ESA / IGA Schedules Project Documents include the following Schedules which are incorporated herein and made a part of the IGA and ESA when approved by the ISSUER and ESCO: Schedule A Schedule B Schedule C Schedule D Schedule E Schedule F Schedule G Schedule H Schedule I Schedule J Schedule K Schedule L Schedule M Schedule N Schedule O Schedule P Schedule Q Schedule R Existing known conditions, systems and hazardous materials inventory Current and Known Future Capital Projects at the Premises Baseline Energy Consumption Standards of Comfort ECMs and Equipment to be installed by the ESCO Measurement & Verification Calculation Formulae Baseline Adjustment Methods for Weather, Changes in Building Use or Operating Hours Systems Start-Up and Commissioning; Operating Parameters of Installed Equipment Construction and Installation Schedule ESCO and ISSUER Training Responsibilities Warranties (including Equipment) Maintenance Checklist and ISSUER & ESCO responsibilities Proposed Final Project Cost & Final Project Cash Flow Analysis Energy Guarantee including form of Security Compensation to the ESCO Insurance and Bonds Financing Agreement Loan Amortization All text in Red Italics is sample verbiage or instructions and may to be removed from the final document. Exhibits: Exhibit 1 Exhibit 2 Exhibit 3 Exhibit 4 Certificate of Acceptance Investment Grade Audit Report Individual ECM Acceptance Certificate of Beneficial Use and Acceptance / Certificate of Occupancy (issued by Authority Having Jurisdiction) Final Project Acceptance (issued by Issuer after Certificate of Beneficial Use and Acceptance / Certificate of Occupancy is issued by AHJ) 1
SCHEDULE A EXISTING KNOWN CONDITIONS, SYSTEMS AND HAZARDOUS MATERIALS INVENTORY Include items required in IGA Article 1 Sections A, B and C. ESCO describe your firm s plans for the disposal and recycling of any equipment or materials removed from the premises as part of an ECM. Be sure to include proper tracking of hazardous materials such as refrigerant, lamps and ballasts. ISSUER provides all hazardous material reports and inventories for ESCO use. Should ESCO discover any materials they believe may be of a hazardous nature the ESCO shal immediately request that ISSUER test the material so that any impact on the scope of work may be determined. 2
SCHEDULE B Current and Known Future Capital Projects at the Premises ISSUER to provide data from Capital Improvement Plan, Master Plan, FCAP or other audits that may impact the buildings or systems included in the project. 3
SCHEDULE C Baseline Energy Consumption ISSUER to provide a summary of all utility bills, consumption baselines and how they were established, and end use reconciliation with respect to the baselines including a discussion of any unusual characteristics and findings. The ESCO shall examine the most recent 36 months of utility bills and establish Base Period consumption for electricity, fossil fuels and water by averaging; or selecting the most representative contiguous 12 months. The ESCO shall consult with building staff and account for any unusual or anomalous utility bills which may skew Base Period consumption from a reasonable representation. The ESCO shall estimate loading, usage and/or hours of operation for all major systems impacted by Energy Conservation Measures to be included in the project. Data to be presented in accordance with provisions established in Schedule F. Where loading or usage is highly uncertain The ESCO shall employ spot measurement and/or short term monitoring at its discretion, or at the request of ISSUER. Reasonable applications of measurement typically include variable loads that are likely candidates for conservation measures, such as cooling equipment. The annual end use estimated consumption shall be reconciled with the annual Base Period consumption to within 5% for electricity (kwh), fossil fuels and water. The contribution to electric peak demand for each end use shall also be reconciled to within 5% of the annual Base Period peak. The miscellaneous category shall not be more than 10% and each component shall be separately set forth. The purpose of this is to place reasonable limits on potential savings. Edit section C of IGA. If HVAC modifications are anticipated IAQ requirements must be met. Will baseline be adjusted by adjusting Model to meet Actual or Adjust actual to meet Model 4
SCHEDULE D Standards of Comfort ASHRAE Standard 55-2004 Possible settings: Offices and Similar Spaces Summer Occupied Summer Unoccupied Winter Occupied Winter Unoccupied Space Temp Week Day Weekends Holidays Relative Humidity Number or Hours Space Temp Relative Humidity Number of Hours Space Temp Relative Humidity 75 F ± 1 F 50% ± 5% 80 F ± 1 F 60% ± 5% 80 F ± 1 F 60% ± 5% 80 F ± 1 F 60% ± 5% 82 F ± 1 F 60% ± 5% 82 F ± 1 F 60% ± 5% 70 F ± 1 F n/a 68 F ± 1 F n/a 68 F ± 1 F n/a 65 F ± 1 F n/a 65 F ± 1 F n/a 65 F ± 1 F n/a Number of Hours 5
