REQUEST FOR PROPOSAL 000-00-000



GRANT FUNDING OPPORTUNITYHydrogen Fuel Cell Demonstrations in Rail and Marine Applications at Ports (H2RAM)Addendum 2GFO-20-604California Energy Commission Solicitations State of CaliforniaCalifornia Energy CommissionJuly 2020Table of Contents TOC \o "2-4" \t "Heading 1,1" I.Introduction PAGEREF _Toc38542313 \h 1A.Purpose of Solicitation PAGEREF _Toc38542314 \h 1B.Key Words/Terms PAGEREF _Toc38542315 \h 3C.Applicants’ Admonishment PAGEREF _Toc38542316 \h 5D.Additional Requirements PAGEREF _Toc38542317 \h 5E.Background PAGEREF _Toc38542318 \h 6F.Funding PAGEREF _Toc38542319 \h 9G.Key Activities Schedule PAGEREF _Toc38542320 \h 12H.Notice of Pre-Application Workshop PAGEREF _Toc38542321 \h 12I.Questions PAGEREF _Toc38542322 \h 13II.Eligibility Requirements PAGEREF _Toc38542323 \h 15A.Applicant Requirements PAGEREF _Toc38542324 \h 15B.Project Requirements PAGEREF _Toc38542325 \h 17III.Application Organization and Submission Instructions PAGEREF _Toc38542326 \h 24A.Application Format, Page Limits, and Number of Copies PAGEREF _Toc38542327 \h 24B.Preferred Method For Delivery PAGEREF _Toc38542328 \h 25C.Hard Copy Delivery PAGEREF _Toc38542329 \h 25D.Application Organization and Content PAGEREF _Toc38542330 \h 26IV.Evaluation and Award Process PAGEREF _Toc38542331 \h 32A.Application Evaluation PAGEREF _Toc38542332 \h 32B.Ranking, Notice of Proposed Award, and Agreement Development PAGEREF _Toc38542333 \h 32C.Grounds to Reject an Application or Cancel an Award PAGEREF _Toc38542334 \h 33D.Miscellaneous PAGEREF _Toc38542335 \h 34E.Stage One: Application Screening PAGEREF _Toc38542336 \h 35F.Stage Two: Application Scoring PAGEREF _Toc38542337 \h 36Attachment NumberTitle of Section1Application Form (requires signature) 2Executive Summary Form3aProject Narrative Form (Group 1 and 2 only)3bProject Narrative Form (Group 3 only)4Project Team Form5Scope of Work Template 6Project Schedule (Excel spreadsheet)7Budget Forms (Excel spreadsheet)8CEQA Compliance Form 9Reference and Work Product Form 10Contact List Template11Commitment and Support Letter Form (letters require signature)12Applicant Declaration (requires signature)13California Based Entity (CBE) Form (Group 1 and 3 only)14Localized Health Impacts Information Form (Group 2 only)15Clean Transportation Program Terms and Conditions (Group 2 only)ATTACHMENTSI.IntroductionPurpose of Solicitation The purpose of this solicitation is to fund the design, integration, and demonstration of hydrogen fuel cell systems and hydrogen fueling infrastructure for locomotive and commercial harbor craft applications at California ports to reduce air pollutant and greenhouse gas (GHG) emissions. The California Energy Commission’s (CEC) Natural Gas R&D Program announces the availability of up to $6.6 million in grant funds for the technology integration and demonstration of hydrogen fuel cell-powered locomotives and harbor craft. Additionally, the CEC’s Clean Transportation Program (formerly known as the Alternative and Renewable Fuel and Vehicle Technology Program) announces the availability of up to $6 million in grant funds for shared hydrogen fueling infrastructure to support hydrogen fuel cell-powered locomotives or harbor craft, as well as on-road vehicles and cargo handling equipment.Senate Bill 1369 (Skinner, Chapter 567, Statutes of 2018) identifies the need for the CEC to consider green electrolytic hydrogen as an eligible form of energy storage, and to consider other potential uses of green electrolytic hydrogen. Increasing the production and supply of renewable hydrogen can help enable higher penetrations of renewable generation, increase system resilience, and assist in decarbonizing challenging sectors such as the industrial sector, heavy-duty transportation sector, and the natural gas system. The heavy-duty transportation sector in particular can play an important role in achieving scaled production of renewable hydrogen due to growing demand for zero-emission fuel cell technologies driven by the sector’s disproportionate air quality impacts, zero-emission vehicle mandates, and available credits from the California Air Resources Board’s (CARB) Low Carbon Fuel Standard (LCFS). Ports operating as high throughput clusters for low-cost and low-carbon hydrogen can achieve scaled demand across multiple applications, including rail, marine vessels, drayage trucks, and cargo handling equipment. California is home to 12 deep water port complexes, including two of the busiest container ports in the nation. Among the variety of mobile equipment and vehicles that operate at the Port of Los Angeles and Port of Long Beach, locomotives and marine vessels emit approximately 90 percent of diesel particulate matter emissions (DPM). DPM is a toxic air contaminant that can increase cancer risk in communities located near ports. Trains and marine vessels also contribute to 24 percent of statewide oxides of nitrogen (NOx) emissions, a precursor to smog. Locomotives and marine vessels are both difficult to decarbonize because of their high power requirements, reliance on large diesel engines, and limited zero-emission technology options. Although ocean-going vessels and line haul freight locomotives are responsible for a larger share of emissions than locally operated switcher locomotives and commercial harbor craft, they are more difficult to address in the near term because they are federally and internationally regulated. However, there is an opportunity to reduce emissions from the 750 intrastate locomotives and 3,700 commercial harbor craft that regularly operate within California, using zero-emission technologies such as hydrogen fuel cells. This solicitation intends to fund projects to demonstrate and evaluate the feasibility of hydrogen fuel cells for powering switcher locomotives and harbor craft, deploy shared hydrogen fueling infrastructure across multiple freight applications, and increase the potential for future widespread adoption of hydrogen fuel cells in related rail and marine applications such as ocean-going vessels, line haul freight locomotives, and passenger trains. Projects must fall within the following project groups: Group 1: Fuel Cell Demonstrations in Switcher Locomotives and Commercial Harbor CraftGroup 2: Shared Hydrogen Fueling Infrastructure; andGroup 3: Design and Feasibility of Fuel Cell-Powered Commercial Harbor Craft.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 may 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 5).Key Words/TermsWord/TermDefinitionAHJAuthority having jurisdictionApplicantThe respondent to this solicitationApplicationAn applicant’s formal written response to this solicitation Authorized RepresentativeAuthorized Representative, the person signing the application form who has authority to enter into an agreement with the CEC. CAMCommission Agreement Manager, the person designated by the CEC to oversee the performance of an agreement resulting from this solicitation and to serve as the main point of contact for the Recipient.CECCalifornia Energy CommissionCEQACalifornia Environmental Quality ActDaysDays refers to calendar days Disadvantaged CommunityThese are communities defined as areas representing census tracts scoring in the top 25 % in CalEnviroScreen 3.0. () DPMDiesel particulate matterFRAFederal Railroad AdministrationGHGGreenhouse gashpHorsepowerHSPHydrogen Safety PanelLCFSLow Carbon Fuel StandardLow-income CommunityLow-income communities are defined as communities within census tracts with median household incomes at or below 80 percent of the statewide median income, or at or below the threshold designated as low-income by the California Department of Housing and Community Development. ()NG IOUNatural Gas Investor-owned utility, including Pacific Gas and Electric Co., San Diego Gas and Electric Co., and Southern California Gas Co.NOPANotice of Proposed Award, a public notice that identifies award recipients proposed for CEC Business Meeting approval.NOxOxides of nitrogenPrincipal InvestigatorThe 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. Project ManagerThe person designated by the applicant to oversee the project and to serve as the main point of contact for the CEC.Project PartnerAn entity or individual that contributes financially or otherwise to the project (e.g., match funding, provision of a test site), and does not receive CEC funds. RecipientThe recipient of an award under this solicitationSolicitationThis entire document, including all attachments, exhibits, any addendum and written notices, and questions and answers (“solicitation” may be used interchangeably with “Grant Funding Opportunity”).StateState of CaliforniaTRLTechnology readiness levels are a method for estimating the maturity of technologies during the acquisition phase of a program.Source: U.S. Department of Energy, “Technology Readiness Assessment Guide”. ()Applicants’ AdmonishmentThis solicitation contains application requirements and instructions. Applicants are responsible for carefully reading the solicitation, asking appropriate questions in a timely manner, ensuring that all solicitation requirements are met, submitting all required responses in a complete manner by the required date and time, and carefully rereading the solicitation before submitting an application. In particular, please carefully read the Screening/Scoring Criteria and Grounds for Rejection in Part IV. For Group 1 and Group 3, please carefully read the relevant PIER grant terms and conditions located at: . For Group 2, please carefully read the Clean Transportation Program Terms and Conditions (Attachment 15).Applicants are responsible for the cost of developing applications. This cost cannot be charged to the State. All submitted documents will become public records upon the posting of the Notice of Proposed Award.Additional RequirementsTime is of the essence. Funds available under this solicitation have encumbrance deadlines as early as June 30, 2021. This means that the CEC must approve proposed awards at a business meeting (usually held monthly) prior to June 30, 2021 in order to avoid expiration of the funds. Prior to approval and encumbrance, the CEC must comply with the California Environmental Quality Act (CEQA). To comply with CEQA, the CEC 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 CEC 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 CEC to comply with CEQA and provide all CEQA-related information to the CEC in a timely manner such that the CEC is able to complete its review in time for it to meet its encumbrance deadline.