.hcd.ca.gov/manufactured-mobile-home/mobile-home-parks/laws-and-regulations.shtml

F. Funding1. Amount Available and Minimum/ Maximum Funding Amounts



There is up to $10,000,000 available for grants awarded under this solicitation. The total, minimum, and maximum funding amounts for each project group are listed below. Applications will be scored and ranked within each specific group; scores will not be compared across groups.

Project Group Available funding

Minimum award amount

Maximum award amount

Minimum match funding(% of EPIC Funds Requested)

Group 1: Demonstrate Fenestration Advancements in Existing Low-rise Multifamily and Single Family Residential Buildings in Disadvantaged or Low-income Communities -TRL 6-9 (Technology Demonstration)

$6,000,000 $1,500,000 $2,000,000 20% of grant amount requested and those that exceed will receive higher scores as indicated in Section IV F under Scoring Criteria.

Group 2: Develop, Test and Validate Innovative Exterior Prefabricated Envelope Packages for low-rise Multifamily Building Retrofits – TRL 3-5 (Applied Research)

$2,000,000 $1,000,000 $2,000,000 None, but those with match will receive higher scores as indicated in Section IV F under Scoring Criteria.

Group 3: Develop and Test Advanced Envelope Measures for Single Family Mobile Homes –TRL 3-5

$2,000,000 $1,000,000 $2,000,000 None, but those with match will receive higher scores as indicated in Section IV F under Scoring Criteria.



Project Group Available funding

Minimum award amount

Maximum award amount

Minimum match funding(% of EPIC Funds Requested)

(Applied Research)

2. Match Funding RequirementMatch funding is required in the amount of at least 20% of the requested EPIC project funds in Group 1 for fenestration technology demonstration projects. There is no minimum match requirement for Groups 2 and 3. 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 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. EPIC funds should be limited to lodging and any form of transportation (e.g., airfare, rental car, public transit, parking, mileage). Use of match funds for out-of-state travel is encouraged, because the Energy Commission might not approve the use of its funds for such travel. If an applicant plans to travel to conferences, including registration fees, they must use match funds. Applicants should be aware and adhere to specific travel restrictions when using state funds for travel to other states pursuant to AB 1887 (2016) and codified at California Government Code Section 11139.8. All applicants are encouraged to 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.

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 Commitment and Support Letter Form (Attachment 11). 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. Reallocate funding between any of the groups 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 ScheduleKey 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 TIME11 Solicitation Release 01/24/2020

01/27/2020Pre-Application Workshop 01/30/2020 10:00 a.mDeadline for Written Questions12 1/31/2020 5:00 p.mAnticipated Distribution of Questions and Answers Week of

02/10/2020

Deadline to Submit Applications 02/28/2020 5:00 p.m.Deadline to Submit Site Commitment Letters 03/11/2020 5:00 p.m.Anticipated Notice of Proposed Award Posting Date 03/31/2020Anticipated Energy Commission Business Meeting Date 06/10/2020Anticipated Agreement Start Date 06/30/2020Anticipated Agreement End Date 03/29/2024

Site commitment letters are due by March 11, 2020, 5:00 pm. However, site locations must still be identified in Attachments 1 and 8 when applications are submitted on or before the February 28, 2020 application deadline. CEC expects the site locations identified in the site commitment letters to match the sites locations identified in the applications submitted on or before February 28. If the site(s) listed on the commitment letters differ from the sites identified on the application submitted on or before the February 28 application deadline, the entire application will be screened and scored accordingly. In addition, this extra time is to affirm information already submitted. No new information will be accepted. All other support letters, commitment letter (e.g. match fund) must be submitted with the application on or before February 28.

H.Notice of Pre-Application WorkshopEnergy 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

11 Pacific Standard Time or Pacific Daylight Time, whichever is being observed.12 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 I at any time prior to the application deadline. Please see Section I for additional information.January 2020 Page 15 GFO-19-307



Energy Commission's website at www.energy.ca.gov/contracts/index.html to confirm the date and time.

Date and time: January 30, 2020, 10:00 AM

Location: California Energy Commission1516 9th StreetSacramento, CA 95814Hearing Room A, Rosenfeld

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: 924 027 694Meeting Password: meeting@10Topic: GFO-19-307 Pre-Bid 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.

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

please call WebEx Technical Support at 1-866-229-3239. 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.

If you have a disability and require assistance to participate, please Erica Rodriguez by e-mail at [email protected] or (916) 654-4314 at least five days in advance.



I. QuestionsDuring the solicitation process, direct questions to the Commission Agreement Officer listed below:

Natalie Johnson, Commission Agreement OfficerCalifornia Energy Commission

1516 Ninth Street, MS-18Sacramento, California 95814

Telephone: (916) 654-4162FAX: (916) 654-4423

E-mail: [email protected]

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: https://www.energy.ca.gov/funding-opportunities/solicitations.

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.



II. Eligibility RequirementsA. Applicant Requirements

1. EligibilityThis solicitation is open to all public and private entities with the exception of local publicly owned electric utilities.13 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 and Low-income CommunitiesIn 2017, the Legislature passed Assembly Bill 523 (Reyes) directing that at least 25% of CEC Electric Program Investment Charge (EPIC) technology demonstration and deployment funding be expended on projects at sites located in, and benefiting, disadvantaged communities; and an additional minimum 10% of funds be expended on projects at sites located in and benefiting low-income communities. AB 523 also requires the Energy Commission’s EPIC program, to take into account adverse localized health impacts of proposed projects to the greatest extent possible, and give preference for funding to clean energy projects that benefit residents of low-income or disadvantaged communities.

13 A local publicly owned electric utility is an entity as defined in California Public Utilities Code section 224.3.January 2020 Page 18 GFO-19-307



For more information on AB 523, see:https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=201720180AB523

The California Energy Commission is committed to ensuring all Californians have an opportunity to participate in and benefit from programs and services.

