FundOpp_DE-FOA-0003225.pdf

Questions about this FOA? Email RECI_FOA@ee.doe.gov.

Problems with EERE eXCHANGE? Email EERE-eXCHANGESupport@hq.doe.gov Include FOA name and number in subject line.

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U.S. Department of Energy

Building Technologies Office

Bipartisan Infrastructure Law: Resilient and Efficient Codes Implementation (RECI)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003225

FOA Type: Initial Assistance Listing Number: 81.117

FOA Issue Date: March 4, 2024 Submission Deadline for Concept Papers: April 5, 2024, 5:00 p.m. ET Submission Deadline for Full Applications: June 6, 2024, 5:00 p.m. ET Expected Submission Deadline for Replies to Reviewer Comments:

July 1, 2024, 5:00 p.m. ET

Expected Date for DOE Selection Notifications: July 31, 2024 Expected Timeframe for Award Negotiations: July 31, 2024 –

October 30, 2024

• Applicants must submit a Concept Paper by 5 p.m. ET on the due date listed above to be eligible to submit a Full Application.

• To apply to this FOA, applicants must register with and submit application materials through the Office of Energy Efficiency and Renewable Energy (EERE) eXCHANGE at https://eere-eXCHANGE.energy.gov/, EERE’s online application portal.

• Applicants must designate primary and backup points-of-contact in EERE eXCHANGE with whom EERE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.

• Unique Entity Identifier (UEI) and System for Award Management (SAM) - Each applicant (unless the applicant is excepted from those requirements under 2 CFR 25.110) is required to: (1) register in the SAM at https://www.sam.gov before submitting an application; (2) provide a valid UEI number in the application; and (3) https://eere-exchange.energy.gov/ https://www.sam.gov/ subject line.

ii maintain an active SAM registration with current information when the applicant has an active federal award or an application or plan under consideration by a federal awarding agency. DOE may not make a federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements and, if an applicant has not fully complied with the requirements by the time DOE is ready to make a federal award, DOE will determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

NOTE: Due to the high number of UEI requests and SAM registrations, entity legal business name and address validations are taking longer than expected to process.

Entities should start the UEI and SAM registration process as soon as possible. If entities have technical difficulties with the UEI validation or SAM registration process, they should use the HELP feature on SAM.gov. SAM.gov will address service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

https://sam.gov/content/help https://sam.gov/content/home https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 subject line.

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Table of Contents

Table of Contents.................................................................................................................................................. iii

I. Funding Opportunity Description

A. Background and Context

i. Program Purpose

ii. Strategic Goals and Program Structure

B. Topic Areas

i. Areas of Interest

ii. Teaming Partner List

C. Applications Specifically Not of Interest D. Community Benefits Plan: Job Quality and Equity E. Authorizing Statutes F. Notice of Bipartisan Infrastructure Law–Specific Requirements

II. Award Information

A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. DOE Funding Agreements

i. Cooperative Agreements

ii. Funding Agreements with Federally Funded Research and Development Center (FFRDCs)

III. Eligibility Information

A. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

iii. Incorporated Consortia

iv. Unincorporated Consortia

B. Cost Sharing

i. Legal Responsibility

ii. Cost Share Allocation

iii. Cost Share Types and Allowability

iv. Cost Share Contributions by FFRDCs

v. Cost Share Verification

vi. Cost Share Payment

C. Compliance Criteria D. Responsiveness Criteria E. Other Eligibility Requirements

i. Requirements for DOE/NNSA and Non-DOE/NNSA FFRDCs Included as a Subrecipient F. Limitation on Number of Concept Papers and Full Applications Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Application Process

i. Additional Information on EERE eXCHANGE

B. Application Forms C. Content and Form of the Concept Paper subject line.

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D. Content and Form of the Full Application

i. Full Application Content Requirements

ii. Technical Volume

iii. Resumes

iv. Cost Share Commitments

v. Partnership Documentation

vi. Community BenefitsBenefitsBenefits Documentation

vii. Statement of Project Objectives (SOPO)

viii. SF-424: Application for Federal Assistance

ix. Budget Justification Workbook

x. Summary for Public Release

xi. Summary Slide

xii. Subrecipient Budget Justification (if applicable)

xiii. Project Impact Calculation

xiv. Budget for DOE/NNSA FFRDC (if applicable)

xv. Authorization for Non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)

xvi. SF-LLL: Disclosure of Lobbying Activities (required)

xvii. Waiver Requests (if applicable)