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 CEC determines, in its sole and absolute discretion, that the CEQA review associated with a proposed project would not likely be completed prior to the encumbrance deadline referenced above, and that the Commission’s ability to meet its encumbrance deadline may thereby be jeopardized, the CEC 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 CEC’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 CEC’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 CEC’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 CEC 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. BackgroundNatural Gas R&D ProgramThis solicitation will award projects under the Natural Gas program, which is funded by a ratepayer surcharge on natural gas consumed by ratepayers of NG IOUs in California (see California Public Utilities Code section 890 and 895). The California Public Utilities Commission (CPUC) designated the California Energy Commission as administrator of the program in August 2004. The purpose of the program is to benefit California natural gas ratepayers by funding public interest research and development activities, which the CPUC has defined as “developing science or technology, the benefits of which accrues to California citizens and are not adequately addressed by competitive or regulated entities.” Clean Transportation ProgramThis solicitation will include funding from the Clean Transportation Program (formerly known as the Alternative and Renewable Fuel and Vehicle Technology Program). Assembly Bill (AB) 118 (Nù?ez, Chapter 750, Statutes of 2007) created the Clean Transportation Program. The statute authorizes the CEC to develop and deploy alternative and renewable fuels and advanced transportation technologies to help attain the state’s climate change policies. AB 8 (Perea, Chapter 401, Statutes of 2013) re-authorized the Clean Transportation Program through January 1, 2024, and specified that the CEC allocate up to $20 million per year (or up to 20 percent of each fiscal year’s funds) in funding for hydrogen station development until at least 100 stations are operational. The Clean Transportation Program has an annual budget of approximately $100 million and provides financial support for projects that: Reduce California’s use and dependence on petroleum transportation fuels and increase the use of alternative and renewable fuels and advanced vehicle technologies. Produce sustainable alternative and renewable low-carbon fuels in California. Expand alternative fueling infrastructure and fueling stations. Improve the efficiency, performance and market viability of alternative light-, medium-, and heavy-duty vehicle technologies. Retrofit medium- and heavy-duty on-road and non-road vehicle fleets to alternative technologies or fuel use. Expand the alternative fueling infrastructure available to existing fleets, public transit, and transportation corridors. Establish workforce training programs and conduct public outreach on the benefits of alternative transportation fuels and vehicle technologies.Program Areas, Strategic Objectives, and Funding InitiativesNatural Gas R&D projects must fall within one or more specific focus areas (“research initiatives”) identified in the Natural Gas R&D Budget Plan. This solicitation targets the following research initiative from the Natural Gas R&D Budget Plan for Fiscal Year 2019/2020. This solicitation also includes funds from the Clean Transportation Program Investment Plan Update for Fiscal Year 2019/2020.Fiscal Year 2019-20 Natural Gas R&D Budget PlanResearch Area: Natural Gas-Related TransportationResearch Initiative: Demonstrate Advanced Zero Emission Fuel Cell Technologies for Rail and Marine Applications at California PortsFiscal Year 2019-20 Clean Transportation Program Investment Plan UpdateFunded Activity: Advanced Freight and Fleet TechnologiesApplicable Laws, Policies, and Background Documents This solicitation addresses the energy goals described in the following laws, policies, and background documents.Laws/RegulationsAssembly Bill (AB) 32 - Global Warming Solutions Act of 2006 AB 32 created a comprehensive program to reduce greenhouse gas (GHG) emissions in California. GHG reduction strategies include a reduction mandate of 1990 levels by 2020 and a cap-and-trade program. AB 32 also required the California Air Resources Board (ARB) to develop a Scoping Plan that describes the approach California will take to reduce GHGs. ARB must update the plan every five years.Additional information: AB 32 Applicable Law: California Health and Safety Code §§ 38500 et. seq. Senate Bill (SB) 32 - California Global Warming Solutions Act of 2006: emissions limitSB 32 designates the State Air Resources Board as the state agency charged with monitoring and regulating sources of greenhouse gas (GHG) emissions. The state board is required to approve a statewide GHG emissions limit equivalent to the statewide GHG emissions level in 1990 to be achieved by 2020 and to adopt rules and regulations in an open public process to achieve the maximum, technologically feasible, and cost-effective GHG emissions reductions. This requires the state board to ensure that statewide GHG emissions are reduced to 40% below the 1990 level by 2030.Additional information: CARB Scoping Plan SB 1369 – Green Electrolytic HydrogenSB 1369 identifies the need for the CEC to consider green electrolytic hydrogen as an eligible form of energy storage, and to consider other potential uses of green electrolytic hydrogen.Applicable Law: California Public Utilities Code §§ 400 et. seq.Policies/PlansCalifornia Sustainable Freight Action PlanGovernor Brown’s Executive Order B-32-15 directed relevant State departments to develop an integrated action plan by July 2016 that establishes clear targets to improve freight efficiency, transition to zero-emission technologies, and increase competitiveness of California’s freight system. The Plan’s vision for a sustainable freight transport system highlights the need to transport freight reliably and efficiently by zero-emission equipment everywhere feasible, and near-zero emission equipment powered by clean, low-carbon renewable fuels everywhere else.Additional information: California Sustainable Freight Action Plan Low Carbon Fuel Standard The Low Carbon Fuel Standard (LCFS) encourages the use of cleaner low-carbon transportation fuels in California to reduce greenhouse gas emissions. The LCFS targets are expressed in terms of the “carbon intensity” of fuels based on their life cycle greenhouse gas emissions. The LCFS aims to reduce the overall carbon intensity of California’s transportation fuel mix by 20 percent by 2030. In 2018, LCFS amendments added a zero-emission vehicle (ZEV) infrastructure crediting provision to generate infrastructure credits based on the capacity of eligible hydrogen stations or chargers.Additional information: ARB LCFS Integrated Energy Policy Report (Biennial)California Public Resources Code Section 25302 requires the CEC 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 CEC uses these assessments and forecasts to develop energy policies. The 2015 IEPR included a multi-agency hearing on drought response and provided recommendations for future research and analysis areas.Additional information: Energy Policy Applicable Law: California Public Resources Code §§ 25300 et seq. Executive Order B-30-15Governor Brown’s Executive Order B-30-15 established a new interim statewide greenhouse gas emission reduction target to reduce greenhouse gas emissions to 40 % below 1990 levels by 2030, to ensure California meets its target of reducing greenhouse gas emissions to 80 % below 1990 levels by 2050.Executive Order B-55-18Governor Brown’s Executive Order B-55-18 established a new statewide goal to achieve carbon neutrality no later than 2045. In addition, all policies and programs undertaken must seek to improve air quality and support the health and economic resiliency of urban and rural communities, particularly low-income and disadvantaged communities.Reference DocumentsRefer to the links below for information about activities associated with the CEC’s R&D and Clean Transportation programs:CEC’s R&D ProgramsNatural Gas Research and Development Program Clean Transportation Program Empower Innovation 2019-2020 Investment Plan Update for Clean Transportation Program FundingAmount Available and Minimum/ Maximum Funding AmountsThere is up to $12,600,000 available for grants awarded under this solicitation. The total, minimum, and maximum funding amounts for each project group are listed below. Project GroupAvailable FundingMinimum award amountMaximum award amountMinimum match funding (% of CEC Funds Requested)Group 1: Fuel Cell Demonstrations in Switcher Locomotives and Commercial Harbor Craft$6,000,000$2,000,000$4,000,00020%Group 2: Shared Hydrogen Fueling Infrastructure $6,000,000$2,000,000$4,000,00020%Group 3: Design and Feasibility of Fuel Cell-Powered Commercial Harbor Craft$600,000$200,000$600,0000%Match Funding RequirementMatch funding is required in the amount of at least 20% of the requested CEC funds for Group 1 and Group 2. Applicants that provide more than this amount will receive additional points during the scoring phase (See Part IV).Match funding is not required for Group 3. However, applications that include match funding will receive additional points during the scoring phase (See Part IV).“Match funds” includes cash or in-kind (non-cash) contributions provided by the applicant, subcontractors, or other parties including pilot testing, demonstration, and/or deployment sites (e.g., test site staff services) that will be used in performance of the proposed project. “Match funds” do not include: CEC awards, 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:“Cash” match means funds that are in the recipient’s possession or proposed by match partner and clearly identified in a support letter, 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 match can 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 match will be considered more favorably than in-kind contributions during the scoring phase.“In-Kind” match is typically in the form of the value of personnel, goods, and services, including direct and indirect costs. This can include equipment, facilities, and other property as long as the value of the contribution is based on documented market values or book values, prorated for its use in the project, and depreciated or amortized over the term of the project using generally accepted accounting principles (GAAP).For Group 1 and Group 3 projects, match funds allocable to Natural Gas R&D Program funds may be spent only during the agreement term, either before or concurrently with CEC funds. Match funds also must be reported in invoices submitted to the CEC.For Group 2 projects, match fund expenditures allocable to Clean Transportation Program funds are allowable under an agreement if they are incurred after the CEC notifies the Applicant that its project has been proposed for an award through the release of a Notice of Proposed Awards (NOPA). Match expenditures incurred prior to the approval and execution of an agreement are made at the Applicant’s own risk. The CEC is not liable for the Applicant’s match fund costs if the grant is not approved, if approval is delayed, or if the match share expenditure is not allowable under the terms and conditions of the grant or this solicitation. Please note that non-match expenditures incurred prior to agreement execution are not reimbursable from CEC funds.All applicants providing match funds must submit commitment letters, including prime and subcontractors, 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. Any match 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.Examples of preferred match share:“Travel” refers to all travel required to complete the tasks identified in the Scope of Work. Travel includes in-state and out-of-state, and travel to conferences. CEC funds are limited to lodging and any form of transportation (e.g., airfare, rental car, public transit, parking, mileage). Use of match funds for out-of-state travel is encouraged, as the CEC discourages and may not approve the use of its funds for such travel. If an applicant plans to travel to conferences, including registration fees, they must use match funds. Applicants shall adhere to travel restrictions of using state funds to travel to certain other states pursuant to AB 1887 (2016) and codified at California Government Code Section 11139.8. All applicants are encouraged to consider the Attorney General’s website for a current list of states subject to travel restrictions. Awarded Grants under this solicitation shall not contain travel paid for with Commission funds (applicants can instead use match funds) to the listed states unless the Commission approves in writing that the trip falls within one of the exceptions under the law.