Group 1 demonstration sites are required to be located in and benefit a low-income or disadvantaged community. While it is not required for Groups 2 and 3 projects to be located within a disadvantaged or low-income community, demonstration projects located and benefiting disadvantaged and/or low-income communities will be considered under the scoring criteria for this GFO. Low-income communities are defined as communities within census tracts with median household incomes at or below 80 percent of the statewide median income, or at or below the applicable low-income threshold listed in state income limits updated by the California Department of Housing and Community Development (HCD). Visit the HCD site for the current HCD State Income Limits:https://www.hcd.ca.gov/grants-funding/income-limits/state-and-federal-income-limits.shtml.

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

B. Project Requirements1. Applied Research and Development or Technology Demonstration and

Deployment StageProjects may be either “applied research and development” or “technology demonstration and deployment” stage depending on the group selected. Projects within the “applied research and development” stage include 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. By contrast, 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.14

2. Project Focusa. Group 1 Demonstration of Fenestration Advancements in Existing Low-rise

Multifamily and Single Family Residential Buildings in Disadvantaged or Low-income Communities

The purpose of this research is to advance the efficiency of building fenestration. Projects under this research category must be in the Technology Demonstration and Deployment stage within

14 See CPUC “Phase 2” Decision 12-05-037 at page 90, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.January 2020 Page 19 GFO-19-307



technology readiness levels 15(TRL) of 6-9. The goals are: a) test and demonstrate the field performance (e.g., R-value, U-Factor, Solar Heat Gain Coefficient (SHGC), and visible light transmittance) of advanced fenestration systems for low-rise multifamily and single family applications, b) document best-in-class design and installation practices and c) provide data to support California Code of Regulations Title 24, Part 6 energy modeling assumptions.

Projects in this group must meet all of the following requirements during the agreement period and these must be included in the Scope of Work (Attachment 6):

i. Performance

o Have the potential to meet Meet the performance goals listed in Table 1 below or provide justification for an alternate goal that will exceed baseline requirements as described later in this section under the Project Narrative, Technical Approach,

o Independently test and demonstrate lower heating and cooling energy and demand due to advanced window in multiple existing residential buildings for a period of 12 months that includes summer and winter, and

o Independently test and demonstrate lower cost of implementation compared to current practices;

ii. Location and Sample Sizeo A minimum of five single family buildings or two multifamily buildings with at least

eight total units, each must be retrofitted as part of the demonstration, and o All demonstration or deployment sites must be located in an IOU service territory

(Pacific Gas and Electric Co., San Diego Gas and Electric Co., or Southern California Edison).

iii. Market and Cost Reduction

o Target SF or MF buildingso Evaluate and estimate the system cost when commercially availableo Offer solutions that can increase market share of highly insulated windows in

residential sectors, such as triple-pane windows that make up 2% of the U.S. window market.

o Reduce costs and increase efficiency, such as by keeping assembly thickness comparable to existing windows for retrofit applications; improved spacers that have positive impact on U-factor; and improved frame assemblies that maintain long-term air filtration and structural requirements.

The Project Narrative must discuss the following in the sections identified under Technical Approach:

Discuss how the project will meet or exceed the requirements identified in Section II.B.2.a of the solicitation manual, including sections i through iii (i.e., performance, location and sample size, and market and cost reduction). Each sub-section of the narrative should clearly describe and label which of the areas identified in II.B.2.a they are meant to address.

15 U.S. Department of Energy, “Technology Readiness Assessment Guide”. https://www2.lbl.gov/dir/assets/docs/TRL%20guide.pdfJanuary 2020 Page 20 GFO-19-307



Provide analysis on how the selected technology may meet or exceed the goals listed in Table 1 and provide a summary of the information in Table 2 below. If the target performance for the selected technology is different than those listed in Table 1, provide: a) reason for the difference in performance, b) explain how it will still exceed current building energy efficiency standards, c) how it will increase deployments in the retrofit market, and d) how it will benefit California electric IOU ratepayers, such as energy and cost savings.

Estimate and discuss how fenestration system costs (capital and / or installation) will be reduced compared to current technology. Identify specific measures that facilitate system cost reduction, such as framing thickness, improve spacers, and more durable frame assemblies.

Estimate the cost per installed square foot: divide the total requested CEC funds by the total number of demonstration fenestration square feet installed in the research project

[Cost per square feet=Total Requested EnergyCommissionFundsTotal number of square feet ].

Include a market demonstration plan indicating how this technology will be deployed into the market place if the system meets the requirements identified in Table 2 and estimate market size and most promising market.

Provide analysis on the strengths and weaknesses of the fenestration system chosen for the project. Include analysis and discussion on potential or known market barriers for the proposed technology.

Identify demonstration sites and addresses. Identify at least one fenestration manufacturer and one building owner who may have

interest in demonstrating and deploying the technology if the targeted metrics are achieved.

Table 1: Summary of Performance Goals for Group 1

Technology Baseline Research Goal

Fenestration Residential $14.50/ft2 with R-5 to R-7 and VT >0.6

Cost ≤ $6/ft2 with R-10 and VT >0.6

U-Factor ≤ 0.20

SHGC= 0.20

High Insulating windows designed replace current stock of low-efficiency window

Performance goals are for the whole window and do not include installation costs.