xviii. Open-Source Software Distribution Plan

xix. Community Benefits Plan: Job Quality and Equity

xx. Current and Pending Support

xxi. Locations of Work

xxii. Transparency of Foreign Connections

xxiii. Potentially Duplicative Funding Notice

E. Content and Form of Replies to Reviewer Comments F. Post Selection Information Requests G. Unique Entity Identifier (UEI) and System for Award Management (SAM) H. Submission Dates and Times I. Intergovernmental Review J. Funding Restrictions

i. Allowable Costs

ii. Pre-Award Costs

iii. Performance of Work in the United States (Foreign Work Waiver)

iv. Construction

v. Foreign Travel

vi. Equipment and Supplies

vii. Build America Buy America Requirements for Infrastructure Projects

viii. Davis-Bacon Act Requirements

ix. Lobbying

x. Risk Assessment

xi. Invoice Review and Approval

xii. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs

xiii. Affirmative Action and Pay Transparency Requirements

xiv. Foreign Collaboration Considerations

V. Application Review Information

A. Technical Review Criteria

i. Concept Papers

ii. Full Applications

iii. Criteria for Replies to Reviewer Comments

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors subject line.

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D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Interviews

iii. Pre-Selection Clarification

iv. Recipient Integrity and Performance Matters

v. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

A. Award Notices

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

iv. Applicants Selected for Award Negotiations

v. Alternate Selection Determinations

vi. Unsuccessful Applicants

B. Administrative and National Policy Requirements

i. Registration Requirements

ii. Award Administrative Requirements

iii. Foreign National Participation

iv. Subaward and Executive Reporting

v. National Policy Requirements

vi. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

vii. Applicant Representations and Certifications

viii. Statement of Federal Stewardship

ix. Statement of Substantial Involvement

x. Subject Invention Utilization Reporting

xi. Intellectual Property Provisions

xii. Reporting

xiii. Go/No-Go Review

xiv. Conference Spending

xv. Uniform Commercial Code (UCC) Financing Statements

xvi. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

xvii. Participants and Collaborating Organizations

xviii. Current and Pending Support

xix. U.S. Manufacturing Commitments

xx. Interim Conflict of Interest Policy for Financial Assistance

xxi. Fraud, Waste, and Abuse

xxii. Human Subjects Research

VII. Questions/Agency Contacts

VIII. Other Information

A. FOA Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information E. Evaluation and Administration by Non-Federal Personnel F. Notice Regarding Eligible/Ineligible Activities G. Notice of Right to Conduct a Review of Financial Capability H. Requirement for Full and Complete Disclosure I. Retention of Submissions J. Title to Subject Inventions subject line.

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K. Government Rights in Subject Inventions L. Rights in Technical Data M. Copyright N. Export Control O. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment P. Personally Identifiable Information (PII) Q. Annual Independent Audits

Appendix A – Impact Calculator

Appendix B – Infographics Depicting State and Local Implementation Trends

Appendix C – Waiver Requests For: 1. Foreign Entity Participation; and 2. Foreign Work

Waiver for Performance of Work in the United States (Foreign Work Waiver)

Appendix D – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials

Appendix E – Open-Source Software

Appendix F – List of Acronyms

Questions about this FOA? Email RECI_FOA@ee.doe.gov Problems with EERE Exchange? Email EERE-ExchangeSupport@hq.doe.gov. Include FOA name and number in subject line

I. Funding Opportunity Description

A. Background and Context The U.S. Department of Energy’s (DOE) Office of Energy Efficiency and Renewable Energy (EERE) Building Technologies Office (BTO) is issuing this Funding Opportunity Announcement (FOA). Awards made under this FOA will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act,1 more commonly known as the Bipartisan Infrastructure Law (BIL).

BIL is a once-in-a-generation investment in modernizing and upgrading American infrastructure to enhance U.S. competitiveness and resilience, drive the creation of good-paying union jobs, tackle the climate crisis, and ensure strong access to economic, environmental, and other benefits for disadvantaged communities2 BIL appropriates more than $62 billion to the U.S. Department of Energy (DOE)3 to invest in American manufacturing and workers; expand access to energy efficiency and clean energy; deliver reliable, clean, and affordable power to more Americans; and demonstrate and deploy the technologies of tomorrow through clean energy demonstrations.

DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a zero-carbon electricity system by 2035, and to put the United States on a path to achieve net-zero emissions economy-wide by no later than 20504 to benefit all Americans.

1 Infrastructure Investment and Jobs Act, Public Law 117-58 (November 15, 2021).

https://www.congress.gov/bill/117th-congress/house-bill/3684. This FOA uses the more common name Bipartisan Infrastructure Law.

