AIR FORCE AF ETL 13-13-2013 Engineering Technical Letter (ETL) 13-13 Energy Savings Performance Contracts (ESPC).pdf

1、 15 AUG 2013 DEPARTMENT OF THE AIR FORCE AIR FORCE CIVIL ENGINEER CENTER TYNDALL AIR FORCE BASE FLORIDA FROM: AFCEC/DD 139 Barnes Drive Suite 1 Tyndall AFB FL 32403-5319 SUBJECT: Engineering Technical Letter (ETL) 13-13: Energy Savings Performance Contracts (ESPC) 1. Purpose. This ETL presents param

2、eters for implementing an energy savings performance contract (ESPC). It supersedes ETL 11-24, Energy Savings Performance Contracts (ESPC), 18 July 2011. 2. Summary of Revisions. This ETL is substantially revised and must be completely reviewed. 3. Application. Requirements in this ETL are mandatory

3、. Any deviations require written approval from the ESPC program manager, AFCEC/CND. This ETL applies to all ESPC work. 3.1. Authority: Air Force Policy Directive (AFPD) 32-10, Installations and Facilities; Title 42, United States Code (U.S.C.), Section 8287, National Energy Conservation Policy Act;

4、10 U.S.C. 2911-13, Energy Performance Goals and Plans for Department of Defense; Public Law (P.L.) 109-58, Energy Policy Act of 2005; and 42 U.S.C. 8253, Energy Policy Act of 1992. 3.2. Effective Date: Immediately. 3.3. Intended Users: Major command (MAJCOM) civil engineers (CE), base civil engineer

5、s (BCE), base energy managers, base financial managers, and base contracting officers (CO). 3.4. Coordination: MAJCOM CE energy managers. 4. Referenced Publications. Note: For more information on ESPCs, visit the AFCEC Facility Energy/Utility Program Community of Practice (CoP): https:/cs3.eis.af.mi

6、l/sites/OO-EN-CE-A6/OO-EN-CE-A4/default.aspx APPROVED FOR PUBLIC RELEASE: DISTRIBUTION UNLIMITED Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-4.1. Air Force: HQ USAF/A7C Policy on Energy Savings Performance and Utility Energy Service Contracts (ES

7、PC/UESC), available as Attachment 1 AFPD 32-10, Installations and Facilities, http:/www.e-publishing.af.mil/ DFARS 241.201, Acquiring Utility Services - Policy, http:/farsite.hill.af.mil/VFDFARA.htm HQ USAF/A7C Policy on Facility Metering , available at https:/cs3.eis.af.mil/sites/OO-EN-CE-A6/OO-EN-

8、CE-A4/default.aspx 4.2. Executive Order (E.O.): E.O. 13423, Strengthening Federal Environmental, Energy, and Transportation Management, http:/www.archives.gov/federal-register/executive-orders/2007.html E.O. 13514, Federal Leadership in Environmental, Energy, and Economic Performance, http:/www.arch

9、ives.gov/federal-register/executive-orders/2009-obama.html 4.3. Public Law: P.L. 109-58, Energy Policy Act of 2005, August 8, 2005, http:/www.gpo.gov/fdsys/browse/collection.action?collectionCode=PLAW P.L. 110-140, Energy Independence and Security Act of 2007, December 19, 2007, http:/www.gpo.gov/fd

10、sys/browse/collection.action?collectionCode=PLAW 4.4. United States Code: 10 U.S.C. 2911, Performance Goals and Plans for Department of Defense 10 U.S.C. 2912, Availability and Use of Energy Cost Savings 10 U.S.C. 2913, Energy Savings Contracts and Activities 31 U.S.C. 1301, Purpose Act 42 U.S.C. 82

11、87, National Energy Conservation Policy Act (NECPA) 42 U.S.C. 8253, Energy Policy Act of 1992 All are available at http:/www.gpo.gov/fdsys/browse/collectionUScode.action?collectionCode=USCODE 4.5. Code of Federal Regulations (CFR): 10 CFR 436, Federal Energy Management and Planning Programs, http:/w

12、ww.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR 4.6. Federal Acquisition Regulation (FAR): FAR 6.302-5, Circumstances Permitting Other Than Full and Open Competition 2 Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,- FAR 8.4, Federal

13、Supply Schedules FAR 16.505, Ordering FAR 23.205, Energy-savings Performance Contracts FAR 31.205-7, Contingencies All are available at https:/www.acquisition.gov/far/ 4.7. National Institute of Standards and Technology (NIST): NIST Handbook 135, Life-Cycle Costing Manual for the Federal Energy Mana