Table 2 Performance Metrics for Group 1 Applicant Technology



Performance

MetricBaseline

PerformanceTarget

PerformanceEvaluation

Method

Cost per square foot of windows to be retrofitted

R-Value

U-Factor

Solar Heat Gain Coefficient (SHGC)

Visible Light Transmittance (VT)

Other, specify

b. Group 2 Develop, Test and Validate Innovative Exterior Prefabricated Envelope Packages for Low-rise Multifamily Building Retrofits

The purpose of this research is to analyze the feasibility of prefabricated advanced envelope packages for retrofitting existing California low-rise multifamily buildings. Projects under this research category must be in the Applied Research and Development stage with a TRL of 3-5. The goal of the research is to move the TRL up by at least one level by the end of the research (e.g., started at TRL 3 and is TRL 4 when the agreement is completed).


i. Performance

oDevelop specifications and prototypes of prefabricated facades that have the potential to meet the performance goals listed in Table 3 below. If the selected technology can not meet all goals in Table 3, justify how it will meet or exceed current building efficiency standards and benefit California electric IOU ratepayers.

o Conduct lab and field tests to measure thermal, air leakage, moisture, impacts on retrofitted facades, performance, effectiveness of installation and attachment methods, and cost effectiveness on existing multifamily buildings. Can include use of 3D scans for use by manufacturers to build custom panels for field test homes.

ii. Location and Sample Size



oIdentify California low-rise multifamily buildings that would be good candidates for retrofit using prefabricated wall systems

o Work with local building departments to obtain necessary permits for installation including documentation that shows the prefabricated wall systems meet or exceed the 2019 California Code of Regulations, Title 24, residential building energy efficiency standards.

o Minimum of one building to be retrofitted

o All demonstration or deployment sites must be located in an IOU service territory (Pacific Gas and Electric Co., San Diego Gas and Electric Co., or Southern California Edison).


o Build and test prototypes with manufacturing partners

o Reduce cost for retrofitting building envelope and identify challenges and solutions

o Develop a technology commercialization plan with industry partners and renovators to establish service for fabricating and installing prefabricated wall systems.


Discuss how the project will meet or exceed the requirements identified in Section II.B.2.b of the solicitation manual, including sections i through iii (i.e., performance, location and sample size, and market and cost reduction). Each sub-section of the narrative should clearly describe and/or label which of the areas identified in II.B.2.b they are meant to address.

Provide analysis on how the selected technology may meet or exceed the goals listed in Table 3 and provide a summary of the information in Table 4 below. If the target performance for the selected technology is different than indicated in Table 3, provide: a) reason for the difference in performance, b) explain how the technology will meet or exceed current building energy efficiency standards, c) explain how it will increase deployments in the retrofit market, and d) how it will benefit California electric IOU ratepayers, such as energy and cost savings.

Estimate and discuss how system costs (capital and / or installation) will be reduced compared to current technology (conventional envelope retrofits). Identify specific measures that facilitate system cost reduction, such as reduced air leakage, improved conduction, reduced solar heat gain, manufacturing improvements (e.g., additive printing), insulation and sealing materials, attachments and fasteners, and improvements to daylight efficiency.

Estimate the cost per installed square feet: divide the total requested CEC funds by the total square feet of envelope measures installed in the research project [

Cost per square feet=Total Requested EnergyCommissionFundsTotal number of square feet ].

Include a market demonstration plan indicating how this technology could be deployed into the market place if the system meets the requirements identified in Table 4.

Provide analysis on the strengths and weaknesses of the alternative envelope system chosen in terms of performance, ease of installation and safety compared to current systems. Include analysis and discussion on potential or known market barriers for the



proposed technology and solutions for overcoming barriers. Include how the technology will address moisture and mold issues and codes and standards.

Identify pilot site(s) and address(es). Identify at least one manufacturer who may have interest in demonstrating and deploying

the technology if the targeted metrics are achieved.

Table 3 – Summary of Performance Goals for Group 2


Prefabricated, integrated facades

Occupants often must vacate their units during building envelope retrofits

Retrofit takes > 7 days to complete

Does not take advantage of emerging prefabrication technology, such as 3D printing

Occupants don’t need to vacate their units during the retrofit

Retrofit takes < 7 days to complete

Takes advantage of emerging prefabrication technology

Envelope

Walls: R-26 to R-29

Roof: R-49

Air change: 1-2 ACH50

HVAC Energy Use 20% reduction from current building usage

Table 4 Performance Metrics for Group 2 for Applicant Technology

Performance

MetricBaseline

PerformanceTarget


Method

Cost (materials and installation) per square foot of walls to be retrofitted

R-Value of Walls

R-Value of Roof

Air Change based on ACH50



Performance

MetricBaseline

PerformanceTarget


Method

HVAC Energy Use

Time to complete retrofit

Other, specify

c. Group 3 Develop and Test Advanced Envelope Measures for Single Family Mobile Homes

The purpose of this research is to develop and test advanced envelope measures for affordable, all electric, and fire resilient mobile homes that meet the California Code of Regulations Title 24 2019 residential building energy efficiency standards16. Projects under this research category must be in the Applied Research and Development stage with a TRL of 3-5. The goal of the research is to move the TRL up by at least one level by the end of the research (e.g., started at TRL 3 and is TRL 4 when the agreement is completed).


i. Performance

oIn collaboration with manufactured home builders, develop specifications and prototypes of single family mobile homes that have the potential to meet the performance goals listed in Table 5. below and include Include the following in specifications and prototypes:

o Use energy efficient ignition resistant roofs and exteriors, tempered windows, back-draft dampers and use of fire-safe construction material to reduce structure loss during future wildfires.17

o Use energy efficient fire resistive construction using the definition from the Insurance Services Office, Inc.’s Commercial Lines Manual (CLM), which is the largest homeowner insurance database. Accordingly, the exterior walls, floors, and roof or masonry must have a fire resistance rating of at least 2 hours to allow adequate time for inhabitants to escape.

o Proposed designs must meet the 2019 California Code of Regulations Title 24 residential building efficiency standards.

o Adaptable to inspections by building officials, Home Energy Rating System (HERS) raters, HUD, California State Fire Marshall, and others.