2 Pursuant to E.O. 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, and the Office of Management and Budget’s Interim Justice40 Implementation Guidance Addendum to M-21-28 and M-23-09, DOE recognizes disadvantaged communities as identified by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, and as defined to include all Federally Recognized Tribes and Tribal entities, whether or not they have land. See M-23-09., https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf. For information on other aspects of Justice40 implementation, see DOE’s Justice40 Implementation Guidance, located at https://www.energy.gov/sites/default/files/2022- 07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

3 U.S. Department of Energy. November 2021. “DOE Fact Sheet: The Bipartisan Infrastructure Deal Will Deliver for American Workers, Families and Usher in the Clean Energy Future.” https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 4 Executive Order (EO) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.congress.gov/bill/117th-congress/house-bill/3684 https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ subject line

EERE plays a critical role in supporting these investments and the equitable transition to a clean-energy economy by 2050. One of EERE’s key programmatic priorities is reducing the carbon footprint of America’s buildings, which BTO directly upholds through the development, demonstration and adoption of technologies, techniques, tools, and services that enable high-performing, energy-efficient and demand-flexible residential and commercial buildings. BTO accomplishes this through a continuum of market transformation initiatives, including technology research and development (R&D), market stimulation and technology deployment, as well as ensuring that cost-effective technologies and practices can be incorporated into standard design and construction practices through building codes and equipment standards. This work is critical, as the United States spends over $400 billion each year to power our homes and commercial buildings, which consume 75 percent of our nation’s electricity, 40 percent of our total energy, and account for 35 percent of national CO2 emissions.5 Energy efficiency represents a proven and low-cost way to save money and reduce energy burden for home and building owners, while supporting and increasing the competitiveness of our businesses and ultimately helping mitigate the climate crisis.6

i. Program Purpose

Section 40511 of the Bipartisan Infrastructure Law (BIL), titled Cost-Effective Codes Implementation for Efficiency and Resilience, invests $225 million over five

(5) years, encompassing fiscal years (FY) 2022 through 2026, to “enable sustained cost-effective implementation of updated building energy codes.”

EERE announced an initial $90 million in funding through the first installment of the Resilient and Efficient Codes Implementation (RECI) FOA on July 20237. The current FOA represents the second installment in the RECI initiative, which maintains the same broad format, flexibility, and crosscutting areas of interest, while emphasizing and prioritizing specific gaps, needs, and opportunities to support building energy codes identified as focal points through the first RECI FOA and continued stakeholder engagement. This FOA will continue to support the goals and specification of BIL Section 40511, as well as a broader government-wide approach to advancing building codes and supporting their successful implementation. The FOA will continue to support States, and Tribal and local governments pursuing more efficient building energy codes that save money for American homes and businesses, while maximizing the benefits of the clean energy transition, empowering workers, supporting resilience, and

5 https://www.energy.gov/articles/secretary-granholm-announces-new-building-energy-codes-save-consumers-money-reduce-impacts 6 https://www.energy.gov/eere/buildings/about-building-technologies-office 7 https://www.energy.gov/articles/biden-harris-administration-announces-90-million-support-resilient-and-efficient-building mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.energy.gov/articles/secretary-granholm-announces-new-building-energy-codes-save-consumers-money-reduce-impacts https://www.energy.gov/articles/secretary-granholm-announces-new-building-energy-codes-save-consumers-money-reduce-impacts https://www.energy.gov/eere/buildings/about-building-technologies-office https://www.energy.gov/articles/biden-harris-administration-announces-90-million-support-resilient-and-efficient-building https://www.energy.gov/articles/biden-harris-administration-announces-90-million-support-resilient-and-efficient-building subject line advancing environmental justice. Updated energy codes, as supported by this FOA, can have an even larger impact on disadvantaged communities by reducing energy bills and energy burden on households, as well as improving climate resilience to allow occupants to maintain comfort and safety when extreme temperatures coincide with a loss of energy systems. This FOA also supports the Biden-Harris Administration’s National Initiative to Advance Building Codes, launched in June 2022 by the National Climate Task Force, to accelerate adoption of modern building codes to improve resiliency, create good-paying jobs, and lower energy bills.

Since inception of this BIL Section 40511 initiative, additional federal assistance supporting building energy codes has also been made available via the Inflation Reduction Act (IRA).8 Section 50131 of the IRA, titled Assistance for Latest and Zero Building Energy Code Adoption, provides an additional $1 billion in grants supporting adoption and implementation of the latest model energy codes and zero energy codes, or codes with equivalent or greater energy savings.9 See Section I.A.iii for more information on the relationship between the BIL and IRA initiatives, and how each can be leveraged toward common goals supporting energy code adoption and implementation.