“Equipment” is 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 as there are no disposition requirements at the end of the agreement for such equipment. Typically, grant recipients may continue to use equipment purchased with CEC funds if the use is consistent with the intent of the original agreement. “Materials” under Materials and Miscellaneous are items under the agreement that do not meet the definition of Equipment (unit cost of at least $5,000 and a useful life of at least one year). Using match funds for purchasing items such as laptops, notebooks and/or personal tablets is encouraged, as CEC funds for these purchases is not allowed.Change in Funding AmountAlong with any other rights and remedies available to it, the CEC 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.Key Activities ScheduleKey activities, dates, and times for this solicitation and for agreements resulting from this solicitation are presented below. An addendum will be released if the dates change for activities that appear in bold.ACTIVITYDATETIME Solicitation ReleaseJuly 16, 2020Pre-Application WorkshopJuly 31, 202010:30 a.m.Deadline for Written QuestionsAugust 7, 20205:00 p.m.Anticipated Distribution of Questions and Answers Week of August 24, 2020Deadline to Submit ApplicationsOctober 8, 20205:00 p.m.Anticipated Notice of Proposed Award Posting DateNovember 19, 2020Anticipated Energy Commission Business Meeting DateMarch 10, 2021Anticipated Agreement Start DateMarch 31, 2021Anticipated Agreement End Date March 31, 2025Notice of Pre-Application WorkshopCEC staff will hold one Pre-Application Workshop to discuss the solicitation with potential applicants. Participation is optional but encouraged. The Pre-Application Workshop will be held remotely, consistent with Executive Orders N-25-20 and N-29-20 and the recommendations from the California Department of Public Health to encourage physical distancing to slow the spread of COVID-19. Applicants may attend the workshop via the internet (Zoom, see instructions below), or via conference call on the date and at the time and listed below. Please call (916) 654-4381 or refer to the CEC's website at to confirm the date and time.Date and time: July 31, 2020 10:30 a.m.Zoom Instructions:To join the Zoom meeting, go to and enter the Meeting ID below and select “join from your browser.” Participants will then enter the Meeting Password listed below and their name. Participants will then select the “Join” button: Meeting ID: 947 9266 2867Meeting Password: 357152Topic: GFO-20-604 Pre-Bid WorkshopTo Logon with a Direct Phone Number: After logging into Zoom, 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.Telephone Access Only:Dial 1-888-475-4499 (Toll Free) or 1-877-853-5257 (Toll Free) and when prompted, enter the Meeting ID number above. Technical Support:For assistance with problems or questions about joining or attending the meeting, please call Zoom Technical Support at 1-888-799-9666 ext. 2. You may also contact the Public Advisor’s Office at publicadvisor@energy., or 1-800-822-6228. System Requirements: To determine whether your computer is compatible, visit: you have a disability and require assistance to participate, please Erica Rodriguez by e-mail at Erica.Rodriguez@energy. or (916) 654-4314 at least five days in advance. QuestionsDuring the solicitation process, direct questions to the Commission Agreement Officer listed below:Kevyn Piper Commission Agreement OfficerCalifornia Energy Commission1516 Ninth Street, MS-18Sacramento, California 95814Telephone: (916) 654-4845FAX: (916) 654-4423E-mail: Kevyn.Piper@energy. 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 CEC'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 CEC’s solicitation website: an applicant discovers a conflict, discrepancy, omission, or other error in the solicitation at any time prior to the application deadline, the applicant may notify the CEC in writing and request modification or clarification of the solicitation. The CEC, at its discretion will provide modifications or clarifications by either an addendum to the solicitation or by written notice to all parties who requested the solicitation. At its discretion, the CEC may re-open the question/answer period to provide all applicants the opportunity to seek any further clarification required. Any verbal communication with a CEC 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 RequirementsApplicant RequirementsEligibilityThis solicitation is open to all public and private entities. Demonstration Projects under Group 1 in this solicitation must have at least one demonstration site be located in the service territory of a California natural gas Investor Owned Utility (NG IOU), which includes Pacific Gas and Electric Company, San Diego Gas & Electric Company, and Southern California Gas Company. Projects under Group 1 and 3 must benefit NG IOU ratepayers.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 CEC to conduct the proposed project according to the terms and conditions that correspond to its organization and project group, without negotiation. For Group 1 and Group 3, the PIER grant terms and conditions for (1) University of California and California State University; (2) U.S. Department of Energy; and (3) standard terms and conditions are located at the CEC’s funding resources website: . For Group 2, the Clean Transportation Program terms and conditions are located in Attachment 15. 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 CEC reserves the right to modify the terms and conditions prior to executing grant agreements. California Secretary of State RegistrationAll corporations, limited liability companies (LLCs), limited partnerships (LPs) and limited liability partnerships (LLPs) 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 CEC 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). Subcontractors transacting intrastate business need to be registered with the Secretary of State as applicable. For more information, contact the Secretary of State’s Office via its website at sos.. Sole proprietors using a fictitious business name must be registered with the appropriate county and provide evidence of registration to the CEC prior to their project being recommended for approval at an CEC Business Meeting.California-Based Entities Pursuant to California Public Resources Code Section 25620.5(h), the California Energy Commission’s Natural Gas Program must give priority to “California-Based Entities” (CBEs) when making awards. California Public Resources Code Section 25620.5(i) defines “CBE” as a corporation or other business entity organized for the transaction of business that either: Has its headquarters in California AND manufactures in California the product that is the subject of the award; orHas an office for the transaction of business in California and substantially manufactures the product or substantially performs the research within California that is the subject of the award.Group 1 and Group 3 proposals must meet the following requirements in order to receive CBE preference points:The proposal must include a CBE as either the recipient or a subcontractor. The budget must show that the CBE(s) will receive more than 60.00% of the funds awarded.5. Disadvantaged and Low-income Communities In January of 2019, the California Public Utilities Commission (CPUC) Resolution G-3546 stated, “the Commission directs the CEC to enhance its engagement with disadvantaged communities.” In addition the CPUC directed the Energy Commission to Incorporate an explicit long-term strategy for the role of the Natural Gas Program in the more aggressive statewide decarbonization goals set by Senate Bill 100 (De León, 2018) and Executive Order B-55-18. The California Energy Commission is committed to ensuring all Californians have an opportunity to participate in and benefit from programs and services. While it is not required to complete the project within a disadvantaged community, Group 1 and Group 2 demonstration projects located and benefiting disadvantaged and/or low-income communities will be considered under the scoring criteria for this GFO. Low-income communities and households are defined as the census tracts and households, respectively, that are either at or below 80 percent of the statewide median income, or at or below the threshold designated as low-income by the California Department of Housing and Community Development (HCD). Visit the California Department of Housing & Community Development site for the current HCD State Income Limits at: . Disadvantaged communities are defined as areas representing census tracts scoring in the top 25% in CalEnviroScreen 3.0. For more information on disadvantaged communities and to determine if your project is in a disadvantaged community, use the California Communities Environmental Health Screening tool at: . Project RequirementsApplicants may submit applications to respond to multiple project groups. For example, an applicant may submit an application to Group 1 to build and demonstrate a hydrogen fuel cell locomotive or harbor craft at a California port, with temporary refueling needs met within the funding limits of the group. The applicant may submit an additional application to Group 2 to deploy long-term hydrogen fueling infrastructure at the port that can support the proposed hydrogen fuel cell locomotive or harbor craft in the Group 1 application, as well as on-road vehicles and cargo handling equipment.Project FocusGroup 1: Fuel Cell Demonstrations in Switcher Locomotives and Commercial Harbor CraftProjects funded under Group 1 must develop and demonstrate a hydrogen fuel cell-powered switcher locomotive or commercial harbor craft at a California port. Projects may repower or convert an existing locomotive or harbor craft by replacing the internal combustion engine(s) with hydrogen fuel cell systems or design and demonstrate a new build. Projects must focus on making engineering and technology integration advancements to overcome the barriers of using hydrogen fuel cells in a rail or maritime environment while demonstrating the potential value proposition, including emission reductions, cost reductions, and connections between increased hydrogen demand with other energy sector benefits. Project data, key findings, and lessons learned should be used to analyze technology scalability to support other applications, such as ocean-going vessels, line haul freight locomotives, and passenger trains. The technology readiness level (TRL) of the hydrogen fuel cell-powered switcher locomotive or harbor craft should be moved from current level to 6 or 7 by the end of the project.For the purposes of eligibility under Group 1, a switcher locomotive is defined as a self-propelled on-track vehicle used to push or pull trains, assemble and disassemble trains, sort rail cars, and deliver empty rail cars to terminals.For the purposes of eligibility under Group 1, a commercial harbor craft is defined as any private, commercial, or government vessel that falls under the following vessel categories: ferry, pilot vessels, tugboats, barges, dredges, crew and supply, tugboats on articulated tug barges, tank barges, research vessels, work boats, charter fishing, and excursion. Projects must demonstrate the locomotive or commercial harbor craft for no less than 6 months in a relevant field environment. Demonstration periods of more than 6 months in duration will be more desirable. At least one demonstration sites must be located at a California port and in a NG IOU service territory (Pacific Gas and Electric Company, San Diego Gas & Electric Company, and Southern California Gas Company). Mobile hydrogen refueling stations that support the proposed demonstration locomotive or harbor craft for the duration of the demonstration period are eligible under Group 1. Mobile hydrogen refueling stations are defined as stations that move and provide a temporary refueling source and refueling capacity, on demand, and that do not operate at a permanent physical address. Applicants seeking to propose long-term hydrogen fueling infrastructure that can support additional transportation end-uses are encouraged to apply to Group 2.Group 1 applications must discuss and address the following requirements in the Project Narrative (Attachment 