REQUEST FOR PROPOSAL 000-00-000 · Web view05/10/2017 · Electronic files must be in MS Word version 1997-2003, or version 2007 or later (.doc or .docx format) and Excel Office

GRANT FUNDING OPPORTUNITY

Increasing Adoption of Emerging Clean Energy Technologies through Procurement

GFO-17-301http://www.energy.ca.gov/contracts/index.html

State of CaliforniaCalifornia Energy Commission

July 2017

Addendum #3

http://www.energy.ca.gov/contracts/index.html

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

A. PURPOSE OF SOLICITATION....................................................................................................................................1B. KEY WORDS/TERMS.............................................................................................................................................3C. APPLICANTS’ ADMONISHMENT...............................................................................................................................5D. ADDITIONAL REQUIREMENTS..................................................................................................................................5E. BACKGROUND.....................................................................................................................................................6F. FUNDING.........................................................................................................................................................11G. KEY ACTIVITIES SCHEDULE...................................................................................................................................13H. NOTICE OF PRE-APPLICATION WORKSHOP..............................................................................................................14I. QUESTIONS......................................................................................................................................................15

II. ELIGIBILITY REQUIREMENTS...................................................................................................................... 17

A. APPLICANT REQUIREMENTS.................................................................................................................................17B. PROJECT REQUIREMENTS....................................................................................................................................18

III. APPLICATION ORGANIZATION AND SUBMISSION INSTRUCTIONS..............................................................24

A. APPLICATION FORMAT, PAGE LIMITS, AND NUMBER OF COPIES.................................................................................24B. PREFERRED METHOD FOR DELIVERY......................................................................................................................25C. HARD COPY DELIVERY........................................................................................................................................25D. APPLICATION ORGANIZATION AND CONTENT...........................................................................................................26

IV. EVALUATION AND AWARD PROCESS......................................................................................................... 31

A. APPLICATION EVALUATION..................................................................................................................................31B. RANKING, NOTICE OF PROPOSED AWARD, AND AGREEMENT DEVELOPMENT................................................................31C. GROUNDS TO REJECT AN APPLICATION OR CANCEL AN AWARD..................................................................................32D. MISCELLANEOUS................................................................................................................................................33E. STAGE ONE: APPLICATION SCREENING..................................................................................................................34F. STAGE TWO: APPLICATION SCORING....................................................................................................................36

July 2017 Page i GFO-17-301Increasing Adoption of Emerging Clean

Energy Tech through Procurement

ATTACHMENTS

Attachment Number Title

1 Application Form (requires signature)

2 Executive Summary Form

3 Fact Sheet Template

4 Project Narrative Form

5 Project Team Form

6 Scope of Work Template

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

7 Budget Forms (Excel spreadsheet)

8 CEQA Compliance Form

9 Reference and Work Product Form

10 Contact List Template

11 Commitment and Support Letters Form (letters require signature)

12 References for Calculating Energy End-Use and GHG Emissions

July 2017 Page ii GFO-17-301Increasing Adoption of Emerging Clean


I. Introduction

A. PURPOSE OF SOLICITATION The purpose of this solicitation is to develop and scale-up new tools and resources to increase customer procurement of distributed energy resources (DER), including energy efficiency, renewable distributed generation, and distributed storage. Large institutional and commercial customers with specialized energy needs represent a crucial market for advanced DER technologies. These customers typically purchase energy equipment through formal procurement processes. For many customers’ current procurement practices, tools and resources either don’t exist or are shaped around legacy energy equipment not well suited for advanced DER technologies.

This solicitation will help overcome barriers that energy technology developers and large institutional and commercial customers face in pursuing large-scale procurement of advanced DER technologies. Projects must fall in one of the following groups:

Group 1: Test Bed Environment and Validation (Cal-Test Bed)Cal-Test Bed will setup and manage a voucher-type program to provide clean energy entrepreneurs with access to testing and certification facilities, as well as technical services (e.g. product validation and technical feedback on design) for their pre-commercial DER technology to help entrepreneurs refine their prototypes to meet customer specifications.

Group 2: California Energy Product Evaluation (Cal-EPE) HubCal-EPE will evaluate advanced DER technologies, for institutional and commercial customers, and compare them to existing government and industry standards to assist with purchasing decisions by publishing the results of their findings.

Group 3: California Opportunities for Procurement (Cal-OP) Cal-OP will create a mentor/co-working program specifically geared towards bridging the gap between California clean energy companies and institutional/commercial customers that rely on formal procurement processes to purchase DER solutions and packages.

Group 4: Advance Innovations in Software to Streamline Customer Procurement of DER

Group 4 will pilot or scale-up software solutions to streamline customer procurement of advanced, commercial DER and facilitate aggregated procurement to maximize purchasing options for institutional and commercial customers, as well as community-based organizations and other entities working to increase access to or deploy advanced, clean energy technology products to disadvantaged communities .

July 2017 Page 1 GFO-17-301Addendum #3 Increasing Adoption of Emerging Clean


The following graph shows how potential projects funded out of this solicitation align with: current projects in the California Energy Innovation Ecosystem, and the process of moving DERs from Research & Development to Commercial Adoption.