The following sections provide further background on DOE’s support for building energy codes, opportunities to support their adoption and implementation, and the resulting benefits to States, 10 local and Tribal governments as well as homes and businesses across the U.S.

DOE Support for Building Energy Codes The U.S. Department of Energy has over a 30-year history of providing technical assistance supporting the advancement of building energy codes. This role spans the spectrum of building energy code policy development and implementation, including: (1) Support for the development of next-generation model codes and standards; (2) Support for States and local governments as they adopt, implement, and enforce energy codes; (3) Support for the design and construction industry in embracing the latest building standards in terms of workforce development and increased building resilience. By statute, DOE is directed to participate in industry development and consensus processes to review and update model building energy codes, review published editions of

8 See Inflation Reduction Act of 2022 - Section 50131. Assistance for Latest and Zero Building Energy Code Adoption. https://www.congress.gov/bill/117th-congress/house-bill/5376/text.

9 See IRA Codes for more information: https://www.energy.gov/scep/technical-assistance-adoption-building-energy-codes.

10 “State” includes each of the several States, the District of Columbia, the Commonwealth of Puerto Rico, and any territory and possession of the United States.

mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.congress.gov/bill/117th-congress/house-bill/5376/text https://www.energy.gov/scep/technical-assistance-adoption-building-energy-codes subject line the International Energy Conservation Code (IECC) and Standard 90.1 and issue determinations as to whether the updated editions will increase energy efficiency in residential and commercial buildings, respectively. Following the promulgation of these determinations, DOE is directed by statute to provide technical assistance supporting the implementation of State building energy efficiency codes. Collectively, these activities directly impact the advancement of energy codes and innovative approaches, such as building performance standards for existing buildings, and help ensure a more resilient, efficient, and decarbonized building future.

Section 40511 of the Bipartisan Infrastructure Law (BIL) directs the Secretary of Energy to establish a competitive program enabling sustained cost-effective implementation of updated building energy codes. This complements—and significantly amplifies—DOE’s traditional role, enabling the Department to expand its technical and financial assistance and increase its overall impact on building energy codes and standards. This FOA encompasses the directive issued under Section 40511 and is a primary mechanism by which DOE is expanding its technical assistance offerings, with the goal of bolstering the successful, widespread, and sustained implementation of updated building energy codes by States, Tribal and local governments, and across the United States and a range of critical stakeholders.

Role of Building Energy Codes Building energy codes establish minimum levels of energy efficiency for certain residential and commercial buildings. Model energy codes, such as the International Energy Conservation Code (IECC) and ANSI/ASHRAE/IES Standard 90.1,11 are developed and updated through national consensus processes. States and local and Tribal governments ultimately implement energy codes, which is handled through various adoption, compliance, and enforcement processes and can vary widely across the United States. The implementation of building energy codes also depends on a significant number of entities, including State, Tribal and local and Tribal government agencies, building and safety departments, builders, contractors, and design professionals, as well as a number of affected community interests. Successful implementation of the latest building codes and standards is critical to ensuring their benefits, including utility bill savings, are realized in American homes and businesses.

Building energy codes have long been utilized by States, local and Tribal governments to regulate energy efficiency and conservation in the built

11 Standard 90.1 is administered and published by the American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) in partnership with the American National Standards Institute (ANSI) and the Illuminating Engineering Society (IES).

mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov subject line environment while delivering utility bill savings. Increasingly, States, local, and Tribal governments are also relying on building codes, including energy codes, as a primary means of supporting their broader affordability, energy, climate, and resilience goals. There is an emergence of innovative approaches which are complementary to more traditional building energy codes while still being measurable, verifiable, and enforceable. Innovative codes include “stretch codes,” which make use of the latest technologies, design, and construction practices, and target advanced levels of efficiency and performance in new construction and major renovations, and building performance standards for existing buildings. States and municipalities are working to address excess emissions and energy use in existing buildings by enacting measurable, verifiable, and enforceable building performance standards, which set requirements for a building to meet certain performance targets or implement cost-effective retrofits and upgrades if targets are not met.

The energy code is just one of several types of building codes that help contribute to the overall health, safety, efficiency, and long-term resilience of buildings. Energy codes can be adopted directly as a standalone code, such as the IECC, which is commonly adopted by States and local governments.

However, they are also fundamental components of some of the most broadly adopted building codes in the world, including the International Building Code (IBC) and International Residential Code (IRC), which are referenced in the United States as “parental” codes.12 Energy codes are often described as a subset of these broader building codes, representing distinct chapters of the IBC and IRC alongside other commonly recognized provisions, such as those pertaining to structural, plumbing or electrical requirements, and other basic aspects of building design and construction. In addition, updates to refrigerant approvals at the State and local level that allow for the installation of equipment that utilize refrigerants with lower global warming potential in accordance with the Environmental Protection Agency’s Significant New Alternatives Policy Program along with energy code updates helps to support the transition to a clean energy economy.

