GTPS Project Manual - Mechanical In Progress/Gloucester Twp … · Section 004560 Affirmative...

PROJECTMANUALBoilers,CHPandMechanicalImprovementsfortheGloucesterTownshipPublicSchools Discipline: Mechanical; HVAC Location: 17 Erial Road Blackwood, NJ 08012 Prepared By: Johnson Controls, Inc.

Energy Services Company (Prime Contractor) 1001 Lower Landing Road, Suite 409 Blackwood, NJ 08012

JCI Project Number: 8PYG-0005 Date: January 23, 2019 Bid Due Date: February 27, 2019 @ 2:00 P.M. Document: Project Manual - JCI Project #8PYG-0005 Bonding Requirements: Payment Bond Required? YES Performance Bond Required? YES Contact Information: Any and all questions should be in writing and directed to: Name: Sam Doria Email: [email protected]

BOILERS, CHP AND MECHANICAL IMPROVEMENTS FOR THE GLOUCESTER TOWNSHIP PUBLIC SCHOOLS JCI PROJECT NO.: 8PYG-0005

TABLE OF CONTENTS 000100-1

PROJECT MANUAL

Boilers, CHP and Mechanical Improvements for the Gloucester Township Public Schools

FOR THE

Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012

TABLE OF CONTENTS

NUMBERS TITLES PAGES

DIVISION 00 BIDDING AND CONTRACTING REQUIREMENTS

Section 000150 Contract Drawings Section 001110 Advertisement for Bids Section 002110 Instruction to Bidders Section 003110 Bid Document Checklist Section 004110 Form of Bid Proposal Section 004120 Acknowledgement of Addenda Section 004320 Form of Bid Bond Section 004325 Form of Consent of Surety Section 004510 Statement of Bidder's Qualifications Section 004525 Form of Non-Collusion Affidavit Section 004530 Stockholder Disclosure Statement Section 004535 Certificate of No Material Adverse Change in

Status Section 004540 Bidder's Certification Regarding

Debarment/Disqualification/Suspension Section 004550 Contractor's Equipment Certification Section 004560 Affirmative Action Language of Exhibit B and

Affirmative Action Acknowledgement Section 004570 Political Contribution Disclosure Form Section 004571 Disclosure of Investment Activities in Iran Section 004580 Sworn Contractor Certification Requirements Section 005611 Form of Performance Bond Section 005612 Form of Payment Bond Section 005620 Form of Maintenance Bond Section 006110 Standard Form of Agreement Between ESCO

and Contractor Document Form of Agreement Between ESCO and

ContractorDocument Subcontractor Safety Specifications Document Johnson Controls Ethics Policy Section 006215 General Conditions of the Contract for Construction Section 007120 Wage Rates

000150-1 001110-1 to 001110-2 002110-1 to 002110-13 003110-1 to 003110-2 004110-1 to 004110-7 004120-1 004320-1 to 004320-2 004325-1 004510-1 to 004510-7 004525-1 004530-1 to 004530-2

004535-1 to 004535-2

004540-1 to 004540-3 004550-1 to 004550-2

004560-1 to 004560-5 004570-1 to 004570-5 004570-1 to 004571-2 004580-1 to 004580-2 005611-1 to 005611-2 005612-1 to 005612-2 005620-1 to 005620-2

006110-1

17 pages 9 pages 56 pages 006215-1 to 006215-4 007120-1


TABLE OF CONTENTS 000100-2

DIVISION 01 GENERAL REQUIREMENTS Section 011000 Summary 011000-1 to 011000-8 Section 012100 Allowances 012100-1 to 012100-3 Section 013100 Project Management and Coordination 013100-1 to 013100-5 Section 013200 Construction Progress Documentation 013200-1 to 013200-6 Section 013300 Submittal Procedures 013300-1 to 013300-9 Section 014000 Quality Requirements 014000-1 to 014000-9 Section 014200 References 014200-1 to 014200-13 Section 016000 Product Requirements 016000-1 to 016000-4 Section 017300 Execution 017300-1 to 017300-6 Section 017419 Construction Waste Management and Disposal 017419-1 to 017419-2 Section 017700 Closeout Procedures 017700-1 to 017700-6 Section 017823 Operation and Maintenance Data 017823-1 to 017823-6 Section 017839 Project Record Documents 017839-1 to 017839-3 Section 017900 Demonstration and Training 017900-1 to 017900-5 DIVISION 23 HEATING, VENTILATION AND AIR CONDITIONING Section 232500 HVAC Water Treatment Systems 232500-1 to 232500-6 Section 235216 Condensing Boilers 235216-1 to 235216-11 DIVISION 48 ELECTRICAL POWER GENERATION Section 483113 Combined Heat and Power 483113-1 to 483113-7 APPENDICES Appendix 1 ECM-2 – Boiler Replacement Scope of Work 5 pages Appendix 2 ECM-4 – CHP Scope of Work 3 pages Appendix 3 Pump Replacement Scope of Work – Alternate 1 3 pages Appendix 4 ECM-5 – Domestic Water Booster Skid Scope of

Work – Alternate 2 2 pages

Appendix 5 ECM-7 – DHW Storage Tank Replacement Scope of Work – Alternate 3

2 pages

END OF TABLE OF CONTENTS


CONTRACT DRAWINGS 000150-1

SECTION 000150 - CONTRACT DRAWINGS Drawings listed below provide for complete construction of this Project and are part of the Contract Documents. DWG.NO. TITLE M-2.0 Boiler Replacements – Mechanical Legend and Notes MD-2.1 Blackwood Elementary School Mechanical Partial Floor Plans – Demolition M-2.2 Blackwood Elementary School Mechanical Partial Floor Plans – New Work MD-2.3 Chews Elementary School Mechanical Partial Floor Plans – Demolition M-2.4 Chews Elementary School Mechanical Partial Floor Plans – New Work MD-2.5 Erial Elementary School Mechanical Partial Floor Plans – Demolition M-2.6 Erial Elementary School Mechanical Partial Floor Plans – New Work MD-2.7 Glen Landing Middle School Mechanical Partial Floor Plans – Demolition MD-2.8 Glen Landing Middle School Mechanical Partial Floor Plans – Demolition M-2.9 Glen Landing Middle School Mechanical Partial Floor Plans – New Work M-2.10 Glen Landing Middle School Mechanical Partial Floor Plans – New Work MD-2.11 Glendora Elementary School Mechanical Partial Floor Plans – Demolition M-2.12 Glendora Elementary School Mechanical Partial Floor Plans – New Work MD-2.13 James W. Lilley Elementary School Mechanical Partial Floor Plans – Demolition M-2.14 James W. Lilley Elementary School Mechanical Partial Floor Plans – New Work MD-2.15 Loring-Fleming Elementary School Mechanical Partial Floor Plans – Demolition M-2.16 Loring-Fleming Elementary School Mechanical Partial Floor Plans – New Work M-2.17 Boiler Replacements – Schedules, Details and Notes M-2.18 Boiler Replacements – Details E2.19 Boiler Replacements – Electrical Legend and Notes M-4.0 Combined Heat and Power – Mechanical Legend and Notes M-4.1 Combined Heat and Power – Floor Plans and Notes M-4.2 Combined Heat and Power – Mechanical Flow Diagram M-4.3 Combined Heat and Power – Sequence of Operation and Schedules E-4.4 Combined Heat and Power – Electrical Legend and Notes E-4.5 Combined Heat and Power – Electrical Specifications E-4.6 Combined Heat and Power – Floor Plans and Notes M-5.0 Pressure Booster System – Union Valley ES Mechanical Legend and Notes M-5.1 Pressure Booster System – Union Valley ES Partial Floor Plans M-7.0 Water Heater Replacement – Glen Landing MS Mechanical Legend and Notes MD-7.1 Water Heater Replacement – Glen Landing MS Partial Floor Plans – Demolition M-7.2 Water Heater Replacement – Glen Landing MS Partial Floor Plans – New Work M-7.3 Water Heater Replacement – Glen Landing MS Details E-7.4 Water Heater Replacement – Glen Landing MS Electrical Legend and Notes Shop Drawings shall be completed and submitted for Prime Contractor's review for compliance with the contract documents prior to the starting of work by the subcontractor, as specified herein.

END OF SECTION 000150


ADVERTISEMENT FOR BIDS 001110-1

SECTION 001110 – ADVERTISEMENT FOR BIDS NOTICE IS HEREBY GIVEN that sealed Bid Proposals will be received by Johnson Controls, Inc. who has been selected as the Energy Services Company (ESCO) for: Boilers, CHP and Mechanical Improvements for the Gloucester Township Public Schools FOR THE Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012 In accordance with Project Manual, JCI Project No. 8PYG-0005, dated January 23, 2019 together with all work incidental thereto as prepared by JOHNSON CONTROLS, INC. Sealed bids for the above must be received by Johnson Controls, Inc. for the Gloucester Township Public Schools, 17 Erial Road, Blackwood, NJ 08012 by 2:00 P.M. Prevailing Time on Wednesday, February 27, 2019 at which time and place all bids will be opened and read to the public immediately thereafter. Neither Gloucester Township Public Schools nor Johnson Controls, Inc., will assume any responsibility for Bids mailed or misdirected in delivery. No bid may be withdrawn for a period of sixty (60) days from the opening of the bids. Any bid received after the closing time will be returned unopened. The Prime Contractor reserves the right to reject any or all bids and waive any informality in the bidding process in accordance with the law if it is in the best interest of the Prime Contractor. The Contract, if awarded, shall be awarded to the lowest responsible bidder whose bid is responsive in all material respects to the bid requirements. No bid shall be deemed accepted until the execution of a formal subcontract by the Prime Contractor. Complete electronic sets of Bidding Documents will be available at 1001 Lower Landing Road, Suite 409, Blackwood, NJ 08012 by appointment only. Any Bidders should contact the Prime Contractor at (609) 828-6122 to confirm details of availability of Bidding Documents. All bidders must use and complete all bid forms provided in the manner designated, and must comply with every requirement contained in the instructions and specifications. Bids shall be marked in a sealed envelope with the name of the project plainly marked on the front of the envelope and accompanied by a bid guarantee in the form of a Certified Check, Cashier's Check, or Bid Bond in the amount of Ten Percent (10%) of the bid, but not in excess of $20,000. The winning bidder will be required to provide a payment and performance bond. A pre-bid conference will take place at Gloucester Township Public Schools, 17 Erial Road, Blackwood, NJ 08012 on Thursday, January 31 at 2:30 P.M. Prevailing Time for the purpose of considering questions posed by the Bidders at the project site. A tour of facilities will follow the pre-bid conference. Due to the special nature of the work involved that can only be seen by an in-depth visitation, the attendance of all the bidders is requested and STRONGLY ENCOURAGED as an integral and important element of the bidding process so that all bidders have an equal understanding of the scope of work involved. Questions regarding any aspect of the RFP and scope of work that Providers may have should be directed to [email protected] and will be answered as completely as possible through addendum and or


ADVERTISEMENT FOR BIDS 001110-2

clarification to all participants having taken bid documents. Deadline for questions submittals will be no later than Friday, February 8, 2019. Any questions received after this date may not be answered. Bidders and subcontractors named in the Form of Bid Proposal who perform any work on the Project must be prequalified prior to the submission of bids, pursuant to the State of New Jersey Division of Property Management and Construction DPMC. Pursuant to N.J.S.A. 18A:18A-26, in order to be eligible to submit a Bid for the Project, the Bidder shall be classified by the New Jersey Department of Treasury, Division of Property Management and Construction in the following disciplines:

ECM-2 Boiler Replacements: C032 HVACR ECM-4 Combined Heat & Power: C032 HVACR Pump Replacements: C032 HVACR ECM-5 Domestic Water Booster Skid Replacement: C032 HVACR ECM-7 DHW Storage Tank Replacement: C032 HVACR

Bidders are required to comply with requirements of N.J.S.A. 10:5-1 et seq., "The Law Against Discrimination and affirmative action, N.J.S.A. 10:5-31 et seq. and N.J.AC. 17:27-1 et seq. All bidders and their subcontractors shall be registered with the New Jersey Department of Labor, pursuant to the Public Works Contractor Registration Act, N.J.S.A. 34:11-56.48 et seq. All bids must be accompanied by a Certificate issued by the New Jersey Department of Labor, pursuant to the Public Works Contractor Registration Act to the Bidder and all subcontractors. BY ORDER OF: Samuel Doria

Johnson Controls, Inc. 1001 Lower Landing Road, Suite 409 Blackwood, NJ 08012 E-Mail: [email protected] Phone: (609) 828-6122 Fax: (732) 225-0444 On behalf of Jean Grubb Business Administrator Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012



INSTRUCTION TO BIDDERS 002110-1

SECTION 002110 – INSTRUCTION TO BIDDERS PART 1 – GENERAL 1.1 INVITATION TO BID

A. In accordance with the Advertisement for Bids, proposals will be received by the PRIME CONTRACTOR for the performance of the project designated in the Advertisement for Bids and further described in the Instructions to Bidders and Bid Specifications. Bids shall cover all costs of any nature, including those which are incidental to and arise from the work. In explanation but not in limitation thereof, these costs shall include the costs of all work, labor, materials, equipment, transportation and cost of anything else necessary to perform and complete the project in the manner and within the time required by the specifications, all incidental expenses in connection therewith, all costs on account of loss due to damage or destruction of the project, and any additional expenses for unforeseen difficulties encountered, for settlement of damages and for replacement of defective work and materials. Conditions, limitations or provisions attached by the Bidder to the Proposal shall be cause for its rejection.

B. Prior to submitting a bid, all bidders shall become familiar with the Advertisement for Bids,

Instructions to Bidders, General and Supplementary Conditions, Specifications, Drawings, Addenda and other bidding documents. It shall also be the responsibility of every bidder to investigate the site of the project and make such examination as necessary to satisfy itself regarding the character and amount of work involved. All Bidders shall determine that necessary labor and equipment can be secured and that the materials it proposes to use will comply with the requirements contained in the specifications and can be obtained by the Bidder in the quantities and at the time required. Appointments for inspection of the site can be arranged by contacting Mr. Samuel Doria (609) 828-6122. All work is expected to be substantially complete by September 15, 2019. By submitting a bid, the Bidder agrees and warrants that it has examined the specifications, drawings, addenda, and bulletins required in any part of the work a given result to be produced, that the specifications, drawings, addenda, and bulletins are adequate and the required result can be produced under the specifications, drawings, addenda, and bulletins. No claim for any extra will be allowed because of alleged impossibilities in the production of the results specified or because of the unintentional errors or conflicts in the drawings, specifications, addenda and bulletins.

C. The Project Manual, Drawings, and Addenda shall be considered as a whole and shall not be

separated during the bidding or construction period. Division of Project Manual into "divisions" and "sections" is solely for organization and is not intended to define trade responsibilities unless specifically stated. Every Contractor shall be held responsible for reviewing and understanding the relationship of all work by becoming thoroughly familiar with the Drawings, Project Manual, and Addenda of the contract. Every Contractor shall be responsible for its own work and, if it divides the Drawings, Project Manual, and Addenda for Subcontractors or material suppliers, it does so at its own risk.

D. Every bidder shall certify that it owns, leases, or controls all the necessary equipment required

by the Specifications. If the bidder is not the actual Prime Contractor or lessee of any such equipment, it shall submit a certificate stating the source from which the equipment will be obtained and shall obtain a certificate from the Prime Contractor and person in control of the



equipment, granting to the bidder the control of the equipment required during such time as may be necessary for the completion of that portion of the contract for which it is necessary.

E. Only manufactured and farm products of the United States where available shall be used in the

performance of the work required to complete the project.

F. Quality of Products/Goods: All products and goods used in the project shall be new (unless specifically indicated) and covered by applicable manufacturer's warranty.

G. Wherever in the Contract Documents reference is made to "the Contract", it shall mean the

contract entered into through the acceptance of the Bidder's Proposal enumerated hereinafter and all applicable provisions in the Project Manual shall govern the Contract with equal force.

H. Bidders are cautioned to carefully read the complete Drawings and Project Manual to acquaint

themselves with requirements therein necessitating installation work by one Contractor of materials or equipment furnished by another Contractor required to complete the entire Project. Bidders should also note all cases where it is specified that labor, materials or both are to be omitted by one Contractor and are to be provided by another Contractor identified therein. It is understood that the various Bidders have included such work in their bids, even though the same is not specifically mentioned within the Divisions and Sections of the Specifications upon which they are bidding.

I. Bidding shall be in conformance with New Jersey Local Agency Procurement Laws and with

the applicable requirements of N.J.S.A. 18A:18A-1 et seq., the “Public School Contracts Law". 1.2 DEFINITIONS

A. Whenever in the Project Manual the following terms, or pronouns in place of them are used, their intent and meaning shall be interpreted as follows:

B. Contract Documents: Those documents which memorialize the parties' agreement with respect

to their respective obligations in connection with Project, including the complete Working Drawings, detailed Project Manual with all Addenda and Supplementary Agreements that may be entered into, the Instructions to Bidders, Bid Proposal, Executed Contract, and Contract Bond. All of the aforementioned documents are to be treated as one instrument whether or not set forth at length in the Form of Contract.

C. Drawings: Drawings or reproductions thereof furnished by the Prime Contractor pertaining to

the Project. D. Project: The term "Project" as used in the Contract Documents refers to: Scope of Work for the

Building Envelope and Mechanical Insulation Project at Gloucester Township Public Schools.



E. Prime Contractor: The term "Prime Contractor" as used in the Contract Documents refers to:

Johnson Controls, Inc. 1001 Lower Landing Road, Suite 409 Blackwood, NJ 08012 Tel: (609) 828-6122 Fax: (732) 225-0444

F. Gloucester Township Public Schools (Customer): The term “Customer” or as used in the

Contract Documents refers to:

Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012

1.3 OBLIGATION OF THE BIDDER

A. At the time of the opening of the bids, each bidder will be presumed to have inspected the site and to have read and become thoroughly familiar with the Notice for Bids, Instructions to Bidders, Bid Specifications and other bidding documents. The failure or omission of any bidder to receive or examine any form, instrument or document or to visit the site and acquaint himself with the conditions there existing, shall not relieve the bidder from its obligation to furnish all the necessary labor, materials and other conditions and requirements of the Contract Documents to complete the project at the bid price. A claim of mistake or omission will likewise not excuse a bidder from any obligation under its bid. The submission of a bid will be considered conclusive evidence that the bidder has made such an examination.

B. The Prime Contractor reserves the right to hire an Architect to act as its representative for the

purpose of administering the contract. The Contractor is obligated to follow any directive or order that the Architect may issue as if the directive or order were issued by the Prime Contractor.

1.4 DRAWINGS AND PROJECT MANUAL

A. The Drawings and Project Manual are to provide for the complete construction of the Project and are intended to complement and supplement each other. Any work required by either of them and not by the other shall be performed as if denoted both ways. Any work required which is not denoted in the Project Manual or on the Drawings because of an obvious omission but which is nevertheless necessary for the proper performance of the Project, such work shall be performed as fully as if it were described and delineated.

1.5 INTERPRETATIONS

A. No oral interpretation will be made to any Bidders as to the meaning of the Drawings and Project Manual. Should any questions arise as to the true meaning of any item noted on the Drawings, Specifications, or other Contract Documents, the Bidder will immediately forward a request in writing to the PRIME CONTRACTOR for interpretation as soon as such question arises on Form E Request for Information provided at the end of Division "00" Bidding and



Contract Requirements. Interpretations will be made in the form of Addenda and issued to all Bidders receiving the Drawings and Project Manual. All such Addenda shall become part of the Contract Documents. In order to be given consideration and timely issuance of addenda, if any, written requests for interpretation are requested at least ten (10) business days, Saturdays, Sundays and Holidays excepted prior to the date fixed for the opening of bids. Notice of revisions or addenda to the advertisement or bid specifications will be sent in writing, via certified mail, certified facsimile transmission or delivery service to all persons who have picked up a copy of the bidding documents. Notice shall be provided no later than seven (7) days, Saturday, Sundays or holidays excepted, prior to the date for acceptance of bids to any person who has submitted a bid or who received a bid package. It shall be the responsibility of the Bidder to ascertain that he has received all amendments, revisions and clarifications prior to submitting his bid. Failure of a Bidder to receive notice of any amendment, revision or clarification when good faith notice is sent or delivered shall not be considered failure by the PRIME CONTRACTOR to provide notice and shall not relieve a bidder from any obligation under its bid. All amendments, revisions and clarifications shall become part of the contract documents, and shall be acknowledged by the bidder in the bid. In the event the PRIME CONTRACTOR is unable to provide notice within the time required, or otherwise fails to provide notices, the PRIME CONTRACTOR shall not accept bids and shall re-advertise for bids. The PRIME CONTRACTOR's interpretations or corrections thereof shall be final.

1.6 ASSIGNMENT / SUBCONTRACT

A. The Bidder to whom the contract is awarded (hereinafter referred to as “Contractor”) may not assign this contract to any person, partnership or corporation nor may it subcontract any part of the work required to be performed under the contract without obtaining the prior written approval of the PRIME CONTRACTOR.

B. Any assignee or successor in interest to the contract who is approved by the PRIME

CONTRACTOR shall be bound by the terms of this contract. C. Any subcontractor approved by the PRIME CONTRACTOR shall be bound by the terms of

this contract.

1.7 CLASSIFICATION OF BIDDERS

A. Contractors proposing to submit bids for contracts exceeding $20,000.00 are required to be prequalified by the New Jersey Department of Treasury, Division of Property Management and Construction (DPMC) in accordance with N.J.S.A. 18A:l8A-26 to 18A:18A-33 and N.J.S.A. 52:35-1.

B. Pursuant to N.J.S.A. l 8A: l 8A-27, all bidders on any contract for public work in which the

entire cost of the project exceeds $20,000.00 must be prequalified by the Department of Treasury, Division of Building and Construction as to character and amount of public work on which they may submit bids. No person shall be qualified to bid on any public work contract with the Prime Contractor if it has not submitted a statement to the Department of Treasury, Division of Building and Construction which fully discloses the bidder's financial ability, the adequacy of its plant and equipment, its organization and prior experience, and such other



pertinent and material facts which may impact on the bidder's performance on the Project within a period of one year preceding the date of opening of the bids for such contract.

C. Every prequalified bidder must submit with its proposal, a notarized affidavit setting forth the

type of work and the amount of work for which it has been qualified, that there has been no material adverse change in its qualification information, the total amount of uncompleted work on contract at the time, and the date of the classification. Any bid not including this affidavit shall be rejected as being non-responsive to the bid requirements. A form affidavit is included as part of the bidding documents.

D. All bidders shall furnish satisfactory evidence that it and its subcontractors have sufficient

means and experience in the type of work to complete the project in accordance with the bid specifications. A subcontractor listing and bidder's personnel and experience sheet shall be submitted to the Prime Contractor as part of the bidding documents. Where the bidder intends to subcontract any portion of the work to one or more of the major trades for (General Construction, Structural Steel; Plumbing; Heating, Ventilating and Air-Conditioning; and/or Electrical) and for all specialty trades for which classification is required, the subcontractor(s) shall be classified to perform the work and the bidder shall submit the requisite documentation pertaining to the subcontractor(s) in accordance with paragraph B above. Additionally, all subcontractors named on the bid form must also submit a signed sworn contractor certification and all documents referenced therein, as well as any applicable trade license.

E. All Bidders shall complete the Statement of Bidders Qualifications and attached forms. The

Prime Contractor may make such additional investigations as it deems necessary to determine the ability, competence and financial responsibility of the bidder to perform their work. The Prime Contractor reserves the right to reject any bid if the information fails to establish to the Prime Contractor's satisfaction that the bidder is properly qualified to carry out the obligations of the contract and to complete the work contemplated therein.

F. For every contract for public work that exceeds $20,000.00, the Prime Contractor shall, upon

completion thereof, report to the Department of Treasury, Division of Property Management and Construction as to the Contractor's performance and shall also furnish such report from time to time during performance if the Contractor is then in default.

1.8 PUBLIC WORKS CONTRACTOR REGISTRATION ACT (P.L. 1999 c. 238)

A. All contractors and subcontractors as defined in N.J.S.A. 34:11-56.48 et seq. submitting a bid for this project shall be registered with the Department of Labor in accordance with N.J.S.A. 34:11-56.48 et seq. All bidders shall submit a copy of the Registration Certificate of the bidder and all subcontractors with the bid.

1.9 STOCKHOLDER OR PARTNERSHIP DISCLOSURE STATEMENT

A. Pursuant to N.J.S.A. 52:25-24.2, all forms of corporations and partnerships (including limited partnerships, limited liability corporations, limited liability partnerships and subchapter S corporations) shall submit a statement with its bid which sets forth the names and addresses of all stockholders in the corporation or partnership who own 10% or more of its stock or of all individual partners in the partnership who own a 10% or greater interest therein. If one or more



such stockholder or partner is itself a corporation or partnership, the stockholders holding 10% or more of that corporation's stock or the individual partners owning 10% or greater interest in that partnership shall also be listed. The disclosure shall be continued until names and addresses of every non-corporate stockholder and individual partner exceeding the 10% Prime Contractorship criteria has been listed.

B. Any bidder whose stockholders or partners own less than ten percent (10%) of the stock shall

certify such fact to the Prime Contractor. C. A form affidavit is included as part of the bidding documents and must be completed by the

Bidder. 1.10 LAW AGAINST DISCRIMINATION

A. The Bidder (Contractor) that is awarded a Contract, and its subcontractors, agrees to comply with the Anti-Discrimination provisions of N.J.S.A. 10:2-1 et seq.; the New Jersey Law Against Discrimination, N.J.S.A. 10:5-31 et seq.; N.J.A.C. 17:27-1 et seq. set forth at length in Exhibit B attached hereto and made a part hereof and incorporated herein by reference. A complete copy of the regulations, N.J.A.C. 17:27-1 et seq. are available upon request or online at http://www.state.nj.us/treasury/contract_compliance/pdf/njac_17_27_ac.pdf. The Bidder (Contractor) that is awarded a Contract, and its subcontractors, further agrees to comply with N.J.A.C. 6A:7-l.8.

1.11 QUALITY OF PRODUCTS/GOODS USED

A. In accordance with N.J.S.A. 18A: 18A-20, "American goods and products to be used wherever possible," only manufactured and farm products of the United States, wherever available, shall be used in this project.

B. All products and goods used in the project shall be new and covered by the applicable

manufacturer's warranty. Where a brand name is specified in the specifications, the Bidder may use an equivalent brand, provided the procedures set forth in the specifications are followed. The PRIME CONTRACTOR and Architect shall approve such substitution.

C. Quality Control: During the term of this project, the contractor will have in place a suitable

quality control and quality assurance program and an appropriate safety and health plan. D. Discrimination on the basis of disability for the purchase of goods and services is

prohibited. Bidders are expected to have read and understand the language of the Americans with Disabilities Act and are required to agree that the provisions of Title II of the Act and are made a part of this Contract. The Contractor is obligated to comply with the Americans with Disabilities Act of 1990 (ADA) including the changes made by the ADA Amendments Act of 2008 (P.L. Law 110-325) effective January 1, 2009.

1.12 BUSINESS REGISTRATION CERTIFICATE



A. Pursuant to N.J.S.A. 52:32-44, all bids must be accompanied by a New Jersey Business Registration Certificate issued by the New Jersey Department of Treasury, Division of Revenue. N.J.S.A. 52:32-44 imposes the following requirements on contractors and all subcontractors that knowingly provide goods or perform services for a contractor fulfilling this contract.

B. No contract with a subcontractor shall be entered into until the subcontractor provides a copy

of a valid business registration certificate to the contractor. The contractor shall provide copies of a current Business Registration Certificate for each subcontractor immediately upon entering into each subcontract. The contractor shall provide written notice to its subcontractors and suppliers of the responsibility to submit proof of business registration to the contractor. The requirement of proof of business registration extends down through all levels (tiers) of the project. Subcontractors through all tiers of a project must provide written notice to their subcontractors and suppliers to submit proof of business registration and subcontractors shall collect such proofs of business registration and maintain them on file;

C. The contractor shall maintain and submit a current, updated list of subcontractors and their

current Business Registration Certificate as a continuing obligation under this contract. Before final payment on the contract is made by the contracting agency, the contractor shall submit an accurate list and the proof of business registration of each subcontractor or supplier used in the fulfillment of the contract, or shall attest that no subcontractors were used.

D. For the term of this contract, the contractor and each of its affiliates and each subcontractor and

supplier and each of its affiliates as defined in N.J.S.A. 52:32-44(g) (3) shall collect and remit and shall notify all subcontractors and their affiliates that they must collect and remit to the Director, New Jersey Division of Taxation, the use tax due pursuant to the Sales and Use Tax Act (N.J.S.A. 54:32B-1 et seq.) on all sales of tangible personal property delivered into this State, regardless of whether the tangible personal property is intended for a contract with a contracting agency.

E. A contractor, subcontractor or supplier that fails to provide a copy of a business registration as

required pursuant to N.J.S.A. 52:32-44 et seq. or that provides false business registration information under the requirements of either of those sections, shall be liable for a penalty of $25.00 for each day of violation, not to exceed $50,000 for each business registration copy not properly provided under a contract with a contracting agency. The contractor shall indemnify and hold harmless the Prime Contractor from and against any and all fines, taxes, penalties, interest, claims, losses, costs and expenses of any kind arising out of or resulting from or in connection with the contractor's failure to comply with N.J.S.A. 52:32-44 as amended from time to time. Information on the law and its requirements are available by calling (609)292-9292.

1.13 NON-COLLUSION

A. No official or employee of the Prime Contractor who is authorized in his or her official capacity to negotiate, make, accept or approve or to take part in such decision regarding a contract in connection with a school facilities project shall have any financial or other personal interest in any such contract. The Prime Contractor and its officers and employees shall comply with the School Ethics Law, N.J.S.A. 18A:12-21 et seq. and N.J.A.C. 6A:28.



B. No bidder shall directly or indirectly enter into any agreement, participate in any collusion or otherwise take any action in restraint of free, competitive bidding in connection with this project.

C. A form affidavit of non-collusion is included as part of the bidding documents and must be

completed by the bidder. 1.14 PREVAILING WAGE RATE

A. Each Contractor and subcontractor is required:

1. To comply with the New Jersey Prevailing Wage Act, N.J.S.A. 34: 11-56.25 et seq., and pay all workmen and/or subcontractors performing services in connection with the project not less than the prevailing rate of wages as determined by the State Department of Labor and Industry, whereby said prevailing rate of wages are enumerated in the list of prevailing wage rates included as part of the Project Specifications and Contract Documents, are on file in the Prime Contractor's office and/or the architect's office and are made a part hereof and incorporated herein by reference.

2. To contact the State Department of Labor and Industry to verify the prevailing wage rates applicable to the Project.

3. To furnish the Prime Contractor with an affidavit stating that all workmen have been paid in accordance with the New Jersey Prevailing Wage Act, N.J.S.A. 34: 11-56 et seq.

4. Upon request, file verified written statements with the Prime Contractor certifying the amounts then due and owing to any and all workmen for wages due on account of the work and the names of the persons whose wages are unpaid and the amount due to each.

5. To submit weekly payroll forms in full compliance with the Prevailing Wage Act. 6. To keep an accurate record showing the name, craft or trade and actual hourly rate of

wages paid to each workman employed by him in connection with the project. Records shall be preserved for two (2) years from the date of payment.

7. To post the prevailing wage rates for each craft and classification involved in the work, including the effective date of any changes thereof, in prominent and easily accessible places at the site of the project and at such place or places as are used to pay workmen their wages.

B. In the event that it is found that anyone employed by the Contractor or any Subcontractor

has been paid a rate of wages less than the prevailing wage required to be paid by such contract, the Prime Contractor may terminate the Contractor's right to proceed with the work or such part of the work as to which there has been a failure to pay required wages and to prosecute the work to completion or otherwise. The Contractor and his Sureties shall be liable to the Prime Contractor for any excess costs occasioned thereby.

1.15 C.271 POLITICAL CONTRIBUTION DISCLOSURE FORM

A. The Contractor is advised of the responsibility to file an Annual Disclosure Statement on Political Contributions with the New Jersey Election Law Enforcement Commission pursuant to N.J.S.A. l 9:44A-20.13 (P.L. 2005, c.271, s.3) if the Contractor receives contracts in excess of $50,000.00 form public entities in a calendar year. It is the Contractor's responsibility to



determine if filing is necessary. Additional information on this requirement is available from ELEC at (888) 313-3532 or at www.elec.state.nj.us.

1.16 PREPARATION OF BIDS

A. Bidders shall comply with the requirements contained in the Notice for Bids, Instructions to Bidders, Bid Specifications, and other bidding documents.

B. Bids must be submitted on the Form of Proposal furnished by the PRIME CONTRACTOR.

Where the bidder is a corporation or a partnership, the person submitting the bid must certify that he is duly authorized to submit a bid on behalf of the corporation or partnership. The corporate seal should be affixed to the bid. Alternative bids will not be accepted unless otherwise authorized in the bidding documents. Where alternates are specified, the bidder shall indicate the amount of the alternate(s) to be added to or deducted from the base bid. If an alternate item will not result in an increase or decrease in the base bid, the bidder shall clearly so indicate by stating either "zero (0)" or "no change". Failure to bid an alternate, where specified, by leaving an alternate amount blank or stating "no bid" shall be considered a material defect, resulting in the rejection of bids. No conditions, limitations or provision may be placed on a bid.

C. Bids shall be enclosed in a sealed opaque envelope with the name and post office address of

the bidder and the name of the project and the contract being bid marked on the front of the envelope. Telegraph, telecopy, or facsimile of bids will not be considered.

All sealed bids must be submitted no later than the "Bid Opening Date and Time" as stated in

the Notice for Bids or as changed by addendum. Any bid not received by the date and time set forth in the Notice for Bids/Addendum will not be considered by the Prime Contractor. Bids shall be sealed in an envelope and shall bear the name and address of the Bidder and shall be endorsed "Sealed Bid" and include the name of the project “Building Envelope and Mechanical Insulation for the Gloucester Township Public Schools”.

D. A bidder may withdraw its bid at any time prior to the scheduled time for opening bids. No bid

may, however, be withdrawn for a period of sixty (60) days from the opening of the bids. The Prime Contractor reserves the right to reject any or all bids and waive any informality in the bidding process in accordance with the law if it is in the best interest of the Prime Contractor. The Prime Contractor further reserves the right to reject any or all bids and not award a Contract for any portion of the Project if the Prime Contractor has not obtained the requisite approval for the project or any portion thereof from the appropriate state agency. Any agreement entered into by the PRIME CONTRACTOR for any portion of the Project is expressly conditioned upon the Prime Contractor obtaining the requisite approval for the Project or any portion thereof. The Prime Contractor reserves the right to terminate the agreement if it has not obtained the requisite approval for the Project or any portion thereof from the appropriate state agency. No bid shall be deemed accepted until the adoption of a formal resolution by the Prime Contractor. Contract(s) to be awarded will be awarded to the lowest responsible bidder whose bid is responsive in all material respects to the bid requirements.

E. Proposals shall be submitted on the Form of Proposal furnished by the Prime Contractor

properly filled out in the manner designated and duly executed, including Affidavits. Proposal Forms shall be filled in, with ink or typewritten, in both words and figures. In case of



discrepancy, the amount described in words shall govern. Proposal packages shall contain one (1) completed original; two (2) paper copies; and one (1) electronic copy on a USB drive.

1.17 BID GUARANTEE

A. Every Bid must be accompanied by a Bid Guarantee in the form of a Certified Check, Cashier's Check, or Bid Bond (together with a Consent of Surety) drawn to the order of the "Prime Contractor" for the amount of Ten Percent (10%) of the bid (Base Bid or Base Bid with Alternate Bid(s), whichever is greater), but not in excess of $20,000. Bond shall be furnished by a surety company authorized to do business in the State of New Jersey.

B. The ten percent (10%) security shall be forfeited if bidder fails to execute a contract with the

PRIME CONTRACTOR and furnish the Prime Contractor with a satisfactory performance/labor and materials bond and the required certificates of insurance within ten (10) days after the contract is awarded. In the event the bidder defaults by failing to execute the contract or to provide all guarantees, insurance and other items required, the funds represented by such bidder's bid guarantee shall be released to the Prime Contractor and become and remain the property of the Prime Contractor. Delivery of the bid guarantee constitutes agreement of the bidder and the surety and any other entity that issued the bid, that such amount shall be released to the Prime Contractor in the event of such default. In the event of default and subsequent award of the contract to another bidder, the bidder shall be liable for the difference between the amount of his bid and the amount for which the Prime Contractor is obligated to pay on an award to another bidder, less the ten percent (10%) security.

1.18 CONTRACT BONDS

A. Consent of Surety: Pursuant to N.J.S.A. 18A:l8A-25, bids shall be accompanied by a Consent of Surety assuring that satisfactory arrangements have been made between the Surety and the Bidder, by which the Surety agrees to furnish the Bidder with a Performance Bond, and a Payment Bond, each in the stated amount of one hundred percent of the Contract Sum, together with the required one-year Maintenance Bond. The Consent of Surety shall be executed by an approved Surety Company authorized to do business in the State of New Jersey.

B. Each Bidder to whom Contracts have been awarded shall furnish and deliver within ten (10)

days after issuance of written "Letter of Intent" or date of "Notice of Award", a Performance and a Payment Bond in the form as bound herewith. The Performance and Payment Bonds shall be in the amount of one hundred percent (100%) of the awarded contract amount. The surety on the Performance and Payment Bonds shall be a surety company and having a bond rating as noted in the Supplementary Conditions, paragraph 11.1.4 that are both satisfactory to the Prime Contractor and authorized to do business in the State of New Jersey. The bonds shall comply with the requirements of New Jersey law, specifically N.J.S.A. 2A:44-l 43 et seq. and shall be in a form acceptable to the Prime Contractor's Attorney. The Performance Bond and Payment Bonds shall be maintained in full force and effect until the Prime Contractor is satisfied that all unpaid claims against the bidder have been resolved.

C. Prior to the start of the guarantee period and before final payment is made, the Bidder who is

awarded a Contract shall provide the Prime Contractor with a Maintenance Bond, together with power of attorney, in the amount of the contract price to insure the replacement or repair of



defective materials or workmanship for one (1) year from the date of issuance of the Final Certificate of Occupancy.

D. The cost of Bonds shall be paid for by the Contractor.

1.19 POWER OF ATTORNEY

A. Attorneys-in-fact who sign Bid Bonds, Contract Bonds, and Consent of Surety must accompany with each bond or consent of surety a certified and effectively dated copy of their power of attorney.

1.20 SALES TAX

A. The Gloucester Township Public Schools are exempt under the provisions of the New Jersey Sales and Use Tax Act and are not required to pay sales tax. Bidders will be expected to comply with the provisions of the Act and rules and regulations promulgated pursuant thereto to qualify them for exemptions with reference to any and all labor, service and materials supplied to or furnished in connection with the work to be performed.

1.21 AWARD OF CONTRACTS

A. The Prime Contractor reserves the right to reject any or all bids or to waive informality in the bidding if it is in its best interest to do so. The Prime Contractor reserves the right to reject the Bid of any Bidder who in the judgment of the Prime Contractor, and in accordance with the law, is not in position to perform the Contract. The Prime Contractor reserves the right to reject the Bid of any Bidder with whom the Prime Contractor has had a prior negative experience.

B. The lowest responsible bidder(s) shall be determined in accordance with statute by comparing

the lowest responsible contract bids. The Prime Contractor shall have the right to determine which alternates, if any, shall be included in the final determination. The add or deduct amount of any alternates selected by the Prime Contractor shall be included in a consistent manner in all bid tabulations.

C. Each Contract Bid represents an individual contract and should be bid as such. An award will

be made to the lowest, responsible bidder for each Contract Bid. D. The contract shall be signed by the Contracting party and returned to the PRIME

CONTRACTOR within ten (10) days after the making of the award, and the contract shall be signed by the Prime Contractor within twenty-one (21) days after the making of the award; provided however, that all parties to the contract may agree to extend the limit set forth in the specifications beyond the limits required.

E. All bid guarantees will be returned, upon request, within ten (10) business days after the

bids have been opened. The bid guarantees of the three lowest bidders shall, however, be retained until either: (1) three (3) days after the contract is awarded and signed and the bidder's performance/labor and materials bond and insurance certificates are approved by the Prime Contractor, or (2) all bids are rejected by the Prime Contractor.



F. If the lowest responsible bidder is not a resident of the State of New Jersey, then the bidders

shall designate a proper agent in the State upon whom process may be served as a condition precedent for the awarding of the contract. If the lowest responsible bidder is a foreign corporation (incorporated outside the State of New Jersey), then the awarding of the contract and payment of consideration thereunder is conditioned upon the bidder filing a Certificate of Authority to transact business in the State of New Jersey with its bid complying with the provisions of N.J.S.A. 14A:l30-1 et seq.