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



B. KEY WORDS/TERMSWord/Term DefinitionApplicant The respondent to this solicitation

Application or Proposal

An applicant’s formal 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

Advanced DER For the purposes of this solicitation, Advanced DER are DER technologies that are at or above the Department of Energy’s Technology Readiness Level 8, and align with the technologies included in the 2015-2017 EPIC Triennial Investment Plan.

Cal-EPE The California Energy Product Evaluation Hub (Group 2). Cal-EPE will evaluate advanced DER technologies, for institutional and commercial customers, and compare them to existing government and industry standards to assist with purchase decisions.

Cal-OP California Opportunities for Procurement (Group 3). Cal-OP will create a mentor/co-working program specifically geared towards bridging the gap between California clean energy ventures and institutional/commercial customers that rely on formal procurement processes.

Cal-Test Bed Test Bed Environment and Validation (Group 1). Cal-Test Bed will setup and manage a voucher-type program to provide clean energy entrepreneurs with access to testing and certification facilities as well as services (product validation, technical feedback on design) for their pre-commercial DER technology to help entrepreneurs refine their prototype to meet customer specifications.

Clean Energy Ventures

California-based startup companies and established clean energy companies, including previous and current EPIC awardees.

CPUC California Public Utilities Commission

Days Days refers to calendar days

DER Distributed Energy Resources

Disadvantaged Community

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

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

Energy Commission California Energy Commission



Word/Term DefinitionEnergy Innovation Ecosystem

Collection of EPIC funded projects with the common goal of equipping energy innovators with the business and market expertise they need to create viable businesses that bring innovative energy solutions to the market in California.

IOU Investor-owned utility, including Pacific Gas and Electric Co., San Diego Gas and Electric Co., and Southern California Edison Co.

NOPA Notice of Proposed Award, a public notice that identifies award recipients

Pre-commercial DER For the purposes of this solicitation, pre-commercial DER are DER technologies that are between the Department of Energy’s Technology Readiness levels 5-7. The DERs should be designed for installed on the customer's side of the utility meter, and development of the technology meets the following criteria:

A working prototype has been developed; Market validation is still necessary; and The technology has not begun to earn revenue.

Principal Investigator The lead scientist or engineer 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

Procurement The process of large-scale purchase, including design, planning, permitting, financing, and installation of advanced energy technologies from beginning to end. For example: Purchase planning, standards determination, specifications development, supplier research and selection, value analysis, financing, price negotiation, purchasing, tracking, and receiving equipment and supplies.

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

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

Recipient An entity receiving an award under this solicitation

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

State State of California

Target Customers Target customers include: School districts Ports Local governments State of California Military bases Construction industry



Word/Term Definition Hospitals Colleges and Universities Agriculture Equipment vendors and installers Food processing, distribution and food service industry including

supermarkets Data centersApplicants may include additional target customers in proposals that will be considered during proposal scoring.

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 and Scoring Criteria and Grounds for Rejection in Part IV, and the terms and conditions located at: http://www.energy.ca.gov/research/contractors.html.

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

D. ADDITIONAL REQUIREMENTS

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

2. Reservation of right to cancel proposed award. In addition to any other right reserved to it under this solicitation or that it otherwise has, if the Energy Commission determines, in its sole and absolute discretion, that the CEQA review associated with a proposed project would not likely be completed prior to the encumbrance deadline referenced above, and that the Commission’s ability to meet its encumbrance deadline may thereby



http://www.energy.ca.gov/research/contractors.html

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. BACKGROUND

1. Electric Program Investment Charge (EPIC) ProgramThis solicitation will award projects funded by the EPIC, an electricity ratepayer surcharge established by the California Public Utilities Commission (CPUC) in December 2011.1 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.2 In addition to providing IOU ratepayer benefits, funded projects must lead to technological advancement and breakthroughs to

1 See CPUC “Phase 1” Decision 11-12-035, December 15, 2011, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/156050.PDF.July 2017 Page 6 GFO-17-301

Addendum #3 Increasing Adoption of Emerging Clean Energy Tech through Procurement

http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/156050.PDF

overcome the barriers that prevent the achievement of the state’s statutory energy goals.3 The EPIC program is administered by the California Energy Commission and the IOUs.

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

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 Plans4 5 and within one or more specific focus areas (“funding initiatives”) identified in the plan. This solicitation targets the following program area, strategic objectives, and funding initiatives:

EPIC 2015-2017 Triennial Investment Plan

Program Area: Market Facilitation

Strategic Objective S18 of the EPIC 2015-2017 Triennial Investment Plan: Foster the Development of the Most Promising Energy Technologies into Successful Businesses.

o Funding Initiative 18.3: Provide assurance to potential customers that the technology is fundamentally sound and meets customer specifications.

