00_RFQ-25-401_Solicitation_Manual_ada.docx

REQUEST FOR QUALIFICATIONS

Energy Code Compliance Evaluation Support

RFQ-25-401

www.energy.ca.gov/contracts/ State of California California Energy Commission May 2026

TABLE OF CONTENTS

ATTACHMENTS

Evaluation Support

I. INTRODUCTION

Background Summary The Warren-Alquist Act, Public Resources Code (PRC) section 25000 et seq., established the California Energy Commission (CEC) as California’s primary energy policy and planning agency. It also mandated that the CEC adopt and periodically update the Building Energy Efficiency Standards, which include building efficiency requirements in the Energy Code (California Code of Regulations, Title 24, Part 6) and voluntary building efficiency standards in the California Green Building Standards Code (California Code of Regulations, Title 24, Part 11).

The CEC serves as the state of California’s (State) primary energy policy and planning agency. A core responsibility of the CEC is the adoption and implementation of California’s Building Energy Efficiency Standards which apply to newly constructed single-family residential buildings, multifamily buildings, nonresidential buildings, and certain processes, as well as additions and alterations to these buildings across California.

The overarching statutory requirements of the Energy Code are to reduce wasteful, uneconomic, inefficient, or unnecessary energy use, and its goals are to lower energy costs for Californians, improve energy affordability, advance energy efficiency, and contribute to California’s climate action goals. The 2022 Energy Code is estimated to provide California with $8.8 billion in statewide benefits over its lifetime[footnoteRef:2], and the 2025 Energy Code is estimated to provide $4.8 billion in statewide benefits over its lifetime[footnoteRef:3]. Since inception, energy efficiency standards for both buildings and appliances have saved Californians over $200 billion in energy costs[footnoteRef:4]. However, the realization of these projected energy savings is contingent upon all design and construction activities complying with State regulations, including the Energy Code. [2: California Energy Commission. 2021. Form 399 for the Proposed 2022 Energy Code. Docket 21-BSTD-01. TN#237722. Available for download at (https://efiling.energy.ca.gov/GetDocument.aspx?tn=237722&DocumentContentId=70943). ] [3: California Energy Commission. 2024. 2025 Energy Code Press Release available at (https://www.energy.ca.gov/news/2024-09/energy-commission-adopts-updated-building-standards-expanding-requirements-heat). ] [4: California Energy Commission. 2025. California Energy Commission Response to Executive Order N-5-24. January 1, 2025. Available at (https://www.energy.ca.gov/sites/default/files/2025-02/California_Energy_Commission_Response_to_Executive_Order_N-5-24_ada.pdf).]

The Challenge: Lack of Comprehensive Compliance Data The State currently faces significant challenges validating statewide compliance rates due to the absence of standardized, representative, and field-verified compliance data across building types and jurisdictions. This includes a scarcity of information on regional variations in compliance and the underlying causes of noncompliance. This data gap limits the CEC’s ability to fully grasp the financial cost of noncompliance to the State, effectively implement State policy, and strategically allocate resources. The CEC published a report, “Energy Code Compliance Gap Analysis[footnoteRef:5],” which elaborates on these conditions by identifying challenges and proposing solutions to enhance the State's understanding of Energy Code compliance evaluation going forward. [5: Nguyen, Y., Robert Ford, Ria Majumder. 2025. “California Energy Code Compliance Gap Analysis.” California Energy Commission. CEC-400-2025-011. Available at (https://www.energy.ca.gov/publications/2025/california-energy-code-compliance-gap-analysis).]

Overarching Study’s Principles This Energy Code Study (also known as the Compliance Rates Study) is intended to produce a statewide snapshot of the current California Energy Code compliance practices and outcomes, reflecting conditions at the time of data collection.

The study will focus on:

· Observed compliance at design and construction stages.

· Common pathways, barriers, and failure points of Energy Code implementation.

· Variability across building types, jurisdictions, and compliance approaches.

· Actionable insights to inform the compliance improvements strategies, workforce development, and future work.

Unlike program evaluation designs that assess pre and post implementation impacts, this study will not attempt to estimate changes over time or causal impacts of specific interventions, due to cost, feasibility, and burden consideration.

Understanding Compliance: Key Definitions To establish a clear framework for compliance evaluation, CEC staff propose the following clear fundamental compliance definitions:

· Process-Based Compliance: This addresses building construction projects that successfully obtain necessary permits, undergo the full permitting and inspection processes, and maintain accurate documentation from design through completion. It focuses on adherence to procedures and documentation but does not inherently guarantee that the project underachieves or overachieves the intended energy savings.