G. Upon notice of award of a construction contract, the PRIME CONTRACTOR will provide

the contractor with Form AA-201, Initial Project Workforce Report. The contractor shall after notification of award, but prior to signing a construction contract, properly complete and submit an Initial Project Workforce Report, Form AA-201. Proper completion and submission of this report shall constitute evidence of the contractor's compliance with the regulations of Affirmative Action. Failure to submit this form may result in the contract being terminated. The contractor also agrees to submit a copy of the Monthly Project Workforce Report, Form AA-202 once a month thereafter for the duration of the contract to the Division of Contract Compliance and Equal Employment Opportunity in Public Contracts and the Public Agency Compliance Officer. The Prime Contractor is required to retain the Affirmative Action evidence on file for review by the Division of Contract Compliance and Equal Employment Opportunity in Public Contracts.

H. The contractor must submit a properly completed Initial Project Workforce Report, Form

AA-201. The completed form AA-201 must be submitted by the third (3rd) calendar day after notification of award. If a construction contractor does not submit Form AA-201 within the required time period, the PRIME CONTRACTOR may extend the time period to the fourteenth (14th) calendar day. If by the fourteenth (14th) calendar day the Contractor does not submit the form, the PRIME CONTRACTOR must declare the Contractor is non-responsive and award the contract to the next lowest responsible bidder or terminate the contract.

1.22 PROGRESS PAYMENTS

A. The Prime Contractor reserves the right to withhold on account of subsequently discovered evidence, the whole or part of any monthly payment to such extent as may be necessary to protect against loss on account of defective work not remedied or any form of payment claims against the Contractor that may subsequently have accrued. The PRIME CONTRACTOR shall withhold the retainage as prescribed in N.J.S.A. 18A: 18A-40 et seq. and N.J.A.C. 19:30-3.5(a)(1).

1.23 FINAL ACCEPTANCE

A. The final acceptance shall not be binding or conclusive upon the PRIME CONTRACTOR should it subsequently find that the Contractor has supplied inferior material or workmanship or has departed from the terms and conditions of its contract. Should such a condition appear the Prime Contractor shall have the right, notwithstanding, final acceptance and payment to cause the work to be properly done in accordance with the drawings and specifications at the cost and expense of the Contractor.



1.24 FORM OF AGREEMENT

A. The contract shall be comprised of the Notice to Bidders, Instructions to Bidders, Bid Specifications, any amendments and clarifications, diagrams, the bidding documents, Standard Form of Agreement between PRIME CONTRACTOR and Contractor, Johnson Controls Subcontract, all supplementary and additional conditions of the Contract and any addenda thereto. The bidder to whom the contract is awarded shall, within ten (10) days from receipt of the Agreement between PRIME CONTRACTOR and Contractor, sign and return the contract to the PRIME CONTRACTOR.

1.25 TIME FOR COMPLETION/LIQUIDATED DAMAGES A. Since time is of the essence and actual damages suffered by the Prime Contractor are

incapable of precise calculation, the contractor agrees that the following amount is a fair and reasonable method of measuring the damages suffered by the Prime Contractor for each calendar day the project is delayed.

B. In the event the project is totally not completed and the building ready for

occupancy/reoccupancy on the date specified in the contract documents, the Contractor shall pay the Prime Contractor the following:

Range of Contract $20,000 and less than $50,000 $50,001 and less than $100,000 $100,001 and less than $250,000 $250,001 and less than $500,000 $501,001 and less than $1,000,000 $1,000,000 and over

Liquidated Damages $200.00 per calendar day $300.00 per calendar day $500.00 per calendar day $1,000.00 per calendar day $2,000.00 per calendar day $2,500.00 per calendar day



BID DOCUMENT CHECKLIST 003110-1

SECTION 003110 – BID DOCUMENT CHECKLIST Company Name The Forms, as noted below, are part of the Bid package and must be properly completed and submitted with Bid Proposal. Failure to provide any item(s) noted below may cause disqualification of Bid Proposal in accordance with the law. Required by Contractor at Time of Bid:

Submission Requirement Initial Each

Required Entry and Submit the Item

003110 – Bid Document Checklist

004110 – Form of Bid Proposal

004120 – Acknowledgement of Addenda

004320 – Form of Bid Bond (with Power of Attorney for full amount of Bid Bond), or Certified Check, or Cashier’s Check

004325 – Form of Consent of Surety (with Power of Attorney for full amount of Bid Price)

004530 – Stockholder Disclosure Statement

004570 – Political Contribution Disclosure Form

006110 – Standard Form of Agreement Between ESCO and Contractor

Required by Contractor and Each Subcontractor at Time of Bid:

Submission Requirement Bidder to Initial

Each Item Certificate by the Department of Labor indicating compliance with “The Public Works Contractor Registration Act” (P.L. 1999, c.238) for compliance with this Act.

Certificate of Authority to transact business in the State of New Jersey, if the responsible bidder is a foreign corporation (incorporated outside the State of New Jersey).

NOTICE OF CLASSIFICATION from DPMC as issued by the State of New Jersey, Department of Treasury, Division of Property Management and Construction (DPMC).

Notarized State of New Jersey Form (DPMC 701) noting total amount of uncompleted contracts.

Contractor or Trade License required under applicable New Jersey Law for any trade or specialty area in which the Bidder or subcontractor(s) will perform work.


BID DOCUMENT CHECKLIST 003110-2

Required by Contractor Prior to Contract Award. May also be submitted at time of bid:

Submission Requirement

Initial Each Required Entry and, if Required, Submit

the Item 004510 – Statement of Bidders Qualification

004525 – Form of Non-Collusion Affidavit

004535 – Certificate of No Material Adverse Change in Status together with the following attachments as to the bidder and subcontractors in the five (5) major branches of work and all specialty trades for which classification is required.

004540 – Bidder’s Certification Regarding Debarment, Disqualification, Suspension

004550 – Contractor’s Equipment Certification (present invoice)

004560 – Affirmative Action Language of Exhibit B and Affirmative Action Acknowledgement

004571 – Disclosure of Investment Activities in Iran

004580 – Sworn Contractor Certification Requirements

Business Registration Certificate issued by the Department of Treasury, Division of Revenue (for Contractor and each Subcontractor)



FORM OF BID PROPOSAL 004110-1

SECTION 004110 – FORM OF BID PROPOSAL GENTLEMEN: THE UNDERSIGNED:

(Name of Bidder) signifies that (he) (they) (has) (have) examined the Contract Documents consisting of the Project Manual which includes Bidding and Contract Requirements, General Requirements and Specifications, as well as the Contract Drawings and all Addenda and (has) (have) familiarized (itself) (themselves) with all local conditions affecting the cost of the Work and existing conditions at the Site; and assumes all responsibility for delivering the Work complete in every detail, in accordance with the Contract Documents, as prepared by JOHNSON CONTROLS, INC. for complete construction of: Boilers, CHP and Mechanical Improvements for the Gloucester Township Public Schools FOR THE Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012 NOTE: If written amount differs from the Numerical Figures, only the written amount will be accepted as the correct BID. Bidders are also required to provide cost amounts for base bid, all alternate bids and all unit prices associated with the Contract or Contracts being bid. The failure to bid an alternate by leaving the amount blank or stating "no bid" shall be considered a material defect, resulting in the rejection of the bid. If an alternate item will result in no change in the base bid, bidder shall clearly so indicate by stating either "zero" or "no change". No conditions, limitations or provision may be placed on a bid. CONTRACT BID #1 – ECM-2 BOILER REPLACEMENTS State the lump sum price for all necessary work (labor and materials) related to the Boiler Replacements for the Gloucester Township Public Schools, as outlined in Appendix 1. Bid shall include Lump Sum General Allowance #1 stipulated in Section 012100 – ALLOWANCES. BASE BID: Dollar

(To Be Written in Full) $(________________) (Figures) CONTRACT BID #2 – ECM-4 COMBINED HEAT & POWER State the lump sum price for all necessary work (labor and materials) related to the Combined Heat & Power at Chews Elementary School as outlined in Appendix 2. Bid shall include Lump Sum General Allowance #2 stipulated in Section 012100 – ALLOWANCES. BASE BID: Dollar

(To Be Written in Full) $(________________) (Figures)



ALTERNATES The failure to bid an alternate by leaving the amount blank or stating "no bid" shall be considered a material defect, resulting in the rejection of the bid. If an alternate item will result in no change in the base bid, bidder shall clearly so indicate by stating either "zero" or "no change". ADD ALTERNATE BID #1A – PUMP REPLACEMENTS – BLACKWOOD ELEMENTARY State the lump sum price for all necessary work (labor and materials) related to Alternate #1A Pump Replacements at Blackwood Elementary School, as outlined in Appendix 3. ADD ALTERNATE BID: Dollar

(To Be Written in Full) $(________________) (Figures) ADD ALTERNATE BID #1B – PUMP REPLACEMENTS – CHEWS ELEMENTARY State the lump sum price for all necessary work (labor and materials) related to Alternate #1B Pump Replacements at Chews Elementary School, as outlined in Appendix 3. ADD ALTERNATE BID: Dollar

(To Be Written in Full) $(________________) (Figures) ADD ALTERNATE BID #1C – PUMP REPLACEMENTS – ERIAL ELEMENTARY State the lump sum price for all necessary work (labor and materials) related to Alternate #1C Pump Replacements at Erial Elementary School, as outlined in Appendix 3. ADD ALTERNATE BID: Dollar

(To Be Written in Full) $(________________) (Figures) ADD ALTERNATE BID #1D – PUMP REPLACEMENTS – GLENDORA ELEMENTARY State the lump sum price for all necessary work (labor and materials) related to Alternate #1D Pump Replacements at Glendora Elementary School, as outlined in Appendix 3. ADD ALTERNATE BID: Dollar

(To Be Written in Full) $(________________) (Figures) ADD ALTERNATE BID #1E – PUMP REPLACEMENTS – JAMES W. LILLEY ELEMENTARY State the lump sum price for all necessary work (labor and materials) related to Alternate #1E Pump Replacements at James W. Lilley Elementary School, as outlined in Appendix 3. ADD ALTERNATE BID: Dollar




ADD ALTERNATE BID #1F – PUMP REPLACEMENTS – LORING-FLEMING ELEMENTARY State the lump sum price for all necessary work (labor and materials) related to Alternate #1F Pump Replacements at Loring-Fleming Elementary School, as outlined in Appendix 3. ADD ALTERNATE BID: Dollar

(To Be Written in Full) $(________________) (Figures) ADD ALTERNATE BID #2 – ECM-5 DOMESTIC WATER BOOSTER SKID REPLACEMENT State the lump sum price for all necessary work (labor and materials) related to Alternate #2 Domestic Water Booster Skid Replacement at Union Valley Elementary School as outlined in Appendix 4. ADD ALTERNATE BID: Dollar

(To Be Written in Full) $(________________) (Figures) ADD ALTERNATE BID #3 – ECM-7 DHW STORAGE TANK REPLACEMENT State the lump sum price for all necessary work (labor and materials) related to Alternate #3 DHW Storage Tank Replacement at Glen Landing Middle School as outlined in Appendix 5. ADD ALTERNATE BID: Dollar




LISTED CONTRACTORS AND SUBCONTRACTORS: Identify each major subcontractor for each of the major trades and the specialty trade(s) indicated below. By indicating the subcontractors below, the Contractor certifies that if awarded the bid, the Subcontractors listed below will be awarded subcontracts provided they are approved by the Prime Contractor. All prequalification documentation required for the Bidder shall also be submitted for each Subcontractor for each of the major trades and the specialty trade(s). The Bidder shall be classified by the New Jersey Department of Treasury, Division of Property Management and Construction in at least one (1) of the following trades. In addition, the Bidder shall be classified in, or engage in a properly classified subcontractor for each trade listed below in which the Bidder is not so classified. Each of which subcontractors shall be qualified in accordance with N.J.S.A. 18A: 18A-18. Trade Subcontracted: PLUMBING AND GAS FITTING (C030) Subcontractor: License #: Address: Contact Person: Telephone: ( ) Trade Subcontracted: HEATING, VENTILATING AND AIRCONDITIONING (C032) Subcontractor: License #: Address: Contact Person: Telephone: ( ) Trade Subcontracted: ELECTRICAL (C047) Subcontractor: License #: Address: Contact Person: Telephone: ( )



Trade Subcontracted: STRUCTURAL STEEL AND ORNAMENTAL IRONWORK (C029) Subcontractor: License #: Address: Contact Person: Telephone: ( ) Trade Subcontracted: ALL OTHER WORK REQUIRED FOR COMPLETION OF THE PROJECT Subcontractor: License #: DPMC Classification: Address: Contact Person: Telephone: ( ) The undersigned affirms that the sums include all charges and expenses for the furnishing of all labor and materials for the erection, construction and completing the work in all respects in the manner and under the conditions specified. The Statement of Bidder's Personnel and Experience must accompany this proposal. The undersigned further agrees that upon receipt of written Notice of Apparent Low Bidder, the Bidder shall within two days, Saturdays, Sundays, or Holidays excepted, submit to the Prime Contractor, an Initial Schedule of Values allocated to "new construction" and to "rehabilitation work" separately for each school facility. The Initial Schedule of Values shall include general conditions, alternate bids and allowances in the cost breakdown. The "Initial Schedule of Values" shall be submitted on AIA document G702 Application and Certificate for Payment and AIA document G703 Continuation Sheet for G702. If the undersigned after receiving the Notice of Apparent Low Bidder fails to deliver the Initial Schedule of Values, Bidder will be considered as having abandoned its Bid, and the work may be awarded to the next lowest Bidder or may be re-advertised and re-let until Contract for same be accepted and executed. If written notice of the acceptance of this Bid is mailed, facsimiled, or delivered to the undersigned within sixty (60) days after the opening thereof, or any time before the Bid is withdrawn, the undersigned agrees to execute and deliver a Contract within ten days after the Contract is presented to it for signature. Attached hereto is an affidavit in proof that the undersigned has not entered into any collusion with any person in respect to this Proposal, or any other proposal or submitting of proposals from the contract for which this proposal is submitted.



The Undersigned does further declare that no one other than herein named have any interest m this Proposal. The Undersigned is: An Individual ( )

A Partnership ( ) A Corporation ( )

under the laws of the State of __________________ Having Principal Office in the City of ________________, County of _____________ and the State of ___________________. The undersigned affirms that the bid includes all charges and expenses for the furnishing of all labor, work, materials and equipment necessary or reasonably inferable from the contract documents, for the completion of the work in accordance with the contract documents. If awarded the contract, I will comply with all stipulations contained in the specifications. The undersigned agrees that if a contract is awarded to him/her, he/she will execute and deliver the contract prepared on behalf of the Prime Contractor, within ten (10) days after receipt of the contract, together with the performance bond and insurance certificates as required in the Specifications. The undersigned further agrees that, if awarded a contract, he/she will commence work within ten (10) days of receipt of a written Notice to Proceed, or Contract, as applicable. The work shall be completed in accordance with the Contract Documents on or before the date specified in the Project Manual. Failure to substantially complete the project on the date specified will entitle the Prime Contractor to liquidated damages, not as a penalty, in the amount specified in the Project Manual for each calendar day the Project is delayed, as specified in the Specifications.

Name of Bidder

By

Title

Official Address (for mail)

Official Address (for courier)

Telephone No. Date

Fax No.



NOTE: DO NOT FAIL TO EXECUTE THIS OATH OR AFFIDAVIT AFFIDAVIT STATE OF )

SS: COUNTY OF ) (Name of Bidder or Bidders, or if Bidder is a corporation, name of Officer or Agent making Affidavit.) being duly sworn, says that the several declarations and matters stated in the annexed estimate are in all respects true. I hereby certify that I ____________________ am the _____________________ of the bidder submitting this proposal and that I am authorized to submit this bid on behalf of the bidder and that the information contained in all bidding documents submitted by the bidder is true and accurate. I further certify that the bidder and all subcontractors listed herein have sufficient means and experience to complete the work in accordance with the project specifications. I am aware that if any of the foregoing statements made by me are willfully false, I am subject to punishment.

Signature of: (Bidder, if Bidder is an Individual) (Partner, if Bidder is a Partnership) (Officer, if Bidder is a Corporation)

Sworn and subscribed before me this ______ day of ___________________, 20____. NOTARY PUBLIC

(Signature)

(Print Name)

SEAL

Notary Public State of ____________________ My Commission Expires __________________



ACKNOWLEDGEMENT OF ADDENDA 004120-1

SECTION 004120 – ACKNOWLEDGEMENT OF ADDENDA The Bidder hereby acknowledges that he has received the following Addenda which shall become part of the Contract Documents as though originally incorporated therein. If no Addenda is issued, initial in the appropriate spot below. NONE ISSUED Addendum No. Dated Addendum No. Dated Addendum No. Dated Addendum No. Dated Addendum No. Dated Addendum No. Dated Addendum No. Dated

(Signature) (Typed Name and Title) (Date)



FORM OF BID BOND 004320-1

SECTION 004320 – FORM OF BID BOND KNOW ALL MEN BY THESE PRESENTS, That we, the undersigned ________________________________, as Principal, and _____________________________________, as Surety, are hereby and firmly bound unto Johnson Controls, in the penal sum of TEN PERCENT of amount of bid, not to exceed TWENTY THOUSAND and 00/100 (10% not to exceed $20,000.00) for payment of which, well and truly to be made, we hereby jointly and severally bind ourselves, our heirs, executors,

Signed this _____ day of _________________________________________. The condition of the above obligation is such that whereas the Principal has submitted to the Prime Contractor as defined, a certain Bid, attached hereto, and hereby made a part hereof, to enter into a contract in writing for:

NOW, THEREOF, If said Bid shall be rejected, or, in the alternative, If said Bid shall be accepted and the Principal shall execute and deliver a Contract in the form of Contract provided (properly completed in accordance with said Bid) and shall furnish a bond for his faithful performance of said Contract, and shall in all other respects perform the Agreement created by the acceptance of the Bid. Then this obligation shall be void, otherwise the same shall remain in force, and effect; it being expressly understood and agreed that the liability of the Surety for any and all claims hereunder shall, in no event, exceed the penal amount of this obligation as herein stated. The Surety, for value received, hereby stipulates and agrees that the obligations of said Surety and its bond shall be in no way impaired or affected by any extension of the time within which the Principal may accept such Bid; and said Surety does hereby waive notice of any such extension.


FORM OF BID BOND 004320-2

IN WITNESS WHEREOF, the Principal and Surety have set their hands and seals, and such of them as are corporations having caused their corporate seals to be hereto affixed and these presents to be signed by their proper officers, the day and year first set forth above.

Principal: (L.S.) Surety: By: STATE OF )

SS: COUNTY OF ) On this _____________ day of ___________________________, 20_______, before me personally came _______________________________ to me known, who, being by me duly sworn, did dispose and say; he resides in __________________________, that he is the ______________________ of the instrument; that he knows the seal of said corporation; that the seal affixed to said instrument is such corporate seal; that it was so affixed by order of the Board of Directors of said corporation, and that he signed his name thereto by like order.

(SEAL) Notary Public State of ____________________ My Commission Expires __________________



FORM OF CONSENT OF SURETY 004325-1

SECTION 004325 – FORM OF CONSENT OF SURETY The

(Name and address of surety) a corporation organized under the laws of the State of __________________________ and authorized to do business in New Jersey, hereby certify that application has been made to us by

(Name and address of Bidder) and satisfactory arrangements have been completed by which we have and do now agree to furnish a Performance Bond equal to 100% of the contract amount to ensure the faithful performance on the part of the Bidder of the terms and conditions of the contract and a Payment Bond to ensure the payment all persons furnishing labor and materials in accordance with the contract and the accompanying Bid dated ____________________, 20______ for all construction to complete. Boilers, CHP and Mechanical Improvements for the Gloucester Township Public Schools FOR THE Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012 Of the terms and conditions of the Contract and the payment of all lawful claims according to the Contract Documents prepared therefore, on which said Bid is made. This proposition is made with the understanding that any change made in the Drawings, Project Manual, Agreements or quantities without the consent of the bondsmen shall in no way vitiate the bond.

Surety Company By Attorney-in-fact

Date



STATEMENT OF BIDDER’S QUALIFICATIONS 004510-1

SECTION 004510 – STATEMENT OF BIDDER’S QUALIFICATIONS All questions must be answered and the data given must be clear and comprehensive. This statement must be notarized. Attach separate letters where requested. 1. Name of Bidder: 2. Permanent Main Business Address:

3. Phone Numbers, Fax Numbers, Email Address:

4. When Organized or Incorporated: 5. State where Incorporated: 6. Number of years engaged in the contracting business under your present firm or trading name?

7. General character of work performed by company.

8. Have you ever failed to complete any work awarded to your firm?

If so, where and why?

9. Have you ever defaulted on a contract? ___________ If so, provide complete details, including

where and why? 10. In the past three years, have there been any outstanding debts over 60 days to subcontractors or

material/equipment suppliers for work in place of any of your contracts other than a maximum allowance of 10% for retainage? ______________________ If so, how much and why?

11. In the past three years, have there been any liens placed on any projects attributed to your contract

or have there been any attempts to have any liens placed on any project attributed to your contract? _____________________ If so, explain the circumstances.



12. Have all payments associated with past labor costs (workers compensation, benefits, etc.) been paid

in full to the proper authorities as required by law or agreements? ________________ If not, explain.

13. Have you had any material adverse changes from the trades as listed in N.J. Notice of Classification

within the last five (5) years? ____ If so, list previous classification.

14. Attach schedule of current projects under construction with gross contract amount and uncompleted

dollar amount of each project and anticipated completion dates. ** 15. Attach schedule of major contracts including construction costs completed by firm within the last

three (3) years. ** 16. Background and experience of principals of the firm. ** 17. List names of projects, architects/clients, and phone numbers to contact for references for projects

in progress or completed including at least three (3) years. ** 18. List Bank Reference:

Will you, upon request, fill out a detailed financial statement and furnish any other information that may be required by the proper agency?

19. List Trade References:



The undersigned hereby authorizes and requests any person, firm or corporation to furnish any information requested by the proper agency in verifying information comprising this Statement of Bidder’s Qualifications.

** Attach separate sheets to this Statement of Bidders Qualifications Form with Bid Proposal.



(Signature)

(Print Name)

SEAL




ATTACHMENT NO. 14 CURRENT PROJECTS UNDER CONSTRUCTION RELATING TO THE SAME TYPE OF WORK FOR WHICH THIS CONTRACT COVERS

Project Name and Address

Contact Person & Phone Number

Gross Contract

Uncompleted Dollar Amount

Anticipated Completion

Date



ATTACHMENT NO. 15 MAJOR CONTRACTS COMPLETED WITHIN LAST THREE YEARS

Project Name Contact Person &

Phone Number

Construction Costs

Completion Original

Cost Change Orders Final Cost



ATTACHMENT NO. 16 BACKGROUND AND EXPERIENCE OF PRINCIPALS OF THE FIRM



ATTACHMENT NO. 17 LIST NAMES OF PROJECTS, ARCHITECTS/CLIENTS AND PHONE NUMBERS TO CONTACT FOR REFERENCES FOR PROJECTS IN PROGRESS OR COMPLETED INCLUDING AT LEAST THREE (3) YEARS.

Project Architect/Client Phone Numbers



FORM OF NON-COLLUSIVE AFFIDAVIT 004525-1

SECTION 004525 – FORM OF NON-COLLUSION AFFIDAVIT

AFFIDAVIT (Prime Bidder)

STATE OF )

SS: COUNTY OF ) _____________________________, being first duly sworn, deposes and says: That he is

(An Individual, Partner or Office of the Firm of)

the party making the foregoing Proposal or Bid, that such Proposal or Bid is genuine and not collusive or sham; that said Bidder has not colluded, conspired, connived or agreed, directly or indirectly, with any Bidder or person to put in a sham bid or to refrain from bidding, and has not in any manner, directly or indirectly, sought by agreement or collusion, or communication or conference, with any person to fix the bid price of affiant or of any other Bidder, or to fix any overhead profit or cost element of said bid price, or that of any other Bidder, or to secure any advantage against the Gloucester Township Public Schools or any person interested in the proposed Contract, and that all statements in said Proposal or Bid are true.



(Signature)

(Print Name)

SEAL




STOCKHOLDER DISCLOSURE STATEMENT 004530-1

SECTION 004530 – STOCKHOLDER DISCLOSURE STATEMENT (Contractor to complete Part A or Part B as applicable.)

PART A – CERTIFICATE AS TO CORPORATE PRINCIPAL/STOCKHOLDERS I, ________________________________________, certify that I am the _____________________ of the Corporation named as Principal in the within Bond; that _________________________ who signed the said Bond on behalf of the Principal was then _____________________ of said Corporation; that I know his signature, and his signature thereto is genuine; and that said Bond was duly signed, sealed, and attested to, for and behalf of said Corporation by authority of its governing body. The following are the names and addresses of all Stockholders of the Corporation who own ten percent (10%) or more of the Stock of the Corporation. Percentage of Name and Home Address Title Stock Owned NOTE: Should additional names be required, please list on a separate sheet.

Signature: (Officer) Date:


STOCKHOLDER DISCLOSURE STATEMENT 004530-2

SECTION 004530 – STOCKHOLDER DISCLOSURE STATEMENT PART B – CERTIFICATE AS TO PARTNER/PRIME CONTRACTOR I, ________________________________________, certify that I am a (Partner) (Prime Contractor) of the Firm trading as . The following are the names and addresses of all individuals who own ten percent (10%) or greater interest in the Firm. Name and Home Address Percentage of Interest NOTE: Should additional names be required, please list on a separate sheet.

Signature: (Partner) Date:



CERTIFICATION OF NO MATERIAL ADVERSE CHANGE IN STATUS 004535-1

SECTION 004535 – CERTIFICATION OF NO MATERIAL ADVERSE CHANGE IN STATUS TO THE BIDDER: This AFFIDAVIT must be submitted with your Bid. STATE OF )

SS: COUNTY OF ) TO: Gloucester Township Public Schools

17 Erial Road Blackwood, NJ 08012

______________________________ being duly sworn, according to the law, deposes and says that he/she is ________________________ of ______________________ and that the answers to the following statements are true and correct and that there has been no material adverse change in the qualification information subsequent to the latest statement submitted as required under Chapter 105, Laws of 1962 (N.J.S.A. 18A:18A-27-33 et seq.) as amended, except as set forth herein: A statement as to financial ability, adequacy of plant and equipment, organization and prior experience of the Bidder and also such other pertinent material facts as may be deemed desirable as required by N.J.S.A. 18A:18A-28 has been submitted to the Department of Treasury within the last 12 months preceding the date set for opening bids of this Contract. I (Bidder) certify, as required by N.J.S.A. 18A:18A-32, that subsequent to the latest such statement submitted by me (Bidder), there has been no material adverse change in qualification information except as set forth herein as follows: _______________________ is classified by the State of New Jersey under Chapter 105, Laws of 1962, as amended. This Classification became effective _________________, ________, and will expire ____________________, 20____. Type of Contract/Trade Classified: Approved Amount $______________________


CERTIFICATION OF NO MATERIAL ADVERSE CHANGE IN STATUS 004535-2

A copy of my valid and active Pre-Qualification/Classification Certificate from the Department of Treasury, Division of Property Management and Construction is attached. The total amount of uncompleted work on contracts is $_________________. I hereby certify under penalty as provided by law, that there is not now pending any litigation or other action that may jeopardize my rating, status or contracts limits from their current limits.

(Signature)


(Signature)

(Print Name)

SEAL




BIDDER’S CERTIFICATION REGARDING DEBARMENT, DISQUALIFICATION, SUSPENSION 004540-1

SECTION 004540 – BIDDER’S CERTIFICATION REGARDING DEBARMENT, DISQUALIFICATION, and SUSPENSION INSTRUCTIONS FOR CONTRACTOR CERTIFICATION REGARDING THE QUALIFICATION, DEBARMENT, SUSPENSION, AND DISQUALIFICATION OF PERSON(S) COVERING CONTRACT ADMINISTRATION 1. By signing and submitting Contractor Certification 004540-(2), the Contracting Firm is bound

by the representations of this certification. 2. The Certification is a material representation of fact upon which reliance was placed when

this transaction was entered into. If it is later determined that the Contracting Firm knowingly rendered an erroneous Certification, in addition to other remedies available to the Prime Contractor, the Prime Contractor may pursue available remedies, including qualification, suspension, disqualification and/or debarment.

3. The Contracting Firm shall provide immediate written notice to the Prime Contractor if at any

time it learns that its Certification was erroneous by reason of changed circumstances. 4. The terms "debarment," "disqualification," "qualification" and "suspension,” as used in this

clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549 and as defined in N.J.A.C. 6:20-7. You may contact Johnson Controls, Inc. for assistance in obtaining a copy of those regulations.

5. The Contracting Firm further agrees by submitting this Certification that it will include the

clause titled "Certification Regarding Qualification, Debarment, Suspension and Disqualification of person(s) concerning Contract Administration," without modification, in all subcontracts to this agreement as authorized by the Prime Contractor.



SECTION 004540 – BIDDER’S CERTIFICATION REGARDING DEBARMENT, DISQUALIFICATION, and SUSPENSION

CERTIFICATION REGARDING THE QUALIFICATION, DEBARMENT, SUSPENSION, AND DISQUALIFICATION OF PERSON(S) CONCERNING

CONTRACT ADMINISTRATION

**************************************************** I am __________________________________ (Bidder of an Officer or Partner of the Bidder and indicate which) of the Firm of

(Name of Your Organization)

(State the Address of Your Organization)

CHOOSE ONE OF THE FOLLOWING

**************************************************** ( ) A. I hereby certify on behalf of

(Name of Your Organization)

that on the date and time of the bid, neither it nor its principals is/are included on the State Treasurer’s or the Federal Government’s List of Debarred, Suspended or Disqualified Bidders as a result of any action taken by any state or federal agency. If awarded the contract, the Bidder acknowledges and address to insert into all its contracts with all Subcontractors and Subconsultants a clause stating that the Contracted Party, its Subcontractors or Subconsultants may be debarred, suspended or disqualified from contracting and/or working on the School Facilities Project if found to have committed any of the acts listed in N.J.A.C. 38A-4.1 et seq.



( ) B. I am unable to certify any of the statements set forth in this Certification. I have attached an explanation to this form.



(Signature)

(Print Name)

SEAL




CONTRACTOR’S EQUIPMENT CERTIFICATION 004550-2

SECTION 004550 – CONTRACTOR’S EQUIPMENT CERTIFICATION

CERTIFICATION TO DEMONSTRATE THE CONTRACTOR’S ABILITY TO PERFORM THE WORK WITH THE NECESSARY EQUIPMENT REQUIRED

****************************************************

I am __________________________________ (an Owner, a Partner, or an Officer of the Company or Corporation and indicate which) of the Firm

(Name of the Firm)

(State the Address of Your Organization)

CHOOSE ONE OF THE FOLLOWING

**************************************************** ( ) A. I hereby certify on behalf of

(Name of the Firm)

that we are the actual Owner, Lessee or control all equipment necessary to perform the work of this Project.

( ) B. I hereby certify on behalf of

(Name of the Firm)

that we are not the actual Owner or Lessee of the equipment necessary to perform the work of this Project. The source from which the equipment will be obtained is as follows: (Provide Names, Addresses, Telephone Numbers)

NOTE: Should additional Names, Addresses and Telephone Numbers be required, please list them on a separate sheet and attach to this document. Certificates from the Owner or Person in control of the equipment clearly granting our Firm the control of the equipment required for such time as may be required to perform the work of this Project are included and attached to this Certification.


CONTRACTOR’S EQUIPMENT CERTIFICATION 004550-2




AFFIRMATIVE ACTION LANGUAGE OF EXHIBIT B and AFFIRMATIVE ACTION ACKNOWLEDGEMENT 004560-1

SECTION 004560 – AFFIRMATIVE ACTION LANGUAGE OF EXHIBIT B AND AFFIRMATIVE ACTION ACKNOWLEDGEMENT EXHIBIT B MANDATORY EQUAL EMPLOYMENT OPPORTUNITY LANGUAGE N.J.S.A. 10:5-31 et seq., N.J.A.C. 17:27 CONSTRUCTION CONTRACTS During the performance of this contract, the contractor agrees as follows: The contractor or subcontractor, where applicable, will not discriminate against any employee or applicant for employment because of age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation, gender identity or expression, disability, nationality or sex. Except with respect to affectional or sexual orientation and gender identity or expression, the contractor will ensure that equal employment opportunity is afforded to such applicants in recruitment and employment, and that employees are treated during employment, without regard to their age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation, gender identity or expression, disability, nationality or sex. Such equal employment opportunity shall include, but not be limited to the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the Public Agency Compliance Officer setting forth provisions of this nondiscrimination clause. The contractor or subcontractor, where applicable will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation, gender identity or expression, disability, nationality or sex.

The contractor or subcontractor, where applicable, will send to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting officer advising the labor union or workers' representative of the contractor's commitments under this act and shall post copies of the notice in conspicuous places available to employees and applicants for employment. The contractor or subcontractor where applicable, agrees to comply with any regulations promulgated by the Treasurer pursuant to N.J.S.A. 10:5-31 et seq., as amended and supplemented from time to time and the Americans with Disabilities Act. When hiring or scheduling workers in each construction trade, the contractor or subcontractor agrees to make good faith efforts to employ minority and women workers in each construction trade consistent with the targeted employment goal prescribed by N.J.A.C. 17:27-7.2; provided, however, that the Division may, in its discretion, exempt a contractor or subcontractor from compliance with the good faith procedures prescribed by the following provisions, A, B and C, as long as the Division is satisfied that the contractor or subcontractor is employing workers provided by a union which provides evidence, in accordance with standards prescribed by the Division , that its percentage of active "card carrying"



members who are minority and women workers is equal to or greater than the targeted employment goal established in accordance with N.J.A.C. 17:27-7.2. The contractor or subcontractor agrees that a good faith effort shall include compliance with the following procedures:

A. If the contractor or subcontractor has a referral agreement or arrangement with a union for a

construction trade, the contractor or subcontractor shall, within three business days of the contract award, seek assurances from the union that it will cooperate with the contractor or subcontractor as it fulfills its affirmative action obligations under this contract and in accordance with the rules promulgated by the Treasurer pursuant to N.J.S.A. 10:5-31 et. seq., as supplemented and amended from time to time and the Americans with Disabilities Act. If the contractor or subcontractor is unable to obtain said assurances from the construction trade union at least five business days prior to the commencement of construction work, the contractor or subcontractor agrees to afford equal employment opportunities to minority and women workers directly, consistent with this chapter. If the contractor's or subcontractor's prior experience with a construction trade union, regardless of whether the union has provided said assurances, indicates a significant possibility that the trade union will not refer sufficient minority and women workers consistent with affording equal employment opportunities as specified in this chapter, the contractor or subcontractor agrees to be prepared to provide such opportunities to minority and women workers directly, consistent with this chapter, by complying with the procedures prescribed under (B) below; and the contractor or subcontractor further agrees to take said action immediately if it determines or is so notified by the Division that the union is not referring minority and women workers consistent with the equal employment opportunity goals set forth in this chapter.

B. If good faith efforts to meet targeted employment goals have not or cannot be met for each

construction trade by adhering to the procedures of (A) above, or if the contractor does not have a referral agreement or arrangement with a union for a construction trade, the contractor or subcontractor agrees to take the following actions:

1. To notify the public agency compliance officer, the Division, and minority and women

referral organizations listed by the Division pursuant to N.J.A.C. 17:27-5.3, of its workforce needs, and request referral of minority and women workers;

2. To notify any minority and women workers who have been listed with it as awaiting

available vacancies; 3. Prior to commencement of work, to request that the local construction trade union

refer minority and women workers to fill job openings, provided the contractor or subcontractor has a referral agreement or arrangement with a union for the construction trade;·

4. To leave standing requests for additional referral to minority and women workers

with the local construction trade union, provided the contractor or subcontractor has a referral agreement or arrangement with a union for the construction trade, the State Training and Employment Service and other approved referral sources in the area;

5. If it is necessary to lay off some of the workers in a given trade on the construction

site, layoffs shall be conducted in compliance with the equal employment opportunity



and nondiscrimination standards set forth in this regulation, as well as with applicable Federal and State court decisions;

6. To adhere to the following procedure when minority and women workers apply or

are referred to the contractor or subcontractor:

i. The contractor or subcontractor shall interview the referred minority or woman worker.

ii. If said individuals have never previously received any document or certification

signifying a level of qualification lower than that required in order to perform the work of the construction trade, the contractor or subcontractor shall in good faith determine the qualifications of such individuals. The contractor or subcontractor shall hire or schedule those individuals who satisfy appropriate qualification standards in conformity with the equal employment opportunity and non-discrimination principles set forth in this chapter. However, a contractor or subcontractor shall determine that the individual at least possesses the requisite skills, and experience recognized by a union, apprentice program or a referral agency, provided the referral agency is acceptable to the Division. If necessary, the contractor or subcontractor shall hire or schedule minority and women workers who qualify as trainees pursuant to these rules. All of the requirements, however, are limited by the provisions of (C) below.

iii. The name of any interested women or minority individual shall be maintained on

a waiting list, and shall be considered for employment as described in paragraph (i) above, whenever vacancies occur. At the request of the Division, the contractor or subcontractor shall provide evidence of its good faith efforts to employ women and minorities from the list to fill vacancies.

iv. If, for any reason, said contractor or subcontractor determines that a minority

individual or a woman is not qualified or if the individual qualifies as an advanced trainee or apprentice, the contractor or subcontractor shall inform the individual in writing of the reasons for the determination, maintain a copy of the determination in its files, and send a copy to the public agency compliance officer and to the Division.

7. To keep a complete and accurate record of all requests made for the referral of

workers in any trade covered by the contract, on forms made available by the Division and submitted promptly to the Division upon request.

C The contractor or subcontractor agrees that nothing contained in (B) above shall preclude the

contractor or subcontractor from complying with the union hiring hall or apprenticeship policies in any applicable collective bargaining agreement or union hiring hall arrangement, and, where required by custom or agreement, it shall send journeymen and trainees to the union for referral, or to the apprenticeship program for admission, pursuant to such agreement or arrangement.

However, where the practices of a union or apprenticeship program will result in the exclusion of minorities and women or the failure to refer minorities and women consistent with the targeted county employment goal, the contractor or subcontractor shall consider for



employment persons referred pursuant to (B) above without regard to such agreement or arrangement; provided further, however, that the contractor or subcontractor shall not be required to employ women and minority advanced trainees and trainees in numbers which result in the employment of advanced trainees and trainees as a percentage of the total workforce for the construction trade, which percentage significantly exceeds the apprentice to journey worker ratio specified in the applicable collective bargaining agreement, or in the absence of a collective bargaining agreement, exceeds the ratio established by practice in the area for said construction trade. Also, the contractor or subcontractor agrees that, in implementing the procedures of (B) above it shall, where applicable, employ minority and women workers residing within the geographical jurisdiction of the union. After notification of award, but prior to signing a construction contract, the contractor shall submit to the public agency compliance officer and the Division an initial project workforce report (Form AA 201) electronically provided to the public agency by the Division, through its website, for distribution to and completion by the contractor, in accordance with N.J.A.C. 17:27-7. The contractor also agrees to submit a copy of the Monthly Project Workforce Report once a month thereafter for the duration of this contract to the Division and to the public agency compliance officer. The contractor agrees to cooperate with the public agency in the payment of budgeted funds, as is necessary, for on-the-job and/or off-the-job programs for outreach and training of minorities and women.

D. The contractor and its subcontractors shall furnish such reports or other documents to the

Division of Public Contracts Equal Employment Opportunity Compliance as may be requested by the Division from time to time in order to carry out the purposes of these regulations, and public agencies shall furnish such information as may be requested by the Division of Public Contracts Equal Employment Opportunity Compliance for conducting a compliance investigation pursuant to Subchapter 10 of the Administrative Code at N.J.A.C. J 7:27.



AFFIRMATIVE ACTION ACKNOWLEDGMENT Contractor hereby certifies compliance with all requirements of P.L. 1975 c. 127 (N.J.A.C. 17:27 et seq.), Affirmative Action Regulations – Exhibit "B" and N.J.S.A. 10:5-31. No firm may be issued a Purchase Order or Contract with the State unless they comply with the Affirmative Action Regulations. After notification of award, but prior to signing a construction contract, the contractor shall submit to the public agency compliance officer and the Division an initial project workforce report (Form AA 201) electronically provided to the public agency by the Division, through its website, for distribution to and completion by the contractor, in accordance with N.J.A.C. 17:27-7. The contractor also agrees to submit a copy of the Monthly Project Workforce Report once a month thereafter for the duration of this contract to the Division and to the public agency compliance officer. (Name of Contracting Firm, Company or Corporation) (Print Name of Highest Official) (Signature of Highest Official) (Title of Highest Official) (Address of Contracting Firm, Company or Corporation) (Date)



POLITICAL CONTRIBUTION DISCLOSURE FORM 004570-1

SECTION 004570 – POLITICAL CONTRIBUTION DISCLOSURE FORM 6A:23A-6_3 Accountability Compliance Form Required for all non-emergency contracts over $17,500.00

CONTRACTOR/BIDDER POLITICAL CONTRIBUTION FORM

Gloucester Township Public Schools Name of Contractor/Bidder Type of Entity: (check one) Corporation Partnership Individual/Sole Proprietor 1. The undersigned certifies that the above named Contractor/Bidder has not made a contribution

in excess of $300.00 to any member of the above named Board of Education during the past 12 months.