3a) and Scope of Work (Attachment 5):Provide detailed specifications of the proposed demonstration locomotive or harbor craft. Compare specifications with a baseline diesel locomotive or harbor craft, which may include an existing locomotive or harbor craft used to perform similar work at the demonstration site.For harbor craft demonstrations, describe the following at a minimum: vessel type, length, beam, dead weight, maximum draft, maximum and service speeds, onboard hydrogen storage, operating routes and range, propulsion system power, auxiliary system power, towing power (if applicable), and refueling specifications.For locomotive demonstrations, describe the following at a minimum: locomotive weight, tractive effort, maximum speed, horsepower, onboard hydrogen storage, and refueling specifications. Describe how the demonstration locomotive or harbor craft will be refueled over the demonstration period.Describe any proposed engineering advancements or innovative integration strategies to cost-competitively enhance the performance and capabilities of rail and marine-related hydrogen fuel cell systems and components.Clearly indicate what steps must be taken to obtain the necessary permits, waivers, and approvals to legally and safely conduct the proposed demonstration.Describe plans for any continued operation or repurposing of the demonstration locomotive, harbor craft, and/or fueling infrastructure following the completion of the demonstration project. Describe the test plan for collecting the following data, at a minimum, during the 6+ month demonstration period. Projects must analyze this data and make comparisons against conventional technologies where applicable.Operations data such as daily usage rates, GPS data, duty cycle and load analysis, and qualitative descriptions of typical vehicle usage.Performance data such as productivity metrics (e.g. tons of cargo moved, number of moves or jobs completed, or number of passengers moved), acceleration, ramp speed, and peak conditions.Fuel cell system usage data such as operational hours, power output, and degradation over the length of the project. Fuel consumption and efficiency data, including fuel consumption per work completed or distance driven, and fuel consumption while idling (if applicable).Fueling infrastructure-related data such as distance traveled to refuel, refueling frequency, refueling mass, and refueling time.Maintenance data such as anticipated and actual frequency of maintenance, repair documentation, and time out of service.Safety data including but not limited to accident or incident descriptions and documentation of any direct or near-misses related to the demonstration locomotive or harbor craft or infrastructure.Cost data such as detailed capital, operating, and maintenance costs for both the demonstration locomotive or harbor craft and fueling infrastructure, including breakdowns into parts, fuel, and labor costs.User experience data such as qualitative feedback regarding uptime, ability to meet operational needs, operating and maintenance challenges, perceived safety, refueling experience, or any barriers to adoption.Group 2: Shared Hydrogen Fueling Infrastructure Projects funded under Group 2 must deploy long-term hydrogen fueling infrastructure to support on-road vehicles at a California port, and also support a hydrogen fuel cell-powered locomotive or harbor craft to reduce emissions from multiple mobile sources. Supporting off-road cargo handling equipment may be included as an additional option.Group 2 project awards will be contingent on the availability of a hydrogen fuel cell-powered locomotive or harbor craft to use the proposed fueling infrastructure. Due to the pre-commercial status of hydrogen fuel cell-powered locomotive or harbor craft, Group 2 projects can involve deploying fueling infrastructure to support a hydrogen fuel cell-powered locomotive or harbor craft proposed under Group 1 or another funding opportunity. Should the Recipient lose the availability of a hydrogen fuel cell-powered locomotive or harbor craft to use the proposed fueling infrastructure, without limitation to any other rights, the CEC reserves the right to cancel the Recipient’s agreement funded by this solicitation.Ports operating as high throughput clusters for low cost and low carbon hydrogen can achieve scaled demand across a variety of end-uses. Projects must demonstrate the economic and environmental benefits of using shared hydrogen refueling infrastructure to leverage demand for hydrogen across multiple mobile applications. Projects may include renewable hydrogen production to supply the hydrogen that will be dispensed at the proposed refueling site. Projects may also leverage or expand existing hydrogen refueling infrastructure. Hydrogen dispensed at the proposed hydrogen refueling station must meet the requirements adopted by the Department of Food and Agriculture Division of Measurement Standards, and found in Title 4, Division 9, Chapter 6, Article 8 of the California Code of Regulations, Automotive Products Specifications. This regulation adopts by reference the Society of Automotive Engineers International J2719: “Hydrogen Fuel Quality for Fuel Cell Vehicles,” most recent version. The proposed hydrogen refueling station must undergo and pass a hydrogen purity test under all of the following circumstances: before the station is operational, every 6 months thereafter, and when the hydrogen lines are potentially exposed to contamination due to maintenance or other activity. Once the hydrogen refueling station is operational, the Recipient is responsible for ensuring that data is collected and reported to the CEC on a quarterly basis over a minimum of 1 year regarding hydrogen production, delivery, and dispensing. Data collection will include but is not limited to the quantity of fuel produced and dispensed, energy used for hydrogen production, storage, cooling, compression, and dispensing, estimated cost to produce fuel, fueling times, station down time, servicing and maintenance information, safety incidents, and driver/operator feedback on refueling. All data will be recorded using the National Renewable Energy Laboratory’s (NREL) Data Collection Tool, or another format as specified by the CEC.Group 2 applications must discuss and address the following requirements in the Project Narrative (Attachment 3a) and Scope of Work (Attachment 5):Describe what vehicles and equipment will be allowed to access the hydrogen refueling station and what steps will be taken to ensure safe refueling across multiple vehicle types.Provide detailed specifications of the hydrogen fuel cell-powered locomotive or harbor craft that will be supported by the proposed hydrogen refueling infrastructure. For harbor craft, describe the following at a minimum: vessel type, length, beam, dead weight, maximum draft, maximum and service speeds, onboard hydrogen storage, operating routes and range, propulsion system power, auxiliary system power, towing power (if applicable), and refueling specifications.For locomotives, describe the following at a minimum: locomotive weight, tractive effort, maximum speed, horsepower, onboard hydrogen storage, and refueling specifications. Describe how the infrastructure will be designed and engineered to meet the refueling needs of the hydrogen fuel cell-powered locomotive or harbor craft, on-road vehicles, or off-road cargo handling equipment in terms of refueling rate, pressure, vehicle storage vessel capacities, and hydrogen quality. Include information showing how capacity can be adjusted to handle additional future demand. Describe hydrogen refueling infrastructure specifications including siting plans, fueling protocols, and equipment that will be used to support the distribution, storage, compression, and fuel dispensing. Explain how the project will inform infrastructure standardization efforts to enable replicability. If the project includes renewable hydrogen production to supply the fueling station, identify the feedstock type, production technology, production capacity, and how the fuel will be transported, stored, and ultimately dispensed at the proposed refueling site. Describe what efforts will be made to ensure compliance with local fire codes and NFPA 2 requirements and ongoing safety training throughout the life of the station.For proposed stations that will be serviced by a utility, describe plans to arrange the utility connection.Describe plans to arrange the supply chain and delivery of hydrogen with a hydrogen fuel supplier as a primary or back-up source. Provide adequate documentation, such as an executed lease, of site control and possession for the land on which the station will be constructed. Explain how the station will dispense renewable hydrogen to comply with the requirements specified in the CARB LCFS regulation, of CCR Title 17, Division 3, Chapter 1, Subchapter 10, Article 4, Subarticle 7, Sections: §95481(a)(124) “Definitions - Renewable Hydrogen;” and §95486.2(a)(4)(F) “Hydrogen Refueling Infrastructure (HRI) Pathways – Requirements to Generate HRI Credits.” Group 3: Design and Feasibility of Fuel Cell-Powered Commercial Harbor CraftProjects funded under Group 3 will conduct feasibility studies and detailed vessel designs for hydrogen fuel cell-powered commercial harbor craft. Due to the highly variable nature of the marine sector, individual harbor craft may require unique designs depending on their use case. Commercial harbor craft may need to consider specific structural changes when replacing internal combustion engine(s) and associated systems with hydrogen storage and fuel cell systems. These changes may be driven by new stability characteristics from redistributing weight, safety requirements for locating onboard hydrogen, and volume limitations on the vessel. Projects will focus on developing fuel cell-powered commercial harbor craft designs and assess their feasibility for future demonstration and deployment in California. Projects should evaluate opportunities to take advantage of fuel cell modularity to reduce electricity transport losses and improve resiliency. Projects should aim to complete actionable fuel cell-powered harbor craft design(s) that would be ready for construction and deployment with additional funding.Projects under Group 3 must discuss and address the following requirements in the Project Narrative (Attachment 3b) and Scope of Work (Attachment 5):Develop a baseline that is representative of the current commercial harbor craft market in California. The baseline should include detailed specifications such as engine model, vessel characteristics, typical routes and duty cycles, fuel consumption, capital costs, and operating and maintenance costs. Evaluate hydrogen fuel cell system technology and integration options as a zero-emission alternative to the baseline. Analyze the technical feasibility of using hydrogen fuel cells to meet the power, range, endurance, and reliability demands of the baseline. Repowers or newbuilds may be considered as deployment pathways.Develop actionable fuel cell-powered harbor craft design(s) that would be ready for construction and deployment with additional funding. Size the fuel cell system, balance of plant, and onboard storage systems to meet the performance needs of the baseline. Consider safety requirements mandated by industry codes and standards and appropriate regulations, and other unique design requirements for the vessel.Analyze economic feasibility by evaluating costs of constructing, operating, and maintaining the fuel cell-powered harbor craft compared to the baseline.Conduct a detailed cost-benefit analysis to compare the life cycle effectiveness of hydrogen fuel cells at reducing GHG and air pollutant emissions with other advanced emission reduction technologies and fuels that may include, but is not limited to U.S. Environmental Protection Agency Tier 4 marine diesel engines, liquefied