· Energy-Based Compliance: This focuses on the actual outcomes, meaning the completed project performs at or above the energy efficiency levels intended by the Energy Code. Unlike process-based compliance, it does not strictly require all procedural steps to be completed.

Full compliance is achieved when a project satisfies both process-based and energy-based criteria.

While the State aims to improve full compliance, evaluating energy-based compliance presents a fundamental challenge because the Energy Code is a performance-based standard, as required by the Warren-Alquist Act. This structure allows multiple compliance pathways and design tradeoffs for each building, resulting in highly project-specific compliance outcomes. In addition, many Energy Code measures are only observable or verifiable during specific construction phases, once a building is occupied. Access to intermediate measures (such as envelope assemblies, concealed systems, or installed controls) is limited or infeasible without disruption. As a result, statistically representative field evaluation of energy-based compliance—particularly at a statewide scale—can become complex, costly, and resource-intensive.

Current Landscape of Compliance Evaluation in California Previous studies in California have presented divergent findings regarding Energy Code compliance and do not necessarily provide a comprehensive statewide assessment.

· Investor-Owned Utility (IOU) Programs: Evaluations of IOU Codes and Standards (C&S) Building Code Advocacy programs, overseen by the California Public Utilities Commission (CPUC), have historically shown high "compliance" or "Energy Saving Factor" rates (over ninety percent [90%])[footnoteRef:6]. However, these studies were primarily designed to assess program-caused energy savings attributable to the IOU programs, rather than evaluating overall statewide adherence to the Energy Code. This distinction means their findings may not represent the broader state of code compliance of buildings in the State. In addition, prior IOU evaluations have therefore focused primarily on post-construction or readily observable measures, which are generally found to be satisfactory but do not capture the full scope of intermediate or construction-phase compliance. [6: Nguyen, Y., Robert Ford, Ria Majumder. 2025. “California Energy Code Compliance Gap Analysis: Appendix B – CPUC IOU C&S Building Codes Advocacy Program Impact Evaluation Long Summary” (p. 131-136). California Energy Commission. CEC-400-2025-011 Available at (https://www.energy.ca.gov/publications/2025/california-energy-code-compliance-gap-analysis).]

· Regional Energy Networks (RENs): Some RENs, authorized by the CPUC, have conducted regional research. For instance, the 2015 Bay Area REN (BayREN) Permit Resource Opportunity Program (PROP) report[footnoteRef:7] revealed that only sixteen percent (16%) of projects in the Bay Area included complete compliance documentation, indicating a significant gap in understanding and adherence to the compliance process. [7: Benningfield Group Inc, BKi, Association of Bay Area Government. 2015. BayREN Code & Standards PROP Final Report and Energy Code Resource Guide. Bay Area Regional Energy Network. Available at (https://www.bayren.org/sites/default/files/2021-11/bayren_cs_prop_final_report_2015_0401_0.pdf).]

· Unpermitted Construction: A significant portion of construction activity occurs outside the building permitting process, representing an understudied segment. Studies indicate low permitting rates for certain activities, such as heating, ventilation, and air conditioning (HVAC) changeouts (eight to twenty-nine percent [8-29%] permitted)[footnoteRef:8] and newly constructed accessory dwelling units (ADUs) in some cities (around twenty-five percent [25%] permitted)[footnoteRef:9]. These low permitting rates suggest a lack of process-based compliance and potential negative impacts on energy-based compliance. The true extent and impact of unpermitted projects on noncompliance and associated costs to the State remain unclear due to significant data gaps. [8: DNV GL. 2017. Final Report: 2014-16 HVAC Permit and Code Compliance Market Assessment (Work Order 6) Volume I - Report. California Public Utilities Commission. CALMAC Study ID: CPU0172.01. Available at (https://www.calmac.org/publications/HVAC_WO6_FINAL_REPORT_VolumeI_22Sept2017.pdf). ] [9: Jo, Nathanael, Andrea Vallebueno, Derek Ouyang, and Daniel E. Ho. 2024. Not (Officially) In My Backyard. Standford RegLab. Journal of the American Planning Association. 2024 Vol 0. Number 0. Available at (https://dho.stanford.edu/wp-content/uploads/JAPA.pdf).]

