LEGAL NOTICE TOWN of WINDSOR, CONNECTICUT REQUEST FOR QUALIFICATIONS Energy Performance Contracting Services

LEGAL NOTICE TOWN of WINDSOR, CONNECTICUT REQUEST FOR QUALIFICATIONS Energy Performance Contracting Services Sealed responses for the above services will be received until 10:00 AM on August 28, 2014. At a latter date, responses to this Request for Qualifications (RFQ) will be available for review by the public. Letters of intent to respond must be submitted by 10:00 a.m. on August 1, 2014. The Town reserves the right to: amend or terminate this Request for Qualifications; accept all or any part of a proposal; reject all proposals; waive any informalities or non material deficiencies in a proposal; and award the proposal to the Respondent that, in its judgment, will be in the Town s best interests. Specifications are available on the Town of Windsor website, www.townofwindsorct.com. 1

TOWN of WINDSOR, CONNECTICUT REQUEST FOR QUALIFICATIONS FOR ENERGY PERFORMANCE CONTRACT SERVICES The Town of Windsor, Connecticut, (hereinafter referred to as the Town ) seek proposals from Energy Services Companies (Contractor) to conduct investment grade energy audits of Clover Street Elementary School and implement an Energy Savings Performance Contract. The Contractor will identify and implement building improvements to reduce energy and related costs in this facility, so that the annual cost savings in excess of payments to the Contractor resulting from the improvements are applied to the annual payments of the cost of the improvements. One (1) original and six (6) copies of sealed proposals must be received by the date and time as noted on page 6 of the RFQ. Also include one electronic version of the proposal in one single PDF document. The sample audit can also be supplied in PDF format. The Town will not accept submissions by e mail or fax. The Town also will reject proposals received after the date and time noted above. The documents comprising this Request for Qualifications, as described below, may be obtained on the Town of Windsor website at: www.townofwindsorct.com. Proposals must be held firm and cannot be withdrawn for sixty (60) calendar days after the opening date. The Town reserves the rights to: amend or terminate this Request for Proposals; accept all or any part of a proposal; reject all proposals; waive any informalities or non material deficiencies in a proposal; and award the proposal to the Respondent that, in its judgment, will be in the Town s best interests. 2

Request for Qualifications (RFQ) for: Energy Performance Contract Services to be provided under Guaranteed Energy Performance Savings Contracts with the Town of Windsor, Connecticut for Clover Street Elementary School 3

Table of Contents 1. Introduction...5 2. General Information...8 3. Statement of Qualifications Format and Preparation Instructions...16 4. Selection Criteria...25 5. Appendix....31 6. Glossary 40 4

1. Introduction and Submittal Instruction The Town of Windsor, Connecticut (hereafter referred to as the Town ) seek responses from qualified Energy Services Companies ( ESCOs ) to this Request for Qualifications (RFQ). The RFQ is for ESCOs that are interested in providing a comprehensive, performance based, Energy Performance Contract Services (EPCS) with guaranteed savings at Clover Street Elementary School in the Town. Electronic copies of the RFQ and Attachments are posted at: www.townofwindsorct.com. Over the past year, the Town has engaged in a review of this school to identify opportunities for energy savings as well as related infrastructure renewal needs. The Town has identified this capital project, with costs in excess of millions of dollars, that would reduce energy use, improve equipment reliability, increase building control, reduce maintenance and repair costs, and improve occupant comfort. The Town wants to determine if guaranteed energy savings generated by this project are sufficient to fund all or some of costs of this project over a term 20 years or less. The Town seeks the services of an Energy Services Company that the Town would contract with independently to complete an Investment Grade Audit for the Town and prepare a proposal for design and construction of proposed energy conservation measures ( ECMs ) under a separate Energy Performance Contract Services Agreement. In considering the qualifications and capabilities of potential energy services providers responding to this RFQ, the Town will be looking for: An ESCO project team with strong references and an extensive record of highly successful performance contracting experience with facilities similar in type, size, and scope to those of the Town, such team being properly staffed with individuals who possess the requisite skills and expertise required throughout the term of the contract with the Town and the demonstrated ability to work effectively with client staff and their designated representatives; An ESCO with a proven track record of completing projects on time and to expected performance levels and whose pricing and achieved guaranteed savings meet the commitments made to clients; and An ESCO that will offer competitive, advantageous pricing for performing Investment Grade Audits and in its fees for the design, construction, and commissioning, etc. of projects, as markups applied to subcontractor work. Again, the Town would enter into a contract with the selected ESCO to provide the Energy Performance Contract Services envisioned by the RFQ. However, issuance of this RFQ and the selection of a preferred 5