Strategic Objective S19 of the EPIC 2015-2017 Triennial Investment Plan: Facilitate Inclusion of Emerging Clean Energy Technologies into Large-Scale Procurement Processes.

o Funding Initiative 19.1: Develop tools and enhance technical assistance to reduce risk and uncertainty related to purchasing decisions for clean energy and would encourage large purchasers to adopt emerging energy technologies into their procurement practices.

o Funding Initiative 19.2: Facilitate new applications of innovative procurement strategies to reduce the cost and time needed for large-scale purchasing of clean energy technologies in IOU service territories.

3. Applicable Laws, Policies, and Background Documents This solicitation addresses the energy goals described in the following laws, policies, and background documents.2 See CPUC “Phase 2” Decision 12-05-037, May 24, 2012, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.3 California Public Resources Code, Section 25711.5(a), http://www.leginfo.ca.gov/cgi-bin/displaycode?section=prc&group=25001-26000&file=25710-25712.4 2012-14 EPIC Triennial Investment Plan, http://www.energy.ca.gov/research/epic/documents/final_documents_submitted_to_CPUC/2012-11-01_EPIC_Application_to_CPUC.pdf (Attachment 1), as modified and approved by CPUC Decision 13-11-025, http://docs.cpuc.ca.gov/PublishedDocs/Published/G000/M081/K773/81773445.PDF. 5 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. July 2017 Page 7 GFO-17-301


http://docs.cpuc.ca.gov/PublishedDocs/Published/G000/M151/K183/151183650.PDF

http://www.energy.ca.gov/2014publications/CEC-500-2014-038/CEC-500-2014-038-CMF.pdf

http://www.energy.ca.gov/2014publications/CEC-500-2014-038/CEC-500-2014-038-CMF.pdf

https://mail.ces.ca.gov/owa/redir.aspx?SURL=kIexjtZvqmZM_IMG1JEuhdPnosSWVt4QAzKI6Clj9Skf1tb07MjSCGgAdAB0AHAAOgAvAC8AZABvAGMAcwAuAGMAcAB1AGMALgBjAGEALgBnAG8AdgAvAFAAdQBiAGwAaQBzAGgAZQBkAEQAbwBjAHMALwBQAHUAYgBsAGkAcwBoAGUAZAAvAEcAMAAwADAALwBNADAAOAAxAC8ASwA3ADcAMwAvADgAMQA3ADcAMwA0ADQANQAuAFAARABGAA..&URL=http%3A%2F%2Fdocs.cpuc.ca.gov%2FPublishedDocs%2FPublished%2FG000%2FM081%2FK773%2F81773445.PDF

http://www.energy.ca.gov/research/epic/documents/final_documents_submitted_to_CPUC/2012-11-01_EPIC_Application_to_CPUC.pdf

http://www.energy.ca.gov/research/epic/documents/final_documents_submitted_to_CPUC/2012-11-01_EPIC_Application_to_CPUC.pdf

http://www.leginfo.ca.gov/cgi-bin/displaycode?section=prc&group=25001-26000&file=25710-25712

http://www.leginfo.ca.gov/cgi-bin/displaycode?section=prc&group=25001-26000&file=25710-25712


Laws/Regulations

AB 758, Building Efficiency6 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 an Existing Buildings Energy Action Plan in August 2015.

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

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

SB 3507 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 to 40 % by the end of 2024, 45 % by the end of 2027, and 50 % by the end of 2030; 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

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 2015 IEPR included a multi-agency hearing on drought response and provided recommendations for future research and analysis areas.

6 AB 758 (Statutes of 2009, chapter 470) 7 SB 350 (Statutes of 2015, chapter 547)July 2017 Page 8 GFO-17-301


http://www.energy.ca.gov/title24/

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

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

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

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

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

CPUC Distributed Energy Resources Action PlanThe DER Action Plan reaffirms the CPUC’s commitment to California’s clean energy future by continuing to develop market opportunities and remove unnecessary barriers to unleash the full value that DERs can provide. The CPUC must coordinate its efforts, both internally and with its sister agencies, to push efficiently toward these goals. This Action Plan reflects the CPUC’s vision for achieving its DER goals.

Additional information:

http://www.cpuc.ca.gov/uploadedFiles/CPUC_Public_Website/Content/About_Us/Organization/Commissioners/Michael_J._Picker/2016-09-26%20DER%20Action%20Plan%20FINAL3.pdf

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

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

Reference Documents

The following documents are applicable to all groups:

http://www.energy.ca.gov/research/

http://cesa.org/webinars/procurement-guidance-for-energy-storage-projects-help-with-rfis-rfqs-and-rfps/

http://cesa.org/resource-library/resource/energy-storage-procurement-guidance-documents-for-municipalities