Unpermitted construction occurs across a range of project types and may be performed by both licensed contractors and unlicensed installers. Licensed contractors are generally required to obtain permits for construction activities subject to local building regulations; however, in practice, work often is completed without permits. Unpermitted construction is also often completed by unlicensed installers performing work that requires licenses. Licensed contractors who do work under permits often view installers who do work without permits or without licenses as unfair competition, being underbid, potentially resulting from less attention to construction quality or compliance with building codes. By its nature, unpermitted construction operates outside of oversight and may not be visible to building departments or the California Contractors State License Board (CSLB). CSLB protects consumers by regulating the construction industry through policies that promote the health, safety, and general welfare of the public in matters relating to construction. Building owners that knowingly authorized the work to be done without permits or by unlicensed installers may not be willing to disclose or participate freely in field research regarding compliance with the Energy Code.

The CEC endeavors to evaluate compliance for both permitted and unpermitted projects, including work performed by both licensed contractors and unlicensed installers. The CEC recognizes the complexity and difficulty of studying unpermitted work. The objective is to produce compliance estimates that are as valid, accurate, and representative as possible across these market segments. The evaluation is expected to encounter challenges in recruiting participating buildings for unpermitted and unlicensed cases. This may result in difficulty in avoiding selection bias that would limit the validity of findings for unpermitted cases.

The Energy Code has long established requirements for system sizing, and for system quality installation (including duct sealing, refrigerant charge testing, airflow testing, and fan watt draw). Poor installation quality related to these requirements can compromise energy efficiency, particularly for air conditioning equipment including heat pumps. Several of these key requirements require field testing of equipment to demonstrate compliance. The performance of heat pumps, which are critical to accomplishing State building decarbonization and climate change goals[footnoteRef:10], can be especially negatively impacted by continued failure to do work under permits, not only for space cooling but also for space heating. Residential water heater replacements also may frequently be completed without permits or by unlicensed installers. The performance of water heaters, particularly heat pump water heaters, may also be negatively impacted by failure to comply with system sizing and airflow requirements in the Energy Code. Failure to do such water heater or HVAC replacements without permits or without contractor licenses may also result in health and safety risks. [10: Governor Gavin Newsom Calls for Bold Actions to Move Faster Toward Climate Goals. 2022. (https://www.gov.ca.gov/2022/07/22/governor-newsom-calls-for-bold-actions-to-move-faster-toward-climate-goals/).]

Seven Building Categories This solicitation aims to address key gaps identified in the Gap Analysis report, specifically supporting the CEC to execute tailored field studies for the following seven (7) building categories:

1. Existing single-family residential buildings[footnoteRef:11]. [11: Existing buildings refer to additions and alterations to existing buildings.]

2. Existing multifamily residential buildings.

3. Existing nonresidential buildings.

4. Newly constructed single-family residential buildings.

5. Newly constructed multifamily residential buildings.

6. Covered processes.

The goal is to ensure accurate compliance assessment across seven (7) distinct building categories. The primary differentiators among them relate to the complexity of the building structure, the accessibility and nature of compliance documentation, the prevalence of the unpermitted market, and the appropriate tools for energy modeling. Because each building category has distinct characteristics, category-specific methodologies are required to achieve a comprehensive and defensible evaluation.

This solicitation seeks to identify qualified contractors to support the CEC in conducting comprehensive California Energy Code compliance evaluations and developing robust tracking systems, aligning both State and federal objectives for energy efficiency and effective building code implementation.

Purpose of this RFQ The purpose of this Request for Qualifications (RFQ) is to select a Prime Contractor to lead a team of professional architectural and engineering consultants to provide technical support for:

· The California Energy Code compliance evaluation program, including the design and execution of methodologically defensible evaluations to address critical statewide data gaps and improve the CEC’s understanding of both process-based and energy-based compliance.

· Improving the State’s intelligence regarding Energy Code compliance through evidence-based identification of systemic challenges, regional variations, and root causes of noncompliance, informed by empirical field data rather than program attribution or advocacy-focused analyses.

· Establishing a technical foundation for future statewide Energy Code compliance rates analyses, including the development and validation of evaluation methodologies, sampling frameworks, data collection instruments, and analytical approaches that can be replicated and scaled in subsequent studies.

· Supporting implementation of recommendations from the “California Energy Code Compliance Gap Analysis” staff report by providing technical evaluation, feasibility assessment, and empirical evidence to inform enforcement strategies, compliance improvement priorities, and future policy development.