14、gement Program National Institute of Standards and Technology Interagency Report (NISTIR) 85-3273-17, Energy Price Indices and Discount Factors for Life-Cycle Cost Analysis (current version) - annual supplement to NIST Handbook 135, http:/www.nist.gov/ 4.8. Department of Energy (DOE): Guide to Gover

15、nment Witnessing and Review of Post-Installation and Annual M this includes implementation of energy conservation measures under a Host Tenant Support Agreement where utility costs are subject to reimbursement funding. ESPCs are typically considered for increasing energy efficiency through improveme

16、nts to base infrastructure, buildings, and building systems. However, ESPCs can also be used to replace inefficient energy- or water-consuming equipment or processes within buildings, including, but not limited to, data center computer equipment; process equipment; or research, development, test and

17、 evaluation (RDT and, 3) acquires, installs, operates, and maintains the equipment. The ESCO earns a share of the resulting cost savings from the utility service account until the individual task order (TO) is paid off. Since 1995 the Air Force has executed many ESPC TOs at bases to improve energy e

18、fficiency, as a result, the bases, MAJCOMs, and AFCEC obtained many lessons learned. This ETL takes those lessons learned and provides guidance in implementing an ESPC. Using this ETL, an ESPC can be implemented with assurance that the energy savings can be realistically measured and validated for t

19、he term of the ESPC and meet the legal intent of the ESPC. If an ESPC is used effectively, a base can reduce energy and/or water consumption and improve facility infrastructure. 6.2. ETL Attachments. 6.2.1. Attachment 1, HQ USAF/A7C Policy Memorandum, dated 23 October 2012, requires bases to submit

20、all proposed ESPC projects to AFCEC (through MAJCOMs) for vetting prior to formal engagement (actual or perceived government obligation) with an ESCO and approval for each stage of the project development and evaluation process. 5 Provided by IHSNot for ResaleNo reproduction or networking permitted

21、without license from IHS-,-,-NOTE: There is no prohibition with installations engaging informally with ESCOs to develop potential ESPC projects, as long as there are no real or implied government commitments to a specific ESCO. Interaction at this point that constitutes actual or perceived governmen

22、t obligation is to be avoided. 6.2.2. Attachment 2, ESPC Considerations for Base Energy Manager, lists items the base energy manager must consider when implementing an ESPC. The attachment provides suggestions for potential problems that, if not addressed early in the process, could impact the bases

23、 success with the proposed TO. The list is not all-inclusive; add local base issues as needed. 6.2.3. Attachment 3, Centralized Support Services, identifies the support services that will be provided by AFCEC and the DOE Project Facilitator. 6.2.4. Attachment 4, Example Coordination Checklist. Use t

24、his coordination sheet to help ensure that all appropriate functions reviewed and coordinated on each phase of TO development prior to award. This sheet is an example of recommended coordinating agencies and should be modified to meet base/MAJCOM requirements. The CE Squadron CC should assign a POC

25、for this checklist - typically, the base energy manager. Use this coordination sheet concurrently with preliminary assessments (PA) and investment grade audit (IGA) reviews. The CO signs the coordination sheet last, indicating that all appropriate functions have coordinated on the TO. 6.2.5. Attachm

26、ent 5, Guide to Government Witnessing and Review of Post-Installation and Annual M and costs associated with waste disposal, such as waste disposal fees; One-time energy-related cost savings can result from avoided expenditures of operations and maintenance, repair and replacement, or capital expend

27、itures funds for projects that, because of the ESPC, are not necessary and, savings accrued from ECMs that are installed and performing in advance of project acceptance. 7.1.2.3. Investments: Can include both facility (real property and RPIE) improvements as well as equipment (non-RPIE, such as comp

28、uters or kitchen equipment). 7.1.3. The ESCO is responsible for the design, acquisition, installation, M also see paragraph 4.5 of this ETL. 7.3.3. Appropriate element of expense identification codes (EEIC) should be identified and used to track energy/water costs and energy/water-related costs. 8 P

29、rovided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-7.4. Maintenance Responsibilities. Maintenance and repair are critical to sustain an ECMs guaranteed performance throughout the life of the TO. Because the ESCO is responsible for the performance guarant

30、ee, the ESCO is also responsible for any factors that may affect this guarantee. Section 801(a)(2)(A) of 42 U.S.C. 8287 specifically requires that ESPCs “shall provide that the contractor is responsible for maintenance and repair services.” The ESCO is responsible for all costs relating to the perfo

31、rmance guarantee, including labor, supplies, parts, and materials for the term of the TO. 7.4.1. The ESCO will perform maintenance for the TO term. In the simplest cases (such as lighting), and only after approval by AFCEC, the base may physically perform the maintenance as long as the ESCO retains