natural gas, hybridization, battery electric, hydrogen carriers, and high temperature fuel cells. Identify technology and regulatory barriers related to hydrogen fuel cell systems. Determine potential strategies, such as future research and development, to overcome these barriers.Gather input and share findings with a variety of stakeholders including but not limited to regulatory agencies, port authorities, classification societies, hydrogen safety experts, and fleets.Potential research can include, but is not limited to:Develop a detailed engineering design of a newbuild zero-emission, hydrogen fuel cell-powered harbor craft for a specific use case. Develop technical specifications including engineering drawings, supporting plans for refueling infrastructure, and an economic analysis with the goal of informing future deployment with additional funding. Compare the design against a representative diesel baseline and other future alternatives. Assess the technical, regulatory, and economic feasibility of repowering a variety of existing harbor craft types with hydrogen fuel cells. Evaluate the limitations and barriers to repowering several existing harbor craft with hydrogen fuel cells and identify opportunities to mitigate them. Estimate the costs and environmental benefits of repowering existing harbor craft with hydrogen fuel cells. Hydrogen Safety Plan and Design Review (For Group 1 and Group 2 Only)Each applicant for Group 1 and Group 2 shall commit to developing (a) Hydrogen Safety Plan(s) for the proposed demonstration project that addresses the design of the demonstration locomotive or harbor craft, and supporting hydrogen fueling infrastructure. Each applicant shall also commit to participate in an early design review by the Pacific Northwest National Laboratory’s or Center for Hydrogen Safety’s Hydrogen Safety Panel (HSP) and work with the HSP on any safety related incidents. Applicants are recommended to meet with a representative of the HSP prior to submitting their application to establish a common understanding of the Hydrogen Safety Plan and design review requirements.Hydrogen Safety PlanAfter an award, each Recipient’s agreement will require a Hydrogen Safety Plan to demonstrate that hydrogen safety has been adequately incorporated into project planning and execution. The Recipient must prepare (a) preliminary Hydrogen Safety Plan(s) and submit it to the HSP to review. If the Recipient wishes the plan to be kept confidential by the HSP, it is up to the Recipient to work with the HSP to achieve that. The Recipient must share a non-confidential copy of the Hydrogen Safety Plan with the CEC. The HSP will assess the preliminary Hydrogen Safety Plan(s) for adherence to the most recent version of public guidelines titled Safety Planning for Hydrogen and Fuel Cell Projects. The safety plan shall describe the Recipient’s work and activities to ensure safety, the unique technologies being demonstrated, and the evaluation results of any hazard analysis performed. The Recipient shall also include the following in the Hydrogen Safety Plan:A detailed description about how the Recipient will adhere to the most recent public guidelines throughout the life of the demonstration locomotive/harbor craft (for Group 1), and shared hydrogen fueling infrastructure (for Group 2). Should the Recipient’s adherence with the public guidelines or its Hydrogen Safety Plan lapse, without limitation to any other rights, the CEC reserves the right to cancel the Recipient’s agreement funded by this solicitation.A detailed description about how the Recipient will conform to the NFPA 2, Hydrogen Technologies Code 2020 edition. The current edition of NFPA 2 should be used unless another edition is specifically required by the authority having jurisdiction (AHJ) where the facilities and equipment will be located. If the AHJ is using an older edition, the Recipient is recommended to work with the AHJ to consider using the latest edition as it has been updated to better address fueling infrastructure safety. Should the Recipient’s compliance lapse, the CEC reserves the right to cancel the Recipient’s agreement funded by this solicitation.A detailed description about how the Recipient will provide safety training for the demonstration locomotive/harbor craft (for Group 1) and shared hydrogen fueling infrastructure’s (for Group 2) initial operation and safety training for all operators to conduct the demonstration. Should the training lapse, without limitation to any other rights, the CEC reserves the right to cancel the Recipient’s agreement funded by this solicitation. The HSP will forward their non-confidential assessment of the preliminary Hydrogen Safety Plan to the CEC and the Recipient. The Recipient shall prepare a final Hydrogen Safety Plan following the HSP assessment. As with the preliminary Hydrogen Safety Plan, it is up to the Recipient to work directly with the HSP to submit the Recipient’s final Hydrogen Safety Plan to the HSP. If the Recipient wishes the plan to be kept confidential by the HSP, it is up to the Recipient to work with the HSP to achieve that. Should the Recipient opt to not accept comments from the HSP assessment, the Recipient shall provide an explanation of their rationale to the CEC. These activities shall be completed by the dates specified in the Project Schedule (Attachment 6).Hydrogen Safety Design ReviewAfter an award, the Recipient shall commit to participate with the HSP in early design reviews for the demonstration locomotive/harbor craft and supporting hydrogen fueling infrastructure, before submitting the design plans to the AHJ and other relevant regulatory organizations, such as the Federal Railroad Administration and U.S. Coast Guard. The Recipient shall work with the HSP to determine the timing and scope of their design review participation, including options for remote or in-person reviews.Participating in HSP design reviews will be a mandatory technical task and shall be completed by the dates specified in the Project Schedule (Attachment 6). Should the Recipient cease participating in design reviews, without limitation to any other rights, the CEC reserves the right to cancel any agreement funded by this solicitation. Reporting Safety IncidentsHydrogen refueling stations funded by this solicitation shall conform to the California Health and Safety Code Section 25510(a). The Recipient shall submit report(s) of any unintended hydrogen releases to the Certified Unified Program Agency (CUPA) and the CEC. The Recipient shall also report safety incidents using the NREL Data Collection Tool.The Recipient shall include the HSP in any fact-finding or investigation of any safety incident. Should the Recipient not follow the requirements for reporting safety incidents, without limitation to any other rights, the CEC reserves the right to cancel any agreement funded by this solicitation.III.Application Organization and Submission InstructionsApplication Format, Page Limits, and Number of Copies The following table summarizes the application formatting and page limit recommendations:FormatFont: 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 paragraphPages: 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)File Format: MS Word version 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 USB memory stick when submitting via hard copyPage Limit RecommendationsExecutive Summary (Attachment 2): two pages Project Narrative Form (Attachment 3a or Attachment 3b): twenty pages excluding documentation for CEQAProject Team Form (Attachment 4): two pages for each resumeScope of Work Template (Attachment 5): thirty pagesProject Schedule (Attachment 6): four pagesReference and Work Product Form (Attachment 9): one page for each reference, two pages for each project descriptionCommitment and Support Letter Form (Attachment 11): two pages, excluding the cover pageThere are no page limits for the following:Application Form (Attachment 1) Budget Forms (Attachment 7)CEQA Compliance Form (Attachment 8)Localized Health Impacts Information Form (Attachment 14)Number of Copies of the ApplicationFor Hard Copy Submittal Only:One hard copy (with signatures) One electronic copy (on a USB memory stick)Preferred Method For DeliveryThe preferred method of delivery for this solicitation is the Energy Commission Grant Solicitation System, available at: online tool allows applicants to submit their electronic documents to the CEC prior to the date and time specified in this solicitation.?Electronic files must be in Microsoft Word (.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 all required documents have been successfully uploaded. A tutorial of the system will be provided at the pre-application workshops and you may contact the Commission Agreement Officer identified in the Questions section of the solicitation for more assistance.Hard Copy DeliveryAn applicant may also deliver a hard copy of an application by: Although not preferred, and due to the CEC building being closed due to the pandemic, a hard copy of an application will only be accepted by:U.S. MailIn PersonCourier ServiceApplications submitted in hard copy must be delivered to the CEC Contracts, Grants and Loans Office according to the schedule in Section I.G. If applications are delivered prior to the due date shown on this schedule, then they can be delivered during normal business hours (8 am – 5 pm) and prior to the date and time specified in this solicitation. Applications received after the specified date and time shown in Section I.G. are considered late and will not be accepted. There are no exceptions to this. Postmark dates of mailing, E-mail and facsimile (FAX) transmissions are not acceptable in whole or in part, under any circumstances. There is no need to submit a hard copy of an application that is submitted through the Grant Solicitation System as it will only cause confusion.Number of CopiesApplicants submitting a hard copy application are only required to submit one paper copy.?Applicants must also submit electronic files of the application on USB memory stick along with the paper submittal. Electronic files submitted via e-mail will not be accepted.Packaging and LabelingAll hard copy applications must be labeled "Grant Funding Opportunity GFO-20-604," and include the title of the application.Include the following label information on the mailing envelope:Applicant’s Project Manager Applicant’s NameStreet AddressCity, State, and Zip CodeGFO-20-604Contracts, Grants, and Loans Office, MS-18California Energy Commission1516 Ninth Street, 1st FloorSacramento, California 95814Application Organization and ContentFor all hard copy submittals, submit attachments in numerical order.Label the proposal application cover “Grant Funding Opportunity GFO-20-604” and include: (a) the title of the application; and (b) the applicant’s name.Separate each section of the application by Attachment number and section title indicated below.Below is a description of each required section of the application. Completeness in submitting the required information requested in each attachment will be factored into the scoring: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. The CEC may have waived the requirement for a signature on application materials for this solicitation. If a notice regarding CEC’s waiver of the signature requirement appears here: , the waiver applies to this solicitation. In the event of a conflict between the notice and any language in this solicitation regarding signatures, the notice will govern.