· Conducting comprehensive field studies across defined building categories and compliance definitions, recognizing the performance-based nature of the Energy Code, the existence of multiple compliance pathways, construction-phase access limitations, and the inherent complexity of evaluating energy-based outcomes at scale.

· Identifying and supporting technically grounded compliance implementation solutions, including evaluation-informed recommendations, pilot concepts, workforce-related technical assistance, and implementation-ready tools or frameworks that enable State, regional, and local partners to improve Energy Code compliance outcomes based on documented findings from the evaluation activities.

Key Activities and Dates Key activities including dates and times for this RFQ are presented below. An addendum will be released if the dates change for the asterisked (*) activities.

Times listed are Pacific Standard Time or Pacific Daylight Time, whichever is being observed.

September 11, 2026

Available Funding There is a maximum of up to $11,500,000 available to fund the three (3) year contract resulting from this RFQ. This is an hourly rate plus cost reimbursement contract with a ceiling on the total contract amount.

Funding for the agreement is from the CEC’s Inflation Reduction Act (IRA) Building Energy Codes Award from the United States Department of Energy’s (DOE) Office of State and Community Energy Programs (SCEP). The CEC reserves the right to reduce the contract amount to an amount deemed appropriate in the event the any of the grant awards from a federal agency of the United States (US) that provide funding for this agreement, do not appropriate sufficient funds for the work identified. In this event, the CEC shall have the option to either: cancel this agreement with no liability occurring to the State, or the CEC Contract Agreement Manager (CAM) and Contractor shall meet and reach agreement on a reduced Scope of Work commensurate with the level of available funding. See the terms and conditions in the Standard Agreement Example (Attachment 6) for more information.

Eligible Firms This is an open solicitation for public and private entities. Each agreement resulting from this solicitation includes terms and conditions that set forth the Contractor’s rights and responsibilities. The University of California, California State University, or DOE National Laboratories must use either the standard or the pre-negotiated terms and conditions on the Department of General Services Office of Legal Services (DGS-OLS) website at (http://www.dgs.ca.gov/OLS/Resources). All other entities must agree to use the Standard Terms and Conditions (Attachment 6). The CEC will not award agreements to non-complying entities. The CEC reserves the right to modify the terms and conditions prior to executing agreements.

All corporations, limited liability companies (LLCs), limited partnerships (LPs), and limited liability partnerships (LLPs) that conduct intrastate business in California are required to be registered and in good standing with the California Secretary of State (SOS) prior to a project being recommended for approval at a CEC business meeting. If not currently registered with the SOS, applicants are encouraged to contact the SOS Office as soon as possible to avoid potential delays in beginning the proposed project(s) (should the application be successful).

For more information, visit the SOS website at (http://www.sos.ca.gov/). Sole proprietors using a fictitious business name must be registered with the appropriate county and provide evidence of registration to the CEC prior to their project being recommended for approval at a CEC business meeting.

Retainer Contract Any contract awarded as a result of this RFQ will be a no-fee "retainer" contract. The selected Contractor will be held on retainer and will be assigned work via work authorizations. Work authorizations will be assigned by expertise, or project workload. The CEC makes no guarantee that any or all of the funds will be assigned in any given year.

Pre-Bid Conference There will be one (1) Pre-Bid Conference. Participation in this meeting is optional but encouraged. The Pre-Bid Conference will be held remotely through Zoom at the date, time, and location listed below.

Date: Tuesday, May 19, 2026 Time: 1:30 p.m. – 3:00 p.m.

(Pacific Standard Time or Pacific Daylight Time, whichever is being observed) Remote Access Only Via Zoom Applicants may attend the workshop via the Internet (Zoom, see instructions below), or via conference call on the date and at the time listed below. Please contact the Commission Agreement Officer (CAO) listed on page 15 or refer to the CEC's website at (https://www.energy.ca.gov/funding-opportunities/solicitations) to confirm the date and time.

Zoom Instructions:

Zoom is the CEC's online meeting service. When attending remotely, presentations will appear on your computer/laptop/mobile device screen, and audio may be heard via the device or telephone. Please be aware that the Zoom meeting will be recorded and posted to the CEC website.