16 https://ww2.energy.ca.gov/2018publications/CEC-400-2018-020/CEC-400-2018-020-CMF.pdf17https://static1.squarespace.com/static/545a90ede4b026480c02c5c7/t/5d361d78389dca0001aec327/1563827577499/Syphard_Fires+of+the+Future_Lopez_Final.pdfJanuary 2020 Page 25 GFO-19-307



o If the selected technology can not meet all goals in Table 5, justify how it will still advance current standards and benefit California electric IOU ratepayers

oBuild and test prototypes with manufacturing partnersoConduct lab and field tests to measure thermal, air leakage, moisture, energy performance,

cost effectiveness and market potential in high fire areas. The estimated energy use of the proposed design home will be simulated and compared to the baseline, one that meets the current HUD standards. Actual savings will be verified in the as-built field test homes. The monitoring period must include summer and winter months and be for a period of at least 12 months.

ii. Location and Sample Size

o In-field installation of advanced pre-fabricated, fire-resistive, all electric homes assembled on site that use advanced envelope measures that meet 2019 California Code of Regulations Title 24 residential building efficiency standards.

o Minimum of three mobile homes

o Field test sites must be located in an IOU service territory (Pacific Gas and Electric Co., San Diego Gas and Electric Co., or Southern California Edison).


o Build and test prototypes with manufacturing partners

o Assess different compositions of materials and designs that are comparative in cost to standard mobile home construction

oDevelop technology commercialization plan with industry partners to encourage participating manufactured home builders to permanently adopt these methods of envelope construction for their future projects and make it standard practice, especially in wildfire-prone areas. One of the requirements will be that project teams must include industry partners and advisors that can provide technical guidance and market intelligence.


Discuss how the project will meet or exceed the requirements identified in Section II.B.2.c of the solicitation manual, including sections i through iii (i.e., performance, location and sample size, and market and cost reduction). Each sub-section of the narrative should clearly describe and/or label which of the areas identified in II.B.2.c they are meant to address.

Provide analysis on how the selected technology may meet or exceed the goals listed in Table 5 below and provide a summary of the information for baseline and technology in Table 6. Baseline is mobile homes built to HUD standards. If the target performance for the selected technology is different than indicated in Table 5, provide: a) reason for the difference in performance, b) explain how it will meet or exceed California, Title 24, 2019 Building Energy Efficiency Standards, and c) how it will benefit California electric IOU ratepayers, such as energy and cost savings.

Estimate and discuss how the cost of mobile homes using advanced envelopes (capital and / or installation) could be reduced or comparable to current standard mobile home



construction. Identify specific measures that facilitate system cost reduction, such as reduced air leakage, improved conduction, reduced solar heat gain, improvements to daylight efficiency, improved manufacturing practices and materials and training for installers.

Estimate the cost per installed square feet of mobile homes: divide the total CEC requested CEC funds by the total square feet of mobile homes installed in this research project

[Cost per square feet=Total Requested EnergyCommissionFundsTotal number of square feet ].

Include a market plan indicating how the advanced mobile homes will be deployed into the market place and the homes meet the requirements identified in Table 3 Table 5.

Provide analysis on the strengths and weaknesses of the alternative envelope system technology chosen in terms of performance, cost effectiveness and safety compared to current systems. Include analysis and discussion on potential or known market barriers for the proposed technology.

Identify pilot sites and addresses. Identify at least one prefabricated home manufacturer who may have interest in

demonstrating and deploying the technology if the targeted metrics are achieved.

Table 5 – Performance Goals for Group 3


Characteristics of pre-fabricated homes

Dual fuel homes with Energy Design Rating (EDR) of 100 (this score meets the 2016 International Energy Conservation Code).

All electric mobile homes designed to have an EDR of 0.

Performance

Energy use per square foot using HUD Manufactured Homes Construction Standards published in Code of Federal Regulations under 24 CFR Part 328018

Energy use per square foot using 2019 Building Energy Efficiency Standards for Residential Buildings – Title 2419

Fire Resiliency HUD Standards

Construction practices and techniques to result in a fire resistance rating of at least 2 hours for roofs and exteriors, tempered windows, and back-draft dampers

Envelope HUD Standards

Walls: R-26 to R-29

Roof: R-49

Air change: 1-2 ACH 50

18 HUD – Manufactured Housing and Standards. https://www.ecfr.gov/cgi-bin/text-idx?SID=a2c5655a37054c584f7dd6a0ed240fb8&node=pt24.5.3282&rgn=div519California Energy Commission - 2019 Building Energy Efficiency Standards for Residential and NonResidential Buildings. https://ww2.energy.ca.gov/2018publications/CEC-400-2018-020/CEC-400-2018-020-CMF.pdfJanuary 2020 Page 27 GFO-19-307




HVAC Energy Use HUD Standards

Proposed designs should meet annual electrical use per home when compared to a comparable home built to the 2019 California Code of Regulations Title 24 residential building energy efficiency standards. Energy savings will be based on both simulation and testing of full- scale prototype homes

Cost Construction Cost $300/ sq. ft.

Decrease both overall electric and natural gas energy use and decrease in construction cost: $150-200/ sq. ft.

Table 6 Performance Metrics for Group 3 for Applicant Technology

Performance

MetricBaseline

PerformanceTarget


Method

Energy Design Rating (EDR)

Energy Performance

(energy use per square foot)

R-Value of Walls

R-Value of Roof

Air Change based on ACH50

HVAC Energy Use

Construction Cost ($/SF)



Performance

MetricBaseline

PerformanceTarget


Method

Fire resiliency

Other, specify

3. 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.

4. 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 References for Calculating Electricity End-Use, Electricity Demand, and GHG Emissions (Attachment 13).