Group 1

The following documents are applicable to Group 1:

http://www.ct.gov/deep/cwp/view.asp?a=4405&Q=564350

http://newscenter.lbl.gov/2014/07/10/department-of-energys-flexlab-opens-testbeds-to-drive-dramatic-increase-in-building-efficiency/ July 2017 Page 9 GFO-17-301


http://newscenter.lbl.gov/2014/07/10/department-of-energys-flexlab-opens-testbeds-to-drive-dramatic-increase-in-building-efficiency/

http://newscenter.lbl.gov/2014/07/10/department-of-energys-flexlab-opens-testbeds-to-drive-dramatic-increase-in-building-efficiency/

http://www.ct.gov/deep/cwp/view.asp?a=4405&Q=564350





http://www.energy.ca.gov/research/

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






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

https://www.serdp-estcp.org/Featured-Initiatives/Installation-Energy

http://cltc.ucdavis.edu/

https://www.diux.mil/docs/work-with-us/DIUx-Commercial-Solutions-Opening-White-Paper.pdf

https://arpa-e.energy.gov/?q=news-item/arpa-e-charges-program-validate-novel-grid-storage-technologies

Group 2

The following document is applicable to Group 2:

http://www.consumerreports.org/cro/index.htm

Group 3


https://www.1776.vc/

http://bipartisanpolicy.org/wp-content/uploads/sites/default/files/Energy%20Innovation%20at%20DoD.pdf

http://www.aptac-us.org/

Group 4


https://pickmysolar.com/about-pick-my-solar/

https://energy.gov/eere/success-stories/articles/eere-success-story-solar-people-online-marketplace-expands-solar

https://www.epa.gov/sites/production/files/2016-03/documents/cecp_agencies.pdf

http://www.coupa.com/software/procurement/



http://www.coupa.com/software/procurement/

https://www.epa.gov/sites/production/files/2016-03/documents/cecp_agencies.pdf



https://pickmysolar.com/about-pick-my-solar/

http://www.aptac-us.org/



https://www.1776.vc/

http://www.consumerreports.org/cro/index.htm



https://www.diux.mil/docs/work-with-us/DIUx-Commercial-Solutions-Opening-White-Paper.pdf

http://cltc.ucdavis.edu/

https://www.serdp-estcp.org/Featured-Initiatives/Installation-Energy

F. FUNDING

1. Amount Available and Minimum/ Maximum Funding AmountsThere is up to $30,000,000 available for grants awarded under this solicitation. The total, minimum, and maximum funding amounts for each project group are listed below.

Project Group Available funding

Minimum award amount

Maximum award amount

Minimum match funding required (% of EPIC Funds Requested)

Group 1: Test Bed Environment and Validation (Cal-Test Bed)

$11,000,000 $9,000,000 $11,000,000 20% of requested funds that are not used for vouchers*

Group 2: California Energy Product Evaluation (Cal-EPE) Hub

$11,000,000 $9,000,000 $11,000,000 20% of requested funds

Group 3: California Opportunities for Procurement (Cal-OP)

$4,000,000 $3,000,000 $4,000,000 20% of requested funds


$4,000,000 $500,000 $1,000,000 No match funding is required

* Match funds required for Group 1 must, at a minimum, equal 20% of the proposed budget (as seen on Category Budget tab of Attachment 7) not including vouchers.

More specifically, 20% of (cell B19 minus cell B18) on the Category Budget tab of Attachment 7.

2. Match Funding RequirementMatch funding is required in the amount of at least 20% of requested EPIC project funds not used for vouchers for Group 1. Match funding is required in the amount of at least 20% minimum of the requested EPIC project funds for Groups 1 2-3. Match funding is not required for Group 4. Applicants that provide more than the minimum match funding required 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 or have a useful life of less than one year.

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

o “Travel” means all travel required to complete the tasks identified in the Scope of Work. Travel includes in-state and out-of-state travel, and travel to conferences. Use of match funds for out-of-state travel and travel to conferences is encouraged because the Energy Commission might not approve the use of its funds for such travel.

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 Attachment 11, Commitment and Support Letter Form. Commitment and support letters must be submitted with the application to be considered.

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

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

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

4. Allowable ExpendituresExpenditures must directly support the goals of the solicitation.

For Group 1, a minimum of 80 percent of Energy Commission funds requested must go towards vouchers.

Examples of non-eligible expenditures for Groups 1-4 include, but are not limited to:

Expenditures that do not directly support the purpose of the solicitation.

Direct funding support to target customers to financially incentivize adoption.

Facility and equipment improvements not directly tied to fulfilling the requirements of the solicitation.

Direct funding support to entrepreneurs and researchers to develop and demonstrate their innovations.

G. KEY ACTIVITIES SCHEDULE

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



ACTIVITY DATE TIME8

Solicitation Release 7/19/17Pre-Application Workshop 8/10/17 2:00 p.m.Deadline for Written Questions9 8/11/17 5:00 p.m.Anticipated Distribution of Questions and Answers Week of 9/11/17

10/2/17

Deadline to Submit Applications 11/3/17 5:00 p.m.Anticipated Notice of Proposed Award Posting Date 11/30/17 12/14/17Anticipated Energy Commission Business Meeting Date 2/1/18Anticipated Agreement Start Date 3/1/18Anticipated Agreement End Date 4/1/21 12/30/2022

H. NOTICE OF PRE-APPLICATION WORKSHOP

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

Date and time: August 10, 2017 at 2:00 PMLocation: California Energy Commission

1516 9th StreetSacramento, CA 95814Charles Imbrecht Room

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: 929 839 971Meeting Password: No password requiredTopic: Pre-Application Workshop for GFO-17-301 Increasing Adoption of Emerging Clean Energy Technologies through Procurement

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.