To join the Pre-Bid Conference, go to the Zoom Meeting Link, which is located at https://energy.zoom.us/webinar/register/WN_kq5qIVzXRqOsBg25-1hfDA. Participants must register to attend. After registering, you will receive a confirmation email containing information about joining the meeting. You may also access the conference by going to the Zoom website, which is located at (https://zoom.us/join) and enter the unique Meeting ID below. Select “join from your browser.” Participants will then enter the meeting password below and their name. Participants will select the “Join” button.

Meeting ID: 832 9739 6601 Meeting Password: 192979 Topic: Energy Code Compliance Evaluation Support Pre-Bid Conference Telephone Access Only:

Call 1-888-475-4499 (Toll-Free) or 1-877-853-5257 (Toll-Free). When prompted, enter the meeting number above. International callers may select a number from the Zoom International Dial-In Number List at (https://energy.zoom.us/u/abEf4RINDr). To comment, dial *9 to “raise your hand” and *6 to mute/unmute your phone line.

Access by Mobile Device:

Download the application from the Zoom Download Center at (https://energy.zoom.us/download).

Technical Support:

· For assistance with problems or questions about joining or attending the meeting, please call Zoom Technical Support at 1-888-799-9666 extension 2. You may also contact the Public Advisor’s Office by email at publicadvisor@energy.ca.gov or by telephone at 1-916-269-9595.

· System Requirements: To determine whether your computer is compatible, visit (https://support.zoom.us/hc/en-us/articles/201362023-System-requirements-for-Windows-macOS-and-Linux).

· If you have a disability and require assistance to participate, please contact Erica Rodriguez by email at erica.rodriguez@energy.ca.gov or by telephone at 1-916-764-5705 at least five (5) days in advance of the Pre-Bid Conference.

Questions During the RFQ process, questions of clarification about this RFQ must be directed to the CAO listed in the following Contact Information section. Potential Firms shall carefully examine the qualifications and specifications of this RFQ. You may ask questions at the Pre-Bid Conference, and you may submit written questions via electronic mail. However, all questions must be received by 5:00 p.m. on the date indicated in the Key Activities and Dates section.

The questions and answers will be posted on the CEC's website at (https://www.energy.ca.gov/funding-opportunities/solicitations).

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

Contact Information Diana Grady Commission Agreement Officer California Energy Commission 715 P Street, 3rd Floor, MS-18 Sacramento, California 95814 Email: Diana.Grady@energy.ca.gov Responses to This RFQ Responses to this solicitation shall be in the form of a Statement of Qualifications (SOQ) according to the format described in this RFQ (See Section III: SOQ Format, Required Documents, and Delivery). The SOQ shall detail the Firm’s qualifications to perform the tasks outlined in the Scope of Work.

Reference Documents Firms responding to this RFQ may want to familiarize themselves with the following documents:

· California Energy Code Compliance Gap Analysis Staff Report located at (https://www.energy.ca.gov/publications/2025/california-energy-code-compliance-gap-analysis).

· 2022 Energy Code Low-Rise Multifamily Forms located at (https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/2022-building-energy-efficiency-3).

· 2022 Energy Code Nonresidential, Hotel/Motel, High-Rise Multifamily Forms located at (https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/2022-building-energy-efficiency-4).

· 2022 Energy Code Nonresidential and Multifamily Compliance Manual located at (https://www.energy.ca.gov/publications/2022/2022-nonresidential-and-multifamily-compliance-manual-2022-building-energy).

· 2022 Energy Code Single-Family Residential Forms located at (https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/2022-building-energy-efficiency-2).

· 2022 Energy Code Single-Family Residential Compliance Manual located at (https://www.energy.ca.gov/publications/2022/2022-single-family-residential-compliance-manual-2022-building-energy-efficiency).

· 2022 Single-Family Residential Alternative Calculation Method Reference Manual located at (https://www.energy.ca.gov/publications/2022/2022-single-family-residential-alternative-calculation-method-reference-manual).

· 2022 Nonresidential and Multifamily Alternative Calculation Method Reference Manual located at (https://www.energy.ca.gov/publications/2022/2022-nonresidential-and-multifamily-alternative-calculation-method-reference).

· 2025 Building Energy Efficiency Standards website located at (https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/2025-building-energy-efficiency).

· Acceptance Test Technician Certification Provider Program website located at (https://www.energy.ca.gov/programs-and-topics/programs/acceptance-test-technician-certification-provider-program).

· Home Energy Rating System Program website located at (https://www.energy.ca.gov/programs-and-topics/programs/home-energy-rating-system-hers-program).