20 See CPUC “Phase 2” Decision 12-05-037 at Ordering Paragraph 2, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.21 Id.January 2020 Page 29 GFO-19-307



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 Form o Scope of Work Template (Attachment 6)

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)



B. Preferred Method For DeliveryThe 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 DeliveryAn 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-19-307," and include the title of the application.

Include the following label information on the mailing envelope:



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

GFO-19-307Contracts, 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-19-307” 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 Summary 3 Fact Sheet 4 Project Narrative 5 Project Team 6 (includes 6a) Scope of Work 7 Budget 8 CEQA Compliance Form 9 References and Work Product10 Contact List 11 Commitment and Support Letters (require signature)12 Applicant Declaration (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.



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:

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

22 “Key personnel” are individuals that are critical to the project due to their experience, knowledge, and/or capabilities. January 2020 Page 33 GFO-19-307



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.

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) Applicants should be aware of all state and shall adhere to travel 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. Applicants should be aware and adhere to specific travel restrictions when using state funds for travel to other states pursuant to AB 1887 (2016) and codified at California Government Code Section 11139.8. All applicants are encouraged to 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.

9) 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

(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. 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.

If the project involves pilot testing or demonstration and deployment activities, the applicant must include a site commitment letter signed by an authorized representative of the proposed test or demonstration 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. Site commitment letters are due by March 11, 2020, 5:00 pm. However, site locations must still be identified in Attachments 1 and 8 when applications are submitted on or before the February 28, 2020 application deadline. CEC expects the site locations identified in the site commitment letters to match the sites locations identified in the applications submitted on or before February 28. If the site(s) listed on the commitment letters differ from the sites identified on the application submitted on or before the February 28 application deadline, the entire application will be screened and scored accordingly. In addition, this extra time is to affirm information already submitted. No new information will be accepted. All other support letters, commitment letter (e.g. match fund) must be submitted with the application on or before February 28.

Project partners that are making contributions other than match funding or a test or demonstration 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 site.

12. Applicant Declaration (Attachment 12)This form requests the applicant declare that they: are not delinquent on taxes nor suspended by the California Franchise Tax Board; are not being sued by any public agency or entity; are in compliance with the terms of all settlement agreements, if any, entered into with the Energy Commission or another public agency or entity; are in compliance with all judgments, if any, issued against the Applicant in any matter to which the Energy Commission or another public agency or entity is a party; has neither refused to adhere to nor not taken action on any demand letter made on the Applicant by the Energy Commission or another public agency or entity; and are not in active litigation with the Energy Commission regarding the Applicant’s actions under a current or past contract, grant, or loan with the Energy Commission. The declaration must be signed under penalty of perjury by an authorized representative of the applicant’s organization.



IV. Evaluation and Award Process A. Application EvaluationApplications 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.

Scoring will differ according to research group: Group 1 will be scored on the scoring criteria in the first scoring criteria described below. Groups 2 and 3 will be scored on their own scoring criteria as described after Group 1 scoring criteria. There are two scoring tables and the breakdowns for scoring each group can be found 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% is required for the application to be eligible for funding. In addition, the application must receive a minimum score of 63.00 points for criteria 1−5 to be eligible for funding.

Applications that meet or exceed the minimum passing score will be ranked within each specific group; scores will not be compared across groups.

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 Development1. Ranking and Notice of Proposed Award

Applications that receive a minimum of 70% for all criteria will be ranked according to their score. January 2020 Page 38 GFO-19-307



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 theNOPA 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. Agreements

Applications 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 requireamendment as a result of project review, changes in project scope, and/or availability of funding.

C. Grounds to Reject an Application or Cancel an AwardApplications 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 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 identify any portion of the application as confidential.

D. Miscellaneous1. Solicitation Cancellation and Amendment

It 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.

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 CRITERIA The 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. The Applicant Declaration Form (Attachment 12) is signed where indicated.

Pass Fail

5. 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).

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

6. For group 1 only, the Application includes Commitment Letters Pass FailJanuary 2020 Page 41 GFO-19-307



SCREENING CRITERIA The Application must pass ALL criteria to progress to Stage Two.

Pass/Fail

that total at least the minimum of 20% in match share of the total requested Energy Commission funds.

7. If the project involves field or pilot testing or technology demonstration activities

o The Application identifies one or more demonstration/ deployment site locations.

o All demonstration//field/pilot/deployment sites are located in a California electric IOU service territory (PG&E, SDG&E, or SCE), as indicated in Attachment 1.

o The proposal includes a site commitment letter (Section III.D.11) for each demonstration/field/pilot/deployment site.

Pass Fail

8. For Group 1 only: demonstration sites are located in a disadvantaged or low-income community, as indicated in Attachment 1.

Pass Fail



F. Stage Two: Application ScoringProposals 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 1−5 is 63.00 points and the total minimum

passing score is 70% for all criteria. The points for criteria 6−8 will only be applied to proposals that achieve the minimum score

for criteria 1−5. The points for criteria 8-10 will only be applied to proposals that achieve the minimum scores for criteria 1-8.

SCORING SCALE

% of Possible Points

Interpretation Explanation for Percentage Points

0% Not ResponsiveResponse does not include or fails to address the requirements being scored. The omission(s), flaw(s), or defect(s) are significant and unacceptable.

10-30% Minimally Responsive

Response minimally addresses the requirements being scored. The omission(s), flaw(s), or defect(s) are significant and unacceptable.

40-60% Inadequate

Response addresses the requirements being scored, but there are one or more omissions, flaws, or defects or the requirements are addressed in such a limited way that it results in a low degree of confidence in the proposed solution.

70% AdequateResponse adequately addresses the requirements being scored. Any omission(s), flaw(s), or defect(s) are inconsequential and acceptable.

75%Between

Adequate and Good

Response better than adequately addresses the requirements being scored. Any omission(s), flaw(s), or defect(s) are inconsequential and acceptable.