ESCO as a result of responses submitted does not commit or bind the Town to entering into any contract or agreement with the selected ESCO. With the issuance of this RFQ, would be respondents are forbidden to contact the Town with respect to the services covered by the RFQ and the RFQ process, except through the formal communications channels outlined herein. Failure to conform to this restriction is grounds for the ESCO s disqualification from selection through this RFQ. 1.1 Letters of Intent to Respond (Required) Letters of Intent to Respond from ESCOs are required and are due by 10:00 AM, August 1, 2014. This will enable the Town to communicate additional information to prospective respondents. We encourage prospective responders to submit letters of intent ASAP via hard copy and email (przech@townofwindsorct.com). Letters of Intent to Respond should be submitted to The Town of Windsor at the following address: Whit Przech Town of Windsor 275 Broad Street Windsor, CT 06095 Only ESCOs that submit these Letters of Intent to Respond will be contacted to schedule the mandatory Facility Tours described below. 1.2 Facility Tours for Preliminary Energy Audits for RFQ Responses (Required) The Town will require that ESCOs intending to respond to this RFQ participate in Facility Tours to complete one or more Preliminary Energy Audits for inclusion in their RFQ response. More information will be provided to ESCOs who indicate their intent to respond to the RFQ, as instructed above. 1.3 ESCO Responses to the RFQ ESCO Responses to the RFQ are due: August 28, 2014 by 10:00 AM. Submittal requirements for ESCOs are described below, and the required submittal content is described in this RFQ. A responding ESCO shall submit one (1) original and six (6) hard copies, as well as one (1) single file electronic copy (on a portable media), of its Response according to the requirements described herein. Responses shall be marked: REQUEST FOR QUALIFICATIONS FOR ENERGY PERFORMANCE CONTRACTSERVICES and provided to: Whit Przech Town of Windsor 6

275 Broad Street Windsor, CT 06095 ATTN: RFQ for Energy Performance Contract Services Respondents will be evaluated using criteria set forth in this Request for Qualifications (RFQ), but the Town shall not be governed in this selection by any particular criteria and may choose to select the ESCO that, in the view of the Town and the Public Building Commission will best satisfy the interests of the Town. Further, the Town may cancel this RFQ, or may reject in whole or in part any and all Responses if the Town determines that cancellation or rejection is in their best interest. 1.4 RFQ Questions and Inquiries Please submit any questions and inquiries concerning this RFQ via email no later than August 14, 2014 to Whit Przech, Town of Windsor at przech@townofwindsorct.com with the Subject line RFQ FOR ENERGY PERFORMANCE CONTRACT SERVICES. Questions and Inquiries will be addressed in an Addendum that will be posted electronically at www.townofwindsorct.com. It is the responsibility of each ESCO to visit this website prior to the submittal deadline to ensure that the ESCO has the latest information posted. 1.5 Anticipated RFQ and Selection Schedule RFQ Posted and Advertised July 24, 2014 Letter of Intent to Respond Due 10:00 AM, August 1, 2014 Facility tours for Preliminary Energy Audits August 4 & 5, 2014 Deadline for ESCO Questions Due 10:00 AM, August 14, 2014 Addendum with Question Responses Posted August 22, 2014 Responses to RFQ Due 10:00 AM, August 28, 2014 Interviews and Selection By September 2014 7

2. General Information 2.1 Purpose of the RFQ The Town seeks responses to this Request for Qualifications from qualified Energy Services Companies ( ESCOs ) that are interested in providing comprehensive, performance based, Energy Performance Contract Services with guaranteed savings at Clover Street Elementary School. The Town has designated the Public Building Commission to select a qualified ESCO. The project will involve replacement and improvement of energy related equipment and systems, with design, construction, commissioning, financing, and other related Project related costs paid for through guaranteed annual savings generated by the Project over the term of the ESCO s contract with the Town. The Town intends to leverage energy savings achieved from these improvements to fund this capital improvement project to the greatest extent possible. The Town may consider additional improvements resulting in an overall program that is paid in whole or, at the sole discretion of the Town, in part from these guaranteed energy savings to ensure a comprehensive renewal of this Town facility. The Town hopes to implement this Project that will reduce energy use and costs, increase system reliability and reduce maintenance and repair expense, improve occupant comfort, and increase management and operations control. The Energy Performance Contract Services the Town desires from the ESCO include, without limitation: A Preliminary Energy Audit, to identify energy saving Project opportunities An Investment Grade Energy Audit (IGA) that includes detailed project specific equipment and design information, baseline information for determining savings, detailed financial analysis, procedures and protocols for commissioning projects, and measurement and verification of savings Design and construction of the energy saving and infrastructure modernization project at Clover Street Elementary School (e.g. the installation or modification of new and/or existing equipment which will: reduce energy consumption associated with heating, ventilation, and air conditioning systems, lighting systems, domestic hot water systems, and other energy devices. Innovative Project financing (optional at the Town s sole discretion) Innovative Project funding (e.g., sale of RECs or GHG credits or sale of efficiency benefits on the ISO New England Forward Capacity Market, optional at the Town s sole discretion) Commissioning and proactive maintenance and service programs and Town staff training Measuring and verifying Project savings 8