· Energy Code Compliance Program website located at (https://www.energy.ca.gov/programs-and-topics/programs/energy-code-compliance-program).

· Style Manual for Preparing Contract and Consultant Reports for the California Energy Commission located at (https://www.energy.ca.gov/funding-opportunities/funding-resources/formatting-reports-and-writing-style-consultants-california).

II. SCOPE OF WORK (SOW)

About This Section In this section, the CEC describes the tasks the Firm (referred to as “Contractor” in the SOW) will be asked to perform under the direction of the CAM. This section also describes the work assignment process, deliverables, and due dates.

Purpose The purpose of this agreement is for the Prime Contractor to lead a team of professional architectural and engineering consultants to provide technical support for:

· The California Energy Code compliance evaluation program to include the following work areas: evaluation, market research, and data analysis. This includes conducting compliance evaluations, identifying streamlined approaches, and assisting the CEC with improving compliance. The work will significantly enhance the CEC's understanding of compliance rates, regional variations, and the root causes of noncompliance, informing policy and resource allocation.

· Workforce development market research and program development recommendations related to improving Energy Code implementation.

· Supporting compliance improvement pilot solutions directly with local partners.

· Other related work that supports Energy Code compliance improvement.

Acronyms/Glossary Specific acronyms and terms used throughout this SOW are defined as follows:

Work Authorizations The agreement that results from this solicitation shall be conducted as a “Work Authorization” agreement. No work shall be undertaken unless authorized by the CAM through a specific written document called a “Work Authorization” (WA).

The CAM will prepare and issue the written WAs and shall set a maximum price, budget, and schedule for the work to be performed. The CAM will work, in consultation with the Contractor, to assign work to either the Contractor or a Subcontractor.

Retainer Contract This is a no-fee "retainer" contract. The Contractor will be held on retainer and will be assigned work via WAs, which will be assigned by expertise or project workload. The CEC makes no guarantee that any or all the funds will be assigned in any given year.

No Work Guarantee The CEC does not guarantee any minimum or maximum amount of work to the Prime Contractor or any Subcontractor under the agreement.

Workshops & Hearings All workshops and hearings are sponsored, organized, and facilitated by the CEC. The CEC is responsible for any costs associated with a workshop or hearing. The Contractor shall provide labor only.

Incidental Services Contractor shall provide incidental services to support the technical tasks that the CEC will undertake for Energy Code Compliance Evaluation Support in the general topic areas listed below. Technical Tasks 2 through 11 provide more detailed task activities for these areas:

· Graphic Design/Document Support for reports and other deliverables related to the Energy Code.

· Public Outreach and Communication/Marketing/Public Relations/Program Development necessary to complete the goals of this agreement.

Draft and Final Deliverables/Reports The Contractor may be required to produce several iterations of draft deliverables to incorporate CEC’s comments and edits. A deliverable is considered final when the CAM or Work Authorization Manager (WAM) indicates in writing that the deliverable is considered final. When creating reports, the Contractor shall use and follow, unless otherwise instructed in writing by the CAM or WAM, the following:

· California Energy Commission Style Manual: Fourth Edition located at (https://www.energy.ca.gov/publications/2020/style-manual-fourth-edition-used-california-energy-commission-staff-lead).

· Consultant Report Template located at (https://www.energy.ca.gov/media/2216).

The CEC typically requires the submission of products in an electronic format. If a hard copy deliverable is required, each final hard copy deliverable shall be delivered as one (1) original, reproducible, 8 ½” by 11”, camera-ready master in black ink, unless otherwise directed by the CAM or WAM. Illustrations and graphs shall be sized to fit an 8 ½” by 11” page and readable if printed in black and white.

Ownership of Work Product All deliverables, reports, data, memoranda, and other supporting documents developed under this SOW, whether completed or not, shall become the property of the CEC.

Electronic File Format The Contractor shall submit all required data and documents as products under this agreement in an electronic file format that is fully editable and compatible with the CEC’s software and Microsoft (MS) operating computing platforms, or with any other format approved by the CAM or WAM.

Unless otherwise specified by the CAM or WAM, the following describes the accepted formats of electronic data and documents provided to the CEC as agreement products and establishes the computer platforms, operating systems, and application versions that will be required to review and approve all application products.

· Data sets shall be in MS Access or MS Excel file format (version 2016 or later).

· PC-based text documents shall be in MS Word file format (version 2016 or later).