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. Project Narrative Form (Attachment 3a or Attachment 3b) This form will include the majority of the applicant’s responses to the Scoring Criteria in Section IV.Group Specific Questions For Group 1 or Group 2 applications, use Attachment 3a.For Group 3 applications, use Attachment 3b.Include required group specific information (see Section II.B) in the specified sections. Project Readiness Include information about the permitting required for the project and whether or not the permitting has been completed. If complete, provide appropriate documentation. If local jurisdiction CEQA review and project approval is not complete, applications must include information documenting progress towards and a schedule for achieving compliance under CEQA within the timeframes specified in this solicitation (see Section I.D). All supporting documentation must be included in Attachment 8.Project Team Form (Attachment 4)Identify by name all key personnel 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).Scope of Work Template (Attachment 5)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. See requirements in Section III.A.Electronic files for the Scope of Work must be in MS Word file format. Project Schedule (Attachment 6)The Project Schedule includes a list of all product, meetings, and due dates. All work must be scheduled for completion by the “Key Dates” section of this solicitation manual.Electronic files for the Project schedule must be in MS Excel file format.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. For Group 1 and Group 3 projects, all project expenditures (match share and reimbursable) must be made within the approved agreement term. For Group 2 projects, match share expenditures may be incurred after the CEC notifies the Applicant that its project is proposed for an award through the release of a NOPA; all reimbursable expenditures 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. The budget must reflect estimates for actual costs to be incurred during the agreement term. The CEC 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. 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. 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.The budget must allow for the expenses of all meetings and products described in the Scope of Work. Meetings may be conducted at the CEC or by conference call, as determined by the Commission Agreement Manager.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). The budget must NOT identify that CEC 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.All applicants should go to the Attorney General’s website for a current list of states subject to travel restrictions. Grants awarded under this solicitation shall not contain travel paid for with CEC funds (applicants can instead use match funds) to the listed states unless the CEC approves in writing that the trip falls within one of the exceptions under the law.Prevailing wage requirement: Projects that receive an award of public funds from the CEC 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 CEC 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: prevailing wages are paid; andthe project budget for labor reflects these prevailing wage requirements; and 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.California Environmental Quality Act (CEQA) Compliance Form (Attachment 8)The CEC 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 CEC’s Notice of Proposed Award may result in the cancellation of a proposed award and allocation of funding to the next highest-scoring project.Reference and Work Product Form (Attachment 9)Section 1: Provide applicant and subcontractor references as instructed. 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.Contact List Template (Attachment 10)The list identifies the names and contact information of the project manager, administrator, accounting officer, and recipient of legal mitment 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. Commitment LettersApplicants must submit a match funding commitment letter signed by each representative of the entity or individual that is committing to providing match funding. The letter must: (1) identify the source(s) of the funds; and (2) guarantee the availability of the funds for the project.If the project involves demonstration or deployment activities, the applicant must include a site commitment letter signed by an authorized representative of the proposed demonstration or deployment site. The letter must: (1) identify the location of the site (street address, parcel number, tract map, plot map, etc.) which must be consistent with Attachments 1 and 8. and (2) commit to providing the site for the proposed activities. Project partners that are making contributions other than match funding or a demonstration or deployment site, and are not receiving CEC funds, must submit a commitment letter signed by an authorized representative that: (1) identifies how the partner will contribute to the project; and (2) commits to making the contribution. The CEC may have waived the requirement for a signature on application materials for this solicitation. If a notice regarding CEC’s waiver of the signature requirement appears here: , the waiver applies to this solicitation. In the event of a conflict between the notice and any language in this solicitation regarding signatures, the notice will govern.Support LettersAll 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 demonstration or deployment site.Applicant Declaration (Attachment 12)This form requests the applicant declare that they: are not delinquent on taxes nor suspended by the California Franchise Tax Board; are not being sued by any public agency or entity; are in compliance with the terms of all settlement agreements, if any, entered into with the Energy Commission or another public agency or entity; are in compliance with all judgments, if any, issued against the Applicant in any matter to which the Energy Commission or another public agency or entity is a party; are complying with any demand letter made on the Applicant by the Energy Commission or another public agency or entity; and are not in active litigation with the Energy Commission regarding the Applicant’s actions under a current or past contract, grant, or loan with the Energy Commission. The declaration must be signed under penalty of perjury by an authorized representative of the applicant’s organization.The CEC may have waived the requirement for a signature on application materials for this solicitation. If a notice regarding CEC’s waiver of the signature requirement appears here: , the waiver applies to this solicitation. In the event of a conflict between the notice and any language in this solicitation regarding signatures, the notice will govern.California-Based Entities Form (Attachment 13) (Group 1 and 3 only)Group 1 and 3 applicants must identify any California-based entities as instructed in the form. California-based entities are entitled to a scoring preference as described in Part II of this solicitation.Localized Health Impacts Information Form (Attachment 14) (Group 2 only)Group 2 applicants must complete and submit a Localized Health Impacts Information Form (Attachment 14). The CEC requires this information in developing and publishing a localized health impact report.Clean Transportation Program Terms and Conditions (Attachment 15) (Group 2 only)Group 2 applicants must carefully read the Clean Transportation Program Terms and Conditions. Refer to Section II.A.2. for more information on terms and conditions for grant agreements resulting from this solicitation.IV.Evaluation and Award Process Application EvaluationApplications will be evaluated and scored based on responses to the information requested in this solicitation and on any other information available, such as on past performance of CEC agreements. To evaluate applications, the CEC will organize an Evaluation Committee that consists primarily of CEC staff. The Evaluation Committee may use technical expert reviewers to provide an analysis of applications. Applications will be evaluated in two stages: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. 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 criteria 1-7 to be eligible for funding. In addition, the application must receive a minimum score of 52.50 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.Ranking, Notice of Proposed Award, and Agreement DevelopmentRanking and Notice of Proposed AwardApplications that receive at least the minimum score for all criteria will be ranked according to their score. CEC staff 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 CEC 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 CEC at a business meeting.Debriefings: Unsuccessful applicants may request a debriefing after the release of theNOPA by contacting the Commission Agreement Officer listed in Part I. A request for debriefing must be received no later than 30 calendar days after the NOPA is released.In addition to any of its other rights, the CEC reserves the right to:Allocate any additional funds to passing applications, in rank order; andNegotiate with successful applicants to modify the project scope, schedule, project team entity that will receive the award, location and/or level of funding. AgreementsApplications recommended for funding will be developed into a grant agreement to be considered at an CEC Business Meeting. Recipients may begin the project only after full execution of the grant agreement (i.e., approval at an CEC Business Meeting and signature by the Recipient and the CEC).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 CEC 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 CEC is unable to successfully execute an agreement with an applicant in a timely manner, it reserves the right to cancel the pending award and use the funds elsewhere, such as to fund the next highest-ranked, eligible application.Agreement Amendment: The executed agreement may be amended by mutual consent of the CEC and the Recipient. The agreement may require an amendment as a result of project review, changes in project scope, and/or availability of funding.Grounds to Reject an Application or Cancel an AwardApplications that do not pass the screening stage will be rejected. In addition, the CEC reserves the right to reject an application and/or to cancel an award in and 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 CEC 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 CEC 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 CEC to meet its encumbrance deadline, as the CEC in its sole and absolute discretion may determine.The applicant has included a statement or otherwise indicated that it will not accept the terms and conditions, or that acceptance is based on modifications to the terms and conditions.The application contains confidential information or identifies any portion of the application as confidential.MiscellaneousSolicitation Cancellation and AmendmentIt is the policy of the CEC 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, CEC 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/orReject any or all applications received in response to this solicitation.If the solicitation is amended, the CEC will send an addendum to all entities that requested the solicitation, and will also post it on the CEC’s solicitation website at: . The CEC will not reimburse applicants for application development expenses under any circumstances, including cancellation of the solicitation.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.”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 CEC posts the NOPA or the solicitation is cancelled. The CEC will not accept or retain applications that identify any portion as confidential. Solicitation ErrorsIf an applicant discovers any ambiguity, conflict, discrepancy, omission, or other error in the solicitation, the applicant should immediately notify the CEC of the error in writing and request modification or clarification of the solicitation. The CEC will provide modifications or clarifications by written notice to all entities that requested the solicitation. The CEC will not be responsible for failure to correct errors.Immaterial DefectThe CEC may waive any immaterial defect or deviation contained in an application. The CEC’s waiver will not modify the application or excuse the successful applicant from full compliance with solicitation requirements.