2.2 Facility Profiles A profile of Clover Street Elementary School is contained in Appendix 2. It is possible that additional facilities that were not included in this list may be added later at the discretion of the Town. The final list of facilities to be included in the IGA will be stipulated in the IGA agreement scope of work. 2.3 Current Building Information and Energy Expenses Current building information and energy consumption data for Clover Street Elementary School are referenced in Appendix 2. 2.4 Sample Preliminary Energy Audits As part of the RFQ response, Respondents will be required to complete Preliminary Energy Audits for sample facilities selected by the Town. Whit Przech will arrange a tour of the facilities as part of the RFQ proposal development process. 2.5 Sample Power Purchase Agreement As an optional additional submission to the RFQ response, Respondents who design, install, and own/operate renewable electricity generation under a Power Purchase Agreement (PPA) are invited to provide a copy of their standard PPA. 2.6 Investment Grade Energy Audit Contract The selected ESCO will have the right to negotiate a scope of work and contract for development of an Investment Grade Energy Audit (IGA) with the Town, the Town having no obligation to enter into such a contract with the selected ESCO. The IGA contract will specify the timetable, cost, and content of the IGA for the facility and provide for the provision of a Preliminary Energy Audit to enable the Town to select ECMs for inclusion in the IGA. The final deliverable associated with the IGA contract will be an Investment Grade Audit and Proposal for implementation of recommended ECMs. 2.7 Acceptance of the Investment Grade Energy Audit The Town may, at their sole discretion, eliminate any specific recommendation from the final IGA prior to the execution of an Energy Services Performance Contract. Removal of a recommendation at this stage will not result in any downward adjustment to the IGA fee. 9

As part of its consideration of the completed IGA Report and the recommendations of the ESCO, the Town may elect to proceed with all or any portion of the improvements proposed or recommended by the ESCO. Any such election under this subsection by the Town shall constitute acceptance of the IGA and entry into an ESPC for the purposes of payment of the IGA break up fee. 2.8 Energy Services Performance Contract Upon completion of an IGA Report 1, the Town will have the option to negotiate a final Scope of Work and finalize an Energy Services Performance Contract with the ESCO. The Scope of Work will describe the implementation of all or a portion of the ESCO s recommended improvements as presented in the IGA Report. At this point, the Town also may, at its discretion, decide not to proceed with an Energy Services Performance Contract 2. Upon reaching agreement on the final Scope of Work, the parties will enter into the Energy Services Performance Contract (ESPC), incorporating the negotiated Scope of Work with anticipated timeline, Project costs and guaranteed energy savings, proposed financing mechanisms and funding sources, commissioning requirements, the methods of measurement and verification, any operating and maintenance assumptions and requirements, and ESCO support services, among other provisions. The ESPC shall contain provisions detailing the ESCO s approach to implementing ECMs included in the final Scope of Work, including its approach to demonstrating how the guaranteed savings are achieved. Such ESPC also shall specify the ESCO s implementation and measurement strategies over the construction term and the performance term. 2.9 Contract Responsibility The selected ESCO shall assume total responsibility for the design and implementation of the Project as defined in the ESPC. The ESCO will be the prime contractor and the sole point of contact with regard to all contractual services, including but not limited to design, supervision, construction, installation, commissioning, security, training, and savings guarantee. Service and maintenance support, if required by the Town from the ESCO, shall be negotiated into the ESPC or under a separate agreement for a term and scope determined by the Town. 2.10 Standard Contract The Town will negotiate separate contractual agreements with the selected ESCO. The ESCOs shall include proposed IGA and ESPC agreements, as well as a PPA (if offered), for the Town to review. The Town may engage a third party to critique these agreements at the discretion of the Town. In addition, the Town may require the ESCOs to comply with IGA and ESPC template agreements under development by the State of Connecticut. 1 Reviewed and accepted by the Town and any third party agent the Town may choose to engage to conduct a technical review of the IGA Report 2 If the Town elects to not proceed with the proposed measures, the Town will reimburse the ESCO for the cost of the Investment Grade Audit at the previously negotiated price in the IGA audit contract. 10

2.11 Savings Guarantee The guaranteed savings provision shall be fully defined in the ESPC and shall be the measured reduction in fuel and energy usage and costs, as well as a reduction in operating or maintenance costs if the Town agrees to include such reductions, resulting from the implementation of the Scope of Services defined in the ESPC. Avoided capital investment by the Town will not qualify as savings for purposes of a guarantee. Guaranteed savings shall be determined when compared with an established baseline of previous fuel, energy, and operating or maintenance usage and costs (if applicable). Again, the Town will have the discretion to decide what reductions in cost are allowed for inclusion by the ESCO in guaranteed savings. The ESPC shall guarantee in writing to the Town the amount of energy savings (in native units) that will be achieved on an annual basis as a result of Projects undertaken through the ESPC. When there is an annual shortfall in savings, the ESCO shall reimburse the Town for the full value of the shortfall amount for that year when the shortfall exists. Reimbursement will be at the average cost per applicable unit of energy during the respective year that the shortfall has occurred. Methods for measurement and verification of guaranteed savings shall conform to the most recent standards established by the Federal Energy Management Program of the U.S. Department of Energy and the most recent International Performance Measurement & Verification Protocol (IPMVP). Any and all savings in excess of the guaranteed savings shall be the sole property of the Town and shall not carry forward or be applied to any past or future shortfalls. The Town reserves the right to terminate the ESPC following the completion of Projects by the ESCO and payment to the ESCO of any amounts due to the ESCO and, further, understands that under such early termination, the ESCO s obligation for guaranteed savings will also terminate. 2.12 Required Insurance and Bonds The ESCO shall be required to provide the Town with 100% payment and performance bonds for this Project from a surety company licensed to do business in the State of Connecticut and whose name appears on United States Treasury Department Circular 570. In response to this solicitation, ESCOs shall provide documentation demonstrating its ability to secure the aforementioned payment and performance bonds. The successful ESCO shall procure and maintain, in effect for the life of the agreement, insurance as required in the IGA Agreements and in the ESPC. The ESCO shall, at all times during the Contract, maintain in full force and effect: Employer's Liability, Workers' Compensation, Public Liability and Property Damage Insurance, including contractual liability coverage. All insurance shall be by insurers and for policy limits acceptable to the Town. Upon award, the ESCO will furnish the Town with certificates of insurance or other evidence satisfactory to Town to the effect that such insurance has been procured and is in force. The certificates shall contain the following express obligation: This is to certify that the policies of insurance described herein 11