· Documents intended for public distribution shall be in Adobe Portable Document Format (PDF) file format and shall comply with the accessibility requirements of Section 508 of the federal Rehabilitation Act of 1973, which is located at (https://www.access-board.gov/about/law/ra.html#section-508-federal-electronic-and-information-technology). The Contractor shall also provide the native file format.

· Project management documents shall be in a file format specified by the CAM or WAM.

Primary Tasks The major categories of work are divided into the following tasks:

Task 1: Agreement Management A maximum of ten percent (10%) of the total agreement budget will be allocated for this task. The Contractor will be required to perform contract management and administrative duties to manage the agreement. The Contractor shall also ensure sufficient time and attention is spent on this task by an experienced and qualified dedicated administrative staff person. At the discretion of the CAM, meetings, briefings, and discussions may be held via conference call, MS Teams, or Zoom.

The goal of this task is to provide for overall administrative management of the contract by the Contractor. In addition to the specific tasks below, the Contractor’s Program Manager (PM) is responsible for directing the work performed by the Contractor Team to meet the objectives of the contract.

The PM is also responsible for ensuring the quality and timely delivery of all deliverables, both technical and administrative from the Contractor Team. The PM will be the primary point of contact for the Contractor Team and is responsible for oversight of all work under this contract. The PM is also responsible for managing all Subcontractor work, including ensuring quality products, enforcing Subcontractor agreement provisions, and in the event of failure of the Subcontractor to satisfactorily perform services, recommending solutions to resolve the problem.

The Contractor’s responsibilities under this task include, but are not limited to, the following subtasks:

Subtask 1.1: Kick-Off Meeting The goal of this subtask is to establish the lines of communication and procedures for implementing this agreement.

The Contractor shall:

· Attend a “kick-off” meeting with the CAM and other appropriate CEC staff. The CAM will designate the specific location. The Contractor shall include its PM, Contracts Administrator, Accounting Officer, and others designated by the CAM in this meeting. The administrative and technical aspects of this agreement will be discussed at the meeting.

· If necessary, prepare an updated Schedule of Deliverables based on the decisions made in the kick-off meeting.

· Provide an Information Security Program Plan (ISPP) for CEC review and approval, as well as submit a signed ISPP Attestation Form confirming that Contractor has an ISPP that meets the minimum requirements as stated in State Administrative Manual (SAM) 5300 and any other applicable law.

· Submit signed Non-Disclosure Agreement (NDA) Forms from Contractor and Subcontractor employees prior to the sharing of confidential information with the employees.

· Ensure that all individuals employed by Contractor or a Subcontractor who will have access to confidential information take an annual security awareness training and submit the Employee Security Awareness Training Certificates to the CAM. Contractor and Subcontractors shall not invoice for the time spent attending security awareness training.

· If necessary, provide the information necessary for the CAM to complete a Form 805 identifying any individuals designated as consultants.

Note that individuals designated as consultants under this contract must file a Form 700. The Contractor and Subcontractors shall not invoice for the time spent filing the Form 700. For additional information, see the terms and conditions in the Standard Agreement Example (Attachment 6).

The CAM shall:

· Arrange the meeting including scheduling the date and time.

· Provide an agenda to all potential meeting participants prior to the kick-off meeting.

· Provide the ISPP Attestation Form.

· Provide the NDA Form.

· Complete the Form 805 (if necessary).

Contractor Subtask Deliverables:

· An updated schedule of deliverables (if applicable).

· ISPP and signed ISPP Attestation Form.

· Signed NDAs.

· Employee Security Awareness Training Certificates.

· Form 700 (for individuals designated as consultants).

Subtask 1.2: Program Meetings and Briefings The goal of this subtask is to ensure direct collaboration with CEC staff, staff of other public agencies, and participating external stakeholders throughout the completion of Tasks 2 through 11, and to disseminate information to all parties as needed.

The Contractor and Subcontractor(s) shall:

· At the request of the CEC’s CAM, be available for meetings or to provide written or verbal program briefings to the CEC’s staff or others. The cost of meetings with local governments and public institutions will be included in each WA. The cost of meetings requested specifically by the Contractor shall be borne solely by the Contractor. At the discretion of the CAM, meetings, briefings, and discussions may be held via conference call, MS Teams, or Zoom. If requested by the CAM, prepare meeting notes to capture issues, action items, and feedback.

· The CEC expects to hold no less than one (1) program briefing meeting per month.

Contractor Subtask Deliverables:

· Meeting notes to capture issues, action items, and feedback (if applicable).

