36E77619R0009-015.pdf

ATTACHMENT J-11

INVESTOR DEAL SUMMARY TEMPLATE

Project: [Insert Project Title here]

Date: [Insert date here]

ESCO: [Insert ESCO Name]

1. Project Investment Note: Data to be taken from Schedule TO-2

ECM

description

Direct Expense ($)

Percentage of total direct expense (%)

Indirect Expense ($)

Profit ($)

Implementation price ($)

Totals 100

2. Key Project Dates Note: Provide anticipated dates for the milestones listed

Key event Date

a. Period over which to hold firm:

(i) offered premium over index interest rate

(ii) financier’s component of financing procurement price

b. Anticipated contract award

c. Anticipated financial closing

d. Index rate lock

e. Notice to proceed w/constructiona

f. Construction progress milestonesa

25% completion 50% completion 75% completion 100% completion

g. Agency acceptance aThe ECM Progress Schedule, which is required in the proposal, may be substituted for these items.

3. Payment to Reduce Total Financed Amount Note: For payments such as those listed below, provide dollar amounts and anticipated dates in which payment is expected to be made Type of payment Amount ($) Anticipated date

a. One-time pre-acceptance payments

b. Utility rebate

c. Other ECM financial incentive (i.e., state system benefit fund)

4. ESCO’s Portion of Financing Procurement Price Note: Provide estimate of the ESCO’s portion of the finance procurement price.

Amount ($) ESCO's portion of financing procurement price (FPP), (e.g., payment and performance bonds, contractor costs for arranging financing, etc)

5. Summary Risk Analysis on Guaranteed Cost Savings (Payment Stream) Note: In this section, the guaranteed cost savings for Years 1, 2 and 3 shall be “sorted” based upon its level of M&V. The first category of savings would be those savings subject to verification by ongoing measurements such as M&V Options B, C, and D. The second category of savings would be guaranteed savings subject to annual verification that ECM is in place and functioning, and savings from ECMs verified by M&V Option A. The third category of savings would be guaranteed savings from energy-related O&M. The sum of all categories is equal to the total level of guaranteed annual savings specified in TO-1 (final). In addition the percentage of each listing relative to the total shall be calculated and reported in the space provided.

Year 1 Year 2 Year 3 Guaranteed annual cost savings $ % $ % $ % Subject to verification by ongoing measurements

Subject to annual verification that ECM is in place and functioning

Guaranteed savings are from energy-related O&M

Total guaranteed savings

6. Comparison of estimated and guaranteed cost savings Note: For the total project savings and the level of savings associated that fall into the “Subject to verification by ongoing measurements” category, specify amount by which annual estimated cost savings exceed guaranteed cost savings (values for Year 0, no escalation applied). In addition, calculate the percentage by which the estimated savings exceeds the guaranteed savings.

Total project $ %

Total estimated savings

Total guaranteed savings

Amount total estimated savings exceeds total guaranteed savings

Savings in subject to verification by ongoing measurements category

Estimated savings subject to verification by ongoing measurements

Guaranteed savings subject to verification by ongoing measurements

Amount estimated savings subject to verification by ongoing measurements exceeds guaranteed savings subject to verification by ongoing measurements

7. Payments for Post-Acceptance Performance Period Services Note: Specify level of payment for post-acceptance performance period services and the date in which payments are expected to commence

Year One Annual Amount

Anticipated payment start date Total post-acceptance performance period services payment

8. Savings Shortfall Required Before Exceeding Payment for ESCO Post-Acceptance Performance Period Services Note: Section 8 presents a savings risk analysis to the financiers. For Years 1, 2 and 3, in the spaces provided, list the level of “guaranteed savings subject to verification by ongoing measurements” and the total payment for post-acceptance performance period services.

Calculate the percent difference between the two values and show that percentage in space for “Percent shortfall in savings subject to verification by ongoing measurements.” Since the financier is in a position superior to the ESCO, the Trustee has the ability to redirect the post-acceptance performance period payments to the financier should a shortfall exist. This percentage reflects the upper shortfall limit in guaranteed savings that could be “covered” through the redirection of post-acceptance performance period payments.

Year 1 Year 2 Year 3 Guaranteed savings subject to verification by ongoing measurements ($)

Post-acceptance performance period services payment ($) Percent shortfall in savings subject to verification by ongoing measurements before post-acceptance performance period services payment is exceeded

9. Events Required to Trigger Agency Withholding of Payments and Likelihood of Occurrence Note: Brief narrative describing post-acceptance events required to trigger agency withholding of payments and likelihood of occurrence of those events.

10. Applicable Financial Index (i.e., U.S. Treasury, Swap Rate, etc) Note: Specify the financial index that the financier shall based their offers upon. The intent is for all offerors to base their proposed project interest rates upon the same financial index to better enable the ESCO to perform a selection.

11. Risk Assignment Summary: Refer to Completed Risk, Responsibility and Performance Matrix Note: Attach completed Risk, Responsibility and Performance Matrix.

12. Frequency of Government Payments Note: Specify the frequency (monthly, quarterly, or annually).