have been issued to the insured for which this certificate is executed and are in force at this time. In the event of cancellation or material change in a policy affecting the certificate holder, thirty (30) days prior written notice will be given the certificate holder. For the purpose of the Agreement, ESCO shall carry the following types of insurance in at least the limits specified below: COVERAGE LIMITS OF LIABILITY Workers' Compensation: Statutory Employers' Liability: $500,000 Bodily Injury Liability: $2,000,000 each occurrence (except auto), $4,000,000 aggregate (except auto) Property Damage Liability: $2,000,000 each occurrence (except auto), $4,000,000 aggregate (except auto) Automobile Bodily Injury Liability: $2,000,000 each person, $4,000,000 each occurrence Automobile Property Damage Liability: $2,000,000 each occurrence Excess Umbrella Liability: $2,000,000 each occurrence Professional Liability: $2,000,000 CUSTOMER (The Town) shall be named as an additional insured under the liability and automobile insurance. The general liability insurance policy should contain a broad form general liability endorsement. 2.13 Taxes, Fees, Code Compliance, Licensing The ESCO shall be responsible for payment of any required permits, licenses, taxes or fees associated with the execution of the ESPC. The ESCO shall be responsible for compliance with all applicable laws and regulations. If there are tax credits that the Town is not qualified for, but the ESCO is, those savings shall be passed on from the ESCO to the benefit of the Town. The Town is exempt from the payment of federal excise taxes and Connecticut sales and use taxes. Certificates will be provided to the selected ESCO. Exemption from State sales tax is per Conn. Gen. Stat. Chapter 219, 12 412(1). 12

2.14 Affirmative Action, and Equal Opportunity Each Respondent must submit a completed Certification of Affirmative Action Program form included with this RFP. Respondents with fewer than ten (10) employees should indicate that fact on the Certification form and return the form with their proposal. 2.15 Nonresident Real Property Contractors If the successful Respondent is a nonresident contractor as defined in Conn. Gen. Stat. 12 430(7)(A) as amended, it shall comply fully with the provisions of 12 430(7) and, prior to execution of the Contract, shall furnish the Town with a copy of the requisite certificate of compliance set forth in 12 430(7)(E). The successful Respondent agrees to defend, indemnify, and hold harmless the Town, its employees, officers, officials, agents, volunteers and independent contractors, including any of the foregoing sued as individuals (collectively, the Town Indemnified Parties ), from any and all taxes, interest and penalties that the State of Connecticut asserts are due with respect to the successful Respondent s activities under the Contract. The successful Respondent shall also be required to pay any and all attorney s fees incurred by the Town Indemnified Parties in enforcing any of the successful Respondent s obligations under this section, whether or not a lawsuit is commenced, which obligations shall survive the termination or expiration of the Contract. 2.16 Compliance with Immigration Laws By submitting a proposal, each Respondent confirms that it has complied, and during the term of the Contract will comply with the Immigration Reform and Control Act ( IRCA ) and that each person it provides under the Contract will at all times be authorized for employment in the United States of America. Each Respondent confirms that it has a properly completed Employment Eligibility Verification Form I 9 for each person who will be assigned under the Contract and that it will require each subcontractor, if any, to confirm that it has a properly completed Form I 9 for each person who will be assigned under the Contract. The successful Respondent shall defend, indemnify, and hold harmless the Town, Towns employees, officers, officials, agents, volunteers, and independent contractors, including any of the foregoing sued as individuals (collectively, the Town Indemnified Parties ), against any and all proceedings, suits, actions, claims, damages, injuries, awards, judgments, losses or expenses, including fines, penalties, punitive damages, attorney s fees and costs, brought or assessed against, or incurred by, the Town Indemnified Parties related to or arising from the obligations under IRCA imposed upon the successful proposer or its subcontractor. The successful proposer shall also be required to pay any and all attorney s fees and costs incurred by the Town Indemnified Parties in enforcing any of the successful proposer s obligations under this provision, whether or not a lawsuit is commenced, which obligations shall survive the termination or expiration on the Contract. 13