8 Pacific Standard Time or Pacific Daylight Time, whichever is being observed.9 This deadline does not apply to non-technical questions (e.g., questions concerning application format requirements or attachment instructions) or to questions that address an ambiguity, conflict, discrepancy, omission, or other error in the solicitation. Such questions may be submitted to the Commission Agreement Officer listed in Section H at any time prior to the application deadline. Please see Section H for additional information.July 2017 Page 14 GFO-17-301


https://energy.webex.com/

http://www.energy.ca.gov/contracts/index.html

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

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

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

please call WebEx Technical Support at 1-866-229-3239. You may also contact Rick Alexander at (916) 651-9852.

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 Poneh Jones by e-mail at [email protected] or (916) 654-4425 at least five days in advance,

I. QUESTIONS

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

Janna Franks, Commission Agreement OfficerCalifornia Energy Commission

1516 Ninth Street, MS-18Sacramento, California 95814

Telephone: (916) 654-4921FAX: (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: http://www.energy.ca.gov/ contracts/index.html.



http://www.energy.ca.gov/%20contracts/index.html

http://www.energy.ca.gov/%20contracts/index.html

https://energy.webex.com/energy/systemdiagnosis.php

http://support.webex.com/support/system-requirements.html

https://energy.webex.com/%20energy/globalcallin.php

https://energy.webex.com/%20energy/globalcallin.php

If an applicant discovers an ambiguity, 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 entities and individuals with the exception of local publicly owned electric utilities.10 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.

10 A local publicly owned electric utility is an entity as defined in California Public Utilities Code section 224.3.July 2017 Page 17 GFO-17-301


http://www.sos.ca.gov/

http://www.energy.ca.gov/research/contractors.html

B. PROJECT REQUIREMENTS

1. Market Facilitation StageProjects must fall within the “market facilitation” stage, which includes activities such as program tracking, market research, education and outreach, regulatory assistance and streamlining, and workforce development to support clean energy technology and strategy deployment.11

2. Project Focus

Group 1: Open Test Bed Environment and Validation (Cal-Test Bed)Clean energy entrepreneurs have difficulty making the leap from prototype to pilot scale demonstration of their technologies because they lack access to testing facilities and services to validate their product’s design, safety and performance; and lack technical feedback to shift product specifications to meet the requirements of potential customers.

Group 1 will develop and implement a voucher program, or a similar program, to provide access for clean energy entrepreneurs to use testbed facilities to test and/or certify prototypes of pre-commercial DER technologies, and help entrepreneurs refine their prototype to meet customer specifications. A minimum of 80 percent of Energy Commission funds requested must go towards vouchers. The recipient will at a minimum:

Create and sustain a voucher program or similar program to provide entrepreneurs access to testbed facilities.

Maintain a network of existing test bed facilities in California to provide services to entrepreneurs as part of the voucher program.

Develop and manage agreements with the test bed facilities.

Develop an intake process to select pre-commercial DER technologies for testing at testbed facilities.

Organize customer groups to preview the technologies and make their specifications known.

Coordinate customer feedback to technology developers.

Coordinate with all other recipients of this solicitation to best inform target customers of advanced DER technologies.

The Technical Merit and Need section of the Project Narrative should describe, at a minimum, the following:

The set of services that will be provided to each voucher recipient and the barriers these services will help overcome.

The test bed facilities that will be part of the network, a brief description of their capabilities, and a per voucher cost estimate for their services.

The maximum voucher value (or values if providing different voucher levels) and justification for the amount(s).

The Technical Approach of the Project Narrative should describe, at minimum, the applicant’s approach for:

11 See CPUC “Phase 2” Decision 12-05-037 at pp. 61-62 and 90, http://docs.cpuc.ca.gov/PublishedDocs/WORD_PDF/FINAL_DECISION/167664.PDF.July 2017 Page 18 GFO-17-301



Evaluating and selecting technologies to receive a voucher for test bed services; and determining the test bed services most needed for that technology.

Maximizing the number of vouchers to be provided and limiting administrative costs by the recipient and the test bed facilities.

o Give an annual estimate of vouchers to be provided.

Evaluating the quality of service provided to voucher recipients by each test bed facility.

Ensuring clean energy entrepreneurs and researchers located throughout the state are able to access test bed facilities.

Outlining how the vouchers will be awarded over the term of the agreement (e.g. Rolling basis, quarterly basis, etc.), and when the first vouchers will be awarded.

The Technical Tasks in Part IV of the Scope of Work must incorporate the following deliverable to be completed during the course of the agreement:

Annual Report that details: vouchers distributed, what services were provided, full scale pilots resulting from voucher program, evaluation of the test bed facilities used, survey of the California ventures that received services, technology previews, and types of feedback given by customers.