32、the ultimate responsibility for maintenance for the length of the TO. Consequently, the language in the TO must clearly state that the ESCO is not transferring this responsibility to the base and the contractor is responsible for maintenance and repair services for any energy-related equipment (incl

33、uding computer software systems) and there is no connection between ECM performance and associated ECM maintenance. The ESCO, being held responsible, is ultimately responsible for ECM performance including actual energy savings and required to oversee and ensure that all maintenance is performed as

34、required for each ECP within the TO. 7.4.2. If approved, and if the base performs this function for the ESCO, the base may require the ESCO to provide all parts and materials needed to accomplish this service. All parts and materials needed to maintain and repair an ECM must be paid from either capt

35、ured O for example, when end-of-year fallout funds are used to buy down part of the existing TO. These one-time funds can be identified in the payment schedule to the ESCO upon acceptance of the ECM and commencement of the performance period, which allows for a lower financed amount and shorter term

36、, thereby reducing interest costs over the term. If, after award, O the economics must be considered; prepayment penalties must be identified by the ESCO; and the life expectancy of the equipment must be considered (i.e., in year 11 of a 20-year TO term, it would not be wise to buy out a piece of eq

37、uipment that has a life expectancy of 10 years). Alternatively, these funds can be applied as scheduled payments during the performance period. 7.9. Buyout Issues. When government actions (e.g., removal or demolition of installed ESCO equipment, or mission changes) result in annual guaranteed saving

38、s falling below annual payments to the ESCO, and the TO term cannot be extended, the buyout provision of the ECP and/or ECM will be exercised. Ensure that the TO clearly identifies penalties for buyouts. 8. Funding Requirements. 8.1. Legislation requires that only real O however, this may not be pos

39、sible with all project categories. 8.3. Military construction (MILCON) funds (including ECIP) cannot be applied to an ESPC. Military construction rules do not permit augmenting of funds (O square footage; building schedule; utility rates; and specific requirements (e.g., temperature, lighting level,

40、 humidity controls). 10.1.4. The Energy Team will develop Fair Opportunity requirements and selection criteria per FAR 16.505(b)(1), Fair Opportunity; Section H.3.1 of the DOE ESPC contract, Fair Opportunity Consideration Award Methods. 10.1.5. The 772ndCO will draft the acquisition plan (when requi

41、red), prepare contract file folder, NoO letter and all necessary documentation required for internal reviews prior to release of the NoO. 10.1.6. Once reviews are completed, the 772ndCO sends Notice of Opportunity letters to all 16 ESCOs requesting a submission of interest and qualification package

42、for the proposed requirement. The 772ndCO and Energy Team will review qualification packages received and select two or more ESCOs to conduct discussions (if necessary) concerning their qualifications. 10.1.7. After discussions, the 772ndCO will provide those ESCOs selected a letter to conduct a Pre

43、liminary Assessment (PA) with a clear statement of the requirement(s), disclosure of the significant factors and subfactors to be considered in evaluating proposal(s) and their relevant importance; date/time of a pre-proposal conference and onsite visit; the date for submission of proposals; and any

44、 attachments. 10.1.8. The 772ndwill provide a debriefing to any ESCO not selected to conduct the Preliminary Assessment if requested in accordance with Federal Acquisition Regulation (FAR) 15.505. 10.1.9. The base ACO and Energy Manager or representative will orchestrate the pre-proposal conference

45、and onsite visit with interested ESCOs and address any questions. The ESCOs will conduct a PA and deliver the proposal(s) to the Energy Team in accordance with the NoO letter. The Energy Team will evaluate the proposal(s) solely against the factors and subfactors identified in the NoO and select one

46、 (or more if evaluated equally) ESCO to move forward with an investment grade audit (IGA). 10.1.10. The 772ndCO will prepare a written determination for selection and submit for internal review/approval. Once internal reviews are completed and approval is obtained, the 772ndCO will notify unsuccessf

47、ul ESCOs and conduct debriefings with these ESCOs when requested. 13 Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-10.1.11. The Air Force may engage a DOE PF, for a fee, after submittal of the PA and prior to the investment grade audit (IGA). Attac

48、hment 3, Centralized Support Services, identifies the support services available after the preliminary proposal. The support services can be in addition to AFCEC/CND PF support. AFCEC/CND will work with the base ACO and Energy Manager in determining support services. 10.1.12. The 772ndCO will draft

49、the Intent to Award letter and schedule a kick-off meeting with the selected ESCO. At the kick-off meeting, the 772ndCO will issue the Notice of Intent to Award (NOITA) letter to the ESCO which authorizes the ESCO to commence an IGA. 10.1.13. The Energy Team will complete the Air Force/DOE TO Request for Proposal (RFP) and provide it to the selected ESCO. The Air Force/DOE TO RFP (TOR