2.17 Response Format Responses shall be submitted in the format outlined in Section 3 of this RFQ. Each response will be reviewed for completeness. Incomplete responses may be rejected without further consideration. Respondents shall use the prescribed format to indicate their experience and qualifications, describe their approach to the project, and explain their proposal. The Town reserves the right to waive any irregularities and formalities in the selection of the ESCO for this project. While respondents are required to submit proposals that fully comply with the requirements set forth in this RFQ, alternative proposals may also be proposed if the respondent feels such proposals provide measureable value to the Town. Such alternative proposals must meet the requirements set forth in this RFQ. 2.18 Addenda The Town of Windsor may issue addenda to this RFQ. It is the responsibility of the ESCO to determine that they have received all addenda prior to submitting a Response. Addendums will be posted electronically at www.townofwindsorct.com. 2.19 References and Disclosure of Information Submission of a Response shall be deemed permission to the Town Public Building Commission make inquiries concerning the ESCO to any persons or firms deemed appropriate by the Public Building Commission. The ESCO s submission of a Response shall be deemed acknowledgement that it is familiar with the Connecticut Freedom of Information Act (CTFOIA) section 1 218, and is bound thereby. Disclosure of any information provided by any ESCO in connection with this RFQ shall be in strict accordance with the laws and regulations regarding such disclosure pursuant to CTFOIA section 1 218. 2.20 Costs of Responses The Town shall not assume liability and will not reimburse any costs or expenses incurred by any ESCO (whether or not selected) in developing responses to this RFQ. 2.21 Use of and Information Relating to Proprietary Equipment or Services Unless no other manner of description suffices, and the Town so approves in writing, no technical requirements and scope of work within the ESPC shall require the use of a proprietary supply or service, or procurement from a sole source. Any and all software, pass codes and other information or documents required for the operation, maintenance or upgrades of energy management systems and energy conservation measures or Projects will be provided to the Town at the time of installation at no extra charge. 14

2.22 Existing Town Systems and Infrastructure The ESCO shall include recommendations and proposals in its IGA, to be incorporated in whole or in part into the ESPC, that seamlessly integrate with the Town existing systems and infrastructure. The ESCO shall apply the principals of value engineering to insure cost effective recommendations. 2.23 Existing Contracts and Warrantees During the IGA phase of the Project, the ESCO shall coordinate with the Town and make itself familiar with proposed and ongoing construction projects, existing maintenance and operation agreements, and existing warrantees of the Town affecting any recommended or proposed Project improvements. The ESCO shall modify its recommendations and proposals so as to maximize favorable existing agreements, integrate with third party contracts, and maintain existing warrantees. 2.24 CORI Clearance Requirements The Town may request and obtain all available criminal offender record information (CORI) from the State of Connecticut Department of Emergency Services & Public Protection 3 of any contractor who may have direct and unmonitored contact with children, the elderly and/or the disabled. As a condition of the award of any contract pursuant to this RFQ, and prior to commencement of any work, the ESCO shall require all individuals, whether employees, agents, contractors or others working on behalf of the ESCO, who are involved in the provision of energy savings performance contracting services to complete and sign a Request Form to obtain CORI if, in the determination of the Town, some or all of the employees, contractors, agents or others working on behalf of the ESCO may have direct and unmonitored contact with children, the elderly and/or the disabled during the performance of their work on school and/or Town property. 2.25 Inconsistent Standards If any requirement or standard set forth in this RFQ is inconsistent with any requirement or standard set forth elsewhere in this RFQ, or in any exhibit, attachment or appendix, or the IGA or the ESPC, or any scope of work or specification related thereto, the requirement or standard most favorable to the Town shall prevail. 3 CORI form request URL: http://www.ct.gov/despp/cwp/view.asp?a=4212&q=494532 15

3. Instructions for RFQ Respondents Statements of Qualifications must be submitted in the format outlined in this Section. Each Response will be reviewed to determine if it is complete. The Public Building Commission may reject from further consideration any Response that does not follow the format or is deemed non responsive. However, the Public Building Commission reserves the right to waive any minor irregularities or informalities or to cancel this Request for Qualifications if the Town determines that such action is in their best interest. Please provide one (1) original and six (6) hard copies plus one single file electronic copy (on portable media) of your Response. Requested attachments of sample documents must be provided electronically in a separate file(s) from the Response. 3.1 Table of Contents Statements of Qualifications shall include a table of contents indicating the section and page numbers of the information included. 3.2 Minimum Required Items Responses must comply with the minimum requirements specified below. Failure to do so may result in immediate rejection of the submittal, at the discretion of the Public Building Commission. Debarment Statement Evidence of bond capability of at least five (5) million dollars from a surety company licensed to do business in the State and whose name appears on United States Treasury Department Circular 570. Provide the cost or fee you will charge for the performance and payment bonds as a percentage or unit dollar amount of the construction costs (e.g., 1% or $2/thousand $). Form of legal entity and year entity was established Ownership status. Describe any changes in ownership status over the past ten (10) years and/or anticipated changes in the next two (2) years. Other entity names, if any Ultimate parent company, if applicable Federal Tax Identification Number for respondent Financial Statements. Submit a detailed financial report prepared in accordance with generally accepted accounting principles (GAAP) reflecting the current (as of the most recent financial statement date) financial condition of the ESCO. Such report must include a balance sheet, an income statement, and a statement of cash flows, along with applicable footnotes, dated concurrently for at least each of the last preceding three years ending on the most recent fiscal quarter such statements were prepared. Public entities or subsidiaries should attach SEC Form 10 K along with, as applicable, detailed unaudited 16