Group 1 applicants are not required to develop a Production Readiness Plan, and should remove Task [TBD 3] Production Readiness Plan from the Scope of Work.

The Technical Tasks in Part IV of the Scope of Work must incorporate the following activity to be completed during the course of the agreement:

Attendance at the annual California Energy Innovation Strategy meeting. The annual meeting will bring together participants in the Energy Innovation Ecosystem to strategize for the upcoming year.

Group 2: California Energy Product Evaluation (Cal-EPE) HubLarge customers responsible for procurement contracting are often times overwhelmed by the many choices and uncertainties surrounding advanced DER technologies. New technologies entering the marketplace often lack rigorous, real-world evaluations that prioritize customer needs, leaving customers without pertinent details required to make better, more informed purchase decisions. This can add significant time and costs to the procurement process and deter customers from pursuing advanced DER solutions.

Group 2 will provide funding for the development and operation of the California Energy Product Evaluation (Cal-EPE) Hub that will evaluate the performance and characteristics of advanced DERs for institutional and commercial customers and compare them to existing government and industry standards, including but not limited to the Department of Energy’s Energy Efficiency Standards specified in the Code of Federal Regulations and the Environmental Protection Agency’s Energy Star specifications, California’s Title-20 Appliance Standards, and California’s Title-24 Building Energy Efficiency Standards.

The Cal-EPE Hub will be responsible for, at a minimum:

Developing the methodology that will be used to evaluate advanced DER technologies on how they meet customer needs. Performance criteria may include, but are not limited to cost, quality, durability, user interface, user experience, interoperability, installation, operation, and maintenance.



Coordinating with laboratories, facilities, and other resources to conduct product evaluations.

Publishing periodic buyers’ guides and unbiased product reviews and ratings on performance criteria important to all target customers.

Coordinating with all other recipients of this solicitation to best inform target customers of advanced DER technologies.

Advanced DER technologies to be evaluated in the Cal-EPE Hub should include, but are not limited to:

Electric space and water heating and cooling

o Solid-state heating and cooling technologies

o Electric heat pumps

o Cooling technologies using alternative refrigerants (high efficiency, low global warming and low ozone depletion) including CO2, ammonia, propane, isobutene- test would efficiency, and safety; absorption cooling

o Aftermarket treatments that improve energy efficiency of existing HVAC and building envelope systems

Solid-state lighting technologies and applications

Energy management systems

Onsite energy storage systems

Energy and water saving agricultural irrigation systems

Distributed PV systems

Applicants may suggest additional technologies in proposals that will be considered during proposal scoring.

The Technical Approach of the Project Narrative should describe, at minimum, the applicant’s approach for:

Determining the frequency and number of advanced DER technologies to be tested.

Developing and publishing buyers’ guides and unbiased product reviews including the frequency and number of guides and reviews to be published.

Acquiring technology products from vendors for evaluation.

Leveraging existing test facilities to conduct evaluations.

Widely disseminating the results to target customers and the general public.

The Technical Tasks in Part IV of the Scope of Work must incorporate the following deliverables to be completed during the course of the agreement:

An annual report that summarizes Cal-EPE’s activities and accomplishments for the prior year.

A report that describes the methodologies developed and used by Cal-EPE to test and compare product offerings under each of the product categories.




Group 3: California Opportunities for Procurement (Cal-OP) Large institutional customers typically purchase equipment through formal procurement processes not well suited to the culture and resources of clean energy ventures. Startup ventures and other clean energy ventures often do not understand how to approach institutional customers or the formal procurement processes used by large institutions. As a result, California clean energy ventures miss out on opportunities to scale their businesses, and institutional customers miss out on new DER technologies that could potentially better address their needs.

Group 3 will provide and coordinate key services, assistance, and resources needed to bridge the gap between emerging energy technology solutions and large-scale procurement processes. Cal-OP will provide support to clean energy ventures navigating and competing in institutional energy procurement processes (e.g. competing for Department of General Services contracts), while providing hands-on guidance to customers (e.g. information on DER technologies that fit customer energy needs) updating and streamlining their procurement processes for advanced DER technologies. Cal-OP will be responsible for, at a minimum: facilitating information sharing and exchange so that clean energy ventures are aware of market opportunities provided by institutional customers; and institutional customers are aware of new DER technology features that can address their critical needs. Cal-OP will also be responsible for coordinating with all other recipients of this solicitation to best inform target customers of advanced DER technologies.

The Technical Merit and Need section of the Project Narrative should describe at a minimum: The specific set of services that will be provided to clean energy companies and a

description of how each will address barriers and challenges to procurement. The specific set of services that will be provided to customers and a description of how

each will overcome challenges and barriers to procurement. Other specific strategies the applicant will implement to bridge the procurement gap.

The Technical Approach of the Project Narrative should describe at a minimum: Estimate for the number of clean energy companies and target customers that Cal-OP

will be able to provide services for annually. Recruitment practices to be used for reaching clean energy ventures and target

customers.