80% Good

Response fully addresses the requirements being scored with a good degree of confidence in the applicant’s response or proposed solution. No identified omission(s), flaw(s), or defect(s). Any identified weaknesses are minimal, inconsequential, and acceptable.

85% Between Good and Excellent

Response fully addresses the requirements being scored with a better than good degree of confidence in the applicant’s response or proposed solution. No identified omission(s), flaw(s), or defect(s). Any identified weaknesses are minimal, inconsequential, and acceptable.

90% Excellent Response fully addresses the requirements being scored with a high degree of confidence in the applicant’s response or proposed solution. Applicant offers one or more enhancing features, methods or approaches



exceeding basic expectations.

95% Between Excellent and Exceptional

Response fully addresses the requirements being scored with a better than excellent degree of confidence in the applicant’s response or proposed solution. Applicant offers one or more enhancing features, methods or approaches exceeding basic expectations.

100% Exceptional

All requirements 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.



GROUP 1 SCORING CRITERIAThe following scoring criteria is for Group 1 only. Scoring criteria for Groups 2 and 3 appear after the Scoring Criteria for Group 1.

Scoring Criteria Maximum Points

1. Applicant Past Performance with Energy CommissionThe applicant—defined as at least one of the following: the business, principal investigator, or lead individual acting on behalf of themselves—received funds from the Energy Commission (e.g., contract, grant, or loan) and entered into an agreement(s) with the Commission through which the following performance was demonstrated:

Severe performance issues (0-5 points): Severe performance issues are characterized by significant negative outcomes, which may include significant deviation from agreement requirements, termination with cause, and/or severe negative audit findings.

Moderate performance issues (6-12 points): Moderate performance issues are characterized by noncompliance with agreement requirements, frequent poor performance and conduct, and/or the issuance of moderate audit findings.

No/minor performance issues (13-15 points): No/minor issues are characterized by compliance with agreement requirements while demonstrating no minor performance issues. An applicant that has not received funds from the Energy Commission (e.g., contract, grant, or loan) through an agreement with the Energy Commission will receive 15 points.

15

Total Possible Points for criteria(Minimum Passing Score is 6)

15



The Project Narrative (Attachment 4) must respond to each criterion below. The responses must directly relate to the solicitation requirements and focus as stated in the solicitation. 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 13), to the extent that the references apply to the proposed project.


2. Technical Merit a. The proposed project provides a clear and concise description of the

technological, scientific knowledge advancement, and/or innovation that will overcome barriers to achieving the State’s statutory energy goals.

b. Describes the competitive advantages of the proposed technology over state-of-the-art (e.g., efficiency, emissions, durability, cost).

c. Provides the proposed technical specifications and describe how the project will meet or exceed the technical specifications by the end of the project.

d. Describes the technology readiness level (TRL) the proposed technology has achieved and the expected TRL by the end of the project.

e. Describes at what scale the technology has been successfully demonstrated, including size or capacity, number of previous installations, location and duration, results, etc.

f. Describes how the proposed demonstration will lead to increased adoption of the technology in California.

15

3. Technical Approach a. Proposal describes the technique, approach, and methods to be used in

performing the work described in the Scope of Work.

b. The Scope of Work identifies goals, objectives, and deliverables, details the work to be performed, and aligns with the information presented in Project Narrative.

c. Proposal identifies the reliability that the project and site recommendations as described will be carried out if funds are awarded.

d. Identifies and discusses factors critical for success, in addition to risks, barriers, and limitations (e.g. loss of demonstration site, key subcontractor). Provides a plan to address them.

e. Discusses the degree to which the proposed work is technically feasible and achievable within the proposed Project Schedule and the key activities schedule in Section I.G.

f. Describes the technology transfer plan to assess and advance the commercial viability of the technology.

g. Provides a clear and plausible measurement and verification plan that describes how energy savings and other benefits specified in the application

25




will be determined and measured.

h. 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

i. Provides information described in Section II.B.2.

4. Impacts and Benefits for California IOU Ratepayers a. Explains how the proposed project will benefit California Investor-Owned

Utility (IOU) ratepayers and provides clear, plausible, and justifiable (quantitative preferred) potential benefits. Estimates the energy benefits including:

annual electricity, energy cost reductions, peak load reduction and/or shifting, infrastructure resiliency, infrastructure reliability.

In addition, estimates the non-energy benefits including: greenhouse gas emission reductions, air emission reductions (e.g.

NOx), cost reduction, and/or increased safety.b. States the timeframe, assumptions with sources, and calculations for the

estimated benefits, and explains their reasonableness. Include baseline or “business as usual” over timeframe.

c. Explains the path-to-market strategy including near-term (i.e. initial target markets), mid-term, and long-term markets for the technology, size and penetration or deployment rates, and underlying assumptions.

d. Identifies the expected financial performance (e.g. payback period, ROI) of the demonstration at scale.

e. Identifies the specific programs which the technology intends to leverage. (e.g. feed-in tariffs, IOU rebates, demand response, storage procurement) and extent to which technology meets program requirements.

20

5. Team Qualifications, Capabilities, and ResourcesEvaluations of ongoing or previous projects will be used in scoring for this criterion.

a. Identifies credentials of prime and any subcontractor key personnel, including the project manager, principal investigator and technology and knowledge transfer lead (include this information in the Project Team Form).

b. Demonstrates that the project team has appropriate qualifications, experience, financial stability and capability to complete the project.

c. Explains the team structure and how various tasks will be managed and coordinated.

d. Describes the facilities, infrastructure, and resources available that directly support the project.

15




e. Describes the team’s history of successfully completing projects in the past 10 years including subsequent deployments and commercialization.