statements for the Submitting Entity. Non public entities may attach either unaudited financial statements or copies of tax forms and schedules that are filed with the Internal Revenue Service where applicable. Performance Guarantee. Describe the form of guarantee that your company will be providing for the Project and its associated cost. If a corporate guarantee backstop by a parent company or credit enhancement by a financial institution is anticipated, please provide a letter from the parent company or financial institution, indicating that such credit enhancement is available, the terms of such credit enhancement and the credit rating of the guarantor. Lawsuits and Disputes. Discuss whether your company has ever been involved in a lawsuit or dispute regarding a performance contract. If so, please list all such incidents and describe the circumstances and outcomes of such lawsuit or litigation. Further, please discuss whether your company has been barred from providing performance contracting or other services in any state. Certificate of Insurance Certificate of Tax Compliance Signature Authorization Certificates Non Collusion Statement 3.3 General Reputation and Performance Capabilities Reputation and performance. Describe the general reputation and performance capabilities of the company and explain how these characteristics translate to optimizing results for the Town. Years of service. How many years has your company has been engaged in providing EPCS services? Town & public school experience. Describe the experience your company has had providing like services to Town and public school systems in the Northeast and specifically in Connecticut. Provide specific information regarding your company s experience and expertise serving the range of facilities in Appendix 2, including but not limited to the particular needs of public schools, public safety facilities, and historic facilities. Provide a listing of public facilities in Connecticut and surrounding states where your company has provided comprehensive services valued at $250,000 or greater. Projects and dollar value. Provide the number of projects and the aggregate dollar value of EPCS projects implemented by your company each year for the past five (5) years, including the value of the guarantees related to such projects and any shortfall in savings related to such projects. Current ESPC activity in Connecticut, New York, and New England. Provide a list of active ESPC clients and their status in Connecticut, New York, and New England. 17

Full time personnel. How many full time personnel are employed by your company? Please segment your response, as appropriate, into categories of personnel providing EPCS services, Non EPCS Operations/Maintenance Services, and Non EPCS Equipment Installation Services. Full time EPCS personnel. How many full time EPCS personnel are based in a local office to be used for projects that result of this RFQ? Provide the site address of that local or branch office. Proposed project team. Again with respect to the proposed project team, please identify by name and role staff persons to be assigned to these projects. Provide resumes of the proposed team members and indicate which office each project team member works out of. For each project team member, list the current projects this team member is currently involved in and the status of the project. Provide an organizational chart for each project. Accreditations / pre qualifications. Discuss any accreditations or pre qualifications for performing this work, describing the relevance or importance of such qualifications to the Project. 3.4 Experience and Project References Project experience. Fully describe five (5) EPCS projects that your company has implemented within the last three (3) years that reflect the quality of service the Towns can expect from your company. (a) Identify projects that involve facilities similar in type, size or scope to the listed facilities. (b) Identify projects that have been managed by individuals that the company anticipates will be assigned to these projects. (c) For all five (5) reference projects, provide customer name, project dates, total project cost at proposal stage, total final project cost, projected annual energy cost savings from IGA, projected annual operations and maintenance cost savings, actual realized annual cost savings to date, and any annual savings shortfalls. Indicate whether the project was completed on schedule and on budget, and if not, explain why. (d) Provide a list of technologies implemented for each of the five (5) reference projects. For each technology, describe the specific measurement and verification protocol implemented (FEMP Option A, B, C, D) and the rationale used in selecting the specific FEMP Option. 18