The Technical Tasks in Part IV of the Scope of Work must incorporate the following deliverable to be completed during the course of the agreement:

An annual report. The annual report should include at a minimum a description of the Cal-OP services provided, and technical and commercialization milestones achieved.




The Technical Tasks in Part IV of the Scope of Work must incorporate the following activity to be completed during the course of the agreement:

Attendance at the annual California Energy Innovation Strategy meeting. The annual meeting will bring together participants in the Energy Innovation Ecosystem to strategize for the upcoming year.


Many customers who rely on procurement processes lack sufficient access to tools and operational methods (such as information technology solutions) to ensure efficient, comprehensive, and streamlined purchasing of advanced, commercial DER technologies and services, which restricts purchasing options. Group 4 will pilot or scale up new tools that will streamline customer procurement of DER. Examples of procurement tools/methods include, but are not limited to: software programs or online platforms that can streamline the procurement process, aggregate purchases, and help develop equipment specifications that can be used by customers to procure bids for DER technologies. Applicants are encouraged to propose how the tool will benefit or positively impact target customers in Disadvantaged Communities 12 . In addition to target customers identified in this solicitation, applicants may work to pilot or scale up new tools designed to community-based organizations or other entities working to increase access to and deploy advanced, clean energy technology products in Disadvantaged Communities . Group 4 aims to:

Increase customer acceptance to lead to widespread customer adoption. Gain further insights into what customers want and need from these tools and

platforms, including the functionality. Identify and document unanticipated challenges the solution provider and/or the

customers encountered during the implementation and use of these solutions. Document the approaches used to overcome these challenges including what was

successful and what was not.

Group 4 will coordinate with all other recipients of this solicitation to best inform target customers of advanced DER technologies.

The Technical Merit and Need section of the Project Narrative should describe at a minimum, the following:

The specific customer(s) that will be involved in the project.

The Technical Tasks in Part IV of the Scope of Work must incorporate the following deliverables to be completed during the course of the agreement:

A case study detailing the piloting of each tool, pilot adopter experiences and response, and lessons learned.

12 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)July 2017 Page 22 GFO-17-301


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.13 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.14

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 Applicants for all groups must include a Measurement and Verification Plan in the Project Narrative (Attachment 4) that describes how actual project benefits will be measured and quantified.

13 Id. at p. 19.14 Id. at pp. 19-20.July 2017 Page 23 GFO-17-301


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 past project description Commitment and Support Letter Form (Attachment 11): two

pages for each commitment or support letter, excluding the cover page

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

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

Number of Copies of the Application

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



B. PREFERRED METHOD FOR DELIVERY

The preferred method of delivery for this solicitation is the Energy Commission Grant Solicitation System, available at: https://gss.energy.ca.gov/. This online tool allows applicants to submit their electronic documents to the Energy Commission prior to the date and time specified in this solicitation. Electronic files must be in MS Word version 1997-2003, or version 2007 or later (.doc or .docx 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 documents have been successfully uploaded. A tutorial of the system will be provided at the pre-application workshop and you may contact the Commission Agreement Officer identified in the Questions section of the solicitation for more assistance.

C. HARD COPY DELIVERY

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

U.S. Mail In Person Courier service

Applications submitted in hard copy must be delivered to the Energy Commission Contracts, Grants and Loans Office according to the schedule in Section I.F. 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.F. 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 required to submit one paper copy. Applicants must also submit electronic files of the application on CD-ROM or USB memory stick along with the paper submittal. Electronic files must be in Microsoft Word XP (.doc format) and Excel Office Suite formats. Completed Budget Forms, Attachment 7, must be in Excel format. Electronic files submitted via e-mail will not be accepted.

Packaging and LabelingAll hard copy applications must be labeled "Grant Funding Opportunity GFO-17-301," and include the title of the application.

Include the following label information on the mailing envelope:



https://gss.energy.ca.gov/

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

GFO-17-301Contracts, Grants, and Loans Office, MS-18California Energy Commission1516 Ninth Street, 1st FloorSacramento, California 95814

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

2. Label the proposal application cover “Grant Funding Opportunity GFO-17-301” and include: (a) the title of the application; and (b) the applicant’s name.

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

Tab/Attachment Number

Title of Section

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

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

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

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





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:

a. Group Specific Information Include required group specific information (see Section II.B.2) 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.C). All supporting documentation must be included in Attachment 8.

5. Project Team Form (Attachment 5)Identify by name all key personnel15 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 to be completed by the end date listed in Section I.F.

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

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

15 “Key personnel” are individuals that are critical to the project due to their experience, knowledge, and/or capabilities. July 2017 Page 28 GFO-17-301


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

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

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

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

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

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

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

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

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

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

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

(i) prevailing wages are paid; and

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



(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 applicants must submit a match funding

commitment letter signed by a representative of each entity or individual that is committing to providing match funding. The letter must: (1) identify the source(s) of the funds; (2) justify the dollar value claimed; (3) guarantee the availability of the funds for the project; and (4) include a strategy for replacing the funds if they are significantly reduced or lost. Match funding is required for



Groups 1-3. Match funding is not required for Group 4. See Section I.E for more information.