2. In the case of a corporation or partnership, the undersigned further certifies that no person

having an interest in the corporation partnership has made such a contribution. "Interest" for purposes of this certification is defined as ownership or control of more than 10% of the profits, assets or stock of a business.

3. In the case of an individual or sole proprietor, the undersigned further certifies that neither the

individual's spouse nor child residing with the individual has made such a contribution. 4. The Contractor/Bidder understands and agrees that, if awarded the contract, it is not permitted

to make any contributions to any member of the Board during the term of the contract. 5. Check one of the following:

a. Attached hereto is a true copy of the Contractor/Bidder’s list of political contributions pursuant to Section 2 of C.271, L. 2005 (N.J.S.A. 19:44A-20.26).

b. The Contractor made no political contributions during the preceding 12 months

that require reporting under Section 2 of C.271. Signature: Date: Print Name: Title:



C.271 POLITICAL CONTRIBUTION DISCLOSURE FORM Contractor Instructions, Amended for Boards of Education per 6A:23A-6.3 Pursuant to N.J.A.C. 6A:23A-6.3, business entities (contractors) receiving contracts from boards of education are subject to the provisions of P.L. 2005, c. 271, s.2 (N.J.S.A. 19:44A-20.26). This law provides that 10 days prior to the award of such a contract, the contractor shall disclose contributions to:

any State, county, or municipal committee of a political patty any legislative leadership committee* any continuing political committee (a.k.a., political action committee) any candidate committee of a candidate for, or holder of, an elective office:

o of the public entity awarding the contract o of that county in which that public entity is located o of another public entity within that county o or of a legislative district in which that public entity is located or, when the public entity o is a county, of any legislative district which includes all or part of the county

The disclosure must list reportable contributions to any of the committees that exceed $300 per election cycle that were made during the 12 months prior to award of the contract. See N.J.S.A. 19:44A-8 and 19:44A-16 for more details on reportable contributions. It is the Contractor's responsibility to identify the specific committees to which contributions have been made and need to be disclosed. The disclosed information may exceed the minimum requirement. N.J.S.A. 19:44A-20.26 itemizes the parties from whom contributions must be disclosed when a business entity is not a natural person. This includes the following:

individuals with an "interest" ownership or control of more than 10% of the profits or assets of a business entity or 10% of the stock in the case of a business entity that is a corporation for profit

all principals, partners, officers, or directors of the business entity or their spouses any subsidiaries directly or indirectly controlled by the business entity IRS Code Section 527 New Jersey based organizations, directly or indirectly controlled by the

business entity and filing as continuing political committees, (PACs). When the business entity is a natural person, "a contribution by that person's spouse or child, residing therewith, shall be deemed to be a contribution by the business entity." [N.J.S.A. 19:44A-20.26(b)] The contributor must be listed on the disclosure. Any business entity that fails to comply with the disclosure provisions shall be subject to a fine imposed by ELEC in an amount to be determined by the Commission which may be based upon the amount that the business entity failed to report. The enclosed form, a content-consistent facsimile, or an electronic data file containing the required details (along with a signed cover sheet) may be used as the Contractor's submission and is disclosable to the public under the Open Public Records Act.



* N.J.S.A. 19:44A-3(s): "The term "legislative leadership committee" means a committee established, authorized to be established, or designated by the President of the Senate, the Minority Leader of the Senate, the Speaker of the General Assembly or the Minority Leader of the General Assembly pursuant to section 16 of P.L.1993, c.65 (C.19:44A-10.1) for the purpose of receiving contributions and making expenditures."



C.271 POLITICAL CONTRIBUTION DISCLOSURE FORM Required Pursuant to N.J.S.A. 1944A-20.26 and N.J.A.C. 6A:23A-6.3(a)(4) This form or its permitted facsimile must be submitted to the local unit no later than 10 days prior to the award of the contract. Part I – Contractor Information Contractor Name: Address: City: State: Zip: The undersigned being authorized to certify, hereby certifies that the submission provided herein represents compliance with the provisions of N.J.S.A. 19:44A-20.26 and as represented by the Instructions accompanying this form. Signature Printed Name Title Part II – Contribution Disclosure Disclosure requirement: Pursuant to N.J.S.A. 19:44A-20.26 this disclosure must include all reportable political contributions (more than $300 per election cycle) over the 12 months prior to submission to the committees of the government entities listed on the form provided by the local unit. Check here if disclosure is provided in electronic form.

Contributor Name Recipient Name Date Dollar Amount

Check here if the information is continued on subsequent page(s).



Continuation Page C.271 POLITICAL CONTRIBUTION DISCLOSURE FORM Required Pursuant to N.J.S.A. 1944A-20.26 and N.J.A.C. 6A:23A-6.3(a)(4) Page ___ of ___ Contractor Name:

Contributor Name Recipient Name Date Dollar Amount

Check here if the information is continued on subsequent page(s).



DISCLOSURE OF INVESTMENT ACTIVITIES IN IRAN 004571-1

SECTION 004571 – DISCLOSURE OF INVESTMENT ACTIVITIES IN IRAN Name of Bidder: Pursuant to Public Law 2012, c. 25, any person or entity that submits a bid or proposal or otherwise proposes to enter into or renew a contract must complete the certification below to attest, under penalty of perjury, that the person or entity, or one of the person or entity’s parents, subsidiaries, or affiliates, is not identified on a list created and maintained by the Department of the Treasury as a person or entity engaging in investment activities in Iran. If the Prime Contractor finds a person or entity to be in violation of the principles which are the subject of this law, they shall take action as may be appropriate and provided by law, rule or contract, including but not limited to, imposing sanctions, seeking compliance, recovering damages, declaring the party in default and seeking debarment or suspension of the person or entity. I certify, pursuant to Public Law 2012, c. 25, that the person or entity listed above for which I am authorized to bid/ renew:

Is not providing goods or services of $20,000,000 or more in the energy sector of Iran, including a person or entity that provides oil or liquefied natural gas tankers, or products used to construct or maintain pipelines used to transport oil or liquefied natural gas, for the energy sector of Iran.

AND

Is not a financial institution that extends $20,000,000 or more in credit to another person or entity for 45 days or more, if that person or entity will use the credit to provide goods or services in the energy sector in Iran.

In the event that a person or entity is unable to make the above certification because it or one of its parents, subsidiaries, or affiliates has engaged in the above-referenced activities, a detailed, accurate and precise description of the activities must be provided in Part 2 below to the Customer under penalty of perjury. Failure to provide such will result in the proposal being rendered as non-responsive and appropriate penalties, fines and/ or sanctions will be assessed as provided by law.


DISCLOSURE OF INVESTMENT ACTIVITIES IN IRAN 004571-2

PART 2: PLEASE PROVIDE FURTHER INFORMATION RELATED TO INVESTMENT ACTIVITIES IN IRAN You must provide a detailed, accurate and precise description of the activities of the bidding person/ entity, or one of its parents, subsidiaries or affiliates, engaging in the investment activities in Iran outlined above by completing the boxes below. EACH BOX WILL PROMPT YOU TO PROVIDE INFORMATION RELATIVE TO THE ABOVE QUESTIONS. PLEASE PROVIDE THOROUGH ANSWERS TO EACH QUESTION.

Name:_____________________________________________________________________________ Relationship to Bidder/ Offeror: ________________________________________________________ Description of Activities: _____________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ Duration of Engagement: _____________________ Anticipated Cessation Date: ________________ Bidder/ Offeror Contact Name: ________________________________________________________ Contact Phone Number: ______________________________________________________________

Disclosure of Investment Activities in Iran (cont’d) Certification: I, being duly sworn upon my oath, herby represent and state that the foregoing information and any attachments thereto to the best of my knowledge are true and complete. I attest that I am authorized to execute this certification on behalf of the above-referenced person or entity. I acknowledge that the Gloucester Township Public Schools (“Customer”) is relying on the information contained herein and completion of any contracts with the Prime Contractor to notify the Customer and Prime Contractor in writing of any changes to the answers of information contained herein, I acknowledge that I am aware that it is a criminal offense to make a false statement or misrepresentation in this certification, and if I do so, I recognize that I am subject to criminal prosecution under the law and that it will also constitute a material breach of my agreement(s) with the Prime Contractor/ Customer and that Prime Contractor/ Customer at its option may declare any contract(s) resulting from this certification void and unenforceable. Full Name (Print): Signature: Title: Date:



SWORN CONTRACTOR CERTIFICATION REQUIREMENTS 004580-1

SECTION 004580 - SWORN CONTRACTOR CERTIFICATION REQUIREMENTS In accordance with N.J.A.C. 18A:7G-37, a prequalified contractor seeking to bid school facilities projects, and any subcontractors, required to be named under N.J.A.C. 18A:7G-1 et seq. shall, as a condition of biding, submit this Sworn Contractor Certification regarding qualifications and credentials By signing and submitting this Sworn Contractor Certification the principal Prime Contractor or Officer of the Company or Corporation certifies that the firm has the following qualifications and credentials: 1. A current, valid certificate of registration issued pursuant to "The Public Works Contractor

Registration Act'', P.L. 1999, c.238 (C.34: 11-56.48 et seq.), N.J.S.A. 34: 11-56.48 et seq., a copy of which is attached hereto this certification form;

2. A current, valid "Certificate of Authority to perform work in New Jersey" issued by the Department

of Treasury, a copy of which is attached hereto this certification form; 3. A current, valid contractor or trade license required under applicable New Jersey Law for any

trade or specialty area in which the firm seeks to perform work, a copy of which is attached hereto this certification form;

4. During the term of construction of the school facilities project, I as principal Owner or Officer

of the company or corporation, as contractor, will have in place a suitable quality control and quality insurance program and an appropriate safety and health plan.

As the principal Owner or Officer of the company or corporation, I certify that, at the time of bidding this project, the amount of the bid proposal and the value of all this firm's outstanding incomplete contracts does not exceed the firm's existing aggregate rating limit.

Signature: Date: Corporate Seal


SWORN CONTRACTOR CERTIFICATION REQUIREMENTS 004580-2


(Signature)

(Print Name)

SEAL




FORM OF PERFORMANCE BOND 005611-1

SECTION 005611 – FORM OF PERFORMANCE BOND KNOW ALL MEN BY THESE PRESENTS: That we, the undersigned as Principal and , as Surety, are held and firmly bound unto the Gloucester Township Public Schools, Camden County, New Jersey, in the penal sum of Dollars

(Written Amount)

($________________________). (Figures)

for the payment of which well and truly to be made, we hereby jointly and severally bind ourselves, our heirs, executors, administrators, successors and assigns. Signed this day _______ of __________________, 20_____. THE CONDITION of the above obligation is such that whereas the Principal did on the _______ day of _______________, 20___, enter into a contract with Johnson Controls on behalf of the Gloucester Township Public Schools which said contract is made part of this bond, the same as though set forth herein: NOW, if the said __________________________shall well and faithfully do and perform the things agreed by ____________________ to be done performed according to the terms of said contract then this obligation shall be void, otherwise the same shall remain in effect. It being expressly understood and agreed that the liability of the surety for any and all claims hereunder shall in no event exceed the penal amount of this obligation as herein stated. By accepting this obligation to ensure the faithful performance of the proper fulfillment of the Contract, the Surely agrees to all cost required to furnish additional manpower, materials, facilities, equipment as may be necessary to insure the prosecution and completion of the work in accordance of the phased substantial completion dates established in the Contract. The Surety further agrees to reimburse and repay the Prime Contractor for all reasonable attorney's fees, additional consequential Architectural, PRIME CONTRACTOR, and Engineering fees incurred by Prime Contractor resulting from the failure of faithful performance and proper fulfillment of the Contract. The said Surety stipulates and agrees that no modifications, omissions or additions in or to terms of said contract or in or to the plans and specifications therefore, shall in anywise effect the obligations of said Surety on its bond. This bond is given in compliance with the requirements of the statutes of the State of New Jersey in its respect to bonds of contractors on public works.


FORM OF PERFORMANCE BOND 005611-2

SIGNED, SEALED AND DATED THIS _________ DAY OF _________________________, 20_____. Signed by the Principal In the presence of (SEAL) (Principal) Signed by the Surety In the presence of (SEAL) (Surety)

BY (Attorney-in-Fact)



FORM OF PAYMENT BOND 005612-1

SECTION 005612 – FORM OF PAYMENT BOND KNOW ALL MEN BY THESE PRESENTS: That we, the undersigned as Principal and , as Surety, are held and firmly bound unto the Gloucester Township Public Schools, Bergen County, New Jersey, in the penal sum of Dollars

(Written Amount)

($________________________). (Figures)

for the payment of which well and truly to be made, we hereby jointly and severally bind ourselves, our heirs, executors, administrators, successors and assigns. Signed this day _______ of __________________, 20_____. THE CONDITION of the above obligation is such that whereas the Principal did on the _______ day of _______________, 20___, enter into a contract with Johnson Controls on behalf of the Gloucester Township Public Schools which said contract is made part of this bond, the same as though set forth herein: NOW, if the said __________________________shall well and faithfully pay all firms or corporations for labor performed or materials, provisions, provender or supplies or teams, fuels, oil implements or machinery furnished, used or consumed in the carrying forward, performing or completion of said contract, we agreeing and assenting that this undertaking shall be for the benefit of any subcontractor, materialmen, laborer, person, firm or corporation having a just claim, as well as for the obligee herein, then this obligation shall be void, otherwise the same shall remain in effect. The Surety shall fully indemnify and save harmless the Prime Contractors from all costs and damages which it may suffer by reason of the failure to pay all firms or corporations as required, and shall reimburse and repay the Prime Contractor all outlay and expense which the Prime Contractor may incur in making good any default. It being expressly understood and agreed that the liability of the Surety for any and all claims hereunder shall in no event exceed the penal amount of this obligation as herein stated. The said Surety stipulates and agrees that no modifications, omissions or additions in or to terms of said contract or in or to the plans and specifications therefore, shall in anywise effect the obligations of said Surety on its bond.


FORM OF PAYMENT BOND 005612-2

This bond is given in compliance with the requirements of the statutes of the State of New Jersey in its respect to bonds of contractors on public works. SIGNED, SEALED AND DATED THIS _________ DAY OF _________________________, 20_____. Signed by the Principal In the presence of (SEAL) (Principal) Signed by the Surety In the presence of (SEAL) (Surety)

BY (Attorney-in-Fact)



FORM OF MAINTENANCE BOND 005620-1

SECTION 005620 – FORM OF MAINTENANCE BOND KNOW ALL MEN BY THESE PRESENTS, That we, the undersigned as Principal and , as Surety, are held and firmly bound unto the Gloucester Township Public Schools as Owner, in the amount of ONE HUNDRED PERCENT (100%) OF THE CONTRACT SUM Dollars

($________________________). (100% of the Contract)

for the payment of which well and truly to be made, we hereby jointly and severally bind ourselves, our heirs, executors, administrators, successors and assigns. THE CONDITION OF THE ABOVE OBLIGATION IS SUCH, that whereas, the Principal did on ______________________________________, 20______ enter into a Contract for: Boilers, CHP and Mechanical Improvements for the Gloucester Township Public Schools FOR THE Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012 WHICH said Contract is made a part of this Bond as though set forth herein: NOW, if the said Principal shall remedy without cost to the Prime Contractor any defects which may develop during a period of One (1) year from the date established in the Final Certificate of Substantial Completion for the work performed under the said Contract, provided such defects, in the judgment of the Prime Contractor are caused by defective or inferior materials or workmanship. The said Surety hereby stipulates and agrees that no modification, deletions or additions in or to the terms of the said Contract or the Drawings or Project Manual therefore shall in any way affect its obligation on this Bond.


FORM OF MAINTENANCE BOND 005620-2

IN WITNESS WHEREOF, the said Principal and Surety have duly executed this bond under seal this ________ day of _________________________, 20____. ATTEST:

(Principal) (Principal) Secretary (SEAL) BY: (S)

(Address – Zip Code)

(Witness as to Principal) (Address – Zip Code) ATTEST:

(Surety) BY: (Attorney-in-Fact) (Address – Zip Code)

(Surety) Secretary) (SEAL) (Witness as to Surety) (Address – Zip Code)



FORM OF AGREEMENT BETWEEN ENERGY SERVICES COMPANY (PRIME CONTRACTOR) AND SUBCONTRACTOR 006110-1

SECTION 006110 – FORM OF AGREEMENT BETWEEN ENERGY SERVICES COMPANY (PRIME CONTRACTOR) AND SUBCONTRACTOR Project: The Contract to be used for this Project will be a subcontract between the Energy Services Company (Johnson Controls, Inc.) and the Contractor. The FORM of AGREEMENT BETWEEN ENERGY SERVICES COMPANY (PRIME CONTRACTOR) AND CONTRACTOR is included herein as reference. Name of Company: Address: Phone Number: Email: The above-named contractor acknowledges having read and agrees to all terms and conditions in the included Johnson Controls Subcontract Agreement. These terms are non-negotiable. Contractors not willing to abide by the terms should not submit a bid. Name of authorized company officer: Signature: Notary:


SUBCONTRACT PO No.

Energy Solutions Subcontract – April 3, 2013

Page 1 of 13

between Effective Date

Contractor and Subcontractor Name Johnson Controls, Intl.

Name

Address 264 Fernwood Ave

Address

City, State, ZIP Edison, NJ 08837

City, State, ZIP

for Project Name

JCI Contract No.

Address

City, State, ZIP

Description

NOTE: This Subcontract is governed by the provisions set forth below and the Johnson Controls Terms and Conditions attached hereto

JOHNSON CONTROLS, INC. SUBCONTRACTOR Name (typed)

Name (typed)

Title

Title

Signature Date Signature Date

WORK TO BE PERFORMED: Subcontractor agrees to furnish all supervision, labor, materials, equipment, tools, incidentals and other items pursuant to the terms and conditions of this Subcontract and as set forth in Scope of Work No. SW ____, which is attached hereto as Attachment 1 and incorporated herein (hereinafter “Work”).

FIXED SUBCONTRACT PRICE: The Fixed Subcontract Price set forth below includes all local, state and federal taxes that may be due or charged by reason of performance of this Subcontract; licenses, royalty payments, fees, costs, overhead, profit, labor, materials, insurance, payment and performance bonds (as required by and noted herein by the Contractor) and includes any and all costs and expenses incurred in connection with the completion of the Work. No additional amounts shall be paid to Subcontractor other than the Fixed Subcontract Price, unless a written Change Order executed by an authorized representative of Contractor has been issued.

$

COMPLETION DATE: Subcontractor agrees to complete all Work by _______________. Subcontractor acknowledges and agrees that the completion date is set so as to permit Contractor to complete its scope of work by the project completion date set forth in the Contract Documents.

SUBCONTRACT AGREEMENT: This Subcontract consists of (a) this Agreement (Johnson Controls terms and conditions attached hereto); (b) the Contract Documents; and (c) all Attachments attached hereto and made a part hereof. All of the aforesaid documents (and any amendments or modifications thereto) constitute the entire and integrated understanding and agreement between the Contractor and Subcontractor with respect to the subject matter hereof, and supersedes all prior understandings, representations, communications and agreements, whether written or verbal. In the event of any conflict between any Attachment and this Subcontract, this Subcontract will control. Terms and conditions of this Subcontract take precedence over the terms and conditions of any other agreement between Contractor and Subcontractor, as it relates to the Scope of Work described herein. For purposes of this Subcontract, the Contract Documents applicable to this project and the Work to be performed by Subcontractor consist of all higher tier contracts (including but not limited to the Contract between the Owner and General Contractor) and all General, Supplementary and other Conditions together with the drawings, specifications and all addenda issued prior to the execution of this Subcontract.

For Johnson Controls Home Office Information (to be completed by branch) Date

JCI Contract No.

Vendor No.

Retention %

Cost Code

Subcontract Amount $

TERMS AND CONDITIONS for DESIGNATED ( project # here) SCOPE of WORK SUBCONTRACT (project name here)

Energy Solutions Subcontract – April 3, 2013 page 2 of 13

The Attachments to this Subcontract consist of the following:

Attachment 1 Scope of Work Attachment 2 List of Sub-Subcontractors and Material Suppliers Attachment 3 Subcontractor Safety Specifications Attachment 4 Minority/Diversity Owned Business Participation Report Specification Attachment 5 Johnson Controls Ethics Policy Attachment 6 Including following administrative forms- Form A Subcontractor’s Application and Certificate for Payment Form B Partial Waiver of Claims and Liens and Release of Rights Form C Final Waiver and Release of Liens and Claims Form D Certificate of Completion and Request for Final Payment Form E Request for Information

Form F Subcontract Request for Change Order Form G Subcontract Change Order Form H Electrical Installer Safety Rules Form I Sub-Subcontractor’s or Material Supplier Waiver of Liens and Claims Form J Subcontractor Safety Orientation

Forms as listed in Attachment 6 are to be used to administer the subcontract as required. Johnson Controls, Inc. conducts business according to published ethical standards and with a high degree of professionalism. Johnson Controls, Inc. expects all vendors and suppliers contracted to work with Johnson Controls to conduct business in similar fashion. Subcontractor shall furnish JCI Verified By:

Certificate of Insurance (carrier)

Tax ID Number

Subcontractor License Number

Business License Number

NAICS – SIC Code

Subcontractor shall furnish (check all that apply to the Work):

Prevailing Wage (Wage Schedule attached hereto and incorporated herein as an additional Attachment)

Certified Payroll

Payment & Performance Bond. (Subcontractor shall furnish performance and payment bonds each in the full value of the Fixed Subcontract Price with sureties rated no less than an Excellent (A, A-) rating by A.M. Best Company or otherwise acceptable to Contractor, dated as of the date of this Subcontract. If the bonds are required by Contractor, then Subcontractor shall not be entitled to any payment under this Subcontract until such bonds have been provided and the cost of such bonds shall be included in the Fixed Subcontract Price as noted above. No additional cost for bonds will be considered by the Contractor.)

Alternative Method of Scheduling (Describe Alternate Method)



For purposes of this Subcontract: "Certificate of Insurance" shall be as defined in paragraph 5.1 of this Subcontract. “Change Order” shall be as defined in paragraph 4.1 of this Subcontract. "Completion Date" shall be as defined in the face page of this Subcontract. “Contract Documents” shall mean the contract between Contractor and its customer, any and all documents incorporated therein, any and all other higher-tier contracts, general conditions, supplementary and other conditions, the Drawings, revisions to Drawings, Specifications, addenda to the Specifications, and change orders issued to the Contractor. Contract Documents are available for Subcontractor’s review at Contractor’s office. Subcontractor may make copies of the Contract Documents at Subcontractor’s expense.

“Day” means calendar day. “Drawings” shall mean any and all graphic or pictorial presentations of the designer that shows the design, dimensions, plans, elevations, layouts, diagrams, schematics, schedules, and views of the Project. “Project” shall mean the complete facility, building or improvement to reality described by all the Contract Documents of all contractors. "Project Schedule" shall mean the completion schedule for the Project as issued by Contractor’s Customer from time to time. “Scope of Work” shall mean the work specified in Attachment 1 to be performed in accordance with the terms of this Subcontract. “Specifications” shall mean the written presentation of the Project requirements for materials, systems, equipment, standards, workmanship levels, service details, and the integration of all aspects of the Project. “Subcontract” shall mean the total and cumulative rights and duties of the parties to this written agreement. “Sub-Subcontractor” shall mean those Sub-Subcontractors as described in paragraph 7.2 of this Subcontract. “Work” shall mean the actual construction and furnishing of labor, services and materials necessary to complete fully all of the terms and conditions of this Agreement including, but not limited to, the Scope of Work set forth in Attachment 1. An “MBE” shall mean a for-profit enterprise, regardless of size, physically located in the United States or its trust territories, which is owned*, operated and controlled by minority group members (United States citizens who are African-American, Hispanic-American, Native American, Asian-Pacific American and Asian-Indian American).

*Ownership by minority individuals means that the business is at least 51% (or such lesser percentage as may be established by the National Minority Supplier Development Council [“NMSDC”] or acceptable to the majority, by sales, of Contractor’s United States-based customers as sufficient to be certified as and/or deemed to be a minority-owned business), owned by such individuals or, in the case of a publicly-owned business, at least 51% (or such lesser percentage as may be established by the NMSDC or acceptable to the majority, by sales, of Contractor’s United States-based customers as sufficient to be certified as and/or deemed to be a minority-owned business) of the stock is owned by one or more such individuals; and further, that the management and daily operations are controlled by those minority group members.



1. CONTRACT DOCUMENTS/WORK 1.1 Quality of Work

Subcontractor shall perform the Work in strict compliance with this Subcontract, the Contract Documents, the project schedule and all applicable laws. Subcontractor agrees that the quality of the Work to be performed under this Subcontract shall be of the same quality required by the Contract Documents, or if none is specified then with due care and diligence. Subcontractor also agrees to perform the Work with the same degree of skill and to assume the same risks, duties and obligations as Contractor is obligated to assume pursuant to the Contract Documents. Subcontractor agrees to perform all Work, and furnish and supply all equipment, supplies, materials, labor and services which may be required or reasonably implied from the Contract Documents for the complete performance of the Work.

Subcontractor shall commence Work upon receipt of a notice to proceed issued by Contractor. Prior to commencement of the Work, Subcontractor shall meet with Contractor to review the construction schedule, payment procedures and all other areas of Subcontractor's performance under this Subcontract. Subcontractor shall additionally participate in any such meeting required by the Contract Documents.

1.2 Examination of Contract Documents and Site

Subcontractor represents that it has had full opportunity to review and has carefully examined all of the Contract Documents, the Project and site. Subcontractor warrants that it has satisfied itself as to the character, quality and quantity of Work to be performed, the conditions that will be encountered at the site or otherwise affect the cost or difficulty of performing the Work, the materials and equipment and other items to be furnished, and all other requirements of the Contract Documents and this Subcontract.

1.3 Intent of Subcontract and Contract Documents

The intent of the Subcontract is for Subcontractor to furnish all permit, fees, labor, materials, equipment, tools, plans, water, light, power and other items necessary for complete and finished Work. This Subcontract and the Contract Documents shall be construed as a whole. They are intended to supplement and complement each other, and shall, where possible, be so interpreted, and what is called for by any one shall be as binding as if called for by all. Subcontractor agrees to assume towards Contractor, in connection with the Work required by this Subcontract, all of the duties, obligations and responsibilities which Contractor agreed to undertake towards Contractor’s Customer pursuant to the Contract Documents including but not limited to liquidated damages, scheduling, builder’s risk insurance, general liability insurance, warranties, force majeure, clean-up, termination for default, termination for convenience, and indemnity.

The titling and division of Drawings and Specifications by trades or other classifications is for convenience only and the fact that any part of the Work should or could probably have been shown or specified under some other title or division shall not relieve the Subcontractor of performing or furnishing the required Work, nor entitle Subcontractor to extra compensation.

1.4 Conflicts in or Omission from Subcontract or Contract Documents If Subcontractor believes that there is or may be any omission from the Contract Documents, or any conflict between this Subcontract and the Contract Documents, or if Subcontractor has any doubt as to the meaning thereof, Subcontractor shall immediately submit the matter to Contractor in accordance with the Request for Information set forth as Attachment 6 - Form E. Any Work performed before Contractor responds to the Request for Information shall be at Subcontractor's sole risk and expense. Upon receipt of Subcontractor’s Request for Information, Contractor will issue, within a reasonable time, a written response or appropriate Change Order pursuant to the Changes paragraph. Notwithstanding the provisions of this paragraph, there shall be neither an increase in the Fixed Subcontract Price, nor an extension of the Completion Date on account of any misdescription in or omission from this Subcontract or the Contract Documents of details of the Work which are clearly necessary to carry out the intent of the Contract Documents or which are customarily performed or furnished by contractors performing work similar to the Work described in the Subcontract for a complete finished job. Such misdescribed or omitted details shall be performed or furnished by Subcontractor at no cost to Contractor as if fully and clearly set forth in the documents. If any provision of this Subcontract irreconcilably conflicts with a provision of the Contract Documents, the provision granting greater rights or remedies to Contractor, or imposing the greater duty, standard, responsibility or obligation on the Subcontractor shall govern. In the event of a direct conflict between or among any of the Contract Documents, the order of precedence to resolve the conflict shall be as follows: first, the contract between the Contractor and its customer; second, the Project Specifications and any addenda thereto; third; the Project Drawings and any revisions thereto; and fourth, this Subcontract shall control.

1.5 Temporary Facilities

Unless otherwise specified or agreed, Subcontractor shall provide all temporary sheds, offices and utilities in order to complete the Work. Subcontractor shall arrange for temporary utility connections including by not limited to water, electricity, telephone, gas, compressed air, steam, heat and other similar services. All temporary services shall be secured and Subcontractor shall pay for the use or consumption of such services and facilities. Upon



completion of the Work all temporary construction, signs and facilities shall be removed by Subcontractor at its expense.

1.6 Material and Workmanship

Unless otherwise specifically provided in this Subcontract, all material to be incorporated in the Work shall be new, of the most suitable grade for the purpose intended and in compliance with the terms and conditions of the Contract Documents. All Work shall be performed in a skillful and workmanlike manner, and in accordance with the Contract Documents. Contractor may, in writing, require Subcontractor to remove from the Project any employee of Subcontractor who Contractor deems incompetent, careless or otherwise objectionable.

1.7 Compliance with Applicable Laws

Subcontractor shall comply with all applicable federal, state and local laws, ordinances and codes and all lawful orders, rules and regulations thereunder. Subcontractor shall, without additional expense to Contractor, obtain all licenses and permits required for the prosecution of the Work. Contractor makes no express or implied representations concerning the applicability of any prevailing wage requirements to the Work to be performed under this Subcontract, and Subcontractor shall be liable to Contractor for any prevailing wage assessments against Contractor in connection with Subcontractor's Work unless specifically waived in writing by Contractor.

1.8 Warranty

Subcontractor warrants that all material furnished and all Work performed will be free from defects in material and workmanship for a period of one year (or such longer period as may be specified elsewhere in the Contract Documents including any higher-tier contract) after final acceptance of the Work by the Owner of the completed Project. Subcontractor shall, at no cost to Contractor, promptly and satisfactorily replace any material and correct any workmanship found to be defective or otherwise not in conformity with the Subcontract requirements and remedy any damage to other parts of the work resulting therefrom. Subcontractor shall also assume any additional warranty responsibilities required by the Contract Documents.

2. SCHEDULE AND COMPLETION 2.1 Construction Schedule

Time is the essence of this Subcontract. The Subcontractor shall furnish a schedule in accordance with the Project Schedule and the Completion Date to Contractor for Contractor’s approval. If no Completion Date is otherwise specified in this Subcontract, the Subcontractor shall complete the Work as required by the Project Schedule or otherwise in accordance with the Contract Documents. Contractor shall have the right to require that the Work be performed consistently with the

progress of the work of the Contractor and of other contractors or subcontractors at the construction site. The method of Subcontractor's scheduling of the Work shall be performed by Subcontractor in accordance with the method identified in the Contract Documents. If no method is described in the Contract Documents, and Contractor does not direct otherwise, any generally accepted method of critical path scheduling shall be acceptable.

Prior to commencing Work, the Subcontractor shall deliver to Contractor (1) Certificates of Insurance (required by paragraph 5.1); (2) copies of any bonds required by Contractor; (3) a copy of Subcontractor’s Schedule (pursuant to this paragraph; and (4) a list of any conflict or omissions, if any, (pursuant to paragraph 1.4). Upon receipt of such documents, Contractor shall issue a notice to proceed. Issuance of the notice to proceed prior to receipt of the referenced documents shall not be considered a waiver by Contractor of the requirements of this paragraph.

2.2 Inspection

All material and workmanship shall be subject to inspection and test by Contractor at all reasonable times and places. If the Work is found to be defective or nonconforming in any material respect due to the fault of Subcontractor, Subcontractor shall bear the cost and expense of examination, inspection and satisfactory correction and reconstruction of the non-conforming Work.

2.3 Sequence and Timing of the Work

Contractor has the right but not the duty to determine the sequence and timing of the Work. If Contractor exercises its right, then Contractor may reasonably direct the sequence and timing of the Work as required by the Contract Documents. If Contractor exercises its right under this paragraph, then Contractor may authorize an extension in the Completion Date of this Subcontract or issue a Change Order in accordance with this Subcontract.

3. PAYMENT 3.1 Progress Payments

The Fixed Subcontract Price stated in this Subcontract shall represent Subcontractor's full compensation for performing all the Work required by this Subcontract, subject to adjustments as otherwise provided in this Subcontract.

Contractor shall make periodic progress payments to the Subcontractor. Payments shall be payable to Subcontractor by the Contractor only if and to the extent Contractor has received payment therefor. Payment shall be made by Contractor to Subcontractor as soon as practical after receipt by Contractor of payment allocable to the Fixed Subcontract Price. Payment to the



Subcontractor is specifically agreed not to constitute or imply acceptance by the Contractor or Contractor’s Customer of any portion of Subcontractor's Work. Before the Subcontractor submits its first Application for Payment, the Subcontractor shall submit to Contractor a Certified List of Sub-Subcontractors in the form attached as Attachment 2 and a Schedule of Values in the form attached as Attachment 6 - Form A . After submission of the Certified List of Subcontractors, and the Schedule of Values, Contractor shall review, and, if acceptable to Contractor, approve the completed Attachments. Subcontractor shall submit to Contractor an Application for Payment in accordance with Attachment 6 - Form A , in sufficient time for Contractor to review and approve the Application and include the Application in Contractor’s application for payment. Subcontractor’s Application for Payment shall include: (1) the approved Certified List of Subcontractors; (2) the approved Schedule of Values completed in accordance with the actual completion of the Work as of the date of the Application, or through the end of the month as required by Contractor; (3) a fully executed Waiver of Liens and Claims in the form set forth as Attachment 6 - Form B and Form C fully executed Sub-Subcontractors’ Waiver of Liens and Claims in the form set forth as Attachment Form I . Upon receipt of Subcontractor’s complete Application for Payment, Contractor shall have fourteen (14) days to: (1) accept the Application for Payment, (2) accept in part or reject in part the Application for Payment, or (3) reject the Application for Payment and request re-submission. If the Application for Payment is rejected in any part, Contractor shall state its reasons for the rejection. Subcontractor may re-submit its Application for Payment or part thereof to correct the reason for rejection. Any resubmission shall be completed in sufficient time for Contractor to include the Subcontractor’s Application for Payment in Contractor’s application for payment. Acceptance by Contractor of the Application for Payment in whole or part shall not be construed in any manner as acceptance of the Work completed by Subcontractor as in conformity with the Contract Documents.

3.2 Final Payment

In addition to meeting the requirements set forth in paragraph 3.1, as part of the Application for Final Payment, and in order to complete the Work by the Completion Date, the Subcontractor shall comply with all of the Contract Documents’ requirements for Project closeout, including but not limited to, completion of final punch list items, warranty commencement, obtaining any applicable certificates of occupancy, and furnishing any documents, certificates, or approvals by jurisdictions having authority over the Project. Upon receipt of Subcontractor’s Application for Final Payment, Contractor shall have a reasonable time to: (1) accept the Application for Final Payment, (2) accept in part or reject in part the Application for Final Payment, or (3)

reject the Application for Final Payment and request re-submission. If the Application for Final Payment is rejected in any part, Contractor shall state its reasons for the rejection. Subcontractor may re-submit its Application for Final Payment. Acceptance by Contractor of the Application for Final Payment in whole or part shall not be construed in any manner as acceptance of the Work completed by Subcontractor as in conformity with the Contract Documents. Contractor shall make the Final Payment to the Subcontractor if and only if Contractor has received final payment from Contractor’s Customer. Contractor shall have the right to withhold from any Payments and to recover any and all amounts necessary to cover costs that may be incurred by Contractor as a result of Subcontractor's unsatisfactory job progress, including costs associated with supplementation of Work; defective construction not remedied; disputed work; third-party claims filed or reasonable evidence that such claims may be filed; failure of Subcontractor to make timely payments for labor, equipment and materials; reasonable evidence that the Subcontract cannot be completed for the unpaid balance of the Fixed Subcontract Price; and retainage.

3.3 Stored Materials If the Contract Documents authorize the payment for Subcontractor furnished materials stored either on-site or off-site, Subcontractor may include the value of its supplied and stored materials in its Application for Payment. Subcontractor must also submit to Contractor sufficient documentation to value properly the stored materials. Additionally, Subcontractor shall submit for Contractor’s approval, sufficient evidence of insurance that covers the stored materials in case of any loss. Any cost of insurance shall be borne by Subcontractor. Any cost associated with the transportation of the stored materials to the site shall be included in the Fixed Subcontract Price. Warranties for Subcontractor furnished and stored materials shall not commence until final completion of the Project or such other time as agreed in writing by Contractor.

4. CHANGE ORDERS 4.1 Changes

Contractor may at any time, by written orders in the form of Attachment 6 - Form G, and without notice to the sureties, modify, change, omit or add to the Work to be performed pursuant to this Subcontract (a “Change Order”). If any such Change Order affects the cost of, or the time required for, performance of this Subcontract, an equitable adjustment in the Fixed Subcontract Price or the Completion Date shall be made. Where necessary to prevent undue delay, Contractor may issue a Change Order before agreement as to an equitable adjustment has been reached. In such event, Subcontractor shall immediately proceed in accordance therewith notwithstanding any delay in reaching agreement. Neither the issuance, nor performance of such a Change Order



shall prejudice the rights of either party as to the adjustments, if any, either may be entitled to on account of such a Change Order. Subcontractor within three (3) days after the Subcontractor knows or reasonably should know that work will be required outside the Scope of Work, must submit a Request for Change Order in accordance with Attachment 6 - Form F. Unless a request for Change Order is submitted within the time specified in this paragraph, Subcontractor is not entitled to any extra compensation and Subcontractor acknowledges its failure to submit such request constitutes such a waiver. Contractor has the right but not the duty to order minor changes in the Work that neither impact the Fixed Subcontract Price, nor the Completion Date. Contractor shall order minor changes in the Work by issuance of a Change Order in accordance with Attachment 6 - Form G. Any Change Order issued pursuant to this paragraph shall not in any way nullify the terms and conditions of this Subcontract.

4.2 Extra Compensation

No claim by Subcontractor for any extra compensation in connection with this Subcontract shall be enforceable against Contractor unless Subcontractor's claim is based upon a written Change Order issued by Contractor pursuant to the Changes paragraph. Contractor will pay for extra work arising from changes upon the same terms and conditions as set forth in the Contract Documents, but only to the extent that Contractor is actually paid for the extra work. To the extent the previous paragraph may not apply, claims by Subcontractor shall be based upon itemized costs including but not limited to labor including burden, copies of invoices, overhead, and profit. Subcontractor’s claims shall be fully supported by original documentation submitted with such claims. Such claims shall be limited to actual costs incurred by Subcontractor related to the specific claim for labor and material, 0% overhead and 0% profit. No total cost, modified total cost or other methods of calculating quantum that do not segregate the costs specifically associated with each claim shall be permitted. Contractor's obligation to compensate Subcontractor for overtime work directed by Contractor and not caused by Subcontractor (due to its default of Subcontractor or Subcontractor's failure to maintain adequate progress of the Work) shall be limited to the premium time portion of overtime wages. Contractor's obligation to pay extra compensation under this paragraph shall arise if and only if Subcontractor fully performs all of its obligations under this Subcontract, including but not limited to compliance with this paragraph. All claims for extra compensation must be submitted to Contractor by Subcontractor within (a) thirty (30) days following substantial completion of the changed Work or (b) at the time of Subcontractor's Application for Final

Payment, whichever occurs first. The exact amount of the claim shall be stated and may not be subsequently increased. Such claims shall also be accompanied by a written certification indicating that such claims comply with this paragraph; the information contained in such claims is accurate, complete and current as of the date of submission of the claim; and additional information relevant to the claim will be provided to Contractor as soon as such information becomes available. Any claim for extra compensation not made in accordance with these requirements will be deemed waived by Subcontractor.

4.3 Damages

Contractor shall recover all damages, costs and expenses, including compensation for direct and overhead costs, resulting from any breach of this Subcontract by Subcontractor. To the extent that Contractor has been backcharged or otherwise has paid damages to the Contractor’s Customer, higher-tier contractor, or the owner, including payment of liquidated damages, as a result of alleged defaults or nonperformance by Subcontractor, such backcharges shall be presumed to be valid unless Subcontractor disputes the validity and amount of such backcharges within 10 days after the time when Subcontractor first becomes aware of such backcharges and agrees in writing to indemnify, defend and hold Contractor harmless for any loss, costs or expense incurred by Contractor, including interest on amounts held by the Owner, higher-tier contractor or Contractor's Customer, as a result of such dispute. As time is of the essence in the performance and completion of the Work, should the Subcontractor fail to complete the Work, within the time and manner specified, or within the time of such extensions as may be granted or approved by Contractor, Subcontractor shall be liable to Contractor for any damages suffered by Contractor by reason of such delay, and Contractor shall and may deduct and retain the amount of such damages out of money which may be due or become due under this Subcontract. The provisions of this paragraph shall control unless Contractor and Subcontractor specifically agree in writing to a fixed and determined sum which shall be paid by Subcontractor to Contractor for each and every day of delay which sum shall be liquidated damages that Contractor will suffer by reason of said delay and not as a penalty. No special, indirect, consequential or punitive damages shall be recoverable under any circumstances by either Contractor or Subcontractor.