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.Stage One: Application ScreeningScreening Criteria The Application must pass ALL criteria to progress to Stage Two.Pass/FailThe application is received by the CEC’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). FORMCHECKBOX Pass FORMCHECKBOX FailThe Application Form (Attachment 1) is signed where indicated. FORMCHECKBOX Pass FORMCHECKBOX FailThe application addresses only one of the eligible project groups, as indicated on the Application Form. FORMCHECKBOX Pass FORMCHECKBOX FailThe Applicant Declaration Form (Attachment 12) is signed where indicated. FORMCHECKBOX Pass FORMCHECKBOX FailIf the applicant has submitted more than one application for the same project group, each application is for a distinct project (i.e., no overlap with respect to the tasks described in the Scope of Work). If the projects are not distinct and the applications were submitted at the same time, only the first application screened by the CEC will be eligible for funding. If the applications were submitted separately, only the first application received by the CEC will be eligible for funding. FORMCHECKBOX Pass FORMCHECKBOX FailFor Group 1 and 2: The Application includes Commitment Letters that total the minimum of 20% in match share of the total requested CEC funds. FORMCHECKBOX Pass FORMCHECKBOX FailFor Group 1 and 2: The Application identifies one or more demonstration/ deployment site locations and includes a site commitment letter (Section III.D.11) for each demonstration/ deployment site. FORMCHECKBOX Pass FORMCHECKBOX FailThe CEC may have waived the requirement for a signature on application materials for this solicitation. If a notice regarding CEC’s waiver of the signature requirement appears here: , the waiver applies to this solicitation. In the event of a conflict between the notice and any language in this solicitation regarding signatures, the notice will govern.Stage Two: Application ScoringProposals that pass ALL Stage One Screening Criteria and are not rejected as described in Section IV.C. will be evaluated based on the Scoring Criteria on the next page and the Scoring Scale below (with the exception of criteria 6?9, 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 3a or Attachment 3b) must respond to each sub-criterion, unless otherwise indicated. Scoring Scale% of Possible PointsInterpretationExplanation for Percentage Points 0%Not ResponsiveResponse does not include or fails to address the requirements being scored. The omission(s), flaw(s), or defect(s) are significant and unacceptable.10-30%Minimally ResponsiveResponse minimally addresses the requirements being scored. The omission(s), flaw(s), or defect(s) are significant and unacceptable.40-60%InadequateResponse addresses the requirements being scored, but there are one or more omissions, flaws, or defects or the requirements are addressed in such a limited way that it results in a low degree of confidence in the proposed solution.70%AdequateResponse adequately addresses the requirements being scored. Any omission(s), flaw(s), or defect(s) are inconsequential and acceptable.75%Between Adequate and GoodResponse better than adequately addresses the requirements being scored. Any omission(s), flaw(s), or defect(s) are inconsequential and acceptable.80%GoodResponse fully addresses the requirements being scored with a good degree of confidence in the applicant’s response or proposed solution. No identified omission(s), flaw(s), or defect(s). Any identified weaknesses are minimal, inconsequential, and acceptable.85%Between Good and ExcellentResponse fully addresses the requirements being scored with a better than good degree of confidence in the applicant’s response or proposed solution. No identified omission(s), flaw(s), or defect(s). Any identified weaknesses are minimal, inconsequential, and acceptable.90%ExcellentResponse fully addresses the requirements being scored with a high degree of confidence in the applicant’s response or proposed solution. Applicant offers one or more enhancing features, methods or approaches exceeding basic expectations.95%Between Excellent and ExceptionalResponse fully addresses the requirements being scored with a better than excellent degree of confidence in the applicant’s response or proposed solution. Applicant offers one or more enhancing features, methods or approaches exceeding basic expectations.100%ExceptionalAll requirements are addressed with the highest degree of confidence in the applicant’s response or proposed solution. The response exceeds the requirements in providing multiple enhancing features, a creative approach, or an exceptional solution.Additional screening criteria for past performanceScreening CriteriaApplicant Past Performance with CECThe applicant—defined as at least one of the following: the business, principal investigator, or lead individual acting on behalf of themselves—received funds from the CEC (e.g., contract, grant, or loan) and entered into an agreement(s) with the CEC and demonstrated severe performance issues characterized by significant negative outcomes including:Significant deviation from agreement requirements;Termination with cause;Demonstrated poor communication, project management, and/or inability, due to circumstances within its control, from?materially completing the project;Quality issues with deliverables including poorly written final report that prevents publishing;Severe unresolved negative audit findings.Must pass to continue with Scoring CriteriaPass/FailScoring CRITERIAGroup 1: Fuel Cell Demonstrations in Switcher Locomotives and Commercial Harbor Craft; andGroup 2: Shared Hydrogen Fueling InfrastructureThe Project Narrative (Attachment 3a) must respond to each criterion below. The responses must directly relate to the solicitation requirements and focus as stated in the solicitation. Scoring CriteriaMaximum PointsTechnical Merit The proposed project provides a clear and concise description of the technological, scientific knowledge advancement, and/or innovation that will overcome barriers to achieving the State’s statutory energy goals.Describes the competitive advantages of the proposed technology over state-of-the-art (e.g., efficiency, emissions, durability, cost).Provides the proposed technical specifications and describes how the project will meet or exceed the technical specifications by the end of the project.Describes the technology readiness level (TRL) the proposed technology has achieved and the expected TRL by the end of the project.Describes at what scale the technology has been successfully demonstrated, including size or capacity, number of previous installations, location and duration, results, etc.Describes how the proposed demonstration will lead to increased adoption of the technology in California.Describes how the project will meet the requirements described in Section II.B.15Technical Approach Proposal describes the technique, approach, and methods to be used in performing the work described in the Scope of Work. The Scope of Work identifies goals, objectives, and deliverables, details the work to be performed, and aligns with the information presented in Project Narrative.Proposal identifies the reliability that the project and site recommendations as described will be carried out if funds are awarded.Identifies and discusses factors critical for success, in addition to risks, barriers, and limitations (e.g. loss of demonstration site, key subcontractor). Provides a plan to address them. Discusses the degree to which the proposed work is technically feasible and achievable within the proposed Project Schedule and the key activities schedule in Section I.G.Describes the technology transfer plan to assess and advance the commercial viability of the technology.Provides a clear and plausible measurement and verification plan that describes how energy savings and other benefits specified in the application will be determined and measured.Provides information documenting progress towards achieving compliance with the California Environmental Quality Act (CEQA) by addressing the areas in Section I.D, and Section III.D.4, and Section III.D.8.Describes how the project will meet the requirements described in Section II.B. 25Impacts and Benefits for California Explains how the proposed project will benefit California citizens and California Investor-Owned Utility (IOU) ratepayers and provides clear, plausible, and justifiable (quantitative preferred) potential benefits. Estimates the energy benefits including increased hydrogen fuel demand, diesel fuel reduction, cost reductions, greenhouse gas emission reductions, air pollutant emission reductions (e.g., NOx, DPM), and/or increased safety.States the timeframe, assumptions with sources, and calculations for the estimated benefits, and explains their reasonableness. Include baseline or “business as usual” over timeframe. Explains the path-to-market strategy including near-term (i.e. initial target markets), mid-term, and long-term markets for the technology, size and penetration or deployment rates, and underlying assumptions.Identifies the expected financial performance (e.g., payback period, ROI) of the demonstration at scale. Identifies the specific programs which the technology intends to leverage and extent to which the technology meets program requirements. 20Team Qualifications, Capabilities, and ResourcesEvaluations of ongoing or previous projects will be used in scoring for this criterion.Identifies credentials of prime and any subcontractor key personnel, including the project manager, principal investigator, and technology and knowledge transfer lead (include this information in the Project Team Form).Demonstrates that the project team including any Community Based Organization has appropriate qualifications, experience, financial stability and capability to complete the project.Explains the team structure and how various tasks will be managed and coordinated.Describes the facilities, infrastructure, and resources available that directly support the project.Describes the team’s history of successfully completing projects in the past 10 years including subsequent deployments and commercialization.15Total Possible Points for criteria 1? 4(Minimum Passing Score for criteria 1? 