Building Resilience Adopting the current building codes helps ensure that building design and construction adheres to modern standards, which are continually evolving and improving based on the latest construction practices and technological advancements. This serves to protect the health and life-safety of building occupants, as well as optimize building performance. One key area where energy codes work in concert with other building code provisions, like fire, mechanical, 12 The IBC and IRC are published by the International Code Council (ICC) subject line and plumbing requirements, is to enhance building resilience. Building energy resilience can take multiple forms, with the two most prominent benefits being passive survivability and grid resilience. Passive survivability is the ability of building occupants to safely shelter in-place during an extreme temperature event that coincides with a power outage. Energy code measures like high efficiency windows and wall insulation greatly reduce heat loss in a building (i.e., allowing it to remain comfortable longer) which helps ensure the habitability and safety of occupants until power and energy systems are restored. As noted in a recent DOE study, a home built to the latest model code (2021 IECC) can increase the number of days an occupant can safely shelter in place, compared to an average existing home, depending on the climate zone and type of extreme event—while implementing a more efficient stretch code can increase the number of “days of safety” even further.13 Not only do energy codes save building owners money on utility bills and improve comfort, but they also save lives in the communities where they are implemented.

Similarly, grid resilience measures can help decrease the risk of power system failures or provide benefits in the form of a more dynamic power system.

Distributed energy resources (DERs) and grid-flexible appliances, like grid-connected water heaters or thermal and battery storage technologies, can be managed by utility companies to reduce energy consumption during times of peak demand, potentially helping to avert major power outages on the grid.

Adopting and implementing the latest building energy codes help create buildings which are affordable, healthy, safe, comfortable, and resilient—for decades into the future.

Latest National Model Energy Codes The latest model energy codes, the 2021 IECC and ANSI/ASHRAE/IES Standard 90.1-2022, represent the most up-to-date minimum energy-efficient design and construction practice requirements available to States and jurisdictions to reduce building energy use, utility costs, and greenhouse gas emissions.14 Updated model energy codes provide significant energy savings and environmental benefits, as exhibited through recent DOE model energy code

13 https://www.energycodes.gov/sites/default/files/2023-07/Efficiency_for_Building_Resilience_PNNL- 32727_Rev1.pdf 14 DOE is directed by federal law to review published editions of the national model codes, the IECC and Standard 90.1, and issue a determination as to whether the updated edition will increase energy efficiency and residential and commercial buildings, respectively (42 USC 6833). Learn more about DOE’s role in issuing energy savings determinations at www.energycodes.gov/determinations.

mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.energycodes.gov/sites/default/files/2023-07/Efficiency_for_Building_Resilience_PNNL-32727_Rev1.pdf https://www.energycodes.gov/sites/default/files/2023-07/Efficiency_for_Building_Resilience_PNNL-32727_Rev1.pdf http://www.energycodes.gov/determinations subject line determinations.15,16 Figure 1 shows historical energy code improvements over time.

Figure 1 Model residential and commercial energy codes continue to improve, due to ongoing efforts to improve building construction through higher efficiency windows and walls, lighting, HVAC, and other components and practices.

Current Energy Code Adoption Status While model codes have improved significantly in recent years, many States and local governments are still using relatively older and outdated energy codes. The BIL and IRA provisions supporting building energy codes are intended to provide much needed support for States, Tribal and local governments updating and implementing their energy codes. Significant benefits can be realized by adopting and implementing the latest energy codes for residential and commercial buildings. Further, many States and local governments are integrating traditional policy mechanisms, like building codes, with innovative concepts such as “stretch” codes,17 zero energy or zero carbon codes, and building performance standards.18 As jurisdictions consider updates to their building energy codes, DOE emphasizes the importance of developing

15 Determination of Energy Savings for ANSI/ASHRAE/IES Standard 90.1-2022, https://www.energycodes.gov/determinations 16 Determination of Energy Savings for the 2021 International Energy Conservation Code (IECC), https://www.regulations.gov/document/EERE-2021-BT-DET-0010-0006 17 Stretch codes can take many forms, but generally represent advanced standards above and beyond minimum code requirements.

18 Building performance standards (BPS) are codes for existing buildings that, in combination with new construction codes, enable a life-cycle approach to building energy and emissions performance.

mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.energycodes.gov/determinations https://www.regulations.gov/document/EERE-2021-BT-DET-0010-0006 subject line sustainable plans to support such updates over time. The current state of adoption of residential and commercial building energy codes varies across the country as displayed in Figures 2 and 3, respectively.