5. INSURANCE AND INDEMNITY 5.1 Insurance

Subcontractor shall obtain and maintain the insurance required by this paragraph from qualified insurance carriers who are A. M. Best Company rated no less than



‘Secure Rating’ of A-, or better, and ‘Financial Size Category’ rating of FCS VII, or larger. Subcontractor shall name Contractor, any higher-tier contractor and Owner as an additional insured under the general liability and auto liability policies. All policies furnished by Subcontractor shall be primary and non-contributory. Subcontractor‘s insurance policy shall also provide contractual coverage for Subcontractor’s indemnity obligation required by paragraph 5.3 of this Agreement. All policies, with the exception of Workers’ Compensation, shall be on an occurrence form. The insurance provided by this paragraph shall not be cancelled unless Contractor is given thirty (30) days notice in advance of the cancellation date and Subcontractor has made arrangements for replacement insurance under this paragraph. Subcontractor shall furnish an insurance certificate which complies with this paragraph. Subcontractor shall maintain the following coverages with limits no less than the limits of liability specified in the Contract Documents or as stated in this paragraph, whichever is greater.

COVERAGES LIMITS OF LIABILITY

Workmen's Compensation Statutory

Employer's Liability $500,000/Each Accident

$500,000/Disease Each Employee

$500,000/Disease Policy Limit

Commercial General Liability Insurance, including Contractual Liability Coverage that includes coverage for the indemnity provision of paragraph 5.3 of this Subcontract

$3,000,000

Each occurrence limit, general aggregate limit and

products and completed operations aggregate limit

Note 1, Note 2

Comprehensive Automobile Liability Insurance

$1,000,000

Each occurrence, combined single limit

Note 2 Note 1: This limit of liability can be satisfied by any combination of primary and umbrella or excess liability insurance. Note 2: Subcontractor shall name Contractor, higher tier Contractor’s and Contractor's Customer as an additional insured under the general liability and automobile liability policies.

5.2 Risk of Loss Until the completion of the Work and its final acceptance by Contractor, Subcontractor shall bear the risk of any loss or destruction of or damage to the Work or any materials, equipment or other items incorporated or to be incorporated therein arising from any cause other than a

cause against which the Owner undertakes to carry insurance. At all times, Subcontractor shall protect all Work and materials including but not limited to stored materials, equipment and other items incorporated or to be incorporated into the Work from damage, deterioration, contamination, corrosion and exposure. All reasonable requests by Contractor to Subcontractor to enclose or otherwise protect such property shall be promptly completed by Subcontractor at no cost to Contractor.

5.3 Indemnification Subcontractor hereby assumes exclusive responsibility for any and all personal injury, including death or property damage of whatever nature and however caused which results from or arises out of Subcontractor's performance of the Work. Subcontractor agrees to defend, indemnify, and hold harmless (a) the Contractor and the Contractor’s officers, directors, agents, employees, subsidiary and affiliated companies, and (b) any other contractor or Customer that Contractor is required to defend and indemnify, from and against all claims, demands, suits (regardless of legal theory), losses, including but not limited to economic, expenses and reasonable attorney’s fees, and damages (“Claims”) that: (a) are brought by a complaining party or entity who was employed by or had a contractual relationship with Subcontractor at the time of the alleged occurrence; or (b) that arise out of Subcontractor’s performance of this Subcontract or the Work, including but not limited to the use (and loss of use) of any materials, tools, machinery, equipment, facilities or other personal or real property, regardless of owner and regardless of whether such Claim is caused, or alleged to have been caused, in part by the party seeking indemnity. A Claim shall be considered to “arise out of” the Subcontractor’s performance of the Subcontract if the Claim, involves or relates to Work performed by the Subcontractor, regardless of whether the Claim expressly alleges any negligence, wrongdoing, breach of contract, error or improper performance by the Subcontractor. Subcontractor, however, is not required to indemnify Contractor or any person seeking indemnity for Claims based upon the sole alleged negligence of the person seeking indemnity. In claims by any employee of Subcontractor or anyone employed by Subcontractor against any person indemnified pursuant to this paragraph, the obligation to indemnify pursuant to this paragraph shall not be limited in any way by any limitation on amount or type of damages, compensation, benefits payable by Subcontractor or anyone employed by Subcontractor under worker’s compensation acts, disability benefit acts, or the other employee benefit acts.

5.4 Patent, Copyright and Royalty Fees

Subcontractor shall pay as part of the Fixed Subcontract Price for this Subcontract, all licenses, and fees for royalties, copyrights and patents for any and all equipment, software, materials, supplies or anything



furnished by Subcontractor as part of the Work. Subcontractor shall defend and indemnify Contractor and its officers, agents and employees, against any claims, demands, and liability, including costs, attorney’s fees and expenses, for infringement upon any Letters Patent of the United States, any violation of copyrights, or any violation of any royalty agreements arising out of the performance of this Subcontract, or out of the use, or disposal by or for the account of Contractor of supplies, materials, software, equipment, or services furnished by Subcontractor.

5.5 Liens The Subcontractor shall defend, indemnify, hold harmless and protect Contractor’s Customer, any higher tier contractor and the Contractor against all laborers', materialmens' and mechanics liens upon the buildings or premises on which the Work is located arising out of labor or material furnished by Subcontractor or any party acting for or under Subcontractor under this Subcontract. Subcontractor shall furnish Contractor, upon request, affidavits of status of accounts and releases of liens as may be deemed necessary by the Contractor. All amounts paid by Contractor under this Subcontract shall be deemed trust funds held by Subcontractor for the benefit of its subcontractors and suppliers. Subcontractor and its Sub-subcontractors and suppliers shall provide Contractor with written notice of its intent to file a notice of lien against the real property of the owner or against funds held by the owner that are due the Contractor at least ten days before taking such action. The notice shall specify the amount claimed, exclusive of interest and attorney's fees. Upon receipt from Contractor of a bond from a good and sufficient surety assuring payment of amounts recovered by Subcontractor against Contractor under the Disputes paragraph of this Subcontract, not to exceed the amount stated in Subcontractor's notice, Subcontractor and its subcontractors and suppliers agree to dismiss with prejudice, withdraw or not file such lien claim. The cost of such surety bond shall be recoverable by Contractor under the Attorney's Fees paragraph of this Subcontract. Subcontractor further agrees to include this provision in each and every subcontract, purchase order or agreement for labor to be performed or material to be provided in connection with the Work and acknowledges that such requirement is a material provision of this Subcontract. If Subcontractor or its subcontractors or suppliers takes any action contrary to this paragraph, Contractor shall be entitled to recover liquidated damages of ten percent (10%) of the amount of the lien, which shall cover the cost of any bonds required from Contractor, interest on amounts withheld as a result of the lien, and attorney's fees incurred as a result of the defense against the lien. Subcontractor shall also be separately liable for any amounts covered by the lien that Contractor is required to pay.

6. DELAYS, SUSPENSIONS & TERMINATION 6.1 Excusable Delays

Subcontractor shall not be liable for delay in performance due to causes beyond its control and without its fault or negligence, provided: (1) Subcontractor exercises due diligence in promptly notifying Contractor of conditions which will result in delay; (2) such delay does not cause Contractor to become liable for any damages or penalty pursuant to the Contract Documents for the delay; and (3) the Contractor was advised in advance of Subcontractor's Schedule.

6.2 Contractor-Directed Suspensions or Delays Contractor may direct in writing that the Subcontractor suspend, delay or interrupt all or any part of the Work for such period of time Contractor determines to be appropriate or necessary. If the performance of the Work is so suspended, delayed or interrupted for an unreasonable period of time, an adjustment shall be made for any increase in the cost of performance of this Subcontract (excluding profit) necessarily caused by the unreasonable suspension, delay or interruption. However, no adjustment shall be made for any suspension, delay or interruption to the extent that performance would have been suspended, delayed or interrupted by any other cause, including the fault or negligence of the Subcontractor, or for which an adjustment is provided under paragraph 4.1, Changes, or that would be prohibited by paragraph 4.2, Extra Compensation. Subcontractor shall have no right to recover any additional compensation for delays except to the extent that: (a) such request is consistent with paragraph 4.2, Extra Compensation; (b) Contractor was advised in advance of the Subcontractor’s Schedule; and (c) the Subcontractor’s Schedule was compiled and updated contemporaneously with the period of delay.

6.3 Termination for Default

Contractor shall have the right to terminate this Subcontract for default on any one or more of the following grounds: a. Subcontractor refuses or fails to prosecute the Work

with such diligence as will insure its completion of the Work by the Completion Date specified in this Subcontract, or any extension thereof.

b. Subcontractor fails to correct Work that upon testing or observation fails to comply with the Contract Documents.

c. Subcontractor refuses to defend or indemnify Contractor for a claim asserted against Contractor that is covered by the insurance or indemnity paragraphs of this Subcontract.

d. Subcontractor otherwise materially defaults under this Subcontract.

In the event that Contractor determines that Subcontractor defaulted under this Subcontract, Contractor shall give the Subcontractor written notice of its default. Contractor shall give Subcontractor no less than 3 business days to cure



the default specified by Contractor. In the event that Subcontractor fails to cure the default(s), or to commence a cure, within the time specified in the notice, then this Subcontract shall be terminated. Upon a termination or default, Contractor may take over the Work and prosecute the Work to completion, by contract or otherwise. Contractor may take possession of and utilize Subcontractor’s, materials, equipment, appliances, software, computers and plant as may be on the site of the Work and necessary for completion of the Work. In advance of any termination for default, Subcontractor conditionally assigns to Contractor all rights, title and interest in any of Subcontractor’s subcontracts and material supply contracts. In the event of a termination for default, the condition of default is satisfied and the assignments become effective. The Subcontractor shall upon termination for default complete any and all written assignments or other documentation to enable Contractor to use the Subcontractor’s subcontractors and supply contracts to complete the Work. The rights and remedies of the Contractor provided in this paragraph are in addition to any other rights and remedies provided by law or under this Subcontract. Subcontractor is not entitled to any further payment until the Work is completed and the total cost for the completion of the Work is known. Subcontractor is liable for all costs required to complete performance of the Work. In the event that the cost to complete the Work exceeds the amount due Subcontractor under this Subcontract, then Subcontractor shall pay to Contractor the difference. A written notice that does not specifically refer to this paragraph shall be treated as a termination for default. However, a termination for default of Subcontractor that is later determined to be wrongful shall be treated as a termination for convenience.

6.4 Termination for Convenience

This Subcontract may be terminated by the Contractor for any reason and (in whole or in part) at any time by written notice. In the event of a termination for convenience the Subcontractor will stop Work and follow the Contractor's instructions for winding down the Project. In such event the Subcontractor will be entitled to payment for all Work completed satisfactorily, as determined by the Contractor. Payment amount shall be on the basis of the Subcontractor's actual cost of performing such Work plus overhead and profit, as determined reasonable by the Contractor. The Subcontractor will not be entitled to payment for uncompleted Work or anticipated profit or unabsorbed overhead. In no event shall Subcontractor be entitled to receive more than the percentage of Work satisfactorily completed multiplied by the Subcontract Price. If Contractor has been terminated, the termination provisions of the Contract Documents will bind the Subcontractor.

6.5 Termination for Failure to Maintain Minority Status:

If minority ownership certification of the Subcontractor is a factor in the issuance of this Subcontract by Contractor, the Subcontractor is obligated to maintain such minority ownership certifications status throughout the term of the Subcontract. If at any time the Subcontractor is not accepted by the majority, by sales, of Contractor’s United States-based customers as a minority-owned business, or certified as a minority-owned business by the National Minority Supplier Development Council (“NMSDC”) or one of its local Councils, Contractor may terminate this Subcontract upon sixty (60) days prior written notice to the Subcontractor, unless Subcontractor obtains such certification in the sixty (60) day period. In the event Subcontractor’s failure to be accepted or certified, as the case may be, results solely from a change in standards of MBE definition or certification by the NMSDC, Contractor may terminate this Subcontract upon prior written notice to the Subcontractor, provided that any such notice will allow Subcontractor a twenty (20) working day opportunity to cure the lack of certification. Subcontractor’s failure to cure in the given time period shall result in termination of this Subcontract.

6.6 Disputes

If any dispute shall arise between Subcontractor and Contractor in connection with this Subcontract, the parties shall promptly attempt in good faith to settle the same by negotiation. Subcontractor shall give Contractor written notice of its intent to exercise its rights under the Disputes paragraph at least 30 days prior to initiating any legal action. At any time, and at Contractor's election, the parties shall participate in mediation under the rules of the American Arbitration Association. The costs of the mediation shall be borne equally by the parties, and such costs shall not be recoverable by either party under the Attorney's Fees paragraph of this Subcontract. All disputes not settled by negotiation or mediation shall be reserved until the final completion or termination of the Work and negotiation or mediation, at which time they shall be submitted to arbitration in accordance with the prevailing Construction Industry Rules of the American Arbitration Association, except as modified in this paragraph. A single arbitrator shall decide all disputes. No discovery shall be permitted. The arbitrator shall issue a scheduling order within three months after the filing of the demand for arbitration, and no modifications shall be made except by the mutual consent of the parties. The decision of the arbitrator shall be issued within nine months after the date of filing of the demand for arbitration, and the arbitrator shall state in writing the factual and legal basis for the award. The award rendered by arbitrator shall be final and judgment may be entered upon it in accordance with the applicable law in any Court having jurisdiction thereof. Contractor may require Subcontractor to submit a dispute to Contractor in accordance with the dispute provisions of the Contract Documents. Subcontractor's sole remedy shall be as set forth in the Contract Documents if so required by Contractor.



Contractor may, however, at any time so as to permit the Work to continue without interruption issue a written order, pursuant to the paragraph hereof entitled "Changes", regarding the matter in dispute. Such order shall neither prejudice the rights of either party regarding the matter in dispute, nor be construed as an admission by Contractor that Subcontractor is entitled to extra compensation or an extension of time on account thereof. Upon receipt of any such order, Subcontractor shall immediately proceed in accordance therewith, as provided in the Changes paragraph 4.1. Subcontractor further agrees to include a provision in all subcontracts, purchase orders or agreements to provide labor or material in connection with the Work that requires all disputes related to such subcontract, purchase order or agreement to provide labor or material in connection with the Work to be resolved by arbitration in accordance with the rules of the AAA. Subcontractor authorizes Contractor to demand arbitration on its behalf against any subcontractor or supplier who claims that amounts are due for labor or material provided in connection with the Work. Subcontractor acknowledges that this is a material provision of this Subcontract.

6.7 Attorney’s Fees

If either party is required to commence proceedings including, without limitation, any binding arbitration to enforce any provisions of this Subcontract or to protect its interests in any manner arising under this Subcontract, the party prevailing in such proceedings shall be entitled to reimbursement for all reasonable costs and expenses, including attorney's fees, incurred in such proceeding. A prevailing party is a party that recovers at least 75% of its total claims or that is required to pay no more than 25% of the claims made against it. This provision shall not apply to a mediation commenced by either party.

7. OTHER 7.1 Emergency Conditions

In the event the Subcontractor encounters conditions which immediately affect the safety of persons or property, the Subcontractor may take those reasonable and necessary measures to prevent injury to person or damage or destruction of property. In such event, Subcontractor may present a Request for Change Order in accordance with paragraph 4.1 provided that Subcontractor did not cause or contribute to the cause of the condition.

7.2 Assignments and Subcontracting No assignments by Subcontractor of this Subcontract or of any monies due or to become due hereunder shall be binding upon Contractor until Contractor's written consent thereto is obtained. Subcontractor shall not further subcontract any portion of this Subcontract beyond what may be set forth in Attachment 2 without written approval

from Contractor. Any assignment by Subcontractor to anyone of any right under this Subcontract without the written consent of Contractor shall be null and void and without effect.

7.3 Clean-Up

Subcontractor shall keep its work and storage areas cleared of debris at all times and upon completion of the Work and before final acceptance shall leave the premises in a broom-clean, neat and workmanlike condition. Contractor may clean up the premises and charge to Subcontractor’s accounts all costs for said cleanup. Contractor also reserves the right to allocate to Subcontractor cleanup backcharges that have been imposed upon Contractor under the Contract Documents without first complying with this paragraph and based upon Subcontractor's presence in areas for which cleanup backcharges have been assessed against Contractor.

7.4 Notice

Subcontractor shall provide written notices as required by the Contract Documents within such time and in such manner to permit Contractor to provide written notices in accordance with the Contract Documents.

7.5 Independent Contractor

Nothing in this Subcontract shall be construed as reserving or granting to Contractor any right to exercise any control over or to direct in any respect the conduct or management of this business or operations of Subcontractor. The entire control and direction of such business and operations shall be and shall remain in Subcontract. Neither Subcontractor nor any person performing any duties or engaged in any work on behalf of Subcontractor shall be deemed an employee or agent of Contractor.

7.6 Safety

At all times, Subcontractor shall comply with the Contractor’s Subcontractor Safety Specification attached and incorporated herein as Attachment 3. Additionally, all Subcontractor work must be performed in accordance with the most recent laws, rules and regulations of any governmental body that has jurisdiction over the project. To the extent the subcontractor seeks to vary, change or otherwise alter any safety practice, application or procedure, the subcontractor will submit a job hazard analysis to JCI for approval. If Subcontractor fails to seek approval and varies, changes or otherwise alters any safety practice, application or procedure, then Subcontractor assumes complete and exclusive responsibility for such change.

7.7 Equal Employment Opportunity The provisions of Executive Order 11246 and the Equal Employment Opportunity clause, section 60-4.3(a) of 41 CFR, concerning equal opportunity obligations of federal



contractors and subcontractors; Executive Order 11701 and the Affirmative Action clause, section 60-250.4 of 41 CFR, concerning affirmative action obligations of federal contractors and subcontractors; and Executive Order 11758 and the Affirmative Action clause, section 60-741.4 of 41 CFR, concerning affirmative action obligations for handicapped workers of federal contractors and subcontractors are all incorporated by reference and made a part of this Subcontract.

7.8 Warranty of Authority Each party executing this Subcontract warrants and represents that it has full power and authority to enter into this Subcontract and to bind itself to performance hereunder. Each party warrants and represents that the individual signing this Subcontract is an officer or a principal of the party on behalf of whom it signs, or has been granted or delegated all requisite power and authority to bind the party on behalf of which he signs. This Subcontract is not binding upon Contractor unless executed by authorized representatives of Contractor. This representation and warranty of authority shall apply with equal force to each and every document executed by either party subsequent to this Subcontract, in connection with the Work to be performed under this Subcontract.

7.9 Ethics and Compliance Subcontractor agrees to abide by the Johnson Controls Ethics Policy set forth as Attachment 5 (or a similar Subcontractor ethics policy, if such a policy is approved in writing by Contractor), which is incorporated by reference as part of this Subcontract, and to cooperate with Contractor in the execution of responsibilities under such ethics policies and under Contractors’ corporate compliance procedure. This is a material provision of this Subcontract.

7.10 Entire Contract This Subcontract shall constitute the entire and only agreement between the parties relating to the Project and the Work, superseding any previous agreements or understandings. There are no agreements, understandings or covenants between the parties of any kind, expressed or implied, oral or otherwise, pertaining to the Work hereunder that have not been set forth or specified herein. This Subcontract cannot be modified except by a Change Order.

7.11 No Third Party Beneficiaries No person other than the parties to this Subcontract shall have any rights in this Subcontract. The rights of this Subcontract are exclusively those of the parties to this Subcontract. There shall be no third party beneficiaries of this Subcontract. In signing this Subcontract, Subcontractor represents that it is aware of any party claiming such rights.

7.12 Survival of Certain Paragraphs

Any express representation and all indemnity and insurance provisions of this Subcontract shall survive any termination and completion of this Subcontract.

7.13 Severability

If any paragraph of this Subcontract is held void or unenforceable or is otherwise stricken, then any and all remaining paragraphs of this Subcontract shall remain valid and binding upon the parties.

7.14 No Waiver of Enforcement

Any failure of Contractor to require strict performance by the Subcontractor, or any waiver by Contractor of any requirement under this Subcontract, shall not constitute consent or waiver of any subsequent failure or breach by the Subcontractor of such requirement or any other provision of this Subcontract.

7.15 Hazardous Materials

Subcontractor shall not be required to perform any identification, abatement, cleanup, control or removal of asbestos or other hazardous materials not included in Attachment 1, the Subcontractor's Scope of Work. However, should Subcontractor become aware of or suspect the presence of asbestos or other hazardous materials, Subcontractor shall stop work in the affected area immediately and notify Contractor. Should Subcontractor fail to stop work, the Subcontractor shall be responsible for taking all necessary and reasonable steps to contain, control, and abate the asbestos or other hazardous materials in accordance with all-applicable statutes and regulations. Subcontractor agrees to assume full responsibility for any claims arising out of or relating to the disturbance of asbestos or hazardous materials at the site of the Work resulting from the action or inaction of Subcontractor. If Subcontractor disturbs or otherwise fails to stop work as specified herein, then Subcontractor shall defend and indemnify Contractor against any and all claims which arise out of Subcontractor’s action or inaction.

In the event that the Scope of Work incorporated herein as Attachment 1 requires Subcontractor to remove any hazardous materials as defined in 29 C.F.R. Section 1910.1200 et seq. from the Project site, Subcontractor shall: (1) deliver a Material Safety Data Sheet, “MSDS”, as defined and prescribed in 29 C.F.R. Section 1910.1200, to Contractor at least two (10) days before transport of any hazardous substance; (2) furnish Subcontractor’s procedures for disposal of hazardous substances, product residue, by-products, and wastes to Contractor at the time the MSDS are delivered to Contractor; (3) remove, handle and transport any and all hazardous substances in accordance with all applicable Local, State and Federal ordinances, statutes and requirements.



In the event that the Scope of Work incorporated herein as Attachment 1 requires Subcontractor to remove any hazardous materials, and Subcontractor fails to remove, handle and transport any hazardous substances as provided herein, then Subcontractor agrees to defend, indemnify and hold Contractor harmless from and against all claims, losses, liabilities, damage and expenses including reasonable attorney fees and related expenses (“Loss and Expense”) arising out of bodily injury (including death), property damages or penalties assessed or asserted, when such injury (including death), property damage or penalties occur or are assessed as a result Subcontractor’s failure to remove, handle and transport any and all hazardous substances in accordance with this Agreement, or are incident to subcontractor’s failure to perform its duties as set forth in this Agreement.

7.16 Field Coordination

Installations shown and implied on the Contract Documents are diagrammatic only. Unless specific dimensional information is expressly noted, the Contract Documents are not intended to indicate exact locations of installations; to identify all required off-sets, fittings, mountings, etc.; or to identify the required coordination between all trades and building elements. It is the Subcontractor’s responsibility to coordinate with the other trades and building elements in the performance of the Work. Any changes to the location of the Work to be installed or any installation requirements necessitating Subcontractor to coordinate with other trades and building elements shall be accomplished by the Subcontractor WITHOUT ADDITIONAL COST TO THE PROJECT. It shall be the Contractor’s sole discretion to determine whether a change in an installation due to a trade or building interference will constitute a material change in the Work and warrant a Change Order.

7.17 As-Built Documentation

The Subcontractor is obligated to maintain a clean set of As-Built drawings, which shall, at a minimum, identify building plans and the location of all installations, as well as the location of all penetrations of building elements such as walls and floor slabs. This includes, but is not

limited to, installations hidden by building elements and major, permanent equipment such as air handling units, fans, heaters, boilers, switch-gear, etc. Subcontractor ‘s As-Built drawings shall dimensionally note the specific locations of such installations based upon major building elements, such as bearing walls or columns. Upon Completion of the Work, and before application for final payment, the Subcontractor shall turn over the required As-Built drawings along with all other required final documentation.

7.18 Utilization of Minority-Owned Business Enterprises

The Subcontractor agrees to use its best efforts to provide MBEs the maximum practicable opportunity to participate in the subcontracts and orders it may award in connection with this Agreement. The target goal for utilization of MBEs under this Agreement is set at twenty percent (20%); the material failure, if any, to meet this target goal shall not, however, constitute a default by the Subcontractor of its obligations under this Agreement. The Subcontractor will require a minority-owned certification by one of the affiliated local Councils of the NMSDC from any firm claiming to be an MBE. The Subcontractor will report on a quarterly basis the MBE participation in this Agreement, including without limitation an identification of each MBE utilized, the goods and/or services procured from each MBE and the total amount paid to each MBE in connection therewith.

7.19 Nonsolicitation

Subcontractor agrees that, during the term of this Subcontract, it shall not, except with the prior written consent of Contractor, offer employment to, employ or otherwise solicit in any manner any person who is employed, engaged as a consultant or otherwise engaged or retained by Contractor. This provision shall not restrict the right of Subcontractor solicit or recruit generally in the media, and shall not prohibit Subcontractor from hiring an employee or consultant of Contractor who answers any advertisement or who otherwise voluntarily applies for hire without having been initially personally solicited or recruited by Subcontractor.

Solutions

Scope of Work Description

ATTACHMENT TO SUBCONTRACT REQUEST FOR PROPOSAL

SCOPE OF WORK ATTACHMENT Attachment Number:

Attachment

SW-

Project: JCI Cost Code:

Date (mo, day, yr): / / This Attachment includes pages

The project scope of work noted herein is part of the subcontract request for proposal for the project and cost code noted above. Upon acceptance of a proposal and award of a subcontract for the work described herein, this document, and any and all attachments to this document, will become a part of the subcontract. Work to be performed shall be subject to and governed by the terms and conditions of the subcontract, all contract documents and the rules, laws, codes regulations and ordinances of the authority having jurisdiction.

SCOPE OF WORK DESCRIPTION

Definitions:

“Contractor” shall refer to the Johnson Controls issuing office.

“Subcontractor” shall refer to the Subcontractor who submits a proposal in response to this Request for Proposal.

“Work” shall refer to the Scope of Work noted herein and described in the Contract Documents, along with all attachments and terms and conditions thereof and herein.

Additional Terms and Conditions:

Subcontract General Conditions

Attachments:

Bonding Requirements: JCI requires a payment and performance bond on all projects greater than $50,000 unless prior, written variance from the JCI Regional Solutions Operations Manager is received. Subcontractor shall, without additional expense to contractor, obtain payment and performance bonds required for the prosecution of the Work.

Scope of Work:

Scope of Work includes, but is not limited to as defined in the Subcontract Scope of Work Description(s) noted herein, all noted attachments and references, and all applicable codes, rules, regulations, ordinances and laws of the Authority Having Jurisdiction. Materials to be furnished and work to be performed shall be in accordance with the Contract Documents.

Solutions Scope of Work Description

Subcontractor Initials: ____________________, Date: ____________________ page 2

Furnish and Install:

1.

2.

3.

4.

General Exclusions:

1.

2. All testing for, identification and work with hazardous materials, including asbestos, shall be by the Owner. Subcontractor is not to do any work in any areas where asbestos is present and will notify Contractor immediately if asbestos is suspected.

Subcontract General Conditions:

1. All Work to be performed in strict accordance with all applicable codes, laws, ordinances, rules, regulations, etc. of the Authority Having Jurisdiction over this Project. Subcontractor will adhere to all contract specifications issued for the project, along with all applicable codes, laws, ordinances, rules, regulations, etc. of the Authority Having Jurisdiction over this Project. If any conflict exists between the intent or design of the Work and any applicable codes, Subcontractor agrees to immediately notify the Contractor, in writing.

2. Subcontractor shall obtain all licenses, permits and fees required for the prosecution of the Work, at no additional cost to the Contractor. Subcontractor will provide necessary permits, approvals and inspections of the work and pay all associated fees.

3. Subcontractor shall comply with the Contractor’s Safety Program at all times, as well as all applicable Federal, State, Local and General Contractor rules and regulations. Subcontractor shall provide a safe and clean working environment. All working areas shall be marked OFF LIMITS to non-construction personnel during working hours. All work not complete shall be placed inaccessible and in a safe manner when Subcontractor is not present. All operating equipment shall be placed in a “fail-safe” condition when Subcontractor is not present. Hard hats, safety glasses and work shoes must be worn where required. No form of gym shoe, even safety approved, will be allowed.

4. Subcontractor has reviewed the Contractor’s “No Harassment” Policy and agrees to maintain a no harassment environment for Contractor employees and customers.

5. Subcontractor agrees they have reviewed the Contractor Documents and accepts responsibility to provide complete, workable operating system(s) per the intent of the Contract Documents. Subcontractor will provide qualified personnel to perform start-up/end-to-end checkout requirement as necessary and to verify with Contractor that installation is 100% complete and functioning per the intent of the Contract Documents.

6. The Subcontractor shall be responsible for all cutting, patching, painting, coring, caulking, flashing, counter-flashing and fire caulking/safing of any and all existing installations required for the performance of the Subcontract, require by code and/or required for a finished appearance of the Work. All such work shall match existing, adjacent surfaces in both materials and workmanship. All work shall be done by workmen skilled in the trade required.

7. Unless specifically noted otherwise in the Scope of Work document(s), all work is to be done during normal working hours. Except to the extent that the need for overtime is beyond the control and without the fault or negligence of the Subcontractor with prior, specific, written consent of the Contractor, any extra cost for overtime premium to complete the installation(s), shall be the sole responsibility of the Subcontractor.

8. All material supplied by Subcontractor must be new unless previously agreed upon or specified.



9. All material and workmanship provided by the Subcontractor shall be subject to inspection and testing at allreasonable times and places. If the work is found to be defective or nonconforming in any material respect due tothe fault of the Subcontractor, the Subcontractor shall defray all the expense of such examination and inspection andof satisfactory correction and reconstruction.

10. All work must be in compliance with the Contract and building code requirements.

11. Subcontractor will adhere to project installation schedule as provided by Contractor. Project is to be adequatelymanned by competent and properly trained personnel familiar with Contractor work and installation requirements.Job is to be supervised by a foreman certified by Contractor as having successfully attended installation & validationtraining. Subcontractor shall provide all manpower necessary to complete the Work per the project schedule, and ifrequired, at the sole discretion of the Contractor, add additional manpower at the request of the Contractor.

12. Subcontractor’s proposal shall include all project site clean-up related to the Work. Daily cleanup and trash removalis the responsibility of the Subcontractor. If necessary in the sole judgment of the Contractor, the Contractorreserves the right to provide clean-up services on behalf of the Subcontractor and back-charge the Subcontractor forsuch services. Any clean-up back-charges to the Contractor from upper-tier contractor(s), will be passed directlythrough to the Subcontractor. Before declaring the work to be done, Subcontractor shall clean all work areas, worksurfaces, equipment, and adjacent areas after completion.

13. Subcontract Closeout: Subcontractor will submit four (4) sets of Operation and Maintenance manuals to Contractorfor job record, describing all mechanical equipment provided by the Subcontractor. These manuals will include as-built drawings, technical data sheets, replacement parts lists, recommended maintenance instructions and orderinginstructions. Subcontractor will provide a warranty statement on company letterhead defining the start and end ofthe warranty period. Warranty can begin no earlier than completion of the final punch list and requires writtenacceptance of Contractor. Any extended warranty items should be highlighted on the warranty statement.

14. All equipment, fixtures, materials, panels, etc. to be mounted by Subcontractor, per installation drawings and/or asrecommended by the manufacturer. All equipment, fixtures, materials, panels, etc. are shown in approximatelocations and are subject to final field verification.

15. Subcontractor shall tag/identify all work in accordance with the Contractor drawings and/or direction, and inaccordance with the contract documents.

16. Subcontractor will ensure that all installed work is complete and correct prior to Contractor start-up and properlyterminated with no shorts, grounds, cross-connections, leaks, etc.

17. Subcontractor will provide qualified personnel to perform start-up/end-to-end checkout requirement as necessaryand to verify with Contractor that installation is 100% complete and functioning.

18. Where possible, Contractor will directly ship contractor supplied material and equipment to Subcontractor’swarehouse, wherein Subcontractor shall be completely responsible for receipt, security and storage of same.Where applicable, the Subcontractor is responsible for signing all equipment out of the Contractor’s warehouse orcontracted warehouse. The Subcontractor is financially responsible for all lost, damaged or misplaced material thathas been assigned, received and signed for by the Subcontractor. Where it is not possible or practical to shipContractor supplied material and equipment directly to the Subcontractor’s warehouse, Subcontractor will pick up allmaterials from Contractor warehouse as necessary.

19. Subcontractor will inform Contractor, in writing, of intent to use/hire any sub-subcontractor. All sub-subcontractorsshall be subject to audit and approval of the Contractor.

20. Subcontractor shall be responsible for maintaining and updating as-built drawings. Progress as-built drawing maybe requested by the Contractor as the Contractor’s sole discretion.

21. Contractor’s form “Subcontractor Application and Certificate for Payment” shall be used for all invoicing.Subcontractor shall submit a "draft copy" of this invoice by the 8th of each month for approval. Any invoice notreceived by this date will not be included in the pay application for that month. A 10% retainage will be withheld fromall progress payments and up to a total of 10% of the contract amount until installation is complete and subcontractcloseout is verified by the Contractor.



22. Subcontractor will agree to project billing/payment schedule of pay-when-paid.

23. Contractor will pursue all legitimate extras as requested by Subcontractor. It is also agreed Subcontractor will not be compensated for any additional work for which Contractor is not compensated. Any additional work performed without prior, written authorization by Contractor shall warrant no extra compensation.

24. Subcontractor is responsible to provide and install any special mounting hardware (“Unistrut” segments, mounting surface, etc.) for equipment as well as all installation materials (conduit, wiring, raceways, junction boxes, tubing, piping, fittings, etc.) for a complete project.

25. All work to be 100% verified and logged on signed checkout sheets for a complete & operable system prior to digital hardware being commissioned by the Contractor’s technicians. The Subcontractor shall provide qualified personnel to perform start-up and verify end-to-end installation as necessary of all equipment including field installed devices upon completion of installation. Manpower shall also be present when energizing Contractor equipment.

26. Subcontractor shall be responsible for all materials, equipment, devices, fixtures, etc. until final acceptance.

27. Subcontractor is responsible to notify Contractor in writing of any installation problem or delays by others that will directly interfere with the on-site installation and/or maintenance of the construction schedule. Any delays to schedule caused by the Subcontractor’s actions, in-actions or negligence may be cause for back charge at the discretion of the Contractor Project Manager.

28. To the extent that Subcontractor has failed to comply with any specification, or that the Subcontractor has failed to request written clarification or any specification that is ambiguous, or that the Subcontract has assumed design responsibility for any portion of the Work, Subcontractor shall be fully responsible for all costs necessary to provide a complete and operable system capable of meeting the intent of the Contract Documents.

29. Only the Contractor’s Project Manager is authorized to make changes to the scope of this contract. Any work done without prior, written authorization of the Contractor is not reimbursable by the Contractor.

30. Retainage shall be withheld at 10%. In addition to all other requirements of this Subcontract, retainage may be withheld until all documentation requirements of this Proposal Request package have been met. A separate retainage invoices is required upon completion of the Work and is subject to audit by the Contractor.

31. The intent of the contract documents is to furnish and install complete, operating systems. Install all required items for proper operations per the contract documents’ intent and as required for proper interfacing of Contractor equipment.

32. Equipment furnished by Contractor will be referenced on the Contractor’s drawings Bill of Material.

33. Subcontractor shall include a guarantee that all work is to be free of defects in material and workmanship for one (1) year after the work has been accepted by the Owner.

SUBCONTRACTOR SAFETY SPECIFICATIONS

SUBCONTRACTOR SAFETY SPECIFICATIONS Page 1 of 9

JCI Contract No. JCI Contract No. ____________

TOPIC PAGE

I. GENERAL .................................................................................................................................................................... 2

II. STOP WORK POLICY ................................................................................................................................................. 2

III. SAFETY TRAINING ..................................................................................................................................................... 2

IV. PERSONAL PROTECTIVE EQUIPMENT/SAFETY EQUIPMENT ............................................................................ 3

V. SAFETY AUDITS ......................................................................................................................................................... 3

VI. SUBSTANCE ABUSE .................................................................................................................................................. 3

VII. SMOKING AND TOBACCO PRODUCTS ................................................................................................................... 4

VIII. ACCIDENT/INJURY REPORTING .............................................................................................................................. 4

IX. CRISIS MANAGEMENT PLAN ................................................................................................................................... 4

X. EMERGENCY RESPONSE/FIRST AID ...................................................................................................................... 4

XI. RETURN TO WORK .................................................................................................................................................... 4

XII. DISCIPLINARY PROCEDURE .................................................................................................................................... 4

XIII. JOB HAZARD ANALYSIS (JHA) ................................................................................................................................. 5

XIV. PERMITS ..................................................................................................................................................................... 5

XV. COMPETENT PERSON .............................................................................................................................................. 5

XVI. WORKING AT HEIGHTS ............................................................................................................................................. 5

XVII. EXCAVATION/TRENCHING/SHORING ..................................................................................................................... 6

XVIII. CRANES ...................................................................................................................................................................... 6

XIX. HELICOPTER “EXTERNAL LIFT” ............................................................................................................................... 7

XX. HOUSEKEEPING ........................................................................................................................................................ 7

XI. IMPALEMENT HAZARDS ........................................................................................................................................... 7

XII. HAZARD COMMUNICATION ...................................................................................................................................... 7

XXIII. JOB SITE ACCESS ..................................................................................................................................................... 7

XXIV. ENVIRONMENTAL COMPLIANCE ............................................................................................................................. 7

XXV. ENVIRONMENTAL WASTE MANAGEMENT ............................................................................................................. 8

XXVI. SPILL AND RELEASE REPORTING AND RESPONSE ............................................................................................ 8

XXVII. ADDITIONAL REQUIREMENTS/CONSIDERATIONS ............................................................................................... 8



I. GENERAL

The following safety rules have been developed as a minimum general guide for all subcontractors. It should be made clear that these rules do not constitute all the safety requirements at a Johnson Controls (JCI) job site. There may be additional site-specific safety rules that apply. The disregard of established safety rules may result in the immediate and permanent dismissal of an individual or subcontractor from the site. Furthermore, each subcontractor will be responsible for providing substantiating documentation of an established company safety program prior to beginning work on site. All of the following safety rules apply at a minimum to the area within the perimeter of the construction area. More specifically defined as: Within the limits of any and all earthwork and within the limits of the building envelope where construction is evident, whether within a new or existing structure. A. All Subcontractors (including all subcontractors working through subcontractor; hereinafter

"Subcontractor") shall comply with all federal, state/provincial and local safety laws, rules and regulations.

B. All Subcontractors will prepare a written safety program that applies to the specific work they are

performing at the site. C. All Subcontractors shall follow all posted safety rules and those rules described in the Johnson

Controls (JC) Project Safety Manual. D. All Subcontractors who hire lower-tier subcontractors to perform work at the site shall ensure that all

lower tier subcontractors follow JC Subcontractor Safety Specifications. E. Any Subcontractor who creates a hazard shall eliminate the hazard before any further work may

proceed. F. Hazards observed, but not created by the Subcontractor, shall be reported to JC immediately. All

Subcontractors shall avoid the hazard until it has been eliminated. G. Subcontractors shall participate in a pre-job safety meeting with the JC project manager/engineer

before they are allowed to execute their job tasks. II. STOP WORK POLICY

Whenever an imminent danger is present to any person, including, but not limited to, JC employees, Subcontractor employees and third parties, the authorized JC employees and Subcontractors employees have the right to stop work so that all hazards are abated, or safe work practices are incorporated. For the purposes of this policy, an imminent danger includes, but is not limited to:

A situation for which the individual is not properly trained or experienced. A situation for which the individual is not equipped (i.e., safety or personal protective equipment). A hazard that is not typical to the individual's work activities or job. A worker unfit for work due to the influence of alcohol or illegal or mind-altering substances. A danger that would normally stop work in the affected area.

Subcontractor's employees are required to report all "stop work" actions immediately to their supervisor for investigation. During the investigation, the employee refusing to work will not leave the site or return to the work activity without authorization. lf the "stop work" action is used for legitimate safety reasons, the individual initiating the action (employee or subcontractor) is protected from discipline, retribution or discrimination by JC.

Ill. SAFETY TRAINING

A. Safety Orientation Training

1. All Subcontractors shall attend the JC Safety Orientation training before they are allowed to perform any type of work on the job site.



2. Subcontractors shall be identified by a JC hard hat sticker indicating that they have successfully

completed the JC Safety Orientation training. 3. Subcontractor shall at their own expense require its subcontractors, agents and/or employees to

comply with all applicable safety requirements. Prior to commencement of any work under this Agreement, Subcontractor's subcontractors, agents, and/or employee will complete a basic OSHA construction training safety course, or its equivalent, that is related to the work that the Subcontractor will perform under this Agreement. Subcontractor will provide JC with certification that such training has been completed.

B. Weekly Toolbox Talks

Subcontractors shall conduct weekly safety toolbox talks every Monday morning and submit a copy of their Safety Training Verification Form to JC no later than noon the following Tuesday.

C. Job Hazard Analysis

Subcontractors shall review and train their affected employees on the job hazard analysis that pertains to the job tasks the employees will perform.

IV. PERSONAL PROTECTIVE EQUIPMENT/SAFETY EQUIPMENT

A. Personal Protective Equipment

1. Subcontractors shall supply their employees with the appropriate personal protective equipment that meets the safety requirements outlined by federal, state/provincial and local safety laws, rules and regulations.