Total Possible Points for criteria 1− 5(Minimum Passing Score for criteria 1− 5 is 70% or 63.00) 90

6. Budget and Cost-Effectivenessa. Budget forms are complete for the applicant and all subcontractors, as

described in the Budget instructions.

b. Justifies the reasonableness of the requested funds relative to the project goals, objectives, and tasks.

c. Justifies the reasonableness of direct costs (e.g., labor, fringe benefits, equipment, materials & misc. travel, and subcontractors).

d. Justifies the reasonableness of indirect costs (e.g., overhead, facility charges (e.g., rent, utilities), burdens, subcontractor profit, and other like costs).

10

7. CEC Funds Spent in CaliforniaProjects that spend CEC 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 CEC funds spent in CA(derived from budget Attachment 7)

Percentage of Possible Points

>60% 20%>65% 30%>70% 40%>75% 50%>80% 60%>85% 70%>90% 80%>95% 90%>98% 100%

10

8. Ratio of Direct Labor to Indirect CostsThe score for this criterion will be calculated by the following formula:

5




Total Direct LaborTotal Direct Labor+Total Fringe+Total Indirect+Total Profit

This ratio will then be multiplied by the maximum possible points for this criterion and rounded to two decimal places.

NOTE: 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.

Total Possible Points(Minimum Passing Score for Criteria 1 – 8 is 70% or 80.5) 115

9. Benefits to Disadvantaged/Low-Income Communities and Localized Health Impacts

9.1 Benefits to Disadvantaged/Low-Income Communities

a) Identifies and describes the energy and economic needs of the community based on project location, and what steps the applicant has taken to identify those needs.

b) Identifies and describes how the project will increase access to clean energy or sustainability technologies for the local community.

c) Identifies and describes how the proposed project will improve opportunities for economic impact including customer bill savings, job creation, collaborating and contracting with micro-, local, women-owned and/or minority owned, and small-businesses, economic development, and expanding community investment.

d) Identifies how the projects’ primary beneficiaries are residents of the identified disadvantaged/low income community(ies) and describes how they will directly benefit from the project outcomes.

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9.2 Community Engagement Efforts

a) Identifies how community input was solicited and considered in the design of the project.

b) Identifies and describes how the impacted community will be engaged in project implementation.

c) Identifies and describes how and where the applicant will disseminate appropriate language and culturally appropriate education materials and career information.

10




d) Identifies how the project, if successful, will build community capacity.

9.3 Localized Health Impacts

a) Summarizes the potential localized health benefits and impacts of the proposed project and provides reasonable analysis and assumptions.

b) Identifies how the proposed project will reduce or not otherwise impact the community’s exposure to pollutants and the adverse environmental conditions caused by pollution and/or climate change. If projects have no impacts in this criterion, provide justification for why impacts are neutral.

c) Identifies health-related Energy Equity indicators and/or health-related factors in CalEnviroscreen 3.023 that most impact the community and describes how the project will reduce or not otherwise impact the indicators or factors.

15

9.4 Technology Replicability

a) Identifies how the project, if successful, will lead to increased deployment of the technology or strategy in other disadvantaged or low-income communities.

5

9.5 Project Support Letters

a) Includes letters of support from technology partners, community based organizations, environmental justice organizations, or other partners that demonstrate equity, feasibility, and commercial viability in low-income and disadvantaged communities.

5

Total Possible Points for criteria 9(Minimum Passing Score for Criteria 9 is 70% or 35.00 points)

50

Total Possible Points 165Preference Points Applications must meet all minimum passing scores (Scoring Criteria 1, 1-5, 1-8, and 9) to be eligible for the additional points.

23 https://oehha.ca.gov/calenviroscreen/report/calenviroscreen-30January 2020 Page 50 GFO-19-307




10. Match Funds

a. Cash match share is preferred. Points for this criterion will be evaluated based on the ratio of proposed Cash contributions to requested CEC funds using the Match Scoring Table:

Match Scoring TablePercentage of

Proposed Cash Match Funds

Score

≥ 80% 5

60 to <80% 4

40 to <60% 3

20 to <40% 2

5

b. Additional points will be awarded to applications that exceed the minimum match requirements up to 100 percent of requested CEC funds using the Exceeds Minimum Match Scoring table:

Exceeds Minimum Match Scoring Table

Percentage above Minimum Match (cash

and in-kind)Score

80 to 100% 5

60 to <80% 4

40 to <60% 3

20 to <40% 2

5



GROUPS 2 AND 3 SCORING CRITERIA The following scoring criteria will be used to score applications for Groups 2 and 3 only.


1. Applicant Team Past Performance with Energy CommissionThe applicant—defined as at least one of the following: the business, principal investigator, or lead individual acting on behalf of themselves—received funds from the Energy Commission (e.g., contract, grant, or loan) and entered into an agreement(s) with the Commission through which the following performance was demonstrated:

Severe performance issues (0-5 points): Severe performance issues are characterized by significant negative outcomes, which may include significant deviation from agreement requirements, termination with cause, and/or severe negative audit findings.

Moderate performance issues (6-12 points): Moderate performance issues are characterized by noncompliance with agreement requirements, frequent poor performance and conduct, and/or the issuance of moderate audit findings.

No/minor performance issues (13-15 points): No/minor issues are characterized by compliance with agreement requirements while demonstrating no or minor performance issues. An applicant that has not received funds from the Energy Commission (e.g., contract, grant, or loan) through an agreement with the Energy Commission will receive 15 points.

15

Total Possible Points for criteria(Minimum Passing Score is 6)

15



The Project Narrative (Attachment 4) must respond to each criterion below. The responses must directly relate to the solicitation requirements and focus as stated in the solicitation. 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 13), to the extent that the references apply to the proposed project.