Figure 2 Status of energy code adoption across U.S. states relative to the 2021 IECC for residential buildings.

As of 12/28/2023.

Figure 3 Status of energy code adoption across U.S. states relative to ANSI/ASHRAE/IES Standard 90.1 -2019 for commercial buildings. As of 12/28/2023.

Support for Code Compliance In addition to code adoption, building energy code compliance and enforcement helps ensure that the energy efficiency, cost savings, health, and resilience benefits associated with energy codes are realized in practice. It is well-established that building energy codes provide significant benefits to building owners, homeowners, and residents when regularly updated and effectively subject line implemented at the State and local level.19 However, effective code compliance is dependent on a wide range of dissociated actors, from design professionals, to builders and trades, manufacturers, suppliers and industry trade organizations, to building officials, existing across a spectrum of national, regional, State, Tribal and localized entities and organizations. This range of actors highlights the integrated nature of compliance, and critical role of partnerships in supporting the successful implementation of energy codes.

A primary barrier to effective energy code implementation is ensuring adequate resources are available at the State, Tribal and local level, particularly for State agencies and bodies responsible for adopting and administering codes, and local building departments who are charged with enforcing building codes. State and local jurisdictions commonly cite insufficient funding, time and personnel— including lack of specialized skillsets to review plans and conduct field inspections—as impeding the successful implementation of building energy codes. BIL provides a unique opportunity to address this barrier, with the potential to support State, Tribal and local jurisdictions in hiring compliance and enforcement personnel (sometimes referenced as “capacity building”) to help implement and enforce their energy codes, including the specialized skillsets and third-party personnel, where needed.

Field validation studies, often referenced as compliance studies, have also demonstrated additional benefits in the form of energy, cost, and GHG emissions savings through improved rates of compliance. This is often achieved through education and training initiatives, compliance tools and other compliance-improvement programs. A series of recent pilot studies across seven states found that potential lost savings from non-compliance was high—$18 million annually across the pilot states—and targeted education and training programs were effective at improving compliance rates and thereby reducing energy, costs and GHG emissions. Cumulatively, education and training in these pilot states were estimated to have a savings potential of over $3.5 billion, and to reduce carbon emissions of over 100 million metric tons (CO2e),20 over 30 years.21 Based on these initial pilot studies, which were supported through a previous DOE building energy code technical assistance initiative, over 30 states have subsequently implemented energy code field studies to better understand compliance trends, identify common energy technologies and practices being applied in the field, better target ongoing energy code education and training initiatives and increase return-on-investment (ROI), and to validate the overall impacts of their codes.

19 National and State Level Energy Code Analyses: https://www.energycodes.gov/national-and-state-analysis 20 Carbon dioxide equivalent 21 Field Validation Studies: https://www.energycodes.gov/residential-energy-code-field-studies mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.energycodes.gov/national-and-state-analysis https://www.energycodes.gov/residential-energy-code-field-studies subject line

Energy Code Impacts The positive impacts from the advancement and effective implementation of energy codes and standards at the State, Tribal and local level cannot be overstated. Model energy codes are projected to deliver over $182 billion energy cost savings and 840 million metric tons of avoided CO2 emissions to American homes and businesses (2010 through 2040).22 This is in addition to the everyday benefits offered by building codes in the form of increased health, comfort, life-safety, durability, and performance. However, these benefits can only be fully realized if States, Tribal and local governments regularly update and successfully implement their energy codes, including active compliance and enforcement programs, in accordance with the latest standards.

The impact of building energy codes at the State, Tribal and local levels are influenced by factors such as the efficiency of adopted codes, total construction, and degree to which they are implemented, including high rates of compliance and widespread enforcement. Jurisdictions with outdated codes, particularly those with outdated codes or significant construction volume, will see significant long-term energy, cost, and emissions savings by adopting the latest model codes. DOE has provided a series of infographics in Appendix B highlighting the potential energy cost savings associated with State code updates.

In addition, jurisdictions adopting modern energy codes will see benefits in the form of improved health, comfort, durability, and resilience outcomes. The latest energy codes enable building occupants to shelter in place during hazard events and save lives under extreme temperatures23. Energy codes also support more equitable outcomes for building occupants, ensuring that minimum standards for energy efficiency and performance are met for all residential and commercial buildings, and locking in energy and cost savings over the life of the building.

Among the top States with the greatest energy cost savings potential, through adoption of the latest codes, many also exhibit the greatest percentage of census tracts with high energy burden24.