If the project involves testing (Group 1 and 2) activities, the applicant must include a site commitment letter signed by an authorized representative of the proposed testing facility or facilities. The letter must: (1) identify the location of the facility (street address, parcel number, tract map, plot map, etc.) which must be consistent with Attachments 1 and 8; and (2) commit to providing the facility for the proposed activities.

Project partners that are making contributions other than match funding or a test/ demonstration/ deployment 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) unconditionally 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 testing facility.



IV. Evaluation and Award Process A. APPLICATION EVALUATION

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

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

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

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

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

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

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

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

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

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



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

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

and/or level of funding.

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

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

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

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

Agreement Amendment: The executed agreement may be amended by mutual consent of the Energy Commission and the Recipient. The agreement may 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 AWARD

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

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

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

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

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



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.

D. MISCELLANEOUS

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

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

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

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

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

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



http://www.energy.ca.gov/contracts

provide modifications or clarifications by written notice to all entities that requested the solicitation. The Energy Commission will not be responsible for failure to correct errors.

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

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

E. STAGE ONE: APPLICATION SCREENING

SCREENING CRITERIAThe Application must pass ALL criteria to progress to Stage

Two.Pass/Fail

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

Pass Fail

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

Pass Fail

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

Pass Fail

4. The application does not contain any confidential information or identify any portion of the application as confidential.

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, Attachment 6).

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

Pass Fail

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

Pass Fail

7. The Application Form/budget specify that the applicant will provide at least 20% of the requested Energy

Pass Fail N/A



SCREENING CRITERIAThe Application must pass ALL criteria to progress to Stage

Two.Pass/Fail

Commission funds in match funds for Group 1-3 applications. Match funding is not required for Group 4 applications.

(The project does not require match funding)

8. For projects that involve pilot testing/ demonstration/ deployment activitieso The Application Form identifies one or more test/

demonstration/ deployment site locations.o All test/ demonstration/ deployment sites are

located in aCalifornia electric IOU service territory (PG&E, SDG&E, or SCE).

Pass Fail N/A

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

9. For projects that require match funding (Groups 1-3): The proposal includes one or more match funding commitment letters.

Pass Fail

N/A(The project does not require match funding)

10. For projects that involve pilot testing/demonstration/deployment activities: The proposal includes a site commitment letter (Section III.D.11).

Pass Fail

N/A(The project does not involve testing/demonstration/deployment activities)



F. STAGE TWO: APPLICATION SCORING

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

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

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

SCORING SCALE

% of Possible Points

Interpretation Explanation for Percentage Points

0% Not Responsive

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

unacceptable.

10-30% Minimally Responsive

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

minimally acceptable.

40-60% Inadequate

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

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

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

acceptable.

80% Good

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

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

90% Excellent

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

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

100% Exceptional

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

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



SCORING CRITERIA

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

Scoring Criteria Maximum Points

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

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

b. Explains how the proposed project will accelerate the scale-up and customer adoption of emerging energy technologies needed to achieve the State’s statutory energy goals.

c. Summarizes the current status of the relevant topic area, and explains how the proposed project will build on current efforts and best practices.

d. Justifies the need for EPIC funding, including an explanation of why the proposed work is not adequately supported by the private sector.

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

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

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

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

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

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

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

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

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

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

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

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

b. Provides a clear and plausible plan that describes the impact metrics for evaluating and measuring project success including estimates for each metric.

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

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

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

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

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

team. Includes an organizational chart that illustrates the structure.

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

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

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

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

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

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

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

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

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

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

Does your organization have overdue taxes?

Has your organization ever filed for or does it plan to file for bankruptcy?

Has any party that entered into an agreement with your organization terminated it, and if so for what reason?

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

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

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

5. Budget and Cost-Effectivenessa. Budget forms are complete, as instructed in Attachment 7.

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

c. Justifies the reasonableness of costs for direct labor, non-labor (e.g., indirect overhead, general and administrative costs, and subcontractor profit), and operating expenses by task.

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

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

f. (For Group 1 only) Confirms that a minimum of 80 percent of Energy Commission funds requested will go towards vouchers.

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

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

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

Percentage of Possible Points

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

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

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

5

Total Possible Points(Minimum Passing Score is 70) 100

Additional Points Applications must meet both minimum passing scores (at least 49 points for Scoring Criteria 1-4 and at least 70 points for Scoring Criteria 1-7) to be eligible for the additional points.

8. Match Funding above the 20% minimum for groups 1, 2, and 3, above the 0% minimum for group 4

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

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

that exceeds the minimum match funding amount divided by the

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total amount of EPIC funds requested. This ratio will be multiplied by 5 to yield the points.For example: If requested EPIC funds are $1,000,000, the applicant must provide at least $200,000 (20% of $1,000,000) in match funding. If the applicant pledged $500,000 in match funding, the amount that will be evaluated for additional points is $300,000. The match funding ratio is 0.30. (5 x 0.30 = 1.5 points).

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

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