References. Provide references. Please include the names, addresses, email addresses and telephone numbers for all references. The Public Building Commission will contact these references regarding company and personnel performance as part of the RFQ submittal review process, and may also identify and contact other current and prior clients of the company to evaluate capabilities, qualifications, and performance. 3.5 Energy Audit and Project Development Audit approach. Describe your general approach to completing an Investment Grade Audit. Specifically, what is the process? How will the Town be involved? What information and resources will be required from the Town? Do you complete a Preliminary Energy Audit (PEA) of a Town s entire building portfolio? How are PEA results used to develop the IGA scope? Technical project design approach. Describe your approach to the technical design of the project including your standard method to compute the baseline(s) of energy and water use, as well as the savings from proposed energy conservation measures. Measure costs. Describe your approach to developing final prices for measures identified and recommended in the IGA. Will you secure prices from multiple competing suppliers for equipment and installation? Will this process be transparent to the Town, with subcontractor responses shared? Baseline adjustment. Describe if and how you would adjust the energy, water and O&M baseline due to such factors as weather, facility use changes and operating behavioral changes. Describe all factors that would cause such an adjustment. Calculating savings. List procedures, formulas and methodologies, including special metering or equipment that you will use to calculate energy, water and O&M savings. Multiple baselines. Does your firm apply individual baselines for different ECMs? If so, please discuss approach. Baseline adjustment frequency. How often are baselines typically adjusted over the course of an engagement with a client? What drivers influence such adjustments and how frequently do you collect such data? Interactivity between ECMs. How will you identify and quantify interactivity between ECMs throughout project development process and specifically during the project selection process performed in collaboration with the Town. Sample IGA. Attach an example, in electronic form, of a comprehensive IGA that the specific project team being proposed was involved in and completed. This IGA should show energy saving and economic analysis and the engineering approaches used. Operational savings. What is your approach to including energy and non energy related operational savings in the guaranteed savings? 19

Risk factor. Discuss if and how your company applies a risk factor to ECM specific guaranteed annual energy savings. Is the guaranteed annual savings typically less than the total projected savings? Discuss how this risk factor is determined, whether it is ECM specific, and whether you believe that ESCO provision of O&M services (rather than performed by the Town) will affect savings levels. Assigning dollar values to savings. How are dollar values assigned to savings accrued over the life of a measure for energy reductions and reduced maintenance costs? Outside sources for Project funding. How will you seek out and apply outside sources of funds to support the proposed project (e.g., utility incentives, state grants, and foundation funds) and incorporate them in the project economics presented in the IGA. Identify all potential funding sources that could be applied to potential Energy Performance Contract Services and a description of the applicant s experience(s) in securing such funding. Note that all benefits that stem from the implementation of Energy Performance Contract Services under an EPCS agreement and that are deemed to have a monetary or societal value shall be the sole property of the Town and used to reduce the overall cost of the project(s). Coordination with Municipal financial officers and decision makers. What will be your approach to working with a Town s internal financial staff and any public review process for proposed Project? Support available for securing project financing. Does your company offer project financing or assist clients to secure such financing through a third party? Note that the Town will secure financing from whichever source(s) they determine is in their best interest. Draft schedule. Provide a draft schedule for completion of the IGA for a typical Town project, including key milestones. Begin the schedule with notification of ESCO selection by the Town. 3.6 Project Design and Construction Critical path schedule protocols. Describe how you will manage the critical path schedule to ensure timely completion. Discuss the project management protocols you will put in place to ensure schedule adherence. Reporting and client communications. Describe reporting and client communication protocols to be employed throughout the construction process. Construction coordination. Describe how Respondent would work with current building management and maintenance personnel to coordinate construction activities and avoid building closures or major disruptions. Discuss in detail protocols to avoid conflicts with the facilitie s operation and use. Customer contractor integration. Discuss Respondent s willingness to integrate customer contractors (e.g. an Owner s representative) or a clerk of the works into the ESPC process. If desired by the Town, is Respondent willing to solicit qualifications and pricing from local contractors provided such contractors meet Respondent s requirements? 20

Standards of comfort and functionality. What standards of seasonal comfort and functionality that Respondent would propose for light levels, space temperatures, ventilation rates, etc. in the facility indoor environments. Also, describe how Respondent anticipates those standards would be maintained throughout the term of the ESPC. Subcontractor management. What is Respondent s approach to managing subcontractors? Will Respondent oversee all work performed by subcontractors, including any work performed during occupied and unoccupied times? Engineering risk. For any design work conducted by third party experts, please identify how Respondent will assume the engineering risk and responsibility, including stamping engineering submittals. ECM commissioning. Discuss Respondent s approach to commissioning ECMs. Describe any differences in commissioning approaches for different ECMs. Please provide an electronic copy of a commissioning plan previously executed for one of the five (5) reference customers. Discuss Respondent s ability to integrate a third party commissioning agent selected by the Customer into the process. Discuss Respondent s preferred approach to the timing of commissioning and customer staff training with respect to substantial project completion and the commencement of warranty. Damages. How will you compensate a Town for damages caused by delays and performance shortfalls that are your responsibility? 3.7 Guaranteed Savings The Town requires that methods for monitoring, measurement, and verification of guaranteed savings conform to the most recent International Performance Measurement & Verification Protocol (IPMVP) and standards established by the Federal Energy Management Program of the U.S. Department of Energy. Energy savings methodology. Describe in detail your company s methodology for calculating energy savings for different energy conservation measures and explain how this approach minimizes risk to the Town over the life of a Project. Include in the description, your approach to verifying these energy savings and addressing changes in use of municipal facilities over time. Measurement and verification protocol. Describe your approach to measuring and verifying ECM specific savings. Please provide a chart organized by ECM category that lists the anticipated FEMP protocol for each ECM. Excess annual savings. Describe if and how excess annual savings are documented and confirm how you will treat such excess annual savings. Savings during construction. How do you treat any savings realized during construction? Are these savings included in the guarantee accounting for the project? Or are savings that are realized prior to overall project completion treated as excess savings that accrue to the Town? 21