This FOA is intended to support a broad range of energy code activities and outcomes and will ensure the many known and quantifiable benefits of energy codes become a reality across the United States.

22 https://www.energycodes.gov/impact-analysis 23 https://www.energycodes.gov/energy-resilience 24 https://www.census.gov/library/stories/2023/05/persistent-poverty-areas-with-long-term-high-poverty.html mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.energycodes.gov/impact-analysis https://www.energycodes.gov/energy-resilience https://www.census.gov/library/stories/2023/05/persistent-poverty-areas-with-long-term-high-poverty.html subject line

ii. Strategic Goals and Program Structure This FOA seeks applications with project teams ready to advance building energy codes within a particular region, state, or local jurisdiction. To drive sustained improvements, BIL emphasizes the importance of strategic partnerships, which must include a State or Tribal government agency, and may include other organizations, such as State or local building departments, builders, contractors, architects, engineers, other design and construction professionals, academia, research, trade organizations, consumer advocates, regional or community energy efficiency organizations, labor unions, apprenticeship programs, and other stakeholders who play an important role supporting the successful adoption and implementation of building codes. Funding provided through this FOA is specifically designed to update building energy codes and ensure the cost-effective implementation of these updated codes at the state and local level.

DOE recognizes that there are many strategies which can help ensure effective implementation of building energy codes. Common examples include workforce development initiatives, from registered apprenticeships to more traditional energy code training programs (virtual or in-person) and mapping of career pathways supporting building codes, to tools and other resources enabling increased compliance and reduced enforcement burden, including compliance tools, and resources supporting plan review and in-field assessments. DOE also recognizes that challenges impeding energy code compliance can vary widely across states, localities, and construction regions, and there is no single solution.

DOE conducted an extensive stakeholder engagement process in anticipation of this BIL initiative, which is available to applicants and the public, but is ultimately relying on project teams to identify the most appropriate approach and strategy, and to understand the unique challenges, needs, motivations, and diverse perspectives of stakeholders in the targeted region.

As part of the whole-of-government approach to advance equity and encourage worker organizing and collective bargaining,25,26,27 and in alignment with BIL sections 40511, Cost-Effective Codes Implementation for Efficiency and Resilience, this FOA and any related activities will also seek to encourage applicants to participate in meaningful engagement and participation of workforce organizations, including labor unions, as well as disadvantaged communities, including Indian Tribes. Consistent with Executive Order 14008,28

25 EO 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government,” January 20, 2021. EO 14091, “Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government,” February 16, 2023.

26 EO 14025, “Worker Organizing and Empowerment,” April 26, 2021.

27 EO 14052, “Implementation of the Infrastructure Investment and Jobs Act,” November 18, 2021.

28 EO 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

subject line this FOA is designed to help meet the goal of the President’s Justice40 Initiative that 40% of the overall benefits of the Administration’s investments in clean energy and climate solutions be delivered to disadvantaged communities, as identified using the Climate and Economic Justice Screening Tool,29 and to drive creation of accessible, good-paying jobs with the free and fair chance for workers to join a union. DOE believes that modern building codes, including energy codes and associated implementation activities, can help meet these objectives, and is supporting activities which can address climate impacts, affordability challenges and alleviate energy insecurity, while pursuing housing that is energy efficient, comfortable, safe, healthy, and resilient. Teams that can effectively engage a diverse group of stakeholders at the state and local level are essential in meeting the goals of the Justice40 Initiative, the Administration’s good jobs priorities, and ensuring the clean energy transition in buildings is lasting and equitable across the U.S.

In preparing for this FOA and BIL technical assistance initiative, DOE conducted extensive engagement and stakeholder outreach to identify prominent needs and challenges impeding energy code implementation, explore, prioritize, and validate topics of interest, and establish key desired outcomes. Several topics are specified directly in Section 40511 of the BIL, while others were confirmed as key priorities through the engagement process.

The key areas of interest targeted under the current FOA include:

1. State and Local Code Adoption

2. High Impact States and Local Jurisdictions*

3. Rural Communities*

4. Tribal Governments*

5. Workforce Development

6. Implementation and Compliance

7. Innovative Approaches

8. Utility Data and Partnerships*

9. Energy, Equity, and Environmental Justice

10. Partnerships

* Indicates new area of interest since previous RECI FOA

Each is discussed in further detail in the Topics section of this FOA. Several of these topics are consistent with those targeted in the initial installment of BIL funding under the previous RECI FOA, recognizing that these activities are critical

29 See https://screeningtool.geoplatform.gov. Federally Recognized Tribes and Tribal entities are also disadvantaged or Justice40 communities, whether or not they have land.

mailto:RECI_FOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.whitehouse.gov/environmentaljustice/justice40/ https://www.whitehouse.gov/environmentaljustice/justice40/ subject line to supporting building energy code adoption and implementation, and consistent support is needed in these areas. In addition, DOE has identified several additional areas of interest through the previous RECI FOA, as well as through continued stakeholder engagement. These additional areas of interest represent gaps, needs and opportunities to further support code adoption and implementation, and have been added to this next funding installment under the RECI initiative.30 Applicants are encouraged to incorporate these new areas of interest into their project plans, while also addressing additional areas of interest and needs in the targeted region.