SCHEDULE E ECMs and EQUIPMENT to be INSTALLED by ESCO ECM Cost / Matrix ECM Description Bldg 1 ID Bldg 2 ID Bldg 3 ID TOTALS Cost 1 st Year Cost Cost 1 st Year Cost 1 st Year Lighting 25,000 5,000 55,000 12,000 15,000 3,500 SUM SUM Lighting controls 49,000 7,000 22,000 6,000 SUM SUM AHU VFDs TOTALS SUM SUM Values in dollars = ECM included in project Cell Blank = ECM not included for that building Note: This matrix is to be the first page in Schedule E The purpose of this Matrix is to summarize the project by ECM by building. This is the same matrix that was submitted with the RFP. The above is a sample. Please add columns and rows as necessary to include all buildings and measures. List the ECMs that are common with the RFP response first, in the same order they appeared in that document. All additional ECMs should follow. The 8½ X 11" sheet size does not apply to this page. Cost $ = The Cost includes: Labor Costs, Subcontractor Costs, Cost of Materials and Equipment and Related Items. It does NOT contain any of the financed service fees listed in Attachment B and B1 including overhead, mark-up, or profit. When all ECM costs are added together the sum will equal the ESCO s cost proposal. $ = savings expected from measure. 6
For Each ECM to be Included in the Project Provide the Following Information Provide detailed descriptions, costs and savings for each ECM including analysis method, supporting calculations, results, proposed equipment (equipment cut sheets may be included in Volume 2) and implementation issues. Provide a financial analysis for each proposed ECM ECM ID Building Narrative including product recommendations ECM ID = Issuer and ESCO agreed upon identifier for ECMs Building = building ID as provided by Issuer. Narrative = description of ECM, product specific information and any other relevant information. Provide summary information requested in chart and then follow with supporting documentation and calculations. 7
SCHEDULE F Measurement & Verification Calculation Formulae All M&V will be based on the IPMVP Volume 1 version 9/2010 document as amended Protocol to be used for each ECM will be stated in Schedule E. Schedule F shall contain the details of execution of the plan during Guarantee Period. 8
SCHEDULE G Baseline Adjustment Methods for Weather, Changes in Building Use or Operating Hours For the most common reasons for baseline adjustments; weather, change in use, change in occupancy, change in operating hours or other material changes that will impact the ECMs performed under this contract please detail the methodology and formulas to be used to adjust original baseline calculations. 9
SCHEDULE H Systems Start-Up and Commissioning; Operating Parameters of Installed Equipment This section is ECM dependent. At a minimum it should encompass all manufacturer requirements showing manufacturer support if required. Detail the role you wish Issuer personnel to play in startup and commissioning 10
SCHEDULE I Construction and Installation Schedule Please show details of construction schedule. The 8 ½ X 11 page size does not apply to this Schedule. Schedule should include: Design submission deadlines Design approval deadlines Equipment ordering and delivery Installation Startup and commissioning Final acceptance 11
SCHEDULE J ESCO and ISSUER Training Responsibility Indicate topics, number to be trained, location and costs for both construction period and post acceptance training of Issuer personnel. Stipulate who will conduct the training sessions. 12
SCHEDULE K Warranties Identify and describe all warranties provided by ESCO Include copies of warranties offered by equipment manufacturers (Full warranty details may be included in Volume 2 with manufacturer cut sheets) 13
SCHEDULE L MAINTENANCE CHECKLIST AND ISSUER & ESCO RESPONSIBILITIES Facility Maintenance Checklists / Logs ESCO shall create or use equipment manufacturer maintenance checklists or logs for the ISSUER to use to demonstrate equipment is being properly maintained in accordance with equipment manufacturer s recommendations. All documents shall be available for inspection by ESCO. Issuer Maintenance Responsibilities ISSUER may not be required to provide maintenance on any piece of equipment that exceeds the manufacturer s recommended maintenance. Vendor specific maintenance schedules may be included with cut sheets in Volume 2. ESCO Maintenance Responsibilities The energy savings shall be monitored continuously, reported quarterly, and reconciled on an annual basis, commencing with the date of the Certification of Final Acceptance to be signed by the ISSUER. Periodic inspection of Issuer s maintenance logs. 14
SCHEDULE M Proposed Final Project Cost & Final Project Cash Flow Analysis Provide the information requested on the forms included. Form is available in Excel format on request from NCDEACS 15
SCHEDULE M Part 1 ESCO'S COST PROPOSAL AGENCY NAME: Department XYZ BANK QUOTED INTEREST RATE: 2.400% ESCO NAME: ESCO ABC TOTAL PROJECT COST: $43 TOTAL FINANCED COST: $48 TOTAL GUARANTEED FIRST YEAR SAVINGS: $8 % of Total Project Costs Financed Costs Project Cost Breakdown Total ECM material & labor and subcontracts 46.51% $20 Investment Grade Audit 4.65% $2 Engineering and Design 4.65% $2 General Conditions 4.65% $2 Contractor's Insurance (i.e. performance bond) 4.65% $2 Project Management 4.65% $2 Commissioning 4.65% $2 First Year Training Fees 4.65% $2 M&V set-up 4.65% $2 Cost of Guarantee Security Instrument 4.65% $2 Overhead (cost of running the business) 4.65% $2 ESCO net profit 4.65% $2 [Other Contractor Costs - list specifics] 2.33% $1 Subtotal A (equals Schedule A Total) $43 Other Costs Paid from (not financed) Other Benefits