Measurement and verification procedures. Describe your standard measurement and verification procedures, including reporting frequency, reconciliation methods and timing. Pricing. How is M&V typically priced? And what is the term? Sample measurement and verification report. Provide an electronic copy of a sample measurement and verification report from one of the five reference projects together with an explanation of how your company demonstrated, with respect to that report, whether the guaranteed savings were achieved and if not, how the Customer was compensated. Redacted copies protecting confidential information will be accepted. Third Party monitoring and verification. Discuss Respondent s ability to integrate a third party commissioning agent if requested by the Customer into commissioning and measurement and verification of savings. 3.8 Operation and Maintenance of Installed Equipment In your responses to the following, include a description of your experience with ensuring that necessary service and maintenance is available to protect equipment warranties and savings and performance guarantees. Owner training. Provide detailed information on training you will provide to Town maintenance personnel and staff to prepare them to operate and maintain systems and equipment you install. Describe course content, location, schedule, and any fees that would be charged. Alternative ESCO service and maintenance of equipment. Describe your company s capability to provide or arrange for ongoing service and maintenance for installed equipment using your own personnel or third party contractors selected and/or approved by the Town, with any associated fees. Recommendations. Provide your general recommendations as to the relative merits and benefits of contracting for service and maintenance versus training in house Town personnel. 3.9 Pricing Structure Audit fees. Provide a fee schedule for delivering a final IGA report at a unit cost per square foot. How will this fee be treated if the Town proceeds with an ESPC? Breakup fee. Describe how you will charge the Town for an IGA if the Town decides not to proceed with an ESPC. Open Book vs. Closed Book construction. Describe your company s approach and preference to project pricing. Discuss: (a) Open Book Pricing / Open Book Construction with contracted mark ups and (b) Open Book Pricing / Closed Book (Firm Fixed Price) Construction. Describe any other approach 22

that you would want a Town to consider. Please note that the Town will determine its final preferred approach. Change orders and contingencies carried. In a Fixed Price and Open Book construction contracts, what level of contingency (as a percentage of total project cost) does your company typically carry for different ECMs to cover unforeseen circumstances and eliminate the need for Change Orders? Provide a table listing typical percentages by ECM for both the Open Book and Fixed Price construction approaches. Holdback retainage. Under an ESPC, the Town would like your company to accept a ten percent holdback retainage on all progress payments until final completion. Is that workable? In addition, will you accept a negotiated holdback retainage for ECMs that require seasonal commissioning and staff training? Margin pancaking. Discuss how Respondent will ensure that a Town is not exposed to pancaking of soft cost margins through the ESCO s use of specialty subcontractors (defined here as subcontractors that provide a full turnkey service that includes engineering, design, and installation). Will your company reduce its soft cost markups on those services provided by such specialty subcontractors to mitigate against the margin pancaking issue? Contracted mark ups. As part of the ESCO selection process through this RFQ, the Town wants to understand and confirm each of the mark ups an ESCO will charge for each ECM to be installed under future contracts with the Town. Complete the following table for each of the categories of activity listed, as well as for overhead and profit for each ECM. If a category of activity is not applicable, please indicate that with N/A. If additional activity categories are necessary, please provide such additional information. Note that mark ups not included in this table will not be allowed in contracts with the individual participating town. ESCOs are encouraged to provide additional detail on activities it includes in individual mark up categories as needed. 23

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3.10. Additional Information Required Hazardous Materials. Describe the services your company will provide to identify, abate, and otherwise address hazardous materials that may be present in the facility for this Project. Materials may include but not be limited to asbestos and lead. Method of Record Keeping Satisfying Town Requirements. Describe the type, method, formatting, and frequency of the project reporting recommended and required. The selected ESCO shall provide access to records and preserve them for a period of six (6) years after final payment. Experience with Renewable Energy and Clean Technologies. Include in your response information on your past experience installing renewable energy systems (such as solar hot water, photovoltaic, wind turbines, biomass and landfill gas to energy systems), high efficiency power systems (such as combined heat and power systems), and whether you would expect any of these to be opportunities in the Town. Also, describe projects implemented under power purchase agreements and provide details on the scope, term and pricing strategy of such projects. If the Town were interested in entering into a power purchase agreement, how would the pricing most likely be structured? Would the total project budget be Open Book showing construction costs, equipment costs, design costs, mark ups, and offsetting funding and other revenue sources? Inclusion of Responsible Employer Requirements (RER) in contract and subcontract language. Include in this response information on your company s incorporation of job quality standards as preconditions for subcontracts, such as: compliance with workplace laws, fair wages and benefits, proper classification of workers, local hiring, a comprehensive health and safety plan, and connection to registered apprenticeships or other training programs. An example of RER can be found at the National Association for Fair Contracting, Inc 4. 4 URL: http://www.faircontracting.org/pdf/sectiona.htm. 26