In addition, DOE has identified several key outcomes targeted under the FOA:

- Developing the next-generation workforce

- Facilitating energy code updates

- Improving energy code compliance

- Advancing new and innovative codes approaches and tools

- Increasing equity in codes and planning

Applicants are encouraged to align their project objectives and activities with these outcomes to the greatest extent possible, practicable, and as appropriate within a targeted region. DOE understands that projects may contain aspects that fit into multiple areas of interest, and as a result, applicants are not limited to submitting project ideas that only align with one area of interest, and are encouraged to address multiple areas of interest in a crosscutting manner, as applicable within the targeted state or project region. To aid in this, DOE has provided a series of infographics in Appendix B highlighting relevant state and local code implementation trends, including current state adoption status relative to the latest editions of the model energy codes, states and local governments with the potential to adopt stretch codes, and states who have conducted a recent compliance study, among others. Applicants are encouraged to review these infographics, and consider related trends, when tailoring their activities supporting code implementation.

The remainder of this section focuses on program structure and is intended to communicate key issues and criteria which are specified in the BIL or fundamentally shape the initiative.

30 Newly added areas of interest are marked with an asterisk (*) and are discussed further under the Topics section of this FOA.

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Eligible Entities The BIL specifies eligible entities as a relevant State agency (including Territorial agencies) or Tribal government, as determined by the Secretary of Energy.

Examples include state building code agencies, state energy offices, or Tribal energy offices. In addition, partnerships are eligible entities, which must include a state agency or Tribal government, and one or more of the following:

• local building code agencies;

• codes and standards developers;

• associations of builders and design and construction professionals;

• local and utility energy efficiency programs;

• consumer, energy efficiency and environmental advocates; and

• other entities as determined by the Secretary.

Further, Section 40511 of the BIL indicates that priority shall be given to applications from partnerships.

DOE encourages project teams to be as inclusive as possible and emphasize the need to engage a range of affected interests, particularly those who are critical to energy code updates and implementation. DOE recognizes that there are a wide variety of entities and stakeholder interests beyond the list specified above, who play a critical role in support building code adoption and implementation, including State and local housing agencies, financing agencies, insurance providers, and regulatory agencies, among others. Although a State or Tribal Government agency is eligible to apply for this FOA independently, partnerships are preferred. Under a partnership, a State or Tribal Government agency is not required to serve as the prime applicant or prime recipient, and funding does not need to flow through these agencies. Applications should include robust and effective regional, State and/or community and Tribal partnerships with a demonstrated capacity to successfully implement the project in a sustainable way. Where capacity does not exist for successful implementation of the project, applications should incorporate capacity-building strategies as part of the project proposal. Applicants are required to demonstrate commitment from partners and key stakeholders, where applicable based on the eligibility criteria,31 including at least one State and/or Tribal Government agency as part of each partnership. Formal letters of support are required as a means of demonstrating requisite partnerships.32 Applicants should establish a partnership and team structure which best supports the goals, objectives, and activities of the

31 See above and as outlined in Section III of the FOA 32 This includes scenarios where a state agency is not a funded project partner but must still actively participate as part of a project partnership subject line proposed project, and which can maximize available resources, while supporting the overall goals of the program.

Additionally, DOE recognizes the important role of local governments, and expects to receive applications from entities other than States and Tribal agencies within a given State. A local government is not required to apply with the State from which it resides, but the local government must apply as part of a partnership with at least one eligible entity. Several key activities specified in the BIL can, or may be best positioned to, be carried out at the local level, whether by local governments, community organizations, or other localized stakeholders.

For example, energy code education and training programs can be administered by a State agency, but in other cases may be administered locally, or by an industry or academic body such as a trade organization or community college, respectively. The emergence of innovative approaches, such as stretch codes, zero energy codes, zero carbon codes, and building performance standards, has taken place largely at the local level, and DOE foresees interest from various local governments in these topics. Recognizing these factors, that some States provide home rule authority,33 and that some States may choose not to participate in this program, DOE may accept applications where one or more State agencies partner with other States, local governments, and other stakeholders in a cohort-based approach.