to Owner and Notes Other costs Bond Council Fees $3 Loan Issuance Fees $3 Third Party Engineering Fees $3 Paid by XYZ Subtotal B (financed) $6 Subtotal C (not financed) $3 Adjustments to Project Costs Rebates, incentives, grants) (Will be negative number) $ (3) Other Subtotal D -$3 Construction Period Interest $2 Dollar ($) Value of Annual Service Fees % of First Year's 1st Year Service Fees Measurement and Verification (ESCO) 0.20% $1 Third Party review of reconciliation report 0.20% $1 Maintenance 0.20% $1 Equipment Performance Monitoring 0.20% $1 Yearly Training Services 0.20% $1 Subtotal E $5 Summaries Project Cost = Subtotal A Total Financed Costs = Subtotals A+B+D+ possibly Const. Period Int. Costs Covered by Energy = Subtotals A+B+C+D+E+ possibly Const Period Interest. If construction period interest is capitalized in loan, this will be zero. Owners payments made to ESCO = Subtotals A+D $43 $48 $56 $40 1 Other fees must be explained 2 Source of incentives must be explained 16
SCHEDULE M Part 2 ESCO's ANNUAL CASH FLOW ANALYSIS USING BANK S PROPOSED INTEREST RATE Financed Amount: Total Interest Escalation Rate by Utility/Fuel Finance Term: Electric: 0% Annual Interest Rate: Natural Gas: 0% Construction Months Steam: 0% 1 st Annual Payment Water: 0% Principal Other (specify): 0% Interest Escalation Rate for Annual Fees: 0% Yr. Calculated Electric Dollar Calculated Natural Gas Dollar Other Calculated purchased fuel Dollar Calculated Water Dollar Other Please Specify Calculated Operational Dollar Total Calculated Dollar (a) Annual Service Fees ( b ) Financing Cost (P&I) ( c ) Net = a-b-c 1 2 3 4 5 6 7 8 9 10 Total NC Energy Office IGA-ESA Schedules Rev. 11/2011 17
NOTES: Net savings must never be negative. A surplus in one year cannot be carried forward to create positive cash flow in a subsequent year. 18
SCHEDULE N ENERGY SAVINGS GUARANTEE INCLUDING FORM OF SECURITY ESCO shall guarantee the energy savings in accordance with the terms of this Agreement. Energy savings are based on the performance of the Work and were calculated based on ECMs, or combination of ECMs, potential to reduce energy consumption as detailed in table below. Schedules C, F, and I contain the methodology and calculations used to determine energy reductions and energy savings achieved as a result of performing the Work, as well as the methodology that ESCO will use to measure, verify, and report on energy savings achieved annually during the term of this Agreement. Reimbursement of guaranteed energy savings not achieved by ESCO shall be made in accordance with Article 7 of this Agreement As a result of the performance of the Work and in accordance with the terms of this Agreement, annual guaranteed energy savings, beginning with the Commencement Date, are as follows: 19
SCHEDULE N ENERGY SAVINGS GUARANTEE Financed Amount: Total Interest Escalation Rate by Utility/Fuel Finance Term: Electric: 0% Annual Interest Rate: Natural Gas: 0% Construction Months Steam: 0% 1 st Annual Payment Water: 0% Principal Other (specify): 0% Interest Escalation Rate for Annual Fees: 0% Yr. Guaranteed Electric Dollar Guaranteed Natural Gas Dollar Other Guaranteed purchased fuel Dollar Guaranteed Water Dollar Other Dollar Please Specify Guaranteed Operational Dollar Guaranteed Dollar ( a ) Annual Service Fees ( b ) Financing Cost (P&I) ( c ) Net = a-b-c 1 2 3 4 5 6 7 8 9 10 Total 20
SCHEDULE O Compensation to ESCO Please show progress payments to ESCO for duration of construction period. ESCO may only be reimbursed for work performed and materials purchased during payment period. AIA forms: G702 Application and Certificate for Payment and G703 Continuation Sheet May be used to request payment 21
SCHEDULE P Insurance and Bonds The first security instrument, a payment and construction performance bond, is to be conditioned for the faithful performance and fulfillment of the installation of the Energy Conservation Measures and which shall be valid until the completion of the installation work, with construction approved by the Issuer and accepted on behalf of the State The second security instrument shall be a written guarantee, which will be contained in the contract, which states that the annual energy or operational costs savings will meet or exceed the total annual cost savings of the contract, including financing, installed equipment costs, contract security instruments required by the Office of State Treasurer, an annual fee for a third party engineer, and measurement and verification for the entire length of the contract period (up to maximum of 20 years). This security instrument must be in a form and amount acceptable to the Office of State Treasurer and may include, but is not limited to: a performance bond, a letter of credit, an insurance policy, a corporate guarantee of the ESCO, a corporate guarantee of the ESCO s parent company, or financing of all costs for the full term of the contract. Proof of any other insurance as may be required by Issuer to work on their premises. 22
SCHEDULE Q Financing Agreement Complete this Schedule only if ESCO providing financing. Copy of final loan agreements including Issuer RFP 23
SCHEDULE R Loan Amortization Complete this Schedule only if ESCO providing financing. Insert loan amortization table from financial contract. 24