2. The following personal protective equipment are mandatory on all JC construction sites without

exception:

a. Hard hats b. Eye protection with side shields c. Hard-soled work boots with leather uppers

3. Shorts, tennis shoes and tank tops are prohibited on all JC construction sites.

B. Safety Equipment

Subcontractors shall supply their employees with the appropriate safety equipment that will meet the safety requirements outlined by federal, state/provincial and local safety laws, rules and regulations.

V. SAFETY AUDITS

Subcontractors shall perform weekly safety audits of specific job tasks for which Subcontractor is responsible for at the site. These audits shall be conducted every Thursday and submitted to JC no later than noon the following Friday.

VI. SUBSTANCE ABUSE

Possessing, using or being under the influence of alcohol or an illegal or mind-altering substance while on the site shall be grounds for immediate and permanent removal from the site. If onsite JC personnel smell alcohol or notice impaired behavior, the individual in question will be asked to submit to a Breathalyzer test at an occupational clinic. Any employee with a blood alcohol level of 0.04 or greater will be immediately and permanently removed from the site. Refusal to submit to a Breathalyzer test will result in the immediate and permanent removal of the employee from the site. JC reserves the right to conduct lawful searches.



VII. SMOKING AND TOBACCO PRODUCTS The use of smoking and smokeless tobacco products will be allowed only in designated areas of the site. In addition, the use of tobacco products will be prohibited in any area with finishes i.e. drywall, paint, ceiling, flooring, etc.

VIII. ACCIDENT/INJURY REPORTING

A. Subcontractors shall report all Workplace accidents, injuries or illnesses, regardless of severity, to the JC project manager/engineer.

1. Subcontractors shall complete the Employee/Subcontractor Injury/Accident Statement and the JC

Incident Investigation Report within eight hours from the time the incident occurred. 2. Subcontractors shall report all property damage using the Incident Investigation Report within eight

hours from the time the incident occurred.

B. The JC Corporate Crisis Management Plan will be implemented when there is an accident involving a fatality or a single accident in which three or more workers are hospitalized.

IX. CRISIS MANAGEMENT PLAN

No one at the site shall discuss, talk or communicate with the media regarding any issues concerning the site. The JC Crisis Management Team will be contacted immediately and they will appoint a spokesperson for JC to communicate with the media.

X. EMERGENCY RESPONSE/FIRST AID

A. Subcontractor shall follow the JC Site Emergency Action Plan. B. In an emergency, immediately notify emergency personnel (911) and JC. Stay with the victim until help

arrives. C. Each Subcontractor is required to have a first aid kit on site in the event of minor injuries. D. Subcontractors are required to transport all non-emergency cases to the site's designated medical

facility. Injured employees are not allowed to drive themselves to the health care provider. E. JC will monitor and track all injuries and illnesses on the site. This does not relieve Subcontractors of

their record keeping requirements. F. Subcontractors shall complete the Employee/Subcontractor Injury/Accident Report and the Incident

Investigation Report when required. XI. RETURN TO WORK

In the event of an injury with work restrictions, the Subcontractor will provide light duty work in accordance with the doctor's recommendations.

XII. DISCIPLINARY PROCEDURE

A. Safety rules have been established to protect all persons who have contact with the site. Failure to abide by the safety rules will place fellow workers and others at risk. JC strictly enforces the disciplinary action(s) below with subcontractors who work in an unsafe manner. JC will use a three-step disciplinary program.

1. Written Reminder 2. Two-day suspension from site 3. Immediate and permanent dismissal from site



B. Zero Tolerance

Consideration will be given to work practices that may cause immediate danger to the life and health (IDLH) of both the employee and anyone else who may be involved. The disregard of safety in these situations will immediately result in step three. The following are a few examples of IDLH situations:

Working without fall protection. Not being fit for work due to the influence of alcohol or illegal or mind-altering substances. Entering/working in trenches that do not have appropriate sloping, benching, or shoring. Working inside a permit-required confined space without a permit.

XIII. JOB HAZARD ANALYSIS (JHA)

Subcontractors shall submit a completed JHA Form to JC prior to starting any type of work at the site. Before their work onsite begins, Subcontractors shall review their completed JHA's with JC's project manager/engineer. When required by the JC project manager/engineer Subcontractors shall complete a JC Job Hazard Analysis Audit.

XIV. PERMITS

A. Fire Permit Subcontractors shall use a JC hot work permit when conducting any welding, torch cutting and burning beginning on the date of substantial completion.

B. Confined Space Permit Subcontractors shall use their own confined space permit. At a minimum, the permit will meet the applicable federal, state/provincial and local safety laws, rules and regulations.

XV. COMPETENT PERSON

A competent person shall mean a person who is capable of identifying existing and foreseeable hazards in the surrounding work area or working conditions which are unsanitary, hazardous or dangerous to employees and others, and who has authorization to take prompt, corrective measures to eliminate the conditions. A competent person is also a person who has extensive knowledge and experience in a particular activity or job function, as well as knowledge of procedural and regulatory requirements. Subcontractors shall designate a competent safety person for the following tasks:

Scaffolding Excavation/Trenching/Shoring Fall Protection Steel Erection/Assembly Concrete & Masonry Construction Crane/Hoisting/Rigging Blasting

XVI. WORKING AT HEIGHTS

A. Fall Protection It is a JC policy that when fall protection devices like guardrails, nets, etc., cannot be provided and the Subcontractor is exposed to a fall greater than six feet, they will use a personal fall arrest system. A personal fall arrest system consists of full body harness and shock absorbing lanyard.

B. Ladders 1. All ladders shall comply with all federal, state/provincial and local laws, rules and regulations.



2. All extension ladders shall be tied off at the top or a second person will hold and secure the ladder at the bottom.

3. Subcontractors shall use a personal fall arrest system when they are exposed to a fall below the

level of the ladder. 4. Subcontractors shall comply with all manufacturer's recommended maintenance and safety

requirements.

C. Scaffolding 1. It is JC's policy that all scaffolding used on site that has a working surface higher than six feet have

guardrails. Each guardrail will consist of a top rail (height between 36 and 42 inches), midrail and toe board (3.5 inches minimum height).

2. Subcontractors shall use a personal fall arrest system when they are working on scaffolding that has

a working surface higher than six feet but does not have a proper guardrail or complete deck. 3. Subcontractors shall comply with all manufacturers' recommended maintenance and safety

requirements.

D. Aerial Lifts/Scissors Lifts 1. Subcontractors shall comply with all manufacturers' recommended maintenance and safety

requirements. 2. Subcontractors shall use a fall arrest system at all times during their work in an aerial lift and scissors

lift. XVII. EXCAVATION/TRENCHING/SHORING

A. Sloping Subcontractors shall slope or bench all excavations that are less than 20 feet deep.

B. Shoring 1. Shoring is only allowed when the location or depth of the cut makes sloping back to the maximum

allowable slope impractical. Asphalt is not exempt from this requirement. 2. JC requires the use of either hydraulic or pneumatic shoring. Trench boxes can also be used either

alone or in combination with sloping. 3. Temporary spoil will not be placed closer than two feet from the surface edge of the excavation. 4. Access ladders will be within 25 feet from worker, be secured and extend at a minimum 36 inches

above the landing. XVIII. CRANES

A. Crane operators must submit a copy of their valid training records and certification to JC before they perform any type of lift on site.

B. Daily inspections are required on all cranes before and during use. Daily inspections will be submitted to

JC no later than 5:00 p.m. for each day the equipment is being used. C. Annual crane inspections, along with daily inspections, will be performed onsite and in the crane. D. Tag lines will be used for all loads. Tag lines will help control the load in windy conditions that may cause

the load to swing, rotate, or become unbalanced. E. Subcontractors using cranes will post a copy of the crane hand signals that will be used.



F. Subcontractors shall comply with all of the manufacturer's recommended maintenance and safety

requirements. G. Work within a crane's swing area is prohibited. H. Riding or working under loads being lifted by a crane is prohibited.

XIX. HELICOPTER "EXTERNAL LIFT"

A. Helicopter cranes shall comply with 14 CFR, Part 133 -- Rotorcraft External-Load Operations and all other federal, state, and local laws, rules and regulations that may apply to a rotorcraft external lift.

B. Subcontractors shall comply with all of the manufacturer's recommended maintenance and safety

requirements. XX. HOUSEKEEPING

A. Housekeeping must be conducted on a daily basis. JC will issue a stop work order anytime housekeeping on the site is disregarded. The stop work order will be lifted when the site is cleaned!

B. Work areas must be kept clean and organized. Trash and scrap materials to be picked up and disposed

of on a daily basis. Scrap and trash piles are prohibited. C. Flammable materials must be stored in approved containers and on the exterior of the building.

XXI. IMPALEMENT HAZARDS

A. All impalement hazards (rebar, electrical conduit, stakes, etc.) shall be guarded by using either steel caps, steel reinforced plastic mushroom caps or wooden troughs. Plastic mushroom caps that are not steel reinforced are not allowed on JC sites.

B. When impalement hazards cannot be properly guarded, the area will be taped off with red "DO NOT

ENTER" tape (restricted access). XXll. HAZARD COMMUNICATION

A. All Subcontractors shall share information with one another regarding the hazardous materials that they are working with on site.

B. Each Subcontractor is responsible for maintaining accessible material safety data sheets for products it

brings on site and for training its employees on the proper handling, storage and disposal requirements of hazardous materials. Subcontractors shall submit to JC a chemical inventory list before they start working onsite.

XXlll. JOB SITE ACCESS

A. Subcontractors and their visitors shall follow the JC Access and Security Requirements when entering and exiting the job site.

B. Subcontractors and their visitors shall follow the JC Vehicle Access Requirements while at the job site.

XXIV. ENVIRONMENTAL COMPLIANCE

A. All Subcontractors agree to abide by all applicable federal, state/provincial and local environmental laws as part of their contractual relationship with JC.

B. All Subcontractors performing services related to environmental compliance, planning or remediation

shall provide written assurance that they have, and will maintain in effect, insurance that provides coverage for risks resulting from the release of hazardous substances or contaminants to the environment.



XXV. ENVIRONMENTAL WASTE MANAGEMENT

A. All Subcontractors shall be responsible for the removal of all hazardous wastes or substances generated during the course of their onsite work.

B. All Subcontractors agree to indemnify JC against any claim by any entity, private or governmental in

nature, arising out of environmental contamination caused or exacerbated by the Subcontractor during the course of its work for JC.

XXVI. SPILL AND RELEASE REPORTING AND RESPONSE

All Subcontractors shall respond to spills and to releases of hazardous substances, dispose of contaminated cleanup materials, dispose of contaminated soils and report immediately each spill or release event to the onsite JC project manager/engineer.

XXVll. ADDITIONAL REQUIREMENTS/CONSIDERATIONS

A. Loose or hanging clothing, jewelry or long hair is not permitted around moving machines and parts. B. Subcontractor's employees must not operate a vehicle on site without a valid driver's license. C. Firearms are not allowed on the job site for any reason. D. Entry into an area that is barricaded with red "Danger Do Not Enter'' tape is prohibited unless permission

has been granted by the individual/subcontractor that barricaded the area. E. All barricaded areas must be posted with the following: name of person barricading area, company name,

telephone/cell/pager number and time and date area was barricaded. F. All compressed gas containers must be stored upright with protective caps in place and secured so they

cannot turn over. G. Spliced extension cords are prohibited. H. Ground fault circuit interrupters (GFCI) must be used on all temporary wiring. Assured Equipment

Grounding Program may not be used in lieu of GFCls. I. Open junction boxes for temporary wiring is prohibited. J. Hearing protection must be worn in designated areas. K. Subcontractors must have adequate number and type of fire extinguishers available relative to the type

of work being performed. L. Hand tools must be in safe working condition. Hammers, chisels, etc. must never have mushroom heads

and wooden handles must never be taped. M. Safety devices arid guards installed on tools and machines must be· in place prior to use. N. Horseplay is prohibited. O. Tampering with or altering safety devices is prohibited. P. Tampering with or borrowing other subcontractor's tools and materials without permission is prohibited. Q. Seat belts must be worn on the job site while on heavy equipment. R. All heavy equipment must have functional back-up alarms. S. Motors must be turned off while refueling.



T. Failure to comply with any established safety rule will be brought orally to the attention of the subcontractor's Site Manager by JCl's designated on-site representative. Continued violation will be provided in a written form with copy provided to the subcontractor's Project Manager or the person that signed the contract

U. In addition to the safety requirements otherwise required by this Agreement, Subcontractor shall comply

with all safety requirements for the Project including but not limited to any and all higher tier and Subcontractor safety programs, procedures and rules. Subcontractor shall also comply with all laws, rules and regulations of any governmental body that has jurisdiction over the project. To the extent that there is more than one safety rule, regulation or law that applies to a given activity of the Subcontractor, the more stringent rule shall apply. Subcontractor shall advise all higher tier subcontractors and subcontractors of all safety issues not otherwise covered by any of the requirements of this Agreement. To the extent that the Subcontractor seeks to vary, change or otherwise alter any safety practice, application or procedure, then the Subcontractor will submit a job hazard analysis to Contractor for approval. If Subcontractor fails to seek approval and varies, changes or otherwise alters any safety practice, application or procedure, then Subcontractor assumes complete and exclusive responsibility for such change.

V. Subcontractor, by signing this Agreement, represents that it shall take all necessary precautions while

performing its work to ensure the safety of its employees, the employees of other subcontractors and third parties.

W. Subcontractor represents that it has studied and is familiar with all of the applicable requirements promulgated

by any government authority, including, without limitations, the applicable requirements for the Occupational Safety and Health Act (OSHA); all applicable regulations published in 29 CFR parts 1910 and 1926; all applicable state occupational safety and health acts and any applicable regulations promulgated thereunder; and any other lawful orders of any public authorities bearing on the safety personas or property or their protection from damage, injury, or loss; as well as any safety or health programs published by any higher tier contractor, JC and Prime Contractor. Subcontractor shall provide JC and all higher tier contractors with a written safety program that complies with these governmental requirements and safety and health programs.

X. Subcontractor agrees that it shall be liable for any violation thereof by any of its subcontractors, agents

and/or employees. Y. Subcontractor agrees that, in the event that an action is undertaken against JC for violations of any

governmental safety requirements by the Subcontractor and/or its subcontractor(s), agents or employees, Subcontractor shall indemnify and hold harmless JC for all costs, damages and penalties assessed against JC or related to this action including attorney's fees incurred in the defense or appeal of such action.

Print Name Date Company Signature

VALUES FIRSTthe johnson controls code of ethics

2

TABLE OF CONTENTS

INTRODUCTION

The Johnson Controls Ethics and Compliance Program . . . . . . . . . . . . . . . 07

Our Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . 08

Special Responsibilities of Leaders and Supervisors . . 09

Speaking Up and Getting Help . . . . . . . . . . . . . . . . . 10

Making Smart Choices . . . . . . . . . . . . . . . . . . . . . . .11

VALUES FIRST AND WINNING TOGETHER

Health and Safety . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Respectful Treatment, Preventing Harassment and Workplace Bullying . . . . . . . . . . . . 14

Diversity and Inclusion . . . . . . . . . . . . . . . . . . . . . . 15

Equal Opportunity and Preventing Discrimination . . . 16

Employee Data Privacy . . . . . . . . . . . . . . . . . . . . . . 17

VALUES FIRST AND WINNING FOR CUSTOMERS

Product Quality and Safety . . . . . . . . . . . . . . . . . . . 19

Honest Marketing, Sales and Service Practices . . . . 20

Customer Data Privacy . . . . . . . . . . . . . . . . . . . . . . 21

Government Contracts Compliance . . . . . . . . . . . . . 22

VALUES FIRST AND WINNING IN THE MARKETPLACE

International Trade Compliance . . . . . . . . . . . . . . . . 25

Fair Competition/Antitrust . . . . . . . . . . . . . . . . . . . . 26

Research Integrity and Ethically Sourcing Competitive Intelligence . . . . . . . . . . . . . . 27

Bribery and Other Forms of Corruption . . . . . . . . . . 28

Third-Party Intellectual Property and Commercial Rights . . . . . . . . . . . . . . . . . . . . . . 30

VALUES FIRST AND WINNING FOR INVESTORS

Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . 32

Recordkeeping and Disclosure . . . . . . . . . . . . . . . . . 36

Physical Property and Assets, Our Reputation and Our Confidential and Proprietary Information . . 38

Insider Trading and Securities Market Abuse . . . . . . 43

Responsible Communications . . . . . . . . . . . . . . . . . 44

VALUES FIRST AND WINNING WITH OUR SUPPLIERS

Procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Preventing Abuses in the Supply Chain . . . . . . . . . . 48

Supplier Expectations . . . . . . . . . . . . . . . . . . . . . . . 50

VALUES FIRST AND WINNING WITH OUR COMMUNITIES

Sustainability and Environmental Responsibilities . . . 52

Community Engagement and Investment . . . . . . . . . 53

Political Activity and Lobbying . . . . . . . . . . . . . . . . . 54

3

What we do every day at Johnson Controls makes the

world more productive, more secure and more sustainable .

Creating winning solutions for our customers is the key to

winning in the marketplace . How we do it matters because

winning doesn’t matter without integrity . That’s why

Integrity First is the first among our values .

Our values are the starting point for everything we do,

everywhere we do it . They remind us—and others—who

we are, what we stand for and how we get things done .

They’re our inspiration and our guide . That’s why this,

Johnson Controls’ Code of Ethics, is called “Values First .”

values first

EVERYONE, EVERYWHERE, EVERY DAY

our values

4

INTEGRITY FIRSTWe promise honesty and transparency . We uphold the highest standards of integrity and honor the commitments we make .

PURPOSE LEDWe believe in doing well by doing good and hold ourselves accountable to make the world a better place through the solutions we provide, our engagement in society, the way we do business, and our commitment to protect people and the environment .

CUSTOMER DRIVENWe win when our customers win . Our long-term strategic relationships provide unique insights and the ability to deliver exceptional customer experiences and solutions .

FUTURE FOCUSEDOur culture of innovation and continuous improvement drives us to solve today’s challenges while constantly asking ‘what’s next’ .

ONE TEAMWe are one team, dedicated to working collaboratively together to create the purposeful solutions that propel the world forward .

values first

OUR VALUES DRIVE WINNING BEHAVIORS, WHICH DRIVE WINNING OUTCOMES

winning behaviors

winning outcomes

Dear Colleagues,

We live in a world in which complexity, change and uncertainty are daily realities . The idea of having more control

of the environments in which we live, work and travel is both reassuring and empowering . In 1883, this idea inspired

Warren S . Johnson to invent the electric room thermostat . The same fundamental thinking inspires Johnson Controls

today: all around the globe we are collaborating and innovating to make the world more safe, comfortable and

sustainable . We see ourselves as a company that does more than make things; we make a difference .

We must keep the bigger picture very much in mind as we go about our work and as we interact with colleagues,

customers and the world at large . Doing so reminds us that the impact of our individual decisions and actions, for

better or worse, can be far greater than we ever imagined . Customer trust and a reputation for quality, dependability

and integrity have never mattered more . For this reason, Values First, Johnson Controls’ Code of Ethics, is an

essential resource . Each of us has a responsibility to be familiar with the Code and to follow it at all times .

The Code’s name is significant; it reflects the belief that when we put our values first, we build a business that will

last . Putting our values into action promotes a culture of trust and respect . That, in turn, allows us to collaborate,

innovate and do our best work so that we and our customers can win together .

Thank you for all that you do to help make the world more safe, comfortable and sustainable .

Sincerely,

George Oliver

Chairman and Chief Executive Officer.

MESSAGE FROM THE CEO

5

6

Johnson Controls has built a reputation over 130 years as

a company that can be trusted to keep our promises and

to deliver value for our customers and other stakeholders .

This reputation is our responsibility, no matter what our

role at the Company . Our individual choices and actions

have a direct impact on Johnson Controls’ ability to

meet the expectations of our customers, investors and

other stakeholders . Even though we’re 120,000 people,

supporting many brands and functions around the globe,

we win as One Team . Our choices and behaviors need

to support a culture of trust and respect as we help

each other to do our best work .

That is why we have Values First, our Code of Ethics . It sets

expectations for behaviors and guides us toward achieving

the best outcomes for ourselves and all our stakeholders .

It is a practical, easy-to-use resource, which shows us how

to put our shared values into action . When our values drive

the right behaviors, everyone wins .

values first

WHY OUR VALUES COME FIRST

THE JOHNSON CONTROLS ETHICS & COMPLIANCE PROGRAMValues First, our Code of Ethics, is the cornerstone of the Johnson Controls Ethics & Compliance Program . This Program is an integrated approach to ensuring that our individual conduct, business operations and organizational culture maintain the highest standards of integrity . Through leadership commitment, communication, training, monitoring, reporting mechanisms and other means, the Ethics & Compliance Program helps us to identify and safely navigate ethics and compliance risks and conduct business according to our values .

7

values first

WHEN OUR VALUES DRIVE THE RIGHT BEHAVIORS, EVERYONE WINS

8

At Johnson Controls, everyone, everywhere must

be familiar with the Code of Ethics and follow it every

day—regardless of role or seniority . This includes

all employees, officers and members of the Board

of Directors . Violations of the Code are serious and

can result in disciplinary action, up to and including

dismissal, in accordance with local legal requirements .

Johnson Controls has policies that address many

of the topics in the Code in more detail . They can

be found on the Ethics & Compliance SharePoint site .

Not only must we follow the Code and Company

policies, each of us has an obligation to comply with

laws that apply to us . We have a duty to speak up if

we are unsure about what to do or have a concern –

especially if we see or suspect misconduct .

values first

OUR RESPONSIBILITIES

https://my.jci.com/Ethics/Lists/Integrity/Enterprise.aspx

While we must all follow the Code and exemplify Johnson Controls’ values, employees with leadership or supervisory responsibilities have additional obligations to:

• Remind team members and direct reports regularly of the importance of following the Code

• Actively look for opportunities to discuss the Code and our values (for example, during team meetings and individual performance reviews)

• Recognize and reward acts of ethical leadership, linking them with our desired culture and business outcomes

• Follow through on managing consequences for employees who violate the Code and/or Company policies

• Serve as a role model and demonstrate a personal commitment to ethics and compliance in what we say and do

• Make sure our teams know the different ways they can report concerns and that retaliation will not be tolerated

• Log any concerns that are brought to our attention in the Integrity Helpline to ensure impartial, professional investigation

• Insist that non-employed staff (such as consultants, and temporary and contingent workers) act consistently with the Code and our values

9

values first

SPECIAL RESPONSIBILITIES OF LEADERS AND SUPERVISORS

http://www.johnsoncontrolsintegrityhelpline.com/

SPEAK UP – EVERYONE’S VOICE COUNTSOften, the right thing to do is obvious. At other times, a situation may seem complex or unusual and we may be unsure about how to proceed. If you have a concern, please speak up immediately. Not only do we have a duty to do so, it allows us to quickly gain clarity and avoid potential problems. If something has gone wrong, it gives us an opportunity to investigate and correct it.

RESOURCESThere are several ways to raise an ethics or compliance concern. You can:

• Discuss the issue with your supervisor

• Discuss the issue with another supervisor or manager

• Contact the Compliance team, Human Resources or Law Department

• Contact Johnson Controls 24-hour Integrity Helpline:

• Via the Internet: JohnsonControlsIntegrityHelpline.com

• By telephone: (go to JohnsonControlsIntegrityHelpline.com or the employee portal for toll-free numbers)

ZERO TOLERANCE FOR RETALIATIONJohnson Controls prohibits retaliation. Anyone who raises a concern in good faith will not face retaliation of any kind—including threats, harassment, reduction of hours, release from employment or any other negative consequence. Retaliation goes against our values and undermines the trust that is essential to our success. An act of retaliation is serious misconduct that will result in disciplinary action, up to and including termination of employment.

10

values first

SPEAKING UP AND GETTING HELP




Does it honor our Values?

Does it comply with the law and company policy?

Would it do me credit in the eyes

of colleagues and the

outside world?

Go ahead – and lead others by

example!

NOTSURE

YES

NO

Don’t do it

Consult with others

NOTSURE

YES

NO

Don’t do it

Consult with others

NOTSURE

YES

NO

Don’t do it

Consult with others

11

Our values show us that how we achieve our goals matters

as much as achieving them . The choices we make along the

way say a lot about us as individuals and as an organization .

We want to be known for making the right choices — choices

that support a culture and a company we can be proud

of — and operating in an ethical, legally responsible way .

If you face a difficult decision, consider walking through

the following steps . If you get stuck, any of the resources

listed on page 10 can help .

When considering a decision or course of action,

ASK YOURSELF:

values first

MAKING SMART CHOICES

values first and

WINNING TOGETHER

12

Keeping Everyone SafeHOW WE WIN

We keep ourselves and others safe and healthy so that we can reach our full potential .

WHY WE PUT VALUES FIRSTWe win as a team when we make the well-being of our people and visitors our top priority . Nothing is more important than health and safety in the workplace; our Zero Harm Vision and associated goals keep us focused . Keeping everyone safe is a shared responsibility . We look out for one another in our daily activities, to prevent injury and accidents, and we take appropriate actions if we see anything that could cause harm . Practicing good safety habits protects us, makes our work environment more comfortable and allows us to focus on delivering exceptional customer experiences and solutions .

WHAT WINNING LOOKS LIKEWe promote a culture of Zero Harm by:• Knowing and following all safety guidelines and procedures • Never taking unnecessary risks in the workplace or asking others to do so• Stopping what we’re doing immediately if it becomes unsafe, even if it means delaying production or the job• Always reporting unsafe or unhealthy conditions or behaviors, such as workplace hazards, broken or missing equipment, threats of violence, or weapons on Company property • Knowing what to do in case of injury or other emergency• Arriving at work free of any substance that could impair judgment or threaten safety

Q: A production line colleague asked me twice this week to cover for him while he took quick, unscheduled breaks . His new medication is occasionally making him feel dizzy . I told him I was worried the side effects might put him and others at risk; he said there was nothing to worry about—he would soon adjust to the medication . Do I need to take any action?

A: We all have an obligation to act if we become aware of a potential health and safety risk . Failing to do so would be a violation of this Code . You should advise your colleague to speak with his supervisor, who may consider a temporary reassignment of duties or other accommodation . You should let him know that if he’s unwilling to raise the issue, you and others will be obliged to do so . We respect everyone’s right to privacy, but safety is paramount .

THINK FIRST


Health and Safety

13

Promoting and Maintaining a Respectful WorkplaceHOW WE WIN

We treat others with respect, promoting a positive work environment in which we thrive as One Team .

WHY WE PUT VALUES FIRSTWe work collaboratively as One Team, interacting in ways that promote mutual trust and respect . This means acting professionally, speaking openly and respectfully with others and supporting each other wherever we can . In this way, each of us helps to shape and strengthen our culture of excellence and integrity . A workplace that energizes and supports everyone’s best efforts is a winning workplace .

WHAT WINNING LOOKS LIKEWe maintain a respectful workplace by:• Building trust with colleagues and partners • Listening to understand• Seeking opportunities to collaborate and share for the good of the team • Thinking ahead about how our words and actions might be perceived by others• Standing up to bullying or harassment of any kind and seeking help when necessary• Reporting inappropriate jokes, insults or other offensive comments about race, gender, color, religion,

age, national origin, disability, sexual orientation or other characteristics protected by the law• Never making—or tolerating—unwelcome sexual remarks or advances, or displaying material that others

could find offensive• Reporting any inappropriate behavior, whether it targets you or someone else

Q: My new supervisor is very inquisitive and outgoing . She has been asking me probing questions about my personal life, which makes me uncomfortable . She may think she’s being friendly, but her conversation topics make me feel awkward . I asked her to stop, but she said I’m too uptight and wondered out loud if I’m a good fit for the team . I don’t want to get off to a bad start with my supervisor, but she is making me nervous . What can I do?

A: This supervisor’s conduct is unwelcome and unacceptable, and has no place at Johnson Controls . If you feel comfortable doing so, let your supervisor know how she makes you feel and ask her to stop once and for all . If you prefer not to confront your supervisor again, you can speak to a more senior manager or your HR representative, or contact the Integrity Helpline . Any of these options will enable us to help resolve the issue . You will be protected from any retaliation .

THINK FIRST


Respectful Treatment, Preventing Harassment and Workplace Bullying

14


Valuing our Diverse Talents, Backgrounds and PerspectivesHOW WE WIN

We make the most of our diverse talents, backgrounds and perspectives for exceptional insights and innovation .

WHY WE PUT VALUES FIRSTJohnson Controls attracts, develops and empowers individuals with a wide range of experiences, capabilities and points of view . Valuing what makes each of us unique broadens our perspectives and stimulates new ideas . Our diversity allows us to solve problems more creatively, make decisions more thoughtfully and identify opportunities more proactively . When everyone feels they can contribute to and participate in our success, our employees, customers and investors all benefit .

WHAT WINNING LOOKS LIKEWe leverage a diverse and inclusive culture by:• Actively seeking out alternative opinions and approaches • Listening respectfully to others so that we can consider and benefit from thoughts and ideas different from our own • Treating people fairly and providing employees with equal opportunities based on their qualifications and skills• Asking for and being receptive to feedback from others

Q: I’m one of only three women on my team . In weekly team meetings, it’s fairly obvious that my male supervisor favors the ideas and opinions of our male colleagues, sometimes openly undermining me and the other women . We feel belittled and denied the chance to prove what we can do . I’m afraid that raising the issue with my supervisor will simply confirm his prejudices about women . How can I bring about a change that will allow everyone on the team to contribute?

A: At Johnson Controls, we promote a diverse and inclusive environment in which everyone can contribute to our success . Any form of gender bias reflects neither our values nor the culture we want to create . You should consider asking your supervisor if there are specific reasons why your ideas are not being considered . If that doesn’t resolve the issue, speak to a more senior manager or use any of the other resources available for raising concerns, such as speaking to HR or contacting the Integrity Helpline .

THINK FIRST


Diversity and Inclusion

15


Supporting and Advancing our PeopleHOW WE WIN

We attract talented people, develop their potential and set them up to succeed .

WHY WE PUT VALUES FIRSTWe hire and promote the best and the brightest . We base employment decisions on qualifications, aspirations and performance, never on prejudice or bias . Giving everyone a fair chance is the right thing to do . We won’t tolerate discrimination on the basis of race, color, religion, national origin, gender, pregnancy, age, disability, sexual orientation, gender identity, marital status, military service or any other status protected by law .

WHAT WINNING LOOKS LIKEWe attract, develop and retain outstanding employees by:• Treating people fairly and focusing on the value they bring to Johnson Controls • Making decisions about recruitment, training, promotions and discipline on the basis of merit• Providing reasonable accommodations for disability• Refusing to accept any excuses for discrimination—there are none

Q: I’ve heard my supervisor say that he doesn’t want older workers on his team . He says he’s not discriminating—they simply can’t keep pace with our production speed requirements . Is he right?

A: No, he isn’t . Blanket beliefs or statements about a person or group of people based on age or other personal characteristics are inappropriate and incompatible with the values and culture that we promote . They may also lead to discriminatory actions . Everyone should be judged on their abilities and performance . A work environment where everyone is treated fairly helps ensure a trusting, motivated and high-performing culture .

THINK FIRST


Equal Opportunity and Preventing Discrimination

16

Protecting Personal InformationHOW WE WIN

We protect the personal information of our employees, candidates, suppliers and customers .

WHY WE PUT VALUES FIRSTJohnson Controls needs to collect, store, use and share personal information to help us run our business . We need this personal information for many different purposes, including our business relationships with customers and suppliers, administering employee benefits and complying with legal requirements . Johnson Controls respects a person’s right to privacy . In the wrong hands, personal information could be used to identify individuals, steal identities or commit fraud . As One Team, we look out for one another—in the workplace and online .

WHAT WINNING LOOKS LIKEWe protect personal information by:• Collecting, processing and using personal information only for legitimate business purposes and only collecting

the amount needed for that purpose• Being open and clear about why and how personal information is collected, processed and used• Never sharing more personal information than is needed, or sharing it with anyone who does not have a business

need to know • Protecting personal information we control and securely disposing of it when no longer needed for the original purpose• Following all applicable privacy laws and our Privacy Policy

Q: A friend on my team recently had a baby . Our team leader wants to send her flowers on the Company’s behalf, which I think is a nice idea . Since he knows that the two of us are friends and live close to each other, he asked me for my friend’s home address . I feel uncomfortable giving him the address without first asking my friend’s permission . But I don’t want to spoil the surprise so what should I do?

A: We take the protection of personal information very seriously, whether it belongs to employees, customers or other business partners . We all have a responsibility to protect it and only allow it to be used for proper purposes and by people who are authorized to use it . Allowing personal data to get into the wrong hands can have devastating consequences, potentially facilitating identity theft and other crimes . Tell your team leader that you would prefer that he make the arrangements in consultation with your team’s HR partner .

THINK FIRST


Employee Data Privacy

17

https://my.jci.com/Ethics/UniversalBOS/140-401-00%20Privacy%20Policy.pdf

values first and

WINNING FOR CUSTOMERS

18

Delivering Excellent Products and SolutionsHOW WE WIN

We focus on delivering the highest value to our customers through safe, innovative products and solutions .

WHY WE PUT VALUES FIRSTWe want customers who stay with us for the long term, customers who trust us to understand, anticipate and meet their needs better than our competitors . We are never complacent, always looking for new and better ways to be customer driven . As we continue to innovate, we never compromise on the quality or safety of our products and services .

WHAT WINNING LOOKS LIKEWe deliver excellence to our customers by:• Creating an environment that promotes quality and innovation for our products and solutions • Never taking shortcuts that could potentially compromise the quality or safety of any of our products and solutions • Soliciting and listening to customer feedback• Immediately reporting any concerns about product safety or quality

Q: I was involved in a recent product redesign . The process took more than a year to complete and has resulted in what we believe is the most technologically advanced product in its category . However, I’m concerned that I may have identified a design flaw that could, in certain circumstances, make the product short-circuit and cause a fire . I mentioned this to my manager . He assured me that there was negligible risk and we should not second-guess a very exhaustive testing process . This is bothering me because someone could get hurt . My manager refuses to discuss the matter any further . Who can I talk to?

A: Safety is a critical concern for us—when designing and building our products and after they’ve left the factory . You should speak either to a senior manager on the Engineering team or contact the Compliance team, your local EHS representative or a member of the corporate EHS team or submit a report to the Integrity Helpline . That way, your concern can be properly evaluated and escalated, if necessary .

THINK FIRST


Product Quality and Safety

19


Marketing and Selling HonestlyHOW WE WIN

We speak confidently and honestly about the value we bring to customers because this builds trust in our brand .

WHY WE PUT VALUES FIRSTJohnson Controls puts integrity first . We promise honesty and transparency to everyone with whom we do business . Winning business and earning customers’ trust starts with how we present our solutions in the marketplace . We show how we add value in a clear and truthful way, and we deliver on our promises .

WHAT WINNING LOOKS LIKEWe present our brand confidently and honestly by:• Accurately presenting the capabilities of our products and services• Ensuring that marketing materials and contracts meet legal and regulatory requirements• Focusing on the benefits of our solutions, and not criticizing competitors unfairly • Avoiding high-pressure sales tactics and “overselling”• Obtaining proper authority to finalize deals or sign contracts• Being responsive in a timely manner to customer inquiries and concerns

Q: At a recent sales meeting, my colleague answered the prospective customer’s technical question accurately but, in my view, not completely . Not wanting to contradict my colleague in front of the customer, I queried her in the taxi afterwards . She said, “What I presented to the customer was correct and the bit I forgot to mention isn’t material to their decision . Since they told us we’re on the shortlist, we can always clarify this at the next meeting .” I feel like we shouldn’t wait and should be sure the customer is fully informed .

A: Your instinct is right . When we present our products and solutions in the marketplace, we must provide the complete picture so that customers and prospects can make a fully informed decision . Going back to clarify the details at this point is a good way to earn the customer’s respect and trust . The customer should be the judge of what is important to them . If we make a sale based on a misunderstanding, we risk damaging not only a business relationship, but also our reputation .

THINK FIRST


Honest Marketing, Sales and Service Practices

20

Preserving Customer TrustHOW WE WIN

We protect the confidential information that our customers entrust to us .

WHY WE PUT VALUES FIRSTBeing customer driven is about more than keeping promises and meeting expectations . At its core, it’s about continuing to earn our customers’ trust by showing that we look after their interests as well as our own . Confidential information is as precious to our customers as it is to us; its unauthorized use or disclosure could cause serious financial and reputational harm . We take precautions to protect the confidential information entrusted to us .

WHAT WINNING LOOKS LIKEWe preserve customer trust by:• Being as careful with customers’ confidential information as with our own• Taking appropriate security measures to safeguard customers’ information• Disclosing customers’ confidential information only to those who are authorized and have a business need to know it• Not sharing confidential customer information with anyone outside our Company unless the customer has

given permission• Assuming that information is confidential unless and until we confirm otherwise• Following applicable privacy laws and our Privacy Policy• Contacting the Compliance team or Law Department immediately if we know or suspect that customer information

was inadvertently mishandled in any way

Q: During my 10 years with Johnson Controls, I’ve worked with many groups and formed strong relationships across the Company . A friend from my last group asked if I could send him a list of customer email addresses so he could better market a new service . I know we’re One Team and I want to help my friend; I’m just not sure if I should be sharing this information, even internally . How should I handle this request?

A: Operating as One Team involves finding ways to collaborate across our organization, and it also means sharing responsibilities to meet our legal and ethical obligations . This includes the obligation to protect customer information, much of which is confidential . If such information is released without permission, it could potentially get into the wrong hands, putting the customer and our reputation at risk . Do not share the requested information and remind your friend that customers rely on us to use their information only for the purposes for which they provided it; we need to seek their permission before sharing it for other uses .

THINK FIRST


Customer Data Privacy

21

https://my.jci.com/Ethics/UniversalBOS/140-401-00%20Privacy%20Policy.pdf

Q: I manage procurement for Federal Government contracts . I have just discovered that, a couple of months ago, a supplier made a very minor change to the specification of a component used in products sold to government customers . The supplier told me we weren’t informed of the change because it was so minor and, arguably, improved the component . However, I’m worried that recent shipments to our customers may not be compliant with the relevant government contracts due to this change .

A: You are right to be concerned . When dealing with government customers, we must follow the contract requirements precisely . If we fail do so—even in a way that seems trivial and inconsequential, or even a change that we think improves the item—the resulting breach of contract could trigger not only financial penalties but, potentially, the risk of being suspended or even debarred from government work . The issue must be reported to the Law Department immediately for advice on how to proceed, as it may require disclosure to the government .

THINK FIRST

Honoring Special Obligations to our Government CustomersHOW WE WIN

We consider it a privilege to serve government customers and take care to fulfill our special obligations to them .

WHY WE PUT VALUES FIRSTWe are customer driven . We recognize that government customers often have different requirements than customers in the private sector . We must pay close attention to these requirements and follow them precisely . This will ensure that we focus on what is important to our customers and avoid penalties that could harm our business or reputation .

WHAT WINNING LOOKS LIKEWe show our commitment to serving government customers by:• Familiarizing ourselves with the critical requirements of our government contracts • Complying with all applicable laws for contracts with governments and on exports of products or data,

as well as our Federal Government Contracting Policy • Following rules on hiring or working with current or former government employees• Knowing precisely how and when to respond to government solicitations for content • Being mindful of information that is classified or has other special restrictions • Ensuring that every document or communication is accurate and truthful• Where required, using current, accurate and certified cost or pricing data when submitting proposals• Avoiding receipt of unauthorized information about competitors


Government Contracts Compliance

22

https://my.jci.com/Ethics/UniversalBOS/140-90%20Federal%20Government%20Contracting%20Policy.pdf


Government Contracts Compliance

WHY GOVERNMENT CONTRACTS HAVE SPECIAL REQUIREMENTSThe countries whose governments we serve have laws designed to help ensure that: public funds are spent appropriately; government procurement and contracting processes are managed transparently, honestly, responsibly and consistently; and that national security and the public interest are protected .

Many of our government contracts are with the United States Federal Government . Examples of laws and regulations that impose complex and strict requirements on these contracts include:

• Federal Acquisition Regulation (FAR) governs the way in which government agencies purchase or lease goods and services

• Defense Federal Acquisition Regulation Supplement (DFARS) covers defense industry procurement requirements• International Traffic in Arms Regulations (ITAR) governs the export and import of defense-related articles

and services

23

values first and

WINNING IN THE MARKETPLACE

24

Doing Business GloballyHOW WE WIN

As a Company that operates globally, we comply with all trade regulations and restrictions that apply to us .

WHY WE PUT VALUES FIRSTWe are proud to have customers and operations in many countries around the world . We follow the laws that apply everywhere we do business, as well as those governing international trade . For national security, political or economic reasons, governments may control the import and export of sensitive equipment and data; they may also restrict business with certain groups, individuals or countries . Compliance with trade regulations not only avoids heavy fines, loss of permits and imprisonment, it also helps to make the world a safer place .