4 is 70% or 52.50)75Budget and Cost-EffectivenessBudget forms are complete for the applicant and all subcontractors, as described in the Budget instructions.Justifies the reasonableness of the requested funds relative to the project goals, objectives, and tasks.Justifies the reasonableness of direct costs (e.g., labor, fringe benefits, equipment, materials & misc. travel, and subcontractors).Justifies the reasonableness of indirect costs (e.g., overhead, facility charges (e.g., rent, utilities), burdens, subcontractor profit, and other like costs). Quantifies through complete and clear calculations and explanations and assumptions how and how much the proposed project will cost-effectively reduce GHG emissions, in terms of dollars of CEC funding requested divided by the amount of carbon dioxide equivalent emissions reduced annually.10CEC Funds Spent in CaliforniaProjects that spend CEC funds in California will receive points as indicated in the table below. “Spent in California” means that: (1) Funds under the “Direct Labor” category and all categories calculated based on direct labor (Prime and Subcontractor Labor Rates) are paid to individuals who pay California state income taxes on wages received for work performed under the agreement; and/or (2) Business transactions (e.g., material and equipment purchases, leases, rentals, and contractual work) are entered into with a business located in California. Airline ticket purchases for out-of-state travel and payments made to out-of-state workers are not considered funds “spent in California.” However, funds spent by out-of-state workers in California (e.g., hotel and food) and airline travel originating and ending in California are considered funds “spent in California.”Percentage of CEC funds spent in CA(derived from budget Attachment 7)Percentage of Possible Points>60% 20%>65% 30%>70%40%>75% 50%>80%60%>85% 70%>90%80%>95% 90%>98%100% 10Ratio of Direct Labor to Indirect CostsThe score for this criterion will be calculated by the following formula:Total Direct LaborTotal Direct Labor + Total Fringe + Total Indirect + Total ProfitThis ratio will then be multiplied by the maximum possible points for this criterion and rounded to two decimal places.NOTE: For the purposes of this criteria, the CEC 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.5Total Possible Points(Minimum Passing Score for criteria 1 – 7 is 70% or 70.00)100Preference Points Applications must meet both minimum passing scores (Scoring Criteria 1-4, and 1-7) to be eligible for the additional points.California Based Entities (CBE) Preference Points (Group 1 only)A CBE is a corporation or other business form organized for the transaction of business that either:Has its headquarters in California AND manufactures in California the product that is the subject of the award; orHas an office for the transaction of business in California and substantially manufactures the product or substantially performs the research within California that is the subject of the award.Proposals must meet the following requirements in order to receive CBE preference points:The proposal must include a CBE as either the recipient or a subcontractor. The budget must show that the CBE(s) will receive more than 60.00% of the CEC funds awarded.Projects that meet these requirements will receive preference points as indicated below:Percentage of CEC Funds Allocated to CBEs(derived from budget Attachment 7 “Category Budget”)Percentage of Possible Points> 60%20%> 70% 40%> 80% 60%> 90% 80%=100%100%5Match Funds Cash match share is preferred; however, in-kind cost share is permitted and will be considered for solicitation match requirements. Points for this criterion will be evaluated based on the ratio of proposed Cash match relative to the total match (Cash + In-Kind Contributions) using the Match Scoring Table:Match Scoring TablePercentage of Proposed Cash Match FundsScore≥ 80%560 to <80%440 to <60%320 to <40%210 to <20%1 5Additional points will be awarded to applications that exceed the minimum match requirements based on the percentage amount above the minimum using the Exceeds Minimum Match Scoring table:Exceeds Minimum Match Scoring TablePercentage above Minimum Match (cash and in-kind)Score80 to 100%560 to <80%440 to <60%320 to <40%2>10%1 5Disadvantaged & Low-Income Communities The project benefits the disadvantaged and/or low-income community in order to receive additional points. Proposal identifies how the target market(s) will benefit disadvantaged and/or low-income communities.Identifies economic impact on low-income and disadvantaged communities including customer bill savings, job creation, partnering and contracting with micro- and small-businesses, and economic development.Describes how the project will increase access to clean energy or sustainability technologies within disadvantaged or low-income communities and how the development will benefit the communities.Applicants have letters of support from technology partners, community based organizations, environmental justice organizations, or other partners that demonstrate equity, feasibility, and commercial viability in low-income and disadvantaged communities.5Scoring CRITERIAGroup 3: Design and Feasibility of Fuel Cell-Powered Commercial Harbor CraftThe Project Narrative (Attachment 3b) must respond to each criterion below. The responses must directly relate to the solicitation requirements and focus as stated in the solicitation. Scoring CriteriaMaximum PointsTechnical Merit The proposed project provides a clear and concise description of the technological, scientific knowledge advancement, and/or innovation that will overcome barriers to achieving the State’s statutory energy goals.Describes the competitive advantages of the proposed technology over state-of-the-art (e.g., efficiency, emissions, durability, cost).Provides the proposed technical specifications and describes how the project will meet or exceed the technical specifications by the end of the project.Describes the technology readiness level (TRL) the proposed technology has achieved and the expected TRL by the end of the project.Describes at what scale the technology has been successfully demonstrated, including size or capacity, number of previous installations, location and duration, results, etc.Describe how the proposed study will be used by key stakeholders (e.g. policymakers, project developers, other researchers, etc.).Describes the advantage of the proposed study over that currently being used by key stakeholders.Describes how the project will meet the requirements described in Section II.B.15Technical Approach Proposal describes the technique, approach, and methods to be used in performing the work described in the Scope of Work. The Scope of Work identifies goals, objectives, and deliverables, details the work to be performed, and aligns with the information presented in Project Narrative.Proposal identifies the reliability that the project and site recommendations as described will be carried out if funds are awarded.Identifies and discusses factors critical for success, in addition to risks, barriers, and limitations (e.g. loss of demonstration site, key subcontractor). Provides a plan to address them. Discusses the degree to which the proposed work is technically feasible and achievable within the proposed Project Schedule and the key activities schedule in Section I.G.Describes the knowledge transfer plan, including how key stakeholders and potential users will be engaged, and the plan to disseminate knowledge of the project’s results to those stakeholders and users.Describes how the project will meet the requirements described in Section II.B. 25Impacts and Benefits for California IOU Ratepayers Explains how the proposed project will benefit California Investor-Owned Utility (IOU) ratepayers and provides clear, plausible, and justifiable (quantitative preferred) potential benefits. Estimates the energy benefits including increased hydrogen fuel demand, diesel fuel reduction, cost reductions, greenhouse gas emission reductions, air pollutant emission reductions (e.g., NOx, DPM), and/or increased safety.States the timeframe, assumptions with sources, and calculations for the estimated benefits, and explains their reasonableness. Include baseline or “business as usual” over timeframe. Identifies how outputs of the study will benefit key stakeholders (e.g., streamline planning, help eliminate barriers, stimulate growth of applicable market sectors).20Team Qualifications, Capabilities, and ResourcesEvaluations of ongoing or previous projects will be used in scoring for this criterion.Identifies credentials of prime and any subcontractor key personnel, including the project manager, principal investigator, and technology and knowledge transfer lead (include this information in the Project Team Form).Demonstrates that the project team has appropriate qualifications, experience, financial stability and capability to complete the project.Explains the team structure and how various tasks will be managed and coordinated.Describes the facilities, infrastructure, and resources available that directly support the project.Describes the team’s history of successfully completing projects in the past 10 years including subsequent deployments and commercialization.15Total Possible Points for criteria 1? 4(Minimum Passing Score for criteria 1? 4 is 70% or 52.50)75Budget and Cost-EffectivenessBudget forms are complete for the applicant and all subcontractors, as described in the Budget instructions.Justifies the reasonableness of the requested funds relative to the project goals, objectives, and tasks.Justifies the reasonableness of direct costs (e.g., labor, fringe benefits, equipment, materials & misc. travel, and subcontractors).Justifies the reasonableness of indirect costs (e.g., overhead, facility charges (e.g., rent, utilities), burdens, subcontractor profit, and other like costs). 10CEC Funds Spent in CaliforniaProjects that spend CEC funds in California will receive points as indicated in the table below. “Spent in California” means that: (1) Funds under the “Direct Labor” category and all categories calculated based on direct labor (Prime and Subcontractor Labor Rates) are paid to individuals who pay California state income taxes on wages received for work performed under the agreement; and/or (2) Business transactions (e.g., material and equipment purchases, leases, rentals, and contractual work) are entered into with a business located in California. Airline ticket purchases for out-of-state travel and payments made to out-of-state workers are not considered funds “spent in California.” However, funds spent by out-of-state workers in California (e.g., hotel and food) and airline travel originating and ending in California are considered funds “spent in California.”Percentage of CEC funds spent in CA(derived from budget Attachment 7)Percentage of Possible Points>60% 20%>65% 30%>70%40%>75% 50%>80%60%>85% 70%>90%80%>95% 90%>98%100% 10Ratio of Direct Labor to Indirect CostsThe score for this criterion will be calculated by the following formula:Total Direct LaborTotal Direct Labor + Total Fringe + Total Indirect + Total ProfitThis ratio will then be multiplied by the maximum possible points for this criterion and rounded to two decimal places.NOTE: For the purposes of this criteria, the CEC 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.5Total Possible Points(Minimum Passing Score for criteria 1 – 7 is 70% or 70.00)100Preference Points Applications must meet both minimum passing scores (Scoring Criteria 1-4, and 1-7) to be eligible for the additional points.California Based Entities (CBE) Preference Points A CBE is a corporation or other business form organized for the transaction of business that either:Has its headquarters in California AND manufactures in California the product that is the subject of the award; orHas an office for the transaction of business in California and substantially manufactures the product or substantially performs the research within California that is the subject of the award.Proposals must meet the following requirements in order to receive CBE preference points:The proposal must include a CBE as either the recipient or a subcontractor. The budget must show that the CBE(s) will receive more than 60.00% of the CEC funds awarded.Projects that meet these requirements will receive preference points as indicated below:Percentage of CEC Funds Allocated to CBEs(derived from budget Attachment 7 “Category Budget”)Percentage of Possible Points> 60%20%> 70% 40%> 80% 60%> 90% 80%=100%100%5Match Funds Cash match share is preferred; however, in-kind cost share is permitted and will be considered for solicitation match requirements. Points for this criterion will be evaluated based on the ratio of proposed Cash match relative to the total match (Cash + In-Kind Contributions) using the Match Scoring Table:Match Scoring TablePercentage of Proposed Cash Match FundsScore≥ 80%560 to <80%440 to <60%320 to <40%210 to <20%15Additional points will be awarded to applications that exceed the minimum match requirements based on the percentage amount above the minimum using the Exceeds Minimum Match Scoring table:Exceeds Minimum Match Scoring TablePercentage above Minimum Match (cash and in-kind)Score80 to 100%560 to <80%440 to <60%320 to <40%2>10%1 5 ................
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