2. Technical Merit a. The proposed project provides a clear and concise description of the

technological, scientific knowledge advancement, and/or innovation that will overcome barriers to achieving the State’s statutory energy goals.

b. Describes the competitive advantages of the proposed technology over state-of-the-art (e.g., efficiency, emissions, durability, cost).

c. Provides the proposed technical specifications and describe how the project will meet or exceed the technical specifications by the end of the project.

d. Describes the technology readiness level (TRL) the proposed technology has achieved and the expected TRL by the end of the project.

15

3. Technical Approach a. Proposal describes the technique, approach, and methods to be used in

performing the work described in the Scope of Work.

b. The Scope of Work identifies goals, objectives, and deliverables, details the work to be performed, and aligns with the information presented in Project Narrative.

c. Proposal identifies the reliability that the project and site recommendations as described will be carried out if funds are awarded.

d. Identifies and discusses factors critical for success, in addition to risks, barriers, and limitations (e.g. loss of demonstration site, key subcontractor). Provides a plan to address them.

e. Discusses the degree to which the proposed work is technically feasible and achievable within the proposed Project Schedule and the key activities schedule in Section I.G.

f. Describes the technology transfer plan to assess and advance the commercial viability of the technology.

g. 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.

h. 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.

25




i. Provides information described in Section II.B.2.

4. Impacts and Benefits for California IOU Ratepayers a. Explains how the proposed project will benefit California Investor-Owned

Utility (IOU) ratepayers and provides clear, plausible, and justifiable (quantitative preferred) potential benefits. Estimates the energy benefits including:

annual electricity, energy cost reductions, peak load reduction and/or shifting, infrastructure resiliency, infrastructure reliability.

In addition, estimates the non-energy benefits including: greenhouse gas emission reductions, air emission reductions (e.g.

NOx), cost reduction, and/or increased safety.b. States the timeframe, assumptions with sources, and calculations for the

estimated benefits, and explains their reasonableness. Include baseline or “business as usual” over timeframe.

c. Explains the path-to-market strategy including near-term (i.e. initial target markets), mid-term, and long-term markets for the technology, size and penetration or deployment rates, and underlying assumptions.

20

5. Team Qualifications, Capabilities, and ResourcesEvaluations of ongoing or previous projects will be used in scoring for this criterion.

a. Identifies credentials of prime and any subcontractor key personnel, including the project manager, principal investigator and technology and knowledge transfer lead (include this information in the Project Team Form).

b. Demonstrates that the project team has appropriate qualifications, experience, financial stability and capability to complete the project.

c. Explains the team structure and how various tasks will be managed and coordinated.

d. Describes the facilities, infrastructure, and resources available that directly support the project.

e. Describes the team’s history of successfully completing projects in the past 10 years including subsequent deployments and commercialization.

15

Total Possible Points for criteria 1− 5(Minimum Passing Score for criteria 1− 5 is 70% or 63.00) 90

6. Budget and Cost-Effectivenessa. Budget forms are complete for the applicant and all subcontractors, as

described in the Budget instructions.

b. Justifies the reasonableness of the requested funds relative to the project goals, objectives, and tasks.

10




c. Justifies the reasonableness of direct costs (e.g., labor, fringe benefits, equipment, materials & misc. travel, and subcontractors).

d. Justifies the reasonableness of indirect costs (e.g., overhead, facility charges (e.g., rent, utilities), burdens, subcontractor profit, and other like costs).

7. CEC Funds Spent in CaliforniaProjects that spend CEC 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 CEC funds spent in CA(derived from budget Attachment 7)

Percentage of Possible Points

>60% 20%>65% 30%>70% 40%>75% 50%>80% 60%>85% 70%>90% 80%>95% 90%>98% 100%

10

8. Ratio of Direct Labor to Indirect CostsThe score for this criterion will be calculated by the following formula:

Total Direct LaborTotal Direct Labor+Total Fringe+Total Indirect+Total Profit

This ratio will then be multiplied by the maximum possible points for this criterion and rounded to two decimal places.

NOTE: 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.

5




Total Possible Points(Minimum Passing Score for Criteria 1 – 8 is 70% or 80.5)

115

Preference Points Applications must meet all minimum passing scores (Scoring Criteria 1, 1-5, and 1-8) to be eligible for the additional points in Scoring Criteria 10.

10. Match Funds

a. Cash match share is preferred. Points for this criterion will be evaluated based on the ratio of proposed Cash contributions to requested CEC funds using the Match Scoring Table:

Match Scoring TablePercentage of

Proposed Cash Match Funds

Score

≥ 80% 5

60 to <80% 4

40 to <60% 3

20 to <40% 2

10 to <20% 1

5

b. Additional points will be awarded to applications that exceed the minimum match requirements up to 100 percent of requested CEC funds using the Exceeds Minimum Match Scoring table:

Exceeds Minimum Match Scoring Table

Percentage above Minimum Match (cash

and in-kind)Score

80 to 100% 5

60 to <80% 4

40 to <60% 3

20 to <40% 2

>10% 1

5



Preference Points: For applications proposing projects located in and benefiting low-income and/or disadvantaged communities within IOU service territories. Applications must meet both minimum passing scores (Scoring Criteria 1, 1-5, and 1-8) to be eligible for the additional points in Scoring Criteria 11.

11. Disadvantaged & Low-Income CommunitiesThe project benefits the disadvantaged and/or low-income community in order to receive additional points. Sites must be located in Disadvantaged or Low-income communities and shown in Attachment 1.

a. Proposal identifies how the target market(s) will benefit disadvantaged and/or low-income communities.

b. Identifies economic impact on low-income and/or disadvantaged communities including customer bill savings, job creation, partnering and contracting with micro- and small-businesses, and economic development.

c. Describes how the project will increase access to clean energy or sustainability technologies within disadvantaged and/or low-income communities and how the development will benefit the communities.

d. Applicants have letters of support from technology partners, community based organizations, environmental justice organizations, or other partners that demonstrate equity, feasibility, and commercial viability in low-income and/or disadvantaged communities.

5