WHAT WINNING LOOKS LIKEWe conduct our business around the globe responsibly by:• Following Company policies and procedures designed to address trade regulations, including our

Trade Compliance Policy• Not knowingly marketing, selling or providing services to anyone on the U .S ., E .U . or other applicable embargo

or sanction lists• Complying with all contractual or legal restrictions on access to customer information• Conducting risk assessments and due diligence checks on third-party organizations with whom we intend

to conduct business• Alerting the Law Department if any customers, suppliers or others ask us to participate in a boycott

Q: I recognize that Johnson Controls is always exploring potential new markets for our products and solutions . An overseas distributor contacted me recently to say he had been receiving inquiries about a product line we have not previously sold in that part of the world . I’m aware that there are sometimes restrictions on where we can sell products and on the uses to which they can be put . I asked the distributor to answer a few questions to help me understand the intended end user and end use . His responses were vague and he seemed to minimize my concerns . I don’t think he understood the potential risks . What should I do?

A: You were smart to bring up international trade compliance . It is important to review any market opportunity abroad for these type of risks . You should pursue your inquiries with the distributor, as we will not be able to supply the products without a full understanding of the intended end-user and end-use . Also escalate the potential international trade issues to management, the Trade Compliance Team or the Law Department for assistance .

THINK FIRST


International Trade Compliance

25

https://my.jci.com/Ethics/UniversalBOS/140-200-00_Trade_Compliance_Policy.pdf

Doing Business FairlyHOW WE WIN

We compete strongly and fairly, outperforming our competitors through superior quality and value .

WHY WE PUT VALUES FIRSTWe believe in a free and competitive marketplace . It offers us the best opportunity to differentiate the Johnson Controls brand . By being customer driven and providing best-in-class service, we outperform the competition and build long-term trust in our brand . The laws designed to promote free markets—known as antitrust laws in the United States and fair competition laws in most other countries—are complex; violations can result in severe penalties . We recognize that even the appearance of unfairness or deception in our competitive practices could hurt our reputation and expose us to legal liability .

WHAT WINNING LOOKS LIKEWe win business the right way by: • Avoiding formal or informal agreements or behavior patterns with competitors to:

• Charge a certain price for a service (price fixing)• Manipulate a bidding process (bid rigging)• Divide up markets by geography or customer (market allocation)

• Presenting our value proposition honestly, accurately and without exaggeration • Never improperly interfering with our customers’ existing business contracts• Reading and understanding the Global Antitrust and Fair Competition Policy• Never abusing our market-share position

Q: Waiting for the start of a panel discussion at this year’s MetroExpo, I got into a conversation with a competitor’s sales director . He asked if I’d noticed that the Facilities Procurement officer in a major city we both support is particularly hard to deal with; he speculated about what would happen if companies like ours refused to do business with the city . Talking about a common customer made me uncomfortable so I pretended to take a phone call and then moved to a seat on the other side of the auditorium . How should I have responded?

A: You were right to bring an end to the conversation . It would also be wise to report your concern to the Law Department as soon as possible . Trade shows and association meetings are important venues for learning and staying current in our industry . However, interactions with competitors at such events can be fraught with the risk of competition law violations . A conversation with a competitor about boycotting a common customer could be considered an attempt to form an illegal agreement to exclude companies from a certain market or to put pressure on a certain customer to “fall in line .”

THINK FIRST


Fair Competition/Antitrust

26

https://my.jci.com/Ethics/UniversalBOS/140-30%20Global%20Antitrust%20Fair%20Competition%20Policy.pdf

Doing Business SmartlyHOW WE WIN

We keep ourselves informed about market trends and opportunities through ethical research .

WHY WE PUT VALUES FIRSTMonitoring developments in our markets to understand the competitive landscape helps us to continuously improve and to anticipate our customers’ needs . We put integrity first and always gather information about competitors ethically .

WHAT WINNING LOOKS LIKEWe gather competitive intelligence appropriately by:• Being truthful about our identity and motives when making inquiries • Not using third parties to engage in actions we would not engage in ourselves• Not asking colleagues (or prospective employees) to reveal confidential information about their former employers

Q: I work in business development, and I am in the process of negotiating and finalizing a bid proposal for a big project . Today, I received an email from a prospective customer’s procurement manager, and by mistake she attached one of our competitor’s proposals instead of my marked-up proposal . I noticed the competitor’s price was 25 percent lower than our bid . I want to lower the price in our bid to beat the competition . Can I do that?

A: No . Our value of Integrity First requires us to gather and use competitive intelligence lawfully and ethically . Here, taking advantage of the customer’s mistake would violate their trust . If it ever became public knowledge that we took advantage of a customer in this way, it could jeopardize our reputation for honesty and fair dealing and we could even end up losing the contract . Instead of using this information, you should let the customer know about the mistake and tell her you will delete the email and attachment . You should also notify the Law Department of the mistake to ensure appropriate documentation, and continue to focus on the strengths of your original proposal . Remember, a good rule of thumb for deciding how to treat competitive intelligence is to think how we would feel if a competitor did the same to us .

THINK FIRST


Research Integrity and Ethically Sourcing Competitive Intelligence

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Doing Business HonestlyHOW WE WIN

We win and retain business on the strength of our value proposition and by building relationships based on transparency and trust .

WHY WE PUT VALUES FIRSTPutting integrity first strengthens our reputation as a trustworthy and reliable business partner . We have no interest in “buying” business, nor dealing with those who encourage or tolerate corrupt practices . Corruption harms communities, distorts the marketplace and makes it harder for everyone to do business . Regardless of local custom or the practices of other companies, we resist corruption in all its forms . We avoid even the appearance of acting improperly, whether dealing with government officials or private enterprise .

WHAT WINNING LOOKS LIKEWe vigorously oppose bribery and other forms of corruption by:• Never offering, promising or giving anything of value to a government official or anyone else in order to gain

a business advantage• Refusing to accept bribes or kickbacks and notifying the Compliance Department if they are offered• Keeping accurate and complete records so that all payments are honestly detailed and Company funds

are not used for unlawful purposes• Conducting appropriate due diligence on all our third-party providers• Not using an agent or other third party to make improper payments that we would not make ourselves• Following our Third Party Travel, Gifts and Entertainment Policy and Anti-Corruption Policy diligently• Reporting any concern about a potentially improper payment


Bribery and Other Forms of Corruption

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https://my.jci.com/Ethics/UniversalBOS/10-25_Third_Party_Travel_Gifts_and_Entertainment_Policy.pdf

https://my.jci.com/Ethics/UniversalBOS/140-80%20Anti%20Corruption%20Policy.pdf

IS THAT CORRUPTION?Corruption can take many forms and we must watch out for the danger signs . These include other parties: • Refusing to agree to our Global Supplier Standards• Objecting to anti-corruption contract requirements• Maintaining close ties to government officials• Requesting unusually high commissions, payments in cash, or payments to accounts in someone else’s name• Offering questionable qualifications to perform the required services• Having a reputation for questionable business practices

Q: My team is bidding on a big urban redevelopment project in a developing market . Even though we don’t need a partner to be successful on the project, the city government’s procurement official is strongly recommending that we meet with a local company to discuss using them as our subcontractor . It appears that the CEO of that company and the government official are related . Should we go ahead with the meeting?

A: There are warning signs of corruption here . One is the suggestion that we’ll win business in return for using a subcontractor with close ties to the government official, and another is the fact that we don’t need a subcontractor to provide products and services to this customer . Corruption can take many forms and does not always involve a direct bribe to a government official . In this situation, you should inform the procurement official that there is no need for the recommended subcontractor and politely decline the meeting . If you have any concerns at all, speak with Compliance or the Law Department .

THINK FIRST


Bribery and Other Forms of Corruption

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Doing Business Respectfully HOW WE WIN

We respect the intellectual property and commercial rights of others as we would want them to respect ours .

WHY WE PUT VALUES FIRSTWe respect the intellectual property and commercial rights of others . We don’t take credit for or steal any ideas that aren’t our own creation . We understand that use of others’ protected rights without permission is against the law, and could expose us to legal liability .

WHAT WINNING LOOKS LIKEWe do business respectfully by:• Respecting the ideas, processes and works that others have created and not infringing their protected rights• Using third-party assets, such as software, music, videos and text-based content, only with permission

and according to the relevant licenses• Using only software and processes that are approved by our Company• Following the applicable intellectual property laws


Third-Party Intellectual Property and Commercial Rights

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values first and

WINNING FOR INVESTORS

31

Acting in the Company’s Best InterestsHOW WE WIN

We make smart, objective choices that put the Company and our customers ahead of personal benefit .

WHY WE PUT VALUES FIRSTWe work together to win for our customers . We don’t allow personal interests or relationships to get in the way of winning as One Team . We make decisions openly, thoughtfully and with integrity; this benefits our business and shows everyone that we can be trusted to do the right thing .

WHAT WINNING LOOKS LIKEWe act in the best interests of the Company by:• Making unbiased business decisions based on relevant facts and sound judgment • Avoiding situations in which a decision could be influenced—or appear to be influenced—by conflicting interests

(like a potential personal benefit)• Disclosing a conflict of interest that can’t be avoided so that it can be managed appropriately• Seeking advice whenever we’re unsure if there’s a problem

WHAT IS A CONFLICT OF INTEREST?A conflict of interest exists whenever social or family relationships, activities outside of work, financial investments or other personal interests are at risk of interfering with our ability to make unbiased decisions on behalf of the Company . We must be careful to avoid even the appearance of a conflict of interest since it could make others think we’re acting improperly .

ASK YOURSELF:Could my proposed decision or action: 1 . Make me feel obligated to someone else?2 . Be inconsistent with Johnson Controls’ values?3 . Be influenced (even a little) by personal or family considerations?4 . Give the appearance that I’m not putting the Company’s best interests first?

If the answer to any of these questions is “yes” or “maybe,” it’s important to seek advice using the resources listed on page 10 . If you think you may have a conflict of interest, you should disclose it at JCIComplianceForms .com .

Conflicts of interest can take many forms . The following guidance covers some of the more common situations . See also our Conflict of Interest Policy .


Conflicts of Interest

32

http://JCIComplianceForms.com

https://my.jci.com/Ethics/UniversalBOS/140-110%20Conflict%20Of%20Interest%20Policy.pdf

Relatives and Friends

We don’t allow the desire to help friends and family to influence our decisions at work .

We avoid the risk of personal relationships affecting our objectivity by:• Keeping close friends and relatives out of reporting lines and out of the same department, whether employees,

interns or contractors• Letting others handle employment-related decisions (such as hiring, promotion and discipline) involving close

friends and relatives• Taking steps to ensure transparency and independence when considering close friends or relatives as potential

Johnson Controls service providers• Carefully weighing decisions to use former Johnson Controls employees as consultants, contractors or suppliers

Personal and Family Investments

Our decisions are not influenced by the prospect of financial gain for ourselves or our family members .

We keep personal financial considerations out of business decisions by: • Not owning a significant* financial stake in a business connected to or competing with Johnson Controls • Disclosing to the Compliance Department when a close family member is employed by or owns a significant*

financial stake in a business connected to or competing with Johnson Controls*For guidance on whether a financial interest is significant, please consult the Compliance Department .

Gifts and Hospitality

We win business and build relationships based on trust and mutual value – never through inappropriate gifts or hospitality .

We avoid potential conflicts involving the giving of gifts and hospitality by: • Providing reasonable meals and entertainment only as part of business discussions and only if they do not violate

policies of the recipient’s organization• Not giving or receiving gifts or entertainment with the intention to influence the recipient’s behavior• Giving gifts of only nominal value to those with whom we do business or seek to do business• Never giving gifts of cash or cash equivalents



33

• Giving gifts or entertainment to government customers only if permitted and pre-approved by the Compliance Counsel

• Paying for a third party’s reasonable travel and accommodation expenses in accordance with our policies and only when approved in advance

• Ensuring that all gifts, entertainment and travel provided are legal, ethical and not contrary to our values

We avoid potential conflicts involving the receiving of gifts and hospitality by:• Accepting gifts of only nominal value• Not accepting gifts of cash or cash equivalents• Not accepting travel from third parties• Limiting our acceptance of entertainment to athletic, theatrical or cultural events (i .e ., sports events,

golf outings or concerts) or meals• Politely refusing any travel, gifts or entertainment that violates our Gifts & Entertainment Policy

Q: Our team is bidding on a big contract, and we’re expecting to learn the outcome very soon . I’m attending a conference and a key decision maker from the prospective customer will be there, too . Can I invite him to dinner to make a final pitch for Johnson Controls?

A: This is not recommended as it could be perceived as attempting to improperly influence the customer . Putting Integrity First means giving customers reasons to choose us because of the quality of our products and customer service, not because we have given them a valuable gift or provided generous hospitality . Since the timing is so close to the customer’s procurement decision, this could easily be interpreted as an attempt to inappropriately influence the business decision—which is strictly prohibited . It is particularly important to be cautious during the bid process . As long as your contact is not a government official, it would be appropriate to invite him or her to meet over coffee or tea as a way to build the relationship and to answer any questions the prospective customer might have about Johnson Controls .

THINK FIRST



34

https://my.jci.com/Ethics/UniversalBOS/10-25_Third_Party_Travel_Gifts_and_Entertainment_Policy.pdf

Corporate Opportunities

We use the knowledge gained in the course of our work, and the Company’s resources and assets, so that we can better help our customers win .

We avoid conflicts of interest or damage to our business by not:• Taking for ourselves business or investment opportunities discovered in the course of our work • Using Company property, information or our position at Johnson Controls for improper personal gain • Competing with Johnson Controls, directly or indirectly

Outside Activities

We give our best effort every day at Johnson Controls, not allowing outside jobs or other activities to hinder our contributions to the Company’s business .

We strive to lead full and productive lives outside of work while not:• Interfering with our responsibilities or performance at Johnson Controls • Working for a competitor or supplier • Risking damage to the Company’s business or reputation • Using Company resources, including other employees or vendors, for outside interests • Creating any other kind of conflict of interest

Q: My recent experience of home renovation makes me think I would like to buy a “fixer-upper” property and try to sell it at a profit – and perhaps even get a real estate license . I’m committed to Johnson Controls and don’t think that my interest in home renovations will interfere with my work . Could this be an issue?

A: We want our people to lead full and rewarding lives outside of work . At the same time, we’re all expected to give our full attention and best efforts every day at Johnson Controls . You will need to determine whether taking on the substantial extra effort in renovating and selling houses will allow you to maintain an appropriate balance between personal and work responsibilities . If you think this may create a conflict of interest, you should disclose it at JCIComplianceForms .com .

THINK FIRST



35

http://JCIComplianceForms.com

Creating and Maintaining Accurate Records and Accounts HOW WE WIN

We keep accurate records and accounts to help us operate effectively and to provide timely and truthful information to those who need to rely on it .

WHY WE PUT VALUES FIRSTAs a publicly traded company, Johnson Controls is required to maintain and disclose accurate financial records . While a legal obligation, proper recordkeeping is also essential to efficient and profitable business operations . We all have a part to play in keeping records accurate and current; it helps us maintain the trust and confidence we’ve built with customers, investors and other stakeholders .

WHAT WINNING LOOKS LIKEWe maintain accurate records and accounts by:• Recording all assets, liabilities, revenues, expenses and business transactions completely, accurately,

in the proper period and in a timely manner• Ensuring that records and accounts conform to generally accepted accounting principles and our internal controls system• Never setting up secret or unrecorded cash funds or other assets or liabilities• Using appropriate and accurate wording when creating records• Never concealing or destroying documents or records that are subject to investigation or may be needed in

legal proceedings• Complying with legal hold notices• Maintaining and eliminating Company records in compliance with our records retention and information

management procedures


Recordkeeping and Disclosure

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Q: I’m aware that our records management policies call for us to delete certain records after a designated amount of time . I’ve been keeping all my records on one particular matter because I know there were problems locating documents in the past . Is this a good idea?

A: No, you must conscientiously follow our records retention policies and schedules . These policies support the Company’s legitimate destruction of obsolete records, and failure to follow them could expose the Company to claims of selective destruction . Keeping records for too long can also overtax our storage systems and put sensitive or confidential information at risk of being accessed and misused . Furthermore, we may have a legal obligation to delete information that is no longer needed, like personal data or confidential information from a business partner . By retaining records according to our defined schedules, you strengthen our records management program and protect the Company .

THINK FIRST


Recordkeeping and Disclosure

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Safeguarding Company AssetsHOW WE WIN

We protect Johnson Controls’ reputation and other assets because they are the building blocks for our future .

WHY WE PUT VALUES FIRSTWe focus on the future . Making the best use of what we have today sets us up to win tomorrow . Our assets—property, money, information, ideas and reputation—sustain our operations and allow us to invest in innovation and continuous improvement . As good stewards of these assets, we use them to create exceptional customer experiences and sustainable investor value .

WHAT WINNING LOOKS LIKEWe safeguard Johnson Controls’ assets by:• Taking reasonable care of assets in our control to avoid their loss, damage, destruction, theft or unauthorized use• Being vigilant to prevent fraud, waste or abuse in relation to Company assets • Managing our records and information in accordance with the Records Retention Policy and other Company policies• Following information security and user access protocols to protect Company systems and data from unauthorized

access, modification, duplication, destruction or disclosure, whether accidental or intentional• Using Company assets only for business purposes, unless a reasonable and incidental personal use

exception applies • Reporting any concerns about the use, abuse or endangerment of our Company assets

DIFFERENT ASSETS, SAME PRINCIPLECompany assets take several forms . How we protect them will depend on the assets and our particular role . But in all cases, the same principle applies: Take care and use good judgment.

Information assets: Any data relating to our products, business or how we conduct our operations, regardless of how it’s created, distributed, used or stored .

Financial assets: Money and anything that can be converted into money, such as stocks, bonds and bank deposits .

Physical assets: Anything tangible the Company owns that’s used to conduct our business (e .g ., facilities, machinery, tools, computers, mobile phones, raw materials, vehicles, office equipment and supplies) .

Intangible assets: Our reputation, ideas, inventions, intellectual property, designs, copyrights, trademarks, patents and trade secrets . These assets help us drive innovation and improvement .


Physical Property and Assets, Our Reputation and Our Confidential and Proprietary Information

38

https://my.jci.com/Ethics/UniversalBOS/20-80_Records_Retention_Policy.pdf


The following guidance addresses some particularly important areas in which we need to take care and use good judgment .

Protecting Proprietary and Confidential Business Information

We protect our confidential business information and intellectual property because they give us our edge in the marketplace .

We bring the future forward and win for our customers by developing ideas and using technical know-how that others don’t have . Our confidential business information and intellectual property are vital business assets that distinguish us from competitors . We must protect them from unauthorized disclosure or misuse .

We safeguard our proprietary and confidential information by:• Sharing this information only with those who are authorized and have a business need to know it• Not discussing confidential matters when there is a risk we could be overheard • Taking care outside the workplace to ensure that documents and electronic devices aren’t visible to others • Never using confidential information for our own personal gain or to benefit anyone outside of Johnson Controls• Remembering that the obligation to protect the Company’s confidential information continues after we leave

the Company

Q: Last night I had dinner with an old high school friend who works for a local engineering firm . We were talking about how we both felt proud that our companies were focused on innovating to solve real-world problems . I mentioned to her, at a high level, some of our newest products under development, focusing on how the product will solve customer problems . After leaving the dinner, I wondered if I shared too much and potentially put the Company’s ideas and property at risk .

A: You are right to be concerned . While your friend is not a direct competitor, it is still important to be very careful to avoid sharing any Company information that is not in the public domain . Our intellectual property, trade secrets and other confidential ideas and information are vital assets on which our competitive advantage depends . If you believe you may have inadvertently shared non-public information about the Company’s products, you should contact the Compliance Team or Law Department for guidance .

THINK FIRST



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Using Company Technology and Information Systems Responsibly

We use Johnson Controls’ technology and information systems responsibly to work efficiently and achieve our business objectives .

Working as One Team for our customers would not be possible without the systems and technology we rely upon every day . Laptops, mobile devices, email and the infrastructure that supports them, enable us to work more productively, communicate more effectively and better serve our customers . They help us access and share the information we need to innovate and continuously improve . Inappropriate use, however, can drain our resources, compromise our security and damage our brand and reputation .

We use our technology and systems safely and appropriately by:• Giving system access only to authorized individuals and only for as long as needed• Providing authorized users with access only to the systems and data needed to do their jobs• Protecting passwords, changing them regularly and never sharing them with others • Keeping confidential information off the Internet• Not downloading unapproved software or opening suspicious attachments• Connecting only authorized personal devices to Johnson Controls’ networks• Taking steps to protect hardware from loss, damage or theft• Never sending messages that contain harassing or offensive content• Avoiding visiting inappropriate websites• Making only reasonable, incidental personal use of Company equipment and systems

WHAT CONFIDENTIAL INFORMATION LOOKS LIKEExamples of confidential business information include:• Trademarks, patents, trade secrets and other intellectual property • Non-public financial information or projections • New product or marketing plans • Research and development ideas or information • Manufacturing processes • Detailed procurement information • Salary details and other personal data • Employee lists and internal organization charts • Information concerning potential acquisitions, divestitures and investments • Legal opinions and work product• Any other information that might be useful to competitors



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Protecting the Company’s Reputation

We strive to maintain a reputation for integrity and customer-driven innovation in everything we do .

Our reputation is one of our most valuable assets . We’ve been building it for over 130 years but are always looking to the future . Each of us, in our daily actions and decisions, should feel a weight of responsibility to protect Johnson Controls’ reputation . When we act with integrity and put our values into action, we will continue to earn the confidence and trust of our employees, customers and business partners .

We protect our reputation by:• Exemplifying our core values• Always using sound business judgment• Being great ambassadors for Johnson Controls • Ensuring that our decisions and conduct consistently sustain the Company’s good name

OUR REPUTATIONA 130-year history is something to be proud of . But never forget that reputation is about others’ last experience of dealing with us and their anticipation of the next one .

Preventing Fraud

Our commitment to integrity means we are vigilant to prevent fraud, waste and abuse .

Fraud, waste and abuse have no place at Johnson Controls . Our commitment to a culture of integrity and trust is the surest way to prevent these abuses, and detect and correct them if they occur .

We prevent fraud, waste and abuse by: • Fully and accurately describing travel, entertainment and other expenses in our books and records .

See the Global Business Travel, Entertainment and Employee Expense Policy .• Properly classifying and accounting for financial transactions• Billing only for services we provide, within the required timeframes• Delivering the discounts we’ve promised



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https://jcicorporatecomms.us.newsweaver.com/ITCommunications/1quxo4yih341gct09esgqk?email=true&a=6&p=847982&t=32277

• Following all procurement policies and ordering only the goods and services we need• Never using Company cash or credit cards for non-business purposes• Asking for clarification if we are unsure about accounting procedures or legal obligations• Immediately reporting concerns about inappropriate or suspicious activity

Safeguarding Our Facilities

We keep our facilities and equipment secure and safe from harm so that we are always ready to help our customers win .

Secure facilities provide a safe, comfortable environment for our people while protecting our equipment and materials from damage, theft or industrial espionage .

We safeguard our facilities by:• Wearing our Company identification badge at all times, and making sure that others do, too • Not propping open doors or allowing others to follow us through secure entrances • Never giving anyone our keys, badge or alarm codes• Locking doors to offices and vehicles • Promptly reporting leaks, broken equipment or other maintenance issues to management• Inspecting and testing all fire protection and security equipment on a regular schedule• Responding to all alarms promptly (even after normal business hours)• Preventing unauthorized individuals from entering our facilities and contacting Security if there is an intruder• Contacting the Johnson Controls Global Security Operations Center (GSOC) at +1 414 524 6700 or

gsoc@jci .com in the event of any security concern or crisis that poses an actual or potential risk to any of our employees, facilities or operations

• Calling local law enforcement or emergency responders if there is imminent danger



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mailto:gsoc%40jci.com?subject=

Preventing Insider TradingHOW WE WIN

We never use or share inside information about Johnson Controls or any other company for the purpose of trading on the stock market .

WHY WE PUT VALUES FIRSTIn the course of our work, we may have access to information about Johnson Controls or other companies that could be potentially useful to investors . Putting integrity first means showing that we can always be relied on to protect information entrusted to us . “Inside” information consists of details that an investor would consider important in making an investment decision; it is also known as material, non-public information . Using this information for our own benefit or sharing it for the benefit of others is called insider trading . It’s illegal because it provides an unfair advantage and distorts financial markets . The insider trading laws are enforced aggressively, often resulting in heavy fines and imprisonment for those convicted .

WHAT WINNING LOOKS LIKEWe prevent insider trading by:• Never using inside information to trade shares in Johnson Controls or any other publicly traded company—unless

and until such information has been made public and the market has had a chance to digest it • Not sharing inside information with anyone outside the Company, including family members, relatives or friends • Sharing inside information with colleagues only on a need-to-know basis• Taking care to protect inside information from accidental disclosure by being careful with Company documents

and talking discreetly in open spaces• Avoiding “tipping”—passing along material, non-public information about any company to anyone who may

trade while being aware of such information

Q: My uncle’s investments have never recovered from the global financial crisis and I know he is struggling to put his children though university . He asked if he should buy Johnson Controls stock . I feel that doing so would really help him, especially because we expect upcoming product launches to drive up the share price . Can I tell him about the new product launches or recommend the stock to him?

A: Absolutely not . Details of the upcoming product launches is material, nonpublic information that could provide your uncle with an unfair trading advantage . Sharing that information would be illegal . Tell him that since you are a Johnson Controls employee, you cannot provide information that would encourage or discourage anyone from trading in the stock . Refer him to the Investor Relations section of our website or suggest he contact Investor Relations if he has specific questions .

THINK FIRST


Insider Trading and Securities Market Abuse

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http://investors.johnsoncontrols.com/

Building Trust and Reputation through Responsible CommunicationsHOW WE WIN

We strengthen our brand and stakeholder relationships through thoughtful, accurate and consistent communications and responsible engagement with social media .

WHY WE PUT VALUES FIRSTWe communicate truthfully, accurately and consistently with customers, investors and other stakeholders . This is essential to building a business based on trust, long-term relationships and mutual value, rather than mere transactions . We remember that we are all ambassadors for the Johnson Controls brand . We express our value in the marketplace and preserve our reputation by using social media responsibly and by letting colleagues with the proper authority and experience handle external inquiries .

WHAT WINNING LOOKS LIKEWe strengthen our brand and relationships by:• Following our Communications Policy when handling external inquiries or engaging with social media• Only communicating information on behalf of Johnson Controls if authorized to do so • Being courteous and professional in our online exchanges• Remembering that our online activity, even outside work, could help or hurt Johnson Controls• Identifying opinions as our own unless we are authorized to speak on Johnson Controls’ behalf• Never disclosing confidential or proprietary information (about our Company, customers or other business partners)• Not sharing internal employee communications such as general emails or portal stories• Never posting illegal content or anything that could reasonably make others feel bullied or threatened • Not letting social media activities interfere with our job responsibilities at Johnson Controls


Responsible Communications

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https://my.jci.com/Documents/JCI%20Communication%20Policy%20final2.pdf

Q: I follow one of my coworkers on social media . At times, he posts content that refers to the Company’s leadership in a negative way . His profile clearly identifies himself as a Johnson Controls employee . I know that he has the right to openly express his personal opinions, but this does not feel right . Is he in violation of any of our policies or guidelines?

A: No, your colleague did not violate any of our policies or guidelines . He is entitled to express his personal opinion, but he may want to consider a less public way to express his views about the Company . Though social media gives us new and far-reaching ways to communicate, the same principles of good judgment apply as in more traditional communications: employees must not present their opinions as those of the Company unless authorized to do so; they must not share confidential, non-public information; and they must not say things that are abusive or against the law .

THINK FIRST

WE CONNECT, COMMUNICATE AND LEARN THROUGH SOCIAL MEDIASocial media is a powerful tool that connects Johnson Controls with our customers, communities and stakeholders all around the globe – instantly . It allows us to strengthen our relationships and build our brand . Many of us use social media in our personal lives, to stay informed and in touch with friends and family . Being mindful of our online presence, and thoughtful about what we post, minimizes the risk of something being misinterpreted or taken out of context .


Responsible Communications

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values first and

WINNING WITH OUR SUPPLIERS

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Selecting Our Suppliers ResponsiblyHOW WE WIN

We select our suppliers fairly and objectively to give us the best chance of winning with our customers .

WHY WE PUT VALUES FIRSTWe look to build meaningful, long-term supplier relationships, based on mutual benefit and trust . These relationships help us win in the marketplace and provide exceptional customer experiences and solutions . We want suppliers who share our commitment to integrity and working collaboratively . When suppliers feel invested in our customers’ success, like us, they win when our customers win .

WHAT WINNING LOOKS LIKEWe manage procurement responsibly by:• Treating all current and potential suppliers fairly and with integrity, regardless of the transaction value or length

of the relationship• Seeking to do business with suppliers who best meet our needs and share our values• Complying with legal requirements (e .g ., the U .S . Procurement Integrity Act and the Foreign Corrupt Practices Act) • Conducting appropriate due diligence on potential suppliers to ensure they are qualified and reputable• Making selections based on clear performance measurements, such as quality, price, service, reliability, availability,

technical excellence, speed of delivery and ethical business practices • Promoting a diverse and inclusive supplier base • Avoiding any conflicts of interest, or the appearance of them, by avoiding the selection of a supplier based on

friendships or familial relationships• Not accepting inappropriate gifts, entertainment or any kind of favoritism, which might compromise the selection

of the best partners for Johnson Controls


Procurement

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Respecting and Protecting Human RightsHOW WE WIN

We work to maintain an ethical supply chain by working only with business partners who value and honor the rights of people everywhere .

WHY WE PUT VALUES FIRSTWe are led by our purpose, which includes a commitment to respecting and protecting the rights of people across the globe . We believe that properly supporting people is key to a prosperous future . Therefore, we are committed to upholding an ethical and transparent supply chain that is free of child labor, forced labor, slavery and human trafficking .

As an early signatory to the United Nations Global Compact, we make the connections between human rights and the creation of sustainable value that can benefit society .

WHAT WINNING LOOKS LIKEWe strive to respect and protect human rights throughout our operations and supply chain by:• Providing safe and healthy working conditions at all Johnson Controls facilities• Respecting employees’ rights to organize and bargain collectively and never discriminating against their representatives• Paying fairly in the market and meeting or exceeding all legal requirements related to compensation• Allowing employees to work no more than the regular and overtime hours permitted by local law• Performing appropriate due diligence on potential business partners and following procurement policies when

selecting new vendors, seeking out those who do not violate human rights • Requiring suppliers and vendors to comply with our Global Supplier Standards• Instructing business partners not to purchase or use conflict minerals• Reporting any human rights concerns to the Law Department or the Integrity HelplineFor further guidance around respecting and protecting human rights, please see our policies on Human Rights & Sustainability, Slavery and Human Trafficking, Supplier Diversity and Conflict Minerals .

PUTTING PEOPLE FIRST: IT’S ALL CONNECTEDHuman rights are about more than checking up on our supply chain . They’re about how people deserve to be treated in the workplace, in the marketplace and in our communities .

We recognize the positive impact we can have as a global company . Our commitment in this area is reflected in our Human Rights & Sustainability Policy . This recognizes the many issues that can affect human rights, including:

• Health and safety• Working conditions• Bribery and corruption

• Respect for the environment• Governance• Transparent reporting and accountability


Preventing Abuses in the Supply Chain

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http://www.johnsoncontrols.com/suppliers


http://www.johnsoncontrols.com/-/media/jci/suppliers/media-folder/corporate-responsibility/supplier-efficiency-program/human-rights-policy-17.pdf?la=en


http://www.johnsoncontrols.com/-/media/jci/corporate-sustainability/reporting-and-policies/slavery-and-human-trafficking/slavery-policy-final-20170320-signed1.pdf?la=en

https://my.jci.com/sites/DiverseSupplierSolutions/SiteAssets/SitePages/Community%20Home/SupplierDiversityPolicy.pdf

http://www.johnsoncontrols.com/suppliers/sustainability/conflict-minerals


Q: I recently toured a major supplier’s facilities in a developing country . Some of the workers seemed very young to me . Over two very long days, I remember seeing the same faces early in the morning and late in the evening . I know that child labor and working hours violations have been problems in this part of the world . This supplier has a good reputation and assured us that they follow all applicable labor laws . Do I have a responsibility to share my concerns or escalate the matter further?

A: As a signatory to the UN Global Compact and an advocate for human rights in general, Johnson Controls does not tolerate the employment of children or other labor abuses . If you have any concern that there could be labor or human rights violations at one of our suppliers, you must share your concern with management, Compliance Department or the Integrity Helpline so that it can be investigated .

THINK FIRST


Preventing Abuses in the Supply Chain

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Promoting Our Global Supplier StandardsHOW WE WIN

We expect our suppliers to operate to the same high standards that we apply to ourselves – always with integrity .

WHY WE PUT VALUES FIRSTWe believe in acting with integrity, showing respect and meeting our commitments . We expect nothing less from those who want to do business with us . Our Global Supplier Standards set out these expectations . Our suppliers must know and follow these standards to ensure they work with us ethically and responsibly and help to preserve Johnson Controls’ reputation .

WHAT WINNING LOOKS LIKEWe maintain high standards and ethical conduct in our supply chain by:• Being clear and direct with suppliers about our requirements, both in terms of what we need and how it should

be done• Negotiating transparently and fairly• Ensuring that agreed terms are captured fully and accurately in writing: in contracts, purchase orders and

other documents• Making a point of explaining our values and philosophy for doing business and reflecting them in our contracts• Applying our Global Supplier Standards consistently in all supplier relationships• Providing suppliers with resources and additional guidance for any necessary clarification on expectations


Supplier Expectations

50



values first and

WINNING WITH OUR COMMUNITIES

51

Operating Sustainably and in an Environmentally Sound MannerHOW WE WIN

We engineer a commitment to a sustainable world into our products, services and daily operations .

WHY WE PUT VALUES FIRSTWe believe Johnson Controls’ purpose is to help make the world safe, comfortable and sustainable . We focus on the future, as well as the positive impact we can have today . In an interconnected, interdependent world, minimizing the environmental impact of our operations is as important as creating the smartest environments and energy solutions in the world . This makes us a better partner to our communities and our customers .

WHAT WINNING LOOKS LIKEWe demonstrate our commitment to sustainable solutions and operations by:• Making sustainability a core consideration in product design • Identifying opportunities to reduce our environmental footprint while also achieving operational efficiencies• Actively seeking engagement with stakeholders on environmental issues• Meeting or exceeding all legal, regulatory or permit requirements• Applying our Johnson Controls Manufacturing System (JCMS) global standards and best practices to our operations

around the world• Finding opportunities to conserve energy, water and other natural resources• Safely and compliantly managing waste and wastewater• Reporting to management and expediently addressing any accidents, including spills, leaks or unauthorized discharges• Taking daily personal actions to reduce, reuse and recycle resources


Sustainability and Environmental Responsibilities

52

Contributing to Our CommunitiesHOW WE WIN

We take pride in making a positive impact in the communities in which we live and work .

WHY WE PUT VALUES FIRSTAt Johnson Controls, we see both a responsibility and an opportunity to support the communities in which we operate . As a responsible and active corporate citizen, we want our communities to benefit from our presence and support . We expect all employees to make a difference through volunteering and charitable activities . Our goal is to not only offer support, but also to participate in our communities .

WHAT WINNING LOOKS LIKEWe strive to make a positive contribution to our communities by:• Embracing our role as a responsible employer of choice and consumer of local services • Encouraging and recognizing employees’ efforts in volunteering, mentoring and charity work • Giving back because it’s the right thing to do, not because we expect publicity or favors in return• Inviting, but not pressuring, others to contribute to charitable organizations or other community causes• Obtaining proper approval before making donations of money or time in the Company’s name, including complying

with our Charitable Contribution and Charitable Event Sponsorship Policy• Verifying that any charity we become involved with is legitimate and complies with applicable laws

Q: I’m a frequent volunteer at my local Boys and Girls Club . Since Johnson Controls supports community involvement and volunteering, I’m wondering if I can present my service as being on behalf of the Company .

A: Johnson Controls strongly encourages engagement with our local communities . It is not uncommon for our employees to represent the Company at certain community-based events . However, you must always seek and obtain permission from the Department of Public Affairs before presenting yourself as a Johnson Controls representative in the community .

THINK FIRST


Community Engagement and Investment

53

https://my.jci.com/Ethics/UniversalBOS/140-70%20Charitable%20Contributions%20and%20Charitable%20Event%20Sponsorship%20Policy.pdf

Engaging in the Political ProcessHOW WE WIN

We support a fair political process, advocate for our business policies and encourage our employees to be actively engaged .

WHY WE PUT VALUES FIRSTWe believe that active participation in a fair political process promotes a healthy society . As a Company, we engage policymakers on issues and concerns that are important to our business and our customers . We encourage employees to be politically engaged locally . Johnson Controls generally limits the use of Company resources to support political candidates . Instead, the Company has a Political Action Committee (PAC), funded by voluntary employee contributions, which is used to support U .S . candidates who are aligned with the Company’s policy positions .

WHAT WINNING LOOKS LIKEWe participate responsibly in the political process by:• Encouraging individual employee political participation, including voting, and using their own time and money• Encouraging eligible employees to voluntarily contribute to the Johnson Controls PAC• Not using Johnson Controls’ name to promote a specific political party• Never attempting to improperly influence any government agency, representative or legislator• Avoiding the use of Company resources to support political candidates or elected officials• Complying with all relevant laws, lobbying and disclosure requirements, and our Political Contributions Policy

Q: I am currently volunteering for a local politician running for office . I was asked to create a banner for an upcoming campaign event, and need to find a large work space to complete it . I would like to use the conference room in the office for this . I would only use my own materials and only work on the banner after completing my day’s work for Johnson Controls . I would also make sure that no one else needs the room for Company business . Is this allowed?

A: Johnson Controls respects everyone’s right to be involved in the political process . We are proud of our employees who volunteer their time and money to support their political beliefs and preferred candidates . However, Johnson Controls does not permit the use of Company resources, including office space, to support a given candidate . We must avoid the perception of promoting specific politicians or political parties . Therefore, the use of the conference room would not be allowed .

THINK FIRST


Political Activity and Lobbying

54

https://my.jci.com/Ethics/UniversalBOS/140-100%20Political%20Contributions%20Policy.pdf

55

The Code of Ethics is intended to be a source of inspiration

and guidance for us in working together to build a more

comfortable, safe and sustainable world . It shows how

to put our values into action as we pursue opportunities

while also navigating areas of risk . It cannot possibly cover

every situation that we might face . It is important to ask

questions when we are unsure about the right course of

action and vital that we raise any concerns we might have .

The Code includes a variety of resources and channels

to help us do this .

values first

IN CLOSING . . .

@johnsoncontrols www.johnsoncontrols.com

http://www.johnsoncontrols.com/


GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION 006215-1

SECTION 006215 – GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION 1. All Work to be performed in strict accordance with all applicable codes, laws, ordinances, rules,

regulations, etc. of the Authority Having Jurisdiction over this Project. Contractor will adhere to all contract specifications issued for the project, along with all applicable codes, laws, ordinances, rules, regulations, etc. of the Authority Having Jurisdiction over this Project. If any conflict exists between the intent or design of the Work and any applicable codes, Contractor agrees to immediately notify the Contractor, in writing.

2. Contractor shall obtain all licenses, permits and fees required for the prosecution of the Work, at

no additional cost to the Prime Contractor. Contractor will provide necessary permits, approvals and inspections of the work and pay all associated fees.

3. Contractor shall comply with the Contractor's Safety Program at all times, as well as all applicable

Federal, State, Local and General Contractor rules and regulations. Contractor shall provide a safe and clean working environment. All working areas shall be marked OFF LIMITS to non-construction personnel during working hours. All work not complete shall be placed inaccessible and in a safe manner when Contractor is not present. All operating equipment shall be placed in a "fail-safe" condition when Contractor is not present. Hard hats, safety glasses and work shoes must be worn where required. No form of gym shoe, even safety approved, will be allowed.

4. Contractor has reviewed the Prime Contractor's "No Harassment" Policy and agrees to maintain a

no harassment environment for Prime Contractor employees and customers. 5. Contractor agrees they have reviewed the Contract Documents and accepts responsibility to

provide complete, workable operating system(s) per the intent of the Contract Documents. Contractor will provide qualified personnel to perform start-up/end-to-end checkout requirement as necessary and to verify with Prime Contractor that installation is 100% complete and functioning per the intent of the Contract Documents.

6. The Contractor shall be responsible for all cutting, patching, painting, coring, caulking, flashing,

counter-flashing and fire caulking/sating of any and all existing installations required for the performance of the Contract, require by code and/or required for a finished appearance of the Work. All such work shall match existing, adjacent surfaces in both materials and workmanship. All work shall be done by workmen skilled in the trade required.

7. Unless specifically noted otherwise in the Scope of Work document(s), all work is to be done during

normal working hours. Except to the extent that the need for overtime is beyond the control and without the fault or negligence of the Contractor with prior, specific, written consent of the Prime Contractor, any extra cost for overtime premium to complete the installation(s), shall be the sole responsibility of the Contractor.