Subtask 1.3: Invoices The goal of this subtask is to ensure accurate and timely payment for work performed under the contract.

The Contractor shall:

· Prepare invoices for all reimbursable expenses incurred performing work under this agreement in compliance with the Exhibit B of the terms and conditions of the agreement.

· Invoices shall be submitted with the same frequency as progress reports (Subtask 1.4).

· Invoices must be submitted to the CEC’s Accounting Office no later than fifteen (15) calendar days after the end of the monthly invoicing period.

The CAM shall:

· Provide the format for invoices.

Contractor Subtask Deliverables:

· Monthly invoices.

Subtask 1.4: Progress Reports The goal of this subtask is to periodically verify that satisfactory and continued progress is made towards achieving the objectives of this agreement.

The Contractor shall:

· Prepare monthly progress reports that align with the monthly invoices that summarize all agreement activities conducted by the Contractor for the monthly reporting period, including an assessment of the ability to complete the agreement within the current budget, Disabled Veteran Business Enterprise (DVBE) participation (if applicable), and any anticipated cost overruns. The Contractor shall provide the CAM a plan to remedy any anticipated cost overruns, as well as provide burn rate estimates to the CAM, upon request.

Each progress report is due no later than fifteen (15) calendar days after the end of the monthly reporting period.

The CAM shall:

· Provide the format for the progress reports.

Contractor Subtask Deliverables:

· Monthly progress reports.

Subtask 1.5: Management of WAs WAs define the SOW, schedule of deliverables, and the project(s) budget. The goal of this subtask is to develop and manage all technical and budgetary aspects of WAs in accordance with the requirements of this agreement for work to be performed under Technical Tasks 2 through 11.

The Contractor shall:

· At the direction of the CAM, assist the CEC in preparing the WAs in accordance with contract requirements.

· Submit all required WA documents to the CAM.

· Administer WAs.

· Develop project schedules and adhere to the promised schedules for deliverable delivery to the CEC.

· Provide audit and accounting services for all WAs.

· Determine the fiscal status of each WA and the overall agreement.

· Prevent cost overruns.

· Provide oversight and first-level review of reports and documentation, and comment on the content of deliverables.

· Ensure that final deliverables have been reviewed for technical accuracy, are ready for publication, and comply with all web accessibility requirements.

· Adequately document all analyses so that the public can easily follow the logic of each analysis.

· Monitor and track each WA and the overall agreement.

· Provide updated WA project schedules, as needed, and determine if each WA is on schedule and deliverables are satisfactory.

· Immediately report any significant variances affecting performance of WAs and recommend mitigation actions for consideration by the PM and CAM. Examples of significant variances include the inability to submit deliverables by key WA due dates, unavailability of key personnel that will affect timely submittal of deliverables, and key technical issues that would require change in scope, redirection of the effort, or discontinuation of the project.

· Track the start, progress, and closure of each WA.

· Coordinate with the CAM to close out completed WAs and remaining unallocated balances.

The CAM shall:

· Provide the WA template and specify the required content.

Contractor Subtask Deliverables:

· WA documents.

Subtask 1.6: Manage Subcontractors The goal of this subtask is to manage Subcontractors’ activities.

The Contractor shall:

· At the direction of and in collaboration with the CAM, review and prepare WA scopes, deliverables, and budgets.

· The Contractor is responsible for the quality of all Subcontractor work and for ensuring that Subcontractor work adheres to the promised schedule for deliverable delivery to the CEC.

· Establish and maintain subcontract agreements.

· Enforce subcontract provisions and manage Subcontractor activities in accordance with the agreement terms and conditions.

· In the event of Subcontractor failure to perform, recommend solutions to resolve the problem.

· When new Subcontractors are added, the Contractor shall ensure that: 1) The new Subcontractors comply with the terms and conditions of the agreement, and 2) Notify the CAM who will follow the CEC’s process for adding or replacing Subcontractors. Subcontractors must be added to this agreement prior to beginning any work.

Subtask 1.7: Final Meeting The goal of this subtask is to discuss closeout of this agreement and review the project.

The Contractor shall:

· Meet with CEC staff prior to the term end date of this agreement. The CAM will designate the specific location. At the discretion of the CAM, meetings, briefings, and discussions may be held via conference call, MS Teams, or Zoom. The CAM and Contractor PM will attend this meeting. The CAM will determine any additional appropriate meeting participants.