8. All material supplied by Contractor must be new unless previously agreed upon or specified. 9. All material and workmanship provided by the Contractor shall be subject to inspection and testing

at all reasonable times and places. If the work is found to be defective or nonconforming in any material respect due to the fault of the Contractor, the Contractor shall defray all the expense of such examination and inspection and of satisfactory correction and reconstruction.



10. All work must be in compliance with the Contract and building code requirements. 11. Contractor will adhere to project installation schedule as provided by Prime Contractor. Project is

to be adequately manned by competent and properly trained personnel familiar with Contract Document work and installation requirements. Job is to be supervised by a foreman certified by Prime Contractor as having successfully attended installation & validation training. Contractor shall provide all manpower necessary to complete the Work per the project schedule, and if required, at the sole discretion of the Prime Contractor, add additional manpower at the request of the Prime Contractor.

12. Contractor's proposal shall include all project site cleanup related to the Work. Daily cleanup and

trash removal is the responsibility of the Contractor. If necessary in the sole judgment of the Prime Contractor, the Prime Contractor reserves the right to provide cleanup services on behalf of the Contractor and back-charge the Contractor for such services. Any cleanup back-charges to the Prime Contractor from upper-tier contractor(s), will be passed directly through to the Contractor. Before declaring the work to be done, Contractor shall clean all work areas, work surfaces, equipment, and adjacent areas after completion.

13. Subcontract Closeout: Contractor will submit four (4) sets of Operation and Maintenance manuals

to Prime Contractor for job record, describing all mechanical and electrical equipment provided by the Contractor. These manuals will include as-built drawings, technical data sheets, replacement parts lists, recommended maintenance instructions and ordering instructions. Contractor will provide a warranty statement on company letterhead defining the start and end of the warranty period. Warranty can begin no earlier than completion of the final punch list and requires written acceptance of Prime Contractor. Any extended warranty items should be highlighted on the warranty statement.

14. All equipment, fixtures, materials, panels, etc. to be mounted by Contractor, per installation

drawings and/or as recommended by the manufacturer. All equipment, fixtures, materials, panels, etc. are shown in approximate locations and are subject to final field verification.

15. Contractor shall tag/identify all work in accordance with the Contract Drawings and/or direction,

and in accordance with the contract documents. 16. Contractor will ensure that all installed work is complete and correct prior to start-up and properly

terminated with no shorts, grounds, cross-connections, leaks, etc. Contractor will provide qualified personnel to perform start-up/end-to-end checkout requirement as necessary and to verify with Prime Contractor that installation is 100% complete and functioning.

17. Where possible, Prime Contractor will directly ship Prime Contractor supplied material and

equipment to Contractor's warehouse, wherein Contractor shall be completely responsible for receipt, security and storage of same. Where applicable, the Contractor is responsible for signing all equipment out of the Prime Contractor's warehouse or contracted warehouse. The Contractor is financially responsible for all lost, damaged or misplaced material that has been assigned, received and signed for by the Contractor. Where it is not possible or practical to ship Prime Contractor supplied material and equipment directly to the Contractor's warehouse, Contractor will pick up all materials from Prime Contractor warehouse as necessary.



18. Contractor will inform Prime Contractor, in writing, of intent to use/hire any sub-subcontractor. All sub- subcontractors shall be subject to audit and approval of the Prime Contractor.

19. Contractor shall be responsible for maintaining and updating as-built drawings. Progress as-built

drawing may be requested by the Prime Contractor at the Prime Contractor's sole discretion. 20. Prime Contractor's form "Subcontractor Application and Certificate for Payment" shall be used for

all invoicing. 21. Contractor shall submit a "draft copy" of this invoice by the 8th of each month for approval. Any

invoice not received by this date will not be included in the pay application for that month. A 10% retainage will be withheld from all progress payments and up to a total of 10% of the contract amount until installation is complete and subcontract closeout is verified by the Prime Contractor.

22. Contractor will agree to project billing/payment schedule of pay-when-paid. 23. Prime Contractor will pursue all legitimate extras as requested by Contractor. It is also agreed

Contractor will not be compensated for any additional work for which Prime Contractor is not compensated. Any additional work performed without prior, written authorization by Prime Contractor shall warrant no extra compensation.

24. Contractor is responsible to provide and install any special mounting hardware ("Unistrut"

segments, mounting surface, etc.) for equipment as well as all installation materials (conduit, wiring, raceways, junction boxes, tubing, piping, fittings, etc.) for a complete project.

25. All work to be 100% verified and logged on signed checkout sheets for a complete & operable

system prior to digital hardware being commissioned by the Prime Contractor's technicians. The Contractor shall provide qualified personnel to perform start-up and verify end-to-end installation as necessary of all equipment including field installed devices upon completion of installation. Manpower shall also be present when energizing Prime Contractor equipment.

26. Contractor shall be responsible for all materials, equipment, devices, fixtures, etc. until final

acceptance. 27. Contractor is responsible to notify Prime Contractor in writing of any installation problem or delays

by others that will directly interfere with the on-site installation and/or maintenance of the construction schedule. Any delays to schedule caused by the Contractor's actions, in-actions or negligence may be cause for back charge at the discretion of the Prime Contractor Project Manager.

28. To the extent that Contractor has failed to comply with any specification, or that the Contractor has

failed to request written clarification or any specification that is ambiguous, or that the Subcontract has assumed design responsibility for any portion of the Work, Contractor shall be fully responsible for all costs necessary to provide a complete and operable system capable of meeting the intent of the Contract Documents.

29. Only the Prime Contractor's Project Manager is authorized to make changes to the scope of this

contract. Any work done without prior, written authorization of the Prime Contractor is not reimbursable by the Prime Contractor.



30. Retainage shall be withheld at 10%. In addition to all other requirements of this Subcontract, retainage may be withheld until all documentation requirements of this Proposal Request package have been met. A separate retainage invoice(s) is required upon completion of the Work and is subject to audit by the Prime Contractor.

31. The intent of the contract documents is to furnish and install complete, operating systems. Install

all required items for proper operations per the contract documents' intent and as required for proper interfacing of Prime Contractor equipment.

32. Equipment furnished by Prime Contractor will be referenced on the Prime Contractor's drawings

Bill of Material. 33. Contractor shall include a guarantee that all work is to be free of defects in material and

workmanship for one (1) year after the work has been accepted by the Prime Contractor.



WAGE RATES 007120-1

SECTION 007120 – WAGE RATES It is the Contactor’s responsibility to comply with Prevailing wage rates for Camden County. Prior to the start of construction the Contractor must obtain the most recent wage determination from the State of New Jersey Department of Labor.



SUMMARY 011000-1

SECTION 011000 - SUMMARY

PART 1 - GENERAL

1.1 RELATED DOCUMENTS

A. Drawings and general provisions of the Contract Documents, including General and Supplementary Conditions and other Division 01 and Technical Specifications, apply to this Section.

1.2 SUMMARY

A. Section Includes: 1. Work covered by the Contract Documents. 2. Type of the Contract 3. Work Phases 4. Work under other Contracts 5. Use of premises 6. Coordination with Occupants 7. Work restrictions 8. Specification and drawing conventions. 9. Miscellaneous provisions.

1.3 WORK COVERED BY THE CONTRACT DOCUMENTS

A. Project identification:

Boilers, CHP and Mechanical Improvements for the Gloucester Township Public Schools

Customer: Gloucester Township Public Schools 17 Erial Road Blackwood, NJ 08012

Prime Contractor: Johnson Controls, Inc.

1001 Lower Landing Road, Suite 409 Blackwood, NJ 08012 E-Mail: [email protected] Fax: (732) 225-0444


SUMMARY 011000-2

1.4 TYPE OF CONTRACT

A. Project will be constructed under multiple contracts. Each Contract Bid represents an individual contract and should be bid as such. An award will be made to the lowest, responsible bidder for each Contract Bid.

1.5 WORK PHASES

A. The Work shall be conducted in one phase.

B. Before commencing Work, submit a schedule showing the sequence, commencement and completions dates for all phases of the Work.

C. Project Substantial Completion: Work will commence within Ten (10) Calendar Days after receipt of written “Notice to Proceed” and be substantially completed in accordance with the Contract Documents and Subcontractor’s Construction Completion Schedule for substantial completion of the entire project by September 15, 2019.

1.6 WORK UNDER OTHER CONTRACTS

A. General: Cooperate fully with separate contractors so work on those contracts may be carried out smoothly, without interfering with or delaying work under this Contract. Coordinate the Work of this Contract with work performance under separate contracts. Coordinate the Work of this Contract with scheduled phases and substantial completion date(s) performed under separate contracts without interfering with or delaying work under this Contract.

1. Coordinate and cooperate with Work of separate Contracts that may be substantially complete before work of this Contract begins or may run concurrent with this Contract or will depend on successful preparatory Work under this Contract.

1.7 USE OF PREMISES

A. Prior to commencing work on site, the Subcontractor shall meet with the Prime Contractor’s designee to review work to be completed, determine its impact on occupied areas and adjacent properties, etc. to distribute necessary guidelines.

B. All work requiring construction, deconstruction or demolition in any form must also be reviewed and approved by Sani Umar, the Facilities Supervisor or his authorized representative prior to beginning any such work as well as the end of each workday so they can ensure the work area is properly cordoned off and left in an adequately safe state. The Facilities Department phone number is (856) 227-7688, extension 4100.

C. The Contractor must supply all tools and equipment to perform the work required. It shall be the responsibility of the contractor to safeguard their own materials, tools, and equipment. GTBOE shall not assume any responsibility for vandalism or theft of materials, tools and equipment.


SUMMARY 011000-3

D. The Contractor is responsible for protecting all existing and newly installed work, equipment, materials, utilities, and structures during the course of the contract.

E. Designated areas will be established, as necessary, for parking, toilet facilities, special trailers and deliveries, etc.

F. Contractor may not make any installations or repairs until all equipment necessary to complete the job are on site or have consent from the Maintenance Supervisor.

G. The Subcontractor and its Employees and its subcontractors are authorized to be on grounds only during the performance of work related to the project.

H. Drive slowly. Obey speed limits as posted, or if not posted, not to exceed 20mph on grounds. Yield to all pedestrian traffic. Do not blow horn unless absolutely necessary. Not all persons on site can be expected to possess good pedestrian skills.

I. Vehicles and operating equipment shall be turned off, locked and secure whenever not in use. All tools and equipment, not removed from the site on a daily basis, shall be secured and kept in the work staging area at the end of the work day. The customer will not assume responsibility for any missing articles.

F. Gloucester Township School District is a Tobacco-Free Institution. Smoking and the use of all tobacco or “tobacco-like” products on all district property by any person at any time is strictly prohibited.

1. For purposes of this policy, “smoking” is defined as the burning of a cigar, cigarette, pipe or any other substance that contains tobacco or any “tobacco-like” product as well as the use of smokeless tobacco, snuff or similar substances.

2. District property includes all vehicles and real estate owned, leased, or controlled by GTBOE.

3. The use of all tobacco products is prohibited on the grounds, playing fields, walkways, roadways, and parking lots, all vehicles on GTBOE property, and in or around the perimeter of any building.

G. Do not fraternize with customer’s employees or building occupants while working on site.

H. Facility occupants and employees are not allowed in work areas. Active work areas shall be secured (enclosed) at all times to prevent occupants and employees from wandering inside.

I. Safety shall be maintained by the Subcontractor at the job site at all times. 1. The Contractor will be responsible for providing the Facilities Supervisor with a brief

safety plan covering Fire Safety Regulations, Environmental Safety Precautions, and Physical Safety Precautions of their workers, district employees and students. The Facilities Supervisor has the right to waive or revise the Contractor’s plan. This plan needs to be submitted prior to the start of any work.

J. Possession and/or consumption of alcoholic beverages or drugs are strictly prohibited on site at all times.

K. Subcontractor and its personnel are required to report in and out on a daily basis at the Main Office of the building they are working in and are required to sign in and out in a visitor’s log


SUMMARY 011000-4

book in the presence of the customer’s staff person of responsible charge. The customer will notify its respective building supervisors and any affected departments when the Subcontractor and its personnel will be working in any occupied area of the building.

L. Use of Site: Limit use of Project site to areas within the Contract limits indicated. Do not disturb portions of Project site beyond areas in which the Work is indicated.

1. Limits: Confine construction operations on site to designed site areas. Alternation work in the existing building will be limited to designated areas so as not to interfere with facility hours of operations.

2. Owner Occupancy: Allow for Customer occupancy of Project site and use by the public. It must be emphasized that the district is in constant use by staff and students; therefore, Contractors working in these areas must show respect to all.

3. The Contractor shall be responsible for keeping grounds, walks, corridors and material stockpiles neat and orderly at all times. Any unsightly, unsanitary and/or hazardous conditions shall be corrected as soon as practical. If the Contractor allows any such condition to continue after it has been called to his attention, the GTBOE shall have the right to remedy the same at the Contractor’s expense.

4. Driveways, Walkways and Entrances: Keep driveways, loading areas, and entrances serving premises clear and available to Customer, Customer's employees, and emergency vehicles at all times. All areas in which the Contractor is working shall be returned to the condition they are found; no packing materials or construction debris is to be left in any of the buildings or on site in other than approved trash receptacles. Do not use these areas for parking or storage of materials.

a. Schedule deliveries to minimize use of driveways and entrances and to avoid morning and afternoon busing periods.

b. Schedule deliveries to minimize space and time requirements for storage of materials and equipment on-site.

c. Subcontractor is not permitted to use any parking spaces designated for Customer’s staff or visitors. Subcontractor shall review available on-site parking locations prior to submitting its bid.

5. The Subcontractor shall comply with the Customer’s Site Security Programs as administered by the Customer including Subcontractor badging. Background checks will be required for each employee working on site. Each Employee must have proper badging and/or attire so they are easily identifiable. This identification must be worn at all times while on the construction site. No Subcontractor will be allowed access to the existing building without proper identification and prior approval from the Customer. The Subcontractor will be fined $250.00 per occurrence for any worker who does not have proper identification. Nonconformance with this requirement will be grounds for removal from the job site.

M. Condition of Existing Building: Maintain portions of existing building affected by construction operations in a weather tight condition and maintaining heating, ventilating and air conditioning levels in Customer occupied areas of the building throughout construction period. If, during the course of work under this contract, the Contractor damages the building, site, equipment, surrounding utilities, or other district property, the Contractor shall be responsible to restore, repair and/or replace any such item, equipment or possession at his cost.


SUMMARY 011000-5

N. Removal of non-fixed, movable items such as furniture, movable casework, supplies and movable equipment will be completed by the Customer prior to the start of construction. Fixed or built-in items shall be removed and/or salvaged, and relocated, by the Subcontractor and disconnects by appropriate trades as indicated and/or directed and as required to perform the work.

O. Customer reserves first right of refusal for removal of salvage items. Items indicated to be removed, and salvaged items remain the Customer’s property. Remove, clean and pack items to protect against damage and deliver to Customer’s designated storage area with labels to identify contents of containers. Demolished materials shall become the Subcontractor’s property and shall be removed from the site with further disposition at the Subcontractor’s option.

P. Contractor will limit or confine their work to those areas of the building or site necessary to complete the contract. Work outside the contract limits is not permitted. All areas disturbed during the contract shall be restored to their original condition.

Q. It is the Contractor’s responsibility to dispose of all trash and debris incurred during service, off GTBOE premises, at an authorized disposal site unless prior approval has been granted to utilize district dumpsters. The Contractor shall leave the area clean insofar as the work herein contracted for is concerned. This is to be accomplished on a daily basis unless otherwise directed by the Facilities Supervisor.

1.8 COORDINATION WITH OCCUPANTS

A. Full Owner Occupancy: Customer will occupy site and existing buildings during entire construction period. Cooperate with Customer during construction operations to minimize conflicts and facilitate Customer usage. Perform the Work so as not to interfere with Customer’s day-to-day operations. Maintain existing exits unless otherwise indicated and acceptable to authorities having jurisdiction.

1. Maintain access to existing walkways, corridors, and other adjacent occupied or used facilities. Do not close or obstruct walkways, corridors, or other occupied or used facilities without written permission from Customer and approval of authorities having jurisdiction.

A. Notify Customer not less than 3 working days in advance of activities that will affect Customer’s operations. Customer reserves the right to stop the work if it interferes with customer occupied activities critical to the customer’s scheduled operations.

B. Customer Occupancy of Completed Areas of Construction: Customer reserves the right to occupy and to place and install equipment in completed areas of building, before Substantial Completion, provided such occupancy does not interfere with completion of the Work. Such placement of equipment and partial occupancy shall not constitute acceptance of the total Work.

1. Prime Contractor will prepare a Certificate of Substantial Completion for each specific portion of the Work to be occupied before Customer occupancy.

2. Obtain a Certificate of Occupancy from authorities having jurisdiction before Customer occupancy.


SUMMARY 011000-6

3. Before partial Customer occupancy, mechanical and electrical systems shall be fully operational, and required tests and inspections shall be successfully completed. On occupancy, Customer will operate and maintain mechanical and electrical systems serving occupied portions of building.

4. On occupancy, Customer will assume responsibility for maintenance and custodial service for occupied portions of building.

5. The occupancy of any portion of the Project does not constitute an acceptance of any work as the Project will be accepted as a whole and not in units. Prior to such occupancy, however, the Prime Contractor and the Subcontractor shall fully inspect the portions of the Project to be occupied, preparing a complete list of omissions of materials, faulty workmanship, or any items to be repaired, torn out, or replaced. The Customer will assume responsibility for damage to premises so occupied of any items not on this list when such damage is due to greater than normal wear and tear, but does not assume responsibility for improper or defective workmanship or materials.

C. Subcontractor shall provide full-time project management for coordination with sub-contractors, building occupants, and Prime Contractor.

1.9 WORK RESTRICTIONS

A. Work Restrictions, General: Comply with restrictions on construction operations.

1. Comply with limitations on use of public streets and with other requirements of authorities having jurisdiction.

B. On-Site Work Hours: For any work requiring the need to be in occupied spaces, working hours of 4:00 p.m. to 11:00 p.m., Monday through Friday, unless otherwise indicated or coordinated with the customer in advance to implement ECMs to minimize disturbance to occupied spaces. For all the other work, limit work in the existing buildings to normal business working hours of 7:00 a.m. to 4:30 p.m., Monday through Friday, unless otherwise indicated or coordinated with the customer in advance to implement ECMs to minimize disturbance to occupied spaces. Any work that will interfere with classes that are in session will need to be rescheduled to nights or weekends when classes are not in session.

1. GTBOE main workweek is Monday through Friday, 7:00 a.m. to 4:30 p.m. Classes are scheduled between the hours of 7:00 a.m. to 3:30 p.m. Monday through Friday.

2. Special Owner Activities: Special activities including testing, after hour meetings, plays, conferences, and presentations will be conducted within the building(s) and on site during and after regular owner operation hours and on weekends during the duration of the project. At these times the Subcontractor may have limited access to the facility. The Customer will provide these dates to the Subcontractor as soon as they are known.

3. Weekend Hours: Saturday and Sunday work is subject to approval by the Customer and further subject to ordinances and regulations by local and governing authorities having jurisdiction.

4. School Vacation Hours: 8:00 a.m. to 4:00 p.m., Monday through Friday, except as otherwise indicated, subject to approval by the Customer and further subject to ordinances and regulations by local and governing authorities having jurisdiction.

5. Hours for Utility Shutdowns: Coordinate all utility shutdowns with the customer through the Prime Contractor at least 1 week prior to anticipated work. Note: The existing building


SUMMARY 011000-7

fire protection system shall not be diminished. Removal of existing devices shall not occur until the new equipment is in place for the switchover.

6. Hours for Core Drilling and other noisy activities, etc. and Demolition shall be planned for the least distracting hours of the day and coordinated with the Customer through the Prime Contractor. The Customer reserves the right to stop those activities to be deemed excessive until a more appropriate time or day at their discretion.

7. The Subcontractor shall not schedule deliveries that conflict with the normal bus drop-off or pick-up times. GTBOE is not responsible to receive or handle any deliveries on behalf of the contractor.

8. The Subcontractor shall comply with the Customer’s Site Security Programs as administered by the Customer including Subcontractor badging. Background checks will be required for each employee working on site. Each Employee must have proper badging and/or attire so they are easily identifiable. This identification must be worn at all times while on the construction site. No Subcontractor will be allowed access to the existing building without proper identification and prior approval from the Customer. The Subcontractor will be fined $250.00 per occurrence for any worker who does not have proper identification. Nonconformance with this requirement will be grounds for removal from the job site.

9. All Personnel shall dress in clothing appropriate to the work they perform. All personnel are to wear shirts, hardhats, safety shoes, glasses, gloves, masks or respirators, noise protection devices, and other protective clothing and equipment as required by OSHA standards.

10. Contractors are limited to predefined work areas. These work areas must be mutually agreed upon with the Facilities Director PRIOR to work being performed. This is your work area and each employee should be remain in this area, e.g. if your assigned work area is the 200 wing, you should not be in the 400 wing.

11. For the safety of students, employee staff and the public, the use of a crane to lift any items on the roof cannot be performed over an occupied building. This work must be scheduled and coordinated with the Customer. The Subcontractor shall provide additional barricades around his crane as required at all times.

12. The Subcontractor is responsible for maintaining all temporary emergency egress routes. The Subcontractor shall obtain approval from the Building, Police, Rescue and Fire Departments for all temporary emergency egress routes. The Subcontractor shall provide temporary exit signs as required to ensure clearly marked egress routes.

13. The Customer has the right to require disruptive work to be discontinued if affecting the students and employee staff.

14. Obscene language, excessive noise, radios, loitering, use of district telephones, use of building rest rooms, use of kitchen facilities, etc., will not be tolerated.

C. Existing Utility Interruptions: Do not interrupt utilities serving facilities occupied by Customer or others unless permitted under the following conditions and then only after providing temporary utility services according to requirements indicated:

1. Notify Customer and Prime Contractor not less than three (3) business days in advance of proposed utility interruptions.

2. Do not proceed with utility interruptions without Prime Contractor’s and Customer’s written permission.


SUMMARY 011000-8

D. Noise, Vibration, and Odors: Coordinate operations that may result in high levels of noise and vibration, odors, or other disruption to Customer occupancy with Customer and Prime Contractor.

1. Notify Customer not less than three (3) business days in advance of proposed disruptive operations.

2. Obtain Customer’s written permission before proceeding with disruptive operations.

E. Nonsmoking Building: Smoking is not permitted within the building and contractor shall comply with Owner’s smoking policy.

F. Controlled Substances: Use of controlled substances on Project site is not permitted.

1.10 SPECIFICATION AND DRAWING CONVENTIONS

A. Specification Content: The Specifications use certain conventions for the style of language and the intended meaning of certain terms, words, and phrases when used in particular situations. These conventions are as follows:

1. Imperative mood and streamlined language are generally used in the Specifications. The words "shall," "shall be," or "shall comply with," depending on the context, are implied where a colon (:) is used within a sentence or phrase.

B. Specification requirements are to be performed by Subcontractor unless specifically stated otherwise.

1. Specification Format: The Specifications are organized into Divisions and Sections using the CSI "Master Format" numbering system. 1. Section Identification: The Specifications use Section numbers and titles to help cross-referencing in the Contract Documents. Sections in the Project Manual are in numeric sequence; however, the sequence is incomplete because all available Section numbers are not used. Consult the table of contents at the beginning of the Project Manual to determine numbers and names of Sections in the Contract Documents.

C. Division 01 General Requirements: Requirements of Sections in Division 01 apply to the Work of all Sections in the Specifications.

D. Drawing Coordination: Requirements for materials and products identified on Drawings are described in detail in the Specifications. One or more of the following are used on Drawings to identify materials and products:

1. Terminology: Materials and products are identified by the typical generic terms used in the individual Specifications Sections.

2. Abbreviations: Materials and products are identified by abbreviations scheduled on Drawings.

3. Keynoting: Materials and products are identified by reference keynotes referencing Specification Section numbers found in this Project Manual.


SUMMARY 011000-9

1.11 MISCELLANEOUS PROVISIONS

A. The Subcontractor and his subcontractors shall comply with the prevailing wage rates for Camden County.

B. Any Contractor or Subcontractor who is listed or is on record in the Office of the Commissioner, Department of Labor, as failing to pay prevailing wages in accordance with the provision of the New Jersey Prevailing Wage Act. [3.4] shall be disqualified.

PART 2 - PRODUCTS (Not Used)

PART 3 - EXECUTION (Not Used)



ALLOWANCES 012100-1

SECTION 012100 - ALLOWANCES

PART 1 - GENERAL


A. Drawings and general provisions of the Contract, including General and Supplementary Conditions and other Division 01 Specification Sections, apply to this Section.

1.2 SUMMARY

A. Section includes administrative and procedural requirements governing allowances.

1. Certain items are specified in the Contract Documents by allowances. Allowances have been established in lieu of additional requirements and to defer selection of actual materials and equipment to a later date when direction will be provided to Subcontractor. If necessary, additional requirements will be issued by Change Order.

B. Types of allowances include the following:

1. Lump-sum allowances. 2. Unit-cost allowances. 3. Parts and Smarts allowances.

1.3 SELECTION AND PURCHASE

A. At the earliest practical date after award of the Contract, advise Johnson Controls, Inc. of the date when final selection and purchase of each product or system described by an allowance must be completed to avoid delaying the Work.

B. At Johnson Controls, Inc. request, obtain proposals for each allowance for use in making final selections. Include recommendations that are relevant to performing the Work.

C. Purchase products and systems selected by Johnson Controls, Inc. from the designated supplier.

1.4 ACTION SUBMITTALS

A. Submit proposals for purchase of products or systems included in allowances, in the form specified for Change Orders.

1.5 INFORMATIONAL SUBMITTALS

A. Submit invoices or delivery slips to show actual quantities of materials delivered to the site for use in fulfillment of each allowance.


ALLOWANCES 012100-2

B. Submit time sheets and other documentation to show labor time and cost for installation of allowance items that include installation as part of the allowance.

C. Coordinate and process submittals for allowance items in same manner as for other portions of the Work.

1.6 COORDINATION

A. Coordinate allowance items with other portions of the Work. Furnish templates as required to coordinate installation.

1.7 LUMP-SUM ALLOWANCES

A. Allowance shall include cost to Subcontractor of specific products and materials ordered by Customer or selected by Johnson Controls, Inc. under allowance and shall include freight and delivery to Project site.

B. Unless otherwise indicated, Subcontractor's costs for receiving and handling at Project site, labor, installation, overhead and profit, and similar costs related to products and materials ordered by Prime Contractor under allowance shall be included as part of the Contract Sum and not part of the allowance.

C. Allowances shall be included in the Base Bid and/or Alternate Bids for each package and will be fully controlled by Johnson Controls, Inc.

D. Unused Materials: Return unused materials purchased under an allowance to manufacturer or supplier for credit to Johnson Controls, after installation has been completed and accepted.

1. If requested by Johnson Controls, Inc., retain and prepare unused material for storage by Customer. Deliver unused material to Customer’s storage space as directed.


PART 3 - EXECUTION

1.1 EXAMINATION

A. Examine products covered by an allowance promptly on delivery for damage or defects. Return damaged or defective products to manufacturer for replacement.

1.2 PREPARATION

A. Coordinate materials and their installation for each allowance with related materials and installations to ensure that each allowance item is completely integrated and interfaced with related work.


ALLOWANCES 012100-3

1.3 SCHEDULE OF ALLOWANCES

A. General Construction Allowance: The Contractor shall include an allowance in the base bid package for general construction in a lump sum as outlined in the schedule below. This labor shall be provided at any time until final acceptance of this contract by Johnson Controls, Inc.

Allowance # General Construction Allowance Lump Sum Allowance

1 Boiler Replacements $165,000

2 CHP $22,000



PROJECT MANAGEMENTAND COORDINATION 013100-1

SECTION 013100 - PROJECT MANAGEMENT AND COORDINATION

PART 1 - GENERAL


A. Drawings and general provisions of the Contract, including General and Supplementary Conditions and other Division 01 Specification Sections, apply to this Section.

1.2 SUMMARY

A. Section includes administrative provisions for coordinating construction operations on Project including, but not limited to, the following:

1. Coordination drawings. 2. Requests for Information (RFIs). 3. Project meetings.

B. Related Requirements:

1. The Subcontractor and any additional subcontractors shall participate in coordination requirements as described herein.

1.3 DEFINITIONS

A. RFI: Request from Subcontractor seeking information required by or clarifications of the Contract Documents.


A. Subcontract List: Prepare a written summary identifying individuals or firms proposed for each portion of the Work, including those who are to furnish products or equipment fabricated to a special design. Include the following information in tabular form:

1. Name, address, and telephone number of entity performing subcontract or supplying products.

2. Number and title of related Specification Section(s) covered by subcontract. 3. Drawing number and detail references, as appropriate, covered by subcontract.

1.5 FIELD SUPERVISION

A. The Subcontractor shall have a full time project manager present on site to supervise its work and that of its subcontractors. At no time shall the Subcontractor or its subcontractors be working on



the Project without the Subcontractor’s project manager present. The Subcontractor shall submit the name of its Project Manager to the Prime Contractor prior to commencement of work.

1.6 GENERAL COORDINATION PROCEDURES

A. Coordination: Coordinate construction operations included in different Sections of the Specifications to ensure efficient and orderly installation of each part of the Work. Coordinate construction operations, included in different Sections that depend on each other for proper installation, connection, and operation. The Subcontractor shall be responsible for being the supervisor, manager, overseer, coordinator and expediter of its subcontractors. The Subcontractor shall have included in its bid a sufficient cost amount to furnish such administrative and supervisory duties.

1. Schedule construction operations in sequence required to obtain the best results where installation of one part of the Work depends on installation of other components, before or after its own installation.

2. Coordinate installation of different components to ensure maximum performance and accessibility for required maintenance, service, and repair.

3. Make adequate provisions to accommodate items scheduled for later installation.

B. Prepare memoranda for distribution to each party involved, outlining special procedures required for coordination. Include such items as required notices, reports, and list of attendees at meetings.

1. Prepare similar memoranda for Customer and separate contractors if coordination of their Work is required.

C. Administrative Procedures: Coordinate scheduling and timing of required administrative procedures with other construction activities and activities of other contractors to avoid conflicts and to ensure orderly progress of the Work. Such administrative activities include, but are not limited to, the following:

1. Preparation of Subcontractor's construction schedule. 2. Preparation of the schedule of values. 3. Installation and removal of temporary facilities and controls. 4. Delivery and processing of submittals. 5. Progress meetings. 6. Pre-installation conferences. 7. Project closeout activities. 8. Startup and adjustment of systems.

1.7 COORDINATION DRAWINGS

A. Coordination Drawings, General: Prepare coordination drawings according to requirements in individual Sections, where installation is not completely shown on Shop Drawings, where limited space availability necessitates coordination, or if coordination is required to facilitate integration of products and materials fabricated or installed by more than one entity.



1. Content: Project-specific information, drawn accurately to a scale large enough to indicate and resolve conflicts. Do not base coordination drawings on standard printed data. Include the following information, as applicable:

a. Indicate functional and spatial relationships of components of architectural, structural, civil, mechanical, and electrical systems.

b. Indicate dimensions shown on the Drawings. Specifically note dimensions that appear to be in conflict with submitted equipment and minimum clearance requirements. Provide alternate sketches to Prime Contractor indicating proposed resolution of such conflicts. Minor dimension changes and difficult installations will not be considered changes to the Contract.

B. Coordination Drawing Organization: Organize coordination drawings as follows:

1. Floor Plans and Reflected Ceiling Plans: Show architectural and structural elements, and mechanical, plumbing, fire-protection, fire-alarm, and electrical Work. Show locations of visible ceiling-mounted devices relative to acoustical ceiling grid.

2. Plenum Space: Indicate subframing for support of ceiling and wall systems, mechanical and electrical equipment, and related Work. Locate components within ceiling plenum to accommodate layout of light fixtures indicated on Drawings.

3. Mechanical Rooms: Provide coordination drawings for mechanical rooms showing plans and elevations of mechanical, plumbing, fire-protection, fire-alarm, and electrical equipment.

4. Structural Penetrations: Indicate penetrations and openings required for all disciplines. 5. Slab Edge and Embedded Items: Indicate slab edge locations and sizes and locations of

embedded items for metal fabrications, sleeves, anchor bolts, bearing plates, angles, door floor closers, slab depressions for floor finishes, curbs and housekeeping pads, and similar items.

6. Review: Prime Contractor will review coordination drawings to confirm that the Work is being coordinated, but not for the details of the coordination, which are Subcontractor's responsibility.

1.8 PROJECT MEETINGS

A. General: Prime Contractor will schedule and conduct meetings and conferences at Project site unless otherwise indicated.

B. Preconstruction Conference: Prime Contractor will schedule and conduct a preconstruction conference before starting construction, at a time convenient to Customer, but no later than 15 days after execution of the Agreement.

1. Attendees: Authorized representatives of Customer, Prime Contractor, and their consultants; Subcontractor and its superintendent; major subcontractors; suppliers; and other concerned parties shall attend the conference. Participants at the conference shall be familiar with Project and authorized to conclude matters relating to the Work.

2. Agenda: Discuss items of significance that could affect progress, including the following:

a. Tentative construction schedule. b. Phasing.



c. Critical work sequencing and long-lead items. d. Designation of key personnel and their duties. e. Procedures for processing field decisions and Change Orders. f. Procedures for RFIs. g. Procedures for testing and inspecting. h. Procedures for processing Applications for Payment. i. Distribution of the Contract Documents. j. Submittal procedures. k. Preparation of record documents. l. Use of the premises. m. Work restrictions. n. Working hours. o. Customer’s occupancy requirements. p. Responsibility for temporary facilities and controls. q. Procedures for moisture and mold control. r. Procedures for disruptions and shutdowns. s. Construction waste management and recycling. t. Parking availability. u. Office, work, and storage areas. v. Equipment deliveries and priorities. w. First aid. x. Security. y. Progress cleaning.

3. Minutes: Entity responsible for conducting meeting will record and distribute meeting minutes.

C. Progress Meetings: Prime Contractor will conduct progress meetings at biweekly intervals or as necessary for completion of project.

1. Attendees: In addition to representatives of Customer, Prime Contractor, each contractor, subcontractor, supplier, and other entity concerned with current progress or involved in planning, coordination, or performance of future activities shall be represented at these meetings. All participants at the meeting shall be familiar with Project and authorized to conclude matters relating to the Work.

2. Agenda: Review and correct or approve minutes of previous progress meeting. Review other items of significance that could affect progress. Include topics for discussion as appropriate to status of Project.

a. Subcontractor's Construction Schedule: Review progress since the last meeting. Determine whether each activity is on time, ahead of schedule, or behind schedule, in relation to Subcontractor's construction schedule. Determine how construction behind schedule will be expedited; secure commitments from parties involved to do so. Discuss whether schedule revisions are required to ensure that current and subsequent activities will be completed within the Contract Time.

1) Review schedule for next period.

b. Review present and future needs of each entity present, including the following:



1) Interface requirements. 2) Sequence of operations. 3) Status of submittals. 4) Deliveries. 5) Off-site fabrication. 6) Access. 7) Site utilization. 8) Temporary facilities and controls. 9) Progress cleaning. 10) Quality and work standards. 11) Status of correction of deficient items. 12) Field observations. 13) Status of RFIs. 14) Status of proposal requests. 15) Pending changes. 16) Status of Change Orders. 17) Pending claims and disputes. 18) Documentation of information for payment requests.

3. Minutes: Entity responsible for conducting the meeting will record and distribute the meeting minutes to each party present and to parties requiring information.

a. Schedule Updating: Revise Subcontractor's construction schedule after each progress meeting where revisions to the schedule have been made or recognized. Issue revised schedule concurrently with the report of each meeting.





CONSTRUCTION PROGRESS DOCUMENTATION 013200-1

SECTION 013200 - CONSTRUCTION PROGRESS DOCUMENTATION

PART 1 - GENERAL


A. Drawings and general provisions of the Contract Documents, including General and Supplementary Conditions and other Division 01 Specification Sections, apply to this Section.

1.2 SUMMARY

A. Section includes administrative and procedural requirements for documenting the progress of construction during performance of the Work, including the following:

1. Subcontractor's construction schedule. 2. Construction schedule updating reports. 3. Daily construction reports. 4. Site condition reports.

1.3 DEFINITIONS

A. Activity: A discrete part of a project that can be identified for planning, scheduling, monitoring, and controlling the construction project. Activities included in a construction schedule consume time and resources.

1. Critical Activity: An activity on the critical path that must start and finish on the planned early start and finish times.

2. Predecessor Activity: An activity that precedes another activity in the network. 3. Successor Activity: An activity that follows another activity in the network.

B. CPM: Critical path method, which is a method of planning and scheduling a construction project where activities are arranged based on activity relationships. Network calculations determine when activities can be performed and the critical path of Project.

C. Critical Path: The longest connected chain of interdependent activities through the network schedule that establishes the minimum overall Project duration and contains no float.

D. Event: The starting or ending point of an activity.

E. Float: The measure of leeway in starting and completing an activity.

1. Float time is not for the exclusive use or benefit of either Prime Contractor or Subcontractor, but is a jointly owned, expiring Project resource available to both parties as needed to meet schedule milestones and Contract completion date.

F. Milestone: A key or critical point in time for reference or measurement.




A. Format for Submittals: Submit required submittals in the following format:

1. PDF electronic file. 2. Two paper copies.

B. Startup Network Diagram: Of size required to display entire network for entire construction period. Show logic ties for activities.

C. Subcontractor's Construction Schedule: Initial schedule, of size required to display entire schedule for entire construction period.

1. Submit a working electronic copy of schedule, using Microsoft Project, and labeled to comply with requirements for submittals. Include type of schedule (initial or updated) and date on label.

D. CPM Reports: Concurrent with CPM schedule, submit each of the following reports. Format for each activity in reports shall contain activity number, activity description, original duration, remaining duration, early start date, early finish date, late start date, late finish date, and total float in calendar days.

1. Activity Report: List of all activities sorted by activity number and then early start date, or actual start date if known.

2. Logic Report: List of preceding and succeeding activities for all activities, sorted in ascending order by activity number and then early start date, or actual start date if known.

3. Total Float Report: List of all activities sorted in ascending order of total float. 4. Earnings Report: Compilation of Subcontractor's total earnings from the Notice to Proceed

until most recent Application for Payment.

E. Construction Schedule Updating Reports: Submit with Applications for Payment.

F. Daily Construction Reports: Submit at weekly intervals.

G. Site Condition Reports: Submit at time of discovery of differing conditions.

1.5 COORDINATION

A. Coordinate preparation and processing of schedules and reports with performance of construction activities and with scheduling and reporting of separate contractors.

B. Coordinate Subcontractor's construction schedule with the schedule of values, list of subcontracts, submittal schedule, progress reports, payment requests, and other required schedules and reports.

1. Secure time commitments for performing critical elements of the Work from entities involved.

2. Coordinate each construction activity in the network with other activities and schedule them in proper sequence.



PART 2 - PRODUCTS

1.1 SUBCONTRACTOR'S CONSTRUCTION SCHEDULE, GENERAL

A. Time Frame: Extend schedule from date established for the Notice to Proceed to date of final completion.

1. Contract completion date shall not be changed by submission of a schedule that shows an early completion date, unless specifically authorized by Change Order.

B. Activities: Treat each story or separate area as a separate numbered activity for each main element of the Work. Comply with the following:

1. Activity Duration: Define activities so no activity is longer than 20 days, unless specifically allowed by Prime Contractor.

2. Procurement Activities: Include procurement process activities for the following long lead items and major items, requiring a cycle of more than 60 days, as separate activities in schedule. Procurement cycle activities include, but are not limited to, submittals, approvals, purchasing, fabrication, and delivery.

a. Cooling Tower b. Modular AHUs c. Chillers d. Boiler e. Exhaust Economizer f. Domestic Water Booster Pumps g. Instantaneous Domestic Hot Water Heaters h. Control Valves i. Motors j. Coils k. Pumps

3. Submittal Review Time: Include review and resubmittal times indicated in Section 013300 "Submittal Procedures" in schedule. Coordinate submittal review times in Subcontractor's construction schedule with submittal schedule.

4. Startup and Testing Time: Include no fewer than 15 days for startup and testing. 5. Substantial Completion: Indicate completion in advance of date established for Substantial

Completion, and allow time for Prime Contractor’s administrative procedures necessary for certification of Substantial Completion.

6. Punch List and Final Completion: Include not more than 30 days for completion of punch list items and final completion.

C. Constraints: Include constraints and work restrictions indicated in the Contract Documents and as follows in schedule, and show how the sequence of the Work is affected.

1. Phasing: Arrange list of activities on schedule by phase. 2. Work under More Than One Contract: Include a separate activity for each contract. 3. Work by Owner: Include a separate activity for each portion of the Work performed by

Customer.



4. Work Restrictions: Show the effect of the following items on the schedule:

a. Coordination with existing construction. b. Limitations of continued occupancies. c. Uninterruptible services. d. Partial occupancy before Substantial Completion. e. Use of premises restrictions. f. Provisions for future construction. g. Seasonal variations. h. Environmental control.

5. Work Stages: Indicate important stages of construction for each major portion of the Work.

D. Milestones: Include milestones indicated in the Contract Documents in schedule, including, but not limited to, the Notice to Proceed, Substantial Completion, and final completion.

E. Upcoming Work Summary: Prepare summary report indicating activities scheduled to occur or commence prior to submittal of next schedule update. Summarize the following issues:

1. Unresolved issues. 2. Unanswered Requests for Information. 3. Rejected or unreturned submittals. 4. Notations on returned submittals. 5. Pending modifications affecting the Work and Contract Time.

F. Recovery Schedule: When periodic update indicates the Work is 14 or more calendar days behind the current approved schedule, submit a separate recovery schedule indicating means by which Subcontractor intends to regain compliance with the schedule.

G. Computer Scheduling Software: Prepare schedules using current version of a program that has been developed specifically to manage construction schedules.

1. Use Microsoft Project software specified in Section 013100 "Project Management and Coordination," for Windows XP (or newer) operating system.

1.2 SUBCONTRACTOR'S CONSTRUCTION SCHEDULE (GANTT CHART)

A. Gantt-Chart Schedule: Submit a comprehensive, fully developed, horizontal, Gantt-chart-type, Contractor's construction schedule within 30 days of date established for the Notice to Proceed.

B. Preparation: Indicate each significant construction activity separately. Identify first workday of each week with a continuous vertical line.

1. For construction activities that require three months or longer to complete, indicate an estimated completion percentage in 10 percent increments within time bar.



1.3 REPORTS

A. Weekly Construction Reports: Prepare a weekly construction report recording the following information concerning events at Project site:

1. List of subcontractors at Project site. 2. List of separate contractors at Project site. 3. Approximate count of personnel at Project site. 4. Equipment at Project site. 5. Material deliveries. 6. High and low temperatures and general weather conditions, including presence of rain or

snow. 7. Accidents. 8. Meetings and significant decisions. 9. Unusual events. 10. Stoppages, delays, shortages, and losses. 11. Meter readings and similar recordings. 12. Emergency procedures. 13. Orders and requests of authorities having jurisdiction. 14. Change Orders received and implemented. 15. Construction Change Directives received and implemented. 16. Services connected and disconnected. 17. Equipment or system tests and startups. 18. Partial completions and occupancies. 19. Substantial Completions authorized.

B. Site Condition Reports: Immediately on discovery of a difference between site conditions and the Contract Documents, prepare and submit a detailed report. Submit with a Request for Information. Include a detailed description of the differing conditions, together with recommendations for changing the Contract Documents.

PART 3 - EXECUTION

1.1 SUBCONTRACTOR'S CONSTRUCTION SCHEDULE

A. Subcontractor's Construction Schedule Updating: At monthly intervals, update schedule to reflect actual construction progress and activities. Issue schedule one week before each regularly scheduled progress meeting.

1. Revise schedule immediately after each meeting or other activity where revisions have been recognized or made. Issue updated schedule concurrently with the report of each such meeting.

2. Include a report with updated schedule that indicates every change, including, but not limited to, changes in logic, durations, actual starts and finishes, and activity durations.

3. As the Work progresses, indicate final completion percentage for each activity.



B. Distribution: Distribute copies of approved schedule to prime Contractor, Customer, separate contractors, testing and inspecting agencies, and other parties identified by Prime Contractor with a need-to-know schedule responsibility.

1. Post copies in Project meeting rooms and temporary field offices. 2. When revisions are made, distribute updated schedules to the same parties and post in the

same locations. Delete parties from distribution when they have completed their assigned portion of the Work and are no longer involved in performance of construction activities.



SUBMITTAL PROCEDURES 013300-1

SECTION 013300 - SUBMITTAL PROCEDURES

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes requirements for the submittal schedule and administrative and procedural requirements for submitting Shop Drawings, Product Data, Samples, and other submittals.

B. RELATED DOCUMENTS:

1. Section 013200 "Construction Progress Documentation" for submitting schedules and reports, including Contractor's construction schedule.

2. Section 017823 "Operation and Maintenance Data" for submitting operation and maintenance manuals.

3. Section 017839 "Project Record Documents" for submitting record Drawings, record Specifications, and record Product Data.

4. Section 017900 "Demonstration and Training" for submitting video recordings of demonstration of equipment and training of Owner's personnel.

1.2 DEFINITIONS

A. Action Submittals: Written and graphic information and physical samples that require Prime Contractor’s responsive action.

B. Informational Submittals: Written and graphic information and physical samples that do not require Prime Contractor’s responsive action. Submittals may be rejected for not complying with requirements.


A. Submittal Schedule: Submit a schedule of submittals, arranged in chronological order by dates required by construction schedule. Include time required for review, ordering, manufacturing, fabrication, and delivery when establishing dates. Include additional time required for making corrections or revisions to submittals noted by Prime Contractor and additional time for handling and reviewing submittals required by those corrections.

1.4 SUBMITTAL ADMINISTRATIVE REQUIREMENTS

A. Engineer's Digital Data Files: Electronic copies of digital data files of the Contract Drawings will be provided by Prime Contractor for Subcontractor's use in preparing submittals.

1. Prime Contractor will furnish Subcontractor one set of digital data drawing files of the Contract Drawings for use in preparing Shop Drawings and Project record drawings.



a. Prime Contractor makes no representations as to the accuracy or completeness of digital data drawing files as they relate to the Contract Drawings.

b. Subcontractor shall execute a data licensing agreement in the form of AIA Document C106, Digital Data Licensing Agreement.

B. Coordination: Coordinate preparation and processing of submittals with performance of construction activities.

1. Coordinate each submittal with fabrication, purchasing, testing, delivery, other submittals, and related activities that require sequential activity.

2. Coordinate transmittal of different types of submittals for related parts of the Work so processing will not be delayed because of need to review submittals concurrently for coordination.

a. Prime Contractor reserves the right to withhold action on a submittal requiring coordination with other submittals until related submittals are received.

C. Processing Time: Allow time for submittal review, including time for resubmittals, as follows. Time for review shall commence on Prime Contractor's receipt of submittal. No extension of the Contract Time will be authorized because of failure to transmit submittals enough in advance of the Work to permit processing, including resubmittals.

1. Initial Review: Allow 10 working days for initial review of each submittal. Allow additional time if coordination with subsequent submittals is required. Prime Contractor will advise Subcontractor when a submittal being processed must be delayed for coordination.

2. Intermediate Review: If intermediate submittal is necessary, process it in same manner as initial submittal.

3. Resubmittal Review: Allow 10 working days for review of each resubmittal.

D. Paper Submittals: Place a permanent label or title block on each submittal item for identification.

1. Indicate name of firm or entity that prepared each submittal on label or title block. 2. Provide a space approximately 6 by 8 inches on label or beside title block to record

Subcontractor's review and approval markings and action taken by Prime Contractor. 3. Include the following information for processing and recording action taken:

a. Project name. b. Date. c. Name of Prime Contractor. d. Name of Subcontractor. e. Name of additional subcontractors. f. Name of supplier. g. Name of manufacturer. h. Submittal number or other unique identifier, including revision identifier.

1) Submittal number shall use Specification Section number followed by a decimal point and then a sequential number (e.g., 061000.01). Resubmittals shall include an alphabetic suffix after another decimal point (e.g., 061000.01.A).



i. Number and title of appropriate Specification Section. j. Drawing number and detail references, as appropriate. k. Location(s) where product is to be installed, as appropriate. l. Other necessary identification.

4. Additional Paper Copies: Unless additional copies are required for final submittal, and unless Prime Contractor observes noncompliance with provisions in the Contract Documents, initial submittal may serve as final submittal.

a. Submit one copy of submittal to concurrent reviewer in addition to specified number of copies to Prime Contractor.

5. Transmittal for Paper Submittals: Assemble each submittal individually and appropriately for transmittal and handling. Transmit each submittal using a transmittal form. Prime Contractor will return without review submittals received from sources other than Subcontractor.

a. Transmittal Form for Paper Submittals: Provide locations on form for the following

information:

1) Project name. 2) Date. 3) Destination (To:). 4) Source (From:). 5) Name and address of Prime Contractor. 6) Name of Subcontractor. 7) Name of firm or entity that prepared submittal. 8) Names of subcontractor, manufacturer, and supplier. 9) Category and type of submittal. 10) Submittal purpose and description. 11) Specification Section number and title. 12) Specification paragraph number or drawing designation and generic name for

each of multiple items. 13) Drawing number and detail references, as appropriate. 14) Indication of full or partial submittal. 15) Transmittal number. 16) Submittal and transmittal distribution record. 17) Remarks. 18) Signature of transmitter.

E. Electronic Submittals: Identify and incorporate information in each electronic submittal file as follows:

1. Assemble complete submittal package into a single indexed file incorporating submittal requirements of a single Specification Section and transmittal form with links enabling navigation to each item.

2. Name file with submittal number or other unique identifier, including revision identifier.



a. File name shall use project identifier and Specification Section number followed by a decimal point and then a sequential number (e.g., LNHS-061000.01). Resubmittals shall include an alphabetic suffix after another decimal point (e.g., LNHS-061000.01.A).

3. Provide means for insertion to permanently record Subcontractor's review and approval markings and action taken by Prime Contractor.

4. Transmittal Form for Electronic Submittals: Use form acceptable to Prime Contractor, containing the following information:

a. Project name. b. Date. c. Name and address of Prime Contractor. d. Name of Subcontractor. e. Name of firm or entity that prepared submittal. f. Names of subcontractor, manufacturer, and supplier. g. Category and type of submittal. h. Submittal purpose and description. i. Specification Section number and title. j. Specification paragraph number or drawing designation and generic name for each

of multiple items. k. Drawing number and detail references, as appropriate. l. Location(s) where product is to be installed, as appropriate. m. Related physical samples submitted directly. n. Indication of full or partial submittal. o. Transmittal number. p. Submittal and transmittal distribution record. q. Other necessary identification. r. Remarks.

F. Options: Identify options requiring selection by Prime Contractor.

G. Deviations: Identify deviations from the Contract Documents on submittals.

H. Resubmittals: Make resubmittals in same form and number of copies as initial submittal.

1. Note date and content of previous submittal. 2. Note date and content of revision in label or title block and clearly indicate extent of

revision. 3. Resubmit submittals until they are marked with approval notation from Prime Contractor's

action stamp.

I. Distribution: Furnish copies of final submittals to manufacturers, subcontractors, suppliers, fabricators, installers, authorities having jurisdiction, and others as necessary for performance of construction activities. Show distribution on transmittal forms.

J. Use for Construction: Retain complete copies of submittals on Project site. Use only final action submittals that are marked with approval notation from Prime Contractor's action stamp.



PART 2 - PRODUCTS

1.1 SUBMITTAL PROCEDURES

A. General Submittal Procedure Requirements:

1. Submit electronic submittals via email as PDF electronic files.

a. Prime Contractor, will return annotated file. Annotate and retain one copy of file as an electronic Project record document file.

2. Action Submittals: Submit three paper copies of each submittal unless otherwise indicated. Prime Contractor will return two copies.

3. Informational Submittals: Submit two paper copies of each submittal unless otherwise indicated. Prime Contractor will not return copies.

4. Certificates and Certifications Submittals: Provide a statement that includes signature of entity responsible for preparing certification. Certificates and certifications shall be signed by an officer or other individual authorized to sign documents on behalf of that entity.

a. Provide a digital signature with digital certificate on electronically-submitted certificates and certifications where indicated.

b. Provide a notarized statement on original paper copy certificates and certifications where indicated.

B. Product Data: Collect information into a single submittal for each element of construction and type of product or equipment.

1. If information must be specially prepared for submittal because standard published data are not suitable for use, submit as Shop Drawings, not as Product Data.

2. Mark each copy of each submittal to show which products and options are applicable. 3. Include the following information, as applicable:

a. Manufacturer's catalog cuts. b. Manufacturer's product specifications. c. Standard color charts. d. Statement of compliance with specified referenced standards. e. Testing by recognized testing agency. f. Application of testing agency labels and seals. g. Notation of coordination requirements. h. Availability and delivery time information.

4. For equipment, include the following in addition to the above, as applicable:

a. Wiring diagrams showing factory-installed wiring. b. Printed performance curves. c. Operational range diagrams. d. Clearances required to other construction, if not indicated on accompanying Shop

Drawings.



5. Submit Product Data in the following format:

a. PDF electronic file. b. Three paper copies of Product Data unless otherwise indicated. Prime Contractor

will return two copies.

C. Shop Drawings: Prepare Project-specific information, drawn accurately to scale. Do not base Shop Drawings on reproductions of the Contract Documents or standard printed data, unless submittal based on Prime Contractor's digital data drawing files is otherwise permitted.

1. Preparation: Fully illustrate requirements in the Contract Documents. Include the following information, as applicable:

a. Identification of products. b. Schedules. c. Compliance with specified standards. d. Notation of coordination requirements. e. Notation of dimensions established by field measurement. f. Relationship and attachment to adjoining construction clearly indicated. g. Seal and signature of professional engineer if specified.

2. Sheet Size: Except for templates, patterns, and similar full-size drawings, submit Shop Drawings on sheets at least 8-1/2 by 11 inches, but no larger than 30 by 42 inches.

3. Submit Shop Drawings in the following format:

a. PDF electronic file. b. Three opaque copies of each submittal. Prime Contractor will retain two copies,

remainder will be returned.

D. Product Schedule: As required in individual Specification Sections, prepare a written summary indicating types of products required for the Work and their intended location. Include the following information in tabular form:

1. Submit product schedule in the following format:

a. PDF electronic file. b. Three paper copies of product schedule or list unless otherwise indicated. Prime

Contractor will return two copies.

E. Coordination Drawings Submittals: Comply with requirements specified in Section 013100 "Project Management and Coordination."

F. Contractor's Construction Schedule: Comply with requirements specified in Section 013200 "Construction Progress Documentation."

G. Application for Payment and Schedule of Values: Comply with requirements specified in Form A "Subcontractor’s Application and Certificate for Payment”.

H. Test and Inspection Reports and Schedule of Tests and Inspections Submittals: Comply with requirements specified in Section 014000 "Quality Requirements."



I. Closeout Submittals and Maintenance Material Submittals: Comply with requirements specified in Section 017700 "Closeout Procedures."

J. Maintenance Data: Comply with requirements specified in Section 017823 "Operation and Maintenance Data."

K. Qualification Data: Prepare written information that demonstrates capabilities and experience of firm or person. Include lists of completed projects with project names and addresses, contact information of Engineers and owners, and other information specified.

L. Welding Certificates: Prepare written certification that welding procedures and personnel comply with requirements in the Contract Documents. Submit record of Welding Procedure Specification and Procedure Qualification Record on AWS forms. Include names of firms and personnel certified.

M. Installer Certificates: Submit written statements on manufacturer's letterhead certifying that Installer complies with requirements in the Contract Documents and, where required, is authorized by manufacturer for this specific Project.

N. Manufacturer Certificates: Submit written statements on manufacturer's letterhead certifying that manufacturer complies with requirements in the Contract Documents. Include evidence of manufacturing experience where required.

O. Product Certificates: Submit written statements on manufacturer's letterhead certifying that product complies with requirements in the Contract Documents.

P. Material Certificates: Submit written statements on manufacturer's letterhead certifying that material complies with requirements in the Contract Documents.

Q. Material Test Reports: Submit reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting test results of material for compliance with requirements in the Contract Documents.

R. Product Test Reports: Submit written reports indicating that current product produced by manufacturer complies with requirements in the Contract Documents. Base reports on evaluation of tests performed by manufacturer and witnessed by a qualified testing agency, or on comprehensive tests performed by a qualified testing agency.

S. Schedule of Tests and Inspections: Comply with requirements specified in Section 014000 "Quality Requirements."

T. Preconstruction Test Reports: Submit reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting results of tests performed before installation of product, for compliance with performance requirements in the Contract Documents.

U. Compatibility Test Reports: Submit reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting results of compatibility tests performed before installation of product. Include written recommendations for primers and substrate preparation needed for adhesion.



V. Field Test Reports: Submit written reports indicating and interpreting results of field tests performed either during installation of product or after product is installed in its final location, for compliance with requirements in the Contract Documents.

W. Design Data: Prepare and submit written and graphic information, including, but not limited to, performance and design criteria, list of applicable codes and regulations, and calculations. Include list of assumptions and other performance and design criteria and a summary of loads. Include load diagrams if applicable. Provide name and version of software, if any, used for calculations. Include page numbers.

1.2 DELEGATED-DESIGN SERVICES

A. Performance and Design Criteria: Where professional design services or certifications by a design professional are specifically required of Subcontractor by the Contract Documents, provide products and systems complying with specific performance and design criteria indicated.

1. If criteria indicated are not sufficient to perform services or certification required, submit a written request for additional information to Prime Contractor.

B. Delegated-Design Services Certification: In addition to Shop Drawings, Product Data, and other required submittals, submit three paper copies of certificate, signed and sealed by the responsible design professional, for each product and system specifically assigned to Subcontractor to be designed or certified by a design professional.

1. Indicate that products and systems comply with performance and design criteria in the Contract Documents. Include list of codes, loads, and other factors used in performing these services.

PART 3 - EXECUTION

1.1 SUBCONTRACTOR'S REVIEW

A. Action and Informational Submittals: Review each submittal and check for coordination with other Work of the Contract and for compliance with the Contract Documents. Note corrections and field dimensions. Mark with approval stamp before submitting to Prime Contractor.

B. Project Closeout and Maintenance Material Submittals: See requirements in Section 017700 "Closeout Procedures."

C. Approval Stamp: Stamp each submittal with a uniform, approval stamp. Include Project name and location, submittal number, Specification Section title and number, name of reviewer, date of Subcontractor's approval, and statement certifying that submittal has been reviewed, checked, and approved for compliance with the Contract Documents.



1.2 PRIME CONTRACTOR’S ACTION

A. General: Prime Contractor will not review submittals that do not bear Subcontractor's approval stamp and will return them without action.

B. Action Submittals: Prime Contractor will review each submittal, make marks to indicate corrections or revisions required, and return it. Prime Contractor will stamp each submittal with an action stamp and will mark stamp appropriately to indicate action, as follows: 1. Reviewed – Submittal is acceptable and contractor is released for fabrication and/or

purchase of material/equipment. 2. Rejected – Submittal is unacceptable. 3. Revise and Resubmit – Submittal needs to be resubmitted for review with comments

incorporated and contractor is not released for fabrication and/or purchase of material/equipment.

4. Reviewed as Noted – Submittal is acceptable provided the comments are incorporated by the subcontractor and record copies of the revised submittal are submitted for record. The Subcontractor is released for fabrication and/or purchase of material/equipment.

5. Submit Specified Item – Items for review are missing from the submittal or rejected and need to be submitted for review.

C. Informational Submittals: Prime Contractor will review each submittal and will not return it, or will return it if it does not comply with requirements. Prime Contractor will forward each submittal to appropriate party.

D. Incomplete submittals are unacceptable, will be considered nonresponsive, and will be returned for resubmittal without review.

E. Submittals not required by the Contract Documents may not be reviewed and may be discarded.



QUALITY REQUIREMENTS 014000-1

SECTION 014000 – QUALITY REQUIREMENTS

PART 1 - GENERAL


A. Drawings and general provisions of the Contract Documents, including General and Supplementary Conditions and other Division 01 Specification Sections, apply to this Section.

1.2 SUMMARY

A. This section includes administrative and procedural requirements for quality assurance and quality controls.

B. Testing and inspecting services are required to verify compliance with requirements specified or indicated. These services do not relieve Subcontractor of responsibility for compliance with the Contract Document Requirements.

1. Specific quality-assurance and -control requirements for individual construction activities are specified in the Sections that specify those activities. Requirements in those Sections may also cover production of standard products.

2. Specified tests, inspections, and related actions do not limit Subcontractor's other quality assurance and -control procedures that facilitate compliance with the Contract Document requirements.

3. Requirements for Subcontractor to provide quality-assurance and -control services required by Prime Contractor, Customer or authorities having jurisdiction are not limited by provisions of this Section.

1.3 DEFINITIONS

A. Quality-Assurance Services: Activities, actions, and procedures performed before and during execution of the Work to guard against defects and deficiencies and substantiate that proposed construction will comply with requirements.

B. Quality-Control Services: Tests, inspections, procedures, and related actions during and after execution of the Work to evaluate that actual products incorporated into the Work and completed construction comply with requirements. Services do not include contract enforcement activities performed by Prime Contractor.

C. Mockups: Full-size, physical assemblies that are constructed on-site. Mockups are used to verify selections made under sample submittals, to demonstrate aesthetic effects and, where indicated, qualities of materials and execution, and to review construction, coordination, testing, or operation; they are not Samples. Approved mockups establish the standard by which the Work will be judged.



D. Laboratory Mockups: Full-size, physical assemblies that are constructed at testing facility to verify performance characteristics.

E. Preconstruction Testing: Tests and inspections that are performed specifically for the Project before products and materials are incorporated into the Work to verify performance or compliance with specified criteria.

F. Product Testing: Tests and inspections that are performed by an (NRTL) Nationally Recognized Testing Laboratory, an (NVLAP) National Voluntary Laboratory Accreditation Program, or a testing agency qualified to conduct product testing and acceptable to authorities having jurisdiction, to establish product performance and compliance with industry standards.

G. Source Quality-Control Testing: Tests and inspections that are performed at the source, i.e., plant, mill, factory, or shop.

H. Field Quality-Control Testing: Tests and inspections that are performed on-site for installation of the Work and for completed Work.

I. Testing Agency: An entity engaged to perform specific tests, inspections, or both. Testing laboratory shall mean the same as testing agency.

J. Certified Special Inspectors: An individual certified in accordance with the administrative provisions of the New Jersey Uniform Construction Code, article 5:23-5.19G Special Inspector Requirements and having successfully completed article 5:23-5.23B Examination Requirements for Special Inspectors, and having received a certificate certifying the individual is a Certified Special Inspector to conduct, supervise and evaluate test or inspections for the following in:

1. Structural Steel and welding special inspector: Structural Steel and welding special inspectors are authorized to carry out field inspections pursuant to section 1704.3 of the IBC International Building Code 2009, New Jersey edition.

2. Concrete special inspector: Concrete special inspectors are authorized to carry out field inspections pursuant to section 1704.4 of the IBC International Building Code 2009, New Jersey edition.

3. Structural Masonry special inspector: Structural Masonry special inspectors are authorized to carry out field inspections pursuant to section 1704.5 of the IBC International Building Code 2009, New Jersey edition.

4. Spray-applied fireproofing special inspector: Spray-applied fireproofing special inspectors are authorized to carry out field inspections pursuant to section 1704.11 of the IBC International Building Code 2009, New Jersey edition.

5. Exterior insulation and finish system (EIFS) special inspector: Exterior insulation and finish system (EIFS) special inspectors are authorized to carry out field inspections pursuant to section 1704.12 of the IBC International Building Code 2009, New Jersey edition.

K. Installer/Applicator/Erector: Subcontractor or another entity engaged by Subcontractor as an employee, subcontractor, or sub-subcontractor, to perform a particular construction operation, including installation, erection, application, and similar operations.

1. Using a term such as "carpentry" does not imply that certain construction activities must be performed by accredited or unionized individuals of a corresponding generic name, such



as "carpenter." It also does not imply that requirements specified apply exclusively to trades people of the corresponding generic name.

L. Experienced: When used with an entity, "experienced" means having successfully completed a minimum of (5) five previous projects similar in size and scope to this Project; being familiar with special requirements indicated; and having complied with requirements of authorities having jurisdiction.

1.4 CONFLICTING REQUIREMENTS

A. General: If compliance with two or more standards is specified and the standards establish different or conflicting requirements for minimum quantities or quality levels, comply with the most stringent requirement. Refer uncertainties and requirements that are different, but apparently equal, to Prime Contractor for a decision before proceeding.

B. Minimum Quantity or Quality Levels: The quantity or quality level shown or specified shall be the minimum provided or performed. The actual installation may comply exactly with the minimum quantity or quality specified, or it may exceed the minimum within reasonable limits. To comply with these requirements, indicated numeric values are minimum or maximum, as appropriate, for the context of requirements. Refer uncertainties to Prime Contractor for a decision before proceeding.

1.5 SUBMITTALS

A. Qualification Data: For testing agencies to demonstrate their capabilities and experience. Include proof of qualifications in the form of a recent report on the inspection of the testing agency by a recognized authority.

B. Schedule of Tests and Inspections: Prepare in tabular form and include the following:

1. Specification Section number and title. 2. Description of test and inspection. 3. Identification of applicable standards. 4. Identification of test and inspection methods. 5. Number of tests and inspections required. 6. Time schedule or time span for tests and inspections. 7. Entity responsible for performing tests and inspections. 8. Requirements for obtaining samples. 9. Unique characteristics of each quality-control service.

C. Reports: Prepare and submit certified written reports that include the following:

1. Date of issue. 2. Project title and number. 3. Name, address, and telephone number of testing agency. 4. Dates and locations of samples and tests or inspections. 5. Names of individuals making tests and inspections.



6. Description of the Work and test and inspection method. 7. Identification of product and Specification Section. 8. Complete test or inspection data. 9. Test and inspection results and an interpretation of test results. 10. Record of temperature and weather conditions at time of sample taking and testing and

inspecting. 11. Comments or professional opinion on whether tested or inspected Work complies with the

Contract Document requirements. 12. Name and signature of laboratory inspector. 13. Recommendations on retesting and re-inspecting.

D. Permits, Licenses, and Certificates: For Owner's records, submit copies of permits, licenses, certifications, inspection reports, releases, jurisdictional settlements, notices, receipts for fee payments, judgments, correspondence, records, and similar documents, established for compliance with standards and regulations bearing on performance of the Work.

E. Certificates for Special Inspectors: For Owner's records, submit copies of certifications for special, inspections.

1.6 QUALITY ASSURANCE

A. General: Qualifications paragraphs in this Article establish the minimum qualification levels required; individual Specification Sections specify additional requirements.

B. Installer Qualifications: A firm or individual experienced in installing, erecting, or assembling work similar in material, design, and extent to that indicated for this Project, whose work has resulted in construction with a record of successful in-service performance.

C. Manufacturer Qualifications: A firm experienced in manufacturing products or systems similar to those indicated for this Project and with a record of successful in-service performance, as well as sufficient production capacity to produce required units.

D. Fabricator Qualifications: A firm experienced in producing products similar to those indicated for this Project and with a record of successful in-service performance, as well as sufficient production capacity to produce required units.

E. Professional Engineer Qualifications: A professional engineer who is legally qualified and licensed to practice in jurisdiction where Project is located and who is experienced in providing engineering services of the kind indicated and signs and seals engineered documents. Engineering services are defined as those performed for installations of the system, assembly, or products that are similar to those indicated for this Project in material, design, and extent.

F. Specialists: Certain sections of the Specifications require that specific construction activities shall be performed by entities who are recognized experts in those operations. Specialists shall satisfy qualification requirements indicated and shall be engaged for the activities indicated.

1. Requirement for specialists shall not supersede building codes and regulations governing the Work.



G. Testing Agency Qualifications: An NRTL, an NVLAP, or an independent agency with the experience and capability to conduct testing and inspecting indicated, as documented according to ASTM E 548; and with additional qualifications specified in individual Sections; and where required by authorities having jurisdiction, that is acceptable to authorities.

1. NRTL: A nationally recognized testing laboratory according to 29 CFR 1910.7.

2. NVLAP: A testing agency accredited according to NIST's National Voluntary Laboratory Accreditation Program.

H. Special Inspector Qualifications: An individual certified in accordance with the administrative provisions of the New Jersey Uniform Construction Code, article 5:23-5.19G Special Inspector Requirements and having successfully completed article 5:23-5.23B Examination Requirements for Special Inspectors, and having received a certificate certifying the individual is a Certified Special Inspector.

I. Factory-Authorized Service Representative Qualifications: An authorized representative of manufacturer who is trained and approved by manufacturer to inspect installation of manufacturer's products that are similar in material, design, and extent to those indicated for this Project.

J. Preconstruction Testing: Where testing agency is indicated to perform preconstruction testing for compliance with specified requirements for performance and test methods, comply with the following:

1. Contractor responsibilities include the following:

a. Provide test specimens representative of proposed products and construction.

b. Submit specimens in a timely manner with sufficient time for testing and analyzing results to prevent delaying the Work.

c. Provide sizes and configurations of test assemblies, mockups, and laboratory mockups to adequately demonstrate capability of products to comply with performance requirements.

d. Build site-assembled test assemblies and mockups using installers who will perform same tasks for Project.

e. Build laboratory mockups at testing facility using personnel, products, and methods of construction indicated for the completed Work.

f. When testing is complete, remove test specimens, assemblies, mockups, and laboratory mockups; do not reuse products on Project.

2. Testing Agency Responsibilities: Submit a certified written report of each test, inspection, and similar quality-assurance service to Prime Contractor, with copy to Subcontractor. Interpret tests and inspections and state in each report whether tested and inspected work complies with or deviates from the Contract Documents.



K. Mockups: Before installing portions of the Work requiring mockups, build mockups for each form of construction and finish required to comply with the following requirements, using materials indicated for the completed Work:

1. Build mockups in location and of size indicated or, if not indicated, as directed by Prime Contractor.

2. Notify Prime Contractor seven (7) days in advance of dates and times when mockups will be constructed.

3. Demonstrate the proposed range of aesthetic effects and workmanship. 4. Obtain Prime Contractor’s approval of mockups before starting work, fabrication, or

construction.

a. Allow fourteen days for initial review and each re-review of each mockup.

5. Maintain mockups during construction in an undisturbed condition as a standard for judging the completed Work.

6. Demolish and remove mockups when directed, unless otherwise indicated.

L. Laboratory Mockups: Comply with requirements of preconstruction testing and those specified in individual Specification Sections.

1.7 QUALITY CONTROL

A. Customer Responsibilities: Where quality-control services are indicated as Customer’s responsibility, Customer will engage a qualified testing agency to perform these services.

1. 1. Customer will furnish Subcontractor with names, addresses, and telephone numbers of testing agencies engaged and a description of types of testing and inspecting they are engaged to perform.

2. 2. Payment for these services will be made from testing and inspecting allowances, as authorized by Change Orders.

3. 3. Costs for retesting and re-inspecting construction that replaces or is necessitated by work that failed to comply with the Contract Documents will be charged to Subcontractor, and the Contract Sum will be adjusted by Change Order.

B. Tests and inspections not explicitly assigned to Customer are Subcontractor's responsibility. Unless otherwise indicated, provide quality-control services specified and those required by authorities having jurisdiction. Perform quality-control services required of Subcontractor by authorities having jurisdiction, whether specified or not.

1. Where services are indicated as Subcontractor's responsibility, engage a qualified testing agency to perform these quality-control services.

a. Subcontractor shall not employ same entity engaged by Customer, unless agreed to in writing by Customer.



2. Notify testing agencies at least (2) two full business days in advance of time when Work that requires testing or inspecting will be performed.

3. Where quality-control services are indicated as Subcontractor's responsibility, submit a certified written report, in duplicate, of each quality-control service.

4. Testing and inspecting requested by Subcontractor and not required by the Contract Documents are Subcontractor's responsibility.

5. Submit additional copies of each written report directly to authorities having jurisdiction, when they so direct.

C. Manufacturer's Field Services: Where indicated, engage a factory-authorized service representative to inspect field-assembled components and equipment installation, including service connections. Report results in writing on manufacturer’s letterhead and in accordance with General Requirements Section on “Submittal Procedures”.

D. Retesting/Re-inspecting: Regardless of whether original tests or inspections were Subcontractor's responsibility, provide quality-control services, including retesting and re-inspecting, for construction that replaced Work that failed to comply with the Contract Documents.

E. Testing Agency Responsibilities: Cooperate with Prime Contractor and Subcontractor in performance of duties. Provide qualified personnel to perform required tests and inspections.

1. Notify Prime Contractor and Subcontractor promptly of irregularities or deficiencies observed in the Work during performance of its services.

2. Determine the location from which test samples will be taken and in which in-situ tests are conducted.

3. Conduct and interpret tests and inspections and state in each report whether tested and inspected work complies with or deviates from requirements.

4. Submit a certified written report, in duplicate, of each test, inspection, and similar quality control service directly to the Building Owner or Building Owner’s agent, as the inspector shall be independent of the Subcontractor.

5. Do not release, revoke, alter, or increase the Contract Document requirements or approve or accept any portion of the Work.

6. Do not perform any duties of Subcontractor.

F. Associated Services: Cooperate with agencies performing required tests, inspections, and similar quality-control services, and provide reasonable auxiliary services as requested. Notify agency sufficiently in advance of operations to permit assignment of personnel. Provide the following:

1. Access to the Work. 2. Incidental labor and facilities necessary to facilitate tests and inspections. 3. Adequate quantities of representative samples of materials that require testing and

inspecting. Assist agency in obtaining samples. 4. Facilities for storage and field curing of test samples. 5. Delivery of samples to testing agencies. 6. Preliminary design mix proposed for use for material mixes that require control by testing

agency. 7. Security and protection for samples and for testing and inspecting equipment at Project

site.



G. Coordination: Coordinate sequence of activities to accommodate required quality-assurance and -control services with a minimum of delay and to avoid necessity of removing and replacing construction to accommodate testing and inspecting.

1. Schedule times for tests, inspections, obtaining samples, and similar activities.

H. Schedule of Tests and Inspections: Prepare a schedule of tests, inspections, and similar quality control services required by the Contract Documents. Submit schedule within (30) thirty days of date established for the written Notice to Proceed.

1. Distribution: Distribute schedule to Customer, Prime Contractor, testing agencies, and each party involved in performance of portions of the Work where tests and inspections are required.

1.8 SPECIAL TESTS AND INSPECTIONS

A. Special Tests and Inspections: Conducted by a qualified testing agency or special inspector as required by authorities having jurisdiction, as indicated in individual Specification Sections, and as follows:

1. Verifying that manufacturer maintains detailed fabrication and quality-control procedures and reviewing the completeness and adequacy of those procedures to perform the Work.

2. Notifying Prime Contractor and Subcontractor promptly of irregularities and deficiencies observed in the Work during performance of its services.

3. Submitting a certified written report of each test, inspection, and similar quality-control service to the Prime Contractor with copy to Subcontractor and to authorities having jurisdiction.

4. Submitting a final report of special tests and inspections at Substantial Completion, that includes a list of unresolved deficiencies.

5. Interpreting tests and inspections and stating in each report whether tested and inspected work complies with or deviates from the Contract Documents.

6. Retesting and re-inspecting corrected work.

PART 2 - PART 2 - PRODUCTS (Not Used)

PART 3 - PART 3 - EXECUTION

1.1 TEST AND INSPECTION LOG

A. Prepare a record of tests and inspections. Include the following:

1. Date test or inspection was conducted. 2. Description of the Work tested or inspected. 3. Date test or inspection results were transmitted to Architect. 4. Identification of testing agency or special inspector conducting test or inspection.



B. Maintain log at Project site. Post changes and modifications as they occur. Provide access to test and inspection log for Prime Contractor’s reference during normal working hours.

1.2 REPAIR AND PROTECTION

A. General: On completion of testing, inspecting, sample taking, and similar services, repair damaged construction and restore substrates and finishes.

1. Provide materials and comply with installation requirements specified in other Specification Sections. Restore patched areas and extend restoration into adjoining areas with durable seams that are as invisible as possible.

2. Comply with General Requirements Section “Cutting and Patching”.

B. Protect construction exposed by or for quality-control service activities.

C. Repair and protection are Subcontractor's responsibility, regardless of the assignment of responsibility for quality-control services.

D. Subcontractor shall be entirely and solely responsible for the proper care and protection of all materials furnished, and/or work performed under this Contract. He shall take all precautions, which may be necessary to protect such materials or work against damage in any form or theft, until the acceptance of the finished work by Customer.

E. Such precautions shall not relieve said Subcontractor from making good and replacing any and all work or materials damaged for any cause.



REFERENCES 014200-1

SECTION 014200 - REFERENCES

PART 1 - GENERAL

1.1 DEFINITIONS

A. General: Basic Contract definitions are included in the Conditions of the Contract.

B. "Directed": A command or instruction by Prime Contractor. Other terms including "requested," "authorized," "selected," "required," and "permitted" have the same meaning as "directed."

C. "Indicated": Requirements expressed by graphic representations or in written form on Drawings, in Specifications, and in other Contract Documents. Other terms including "shown," "noted," "scheduled," and "specified" have the same meaning as "indicated."

D. "Regulations": Laws, ordinances, statutes, and lawful orders issued by authorities having jurisdiction, and rules, conventions, and agreements within the construction industry that control performance of the Work.

E. "Furnish": Supply and deliver to Project site, ready for unloading, unpacking, assembly, installation, and similar operations.

F. "Install": Operations at Project site including unloading, temporarily storing, unpacking, assembling, erecting, placing, anchoring, applying, working to dimension, finishing, curing, protecting, cleaning, and similar operations.

G. "Provide": Furnish and install, complete and ready for the intended use.

H. "Project Site": Space available for performing construction activities. The extent of Project site is shown on Drawings and may or may not be identical with the description of the land on which Project is to be built.

1.2 INDUSTRY STANDARDS

A. Applicability of Standards: Unless the Contract Documents include more stringent requirements, applicable construction industry standards have the same force and effect as if bound or copied directly into the Contract Documents to the extent referenced. Such standards are made a part of the Contract Documents by reference.

B. Publication Dates: Comply with standards in effect as of date of the Contract Documents unless otherwise indicated.

C. Copies of Standards: Each entity engaged in construction on Project should be familiar with industry standards applicable to its construction activity. Copies of applicable standards are not bound with the Contract Documents.


REFERENCES 014200-2

1. Where copies of standards are needed to perform a required construction activity, obtain copies directly from publication source.

1.3 ABBREVIATIONS AND ACRONYMS

A. Industry Organizations: Where abbreviations and acronyms are used in Specifications or other Contract Documents, they shall mean the recognized name of the entities indicated in Thomson Gale's "Encyclopedia of Associations" or in Columbia Books' "National Trade & Professional Associations of the U.S."

B. Industry Organizations: Where abbreviations and acronyms are used in Specifications or other Contract Documents, they shall mean the recognized name of the entities in the following list.

AA Aluminum Association (The) AABC Associated Air Balance Council AAMA American Architectural Manufacturers Association AASHTO American Association of State Highway and Transportation Officials AATCC American Association of Textile Chemists and Colorists ABAA Air Barrier Association of America ABMA American Bearing Manufacturers Association ACI American Concrete Institute ACPA American Concrete Pipe Association AEIC Association of Edison Illuminating Companies, Inc. (The) AF&PA American Forest & Paper Association AGA American Gas Association AHAM Association of Home Appliance Manufacturers AHRI Air-Conditioning, Heating, and Refrigeration Institute, The AI Asphalt Institute AIA American Institute of Architects (The) AISC American Institute of Steel Construction AISI American Iron and Steel Institute


REFERENCES 014200-3

AITC American Institute of Timber Construction ALSC American Lumber Standard Committee, Incorporated AMCA Air Movement and Control Association International, Inc. ANSI American National Standards Institute AOSA Association of Official Seed Analysts, Inc. APA APA - The Engineered Wood Association APA Architectural Precast Association API American Petroleum Institute ARI Air-Conditioning & Refrigeration Institute ARMA Asphalt Roofing Manufacturers Association ASCE American Society of Civil Engineers ASCE/SEI American Society of Civil Engineers/Structural Engineering Institute (See ASCE) ASHRAE American Society of Heating, Refrigerating and Air-Conditioning Engineers ASME ASME International (American Society of Mechanical Engineers International) ASSE American Society of Sanitary Engineering ASTM ASTM International (American Society for Testing and Materials International) ATIS Alliance for Telecommunications Industry Solutions AWCMA American Window Covering Manufacturers Association (Now WCMA) AWCI Association of the Wall and Ceiling Industry AWI Architectural Woodwork Institute AWPA American Wood Protection Association (Formerly: American Wood Preservers' Association) AWS American Welding Society AWWA American Water Works Association


REFERENCES 014200-4

BHMA Builders Hardware Manufacturers Association BIA Brick Industry Association (The) BICSI BICSI, Inc. BIFMA BIFMA International (Business and Institutional Furniture Manufacturer's Association International) BISSC Baking Industry Sanitation Standards Committee CCC Carpet Cushion Council CDA Copper Development Association CEA Canadian Electricity Association CEA Consumer Electronics Association CFFA Chemical Fabrics & Film Association, Inc. CGA Compressed Gas Association CIMA Cellulose Insulation Manufacturers Association CISCA Ceilings & Interior Systems Construction Association CISPI Cast Iron Soil Pipe Institute CLFMI Chain Link Fence Manufacturers Institute CPA Composite Panel Association CRI Carpet and Rug Institute (The) CRRC Cool Roof Rating Council CRSI Concrete Reinforcing Steel Institute CRRC Cool Roof Rating Council CSA Canadian Standards Association CSA CSA International (Formerly: IAS - International Approval Services) CSI Construction Specifications Institute (The) CSSB Cedar Shake & Shingle Bureau


REFERENCES 014200-5

CTI Cooling Technology Institute (Formerly: Cooling Tower Institute) DHI Door and Hardware Institute ECA Electrical Components Association EIA Electronic Industries Alliance EIMA EIFS Industry Members Association EJCDC Engineers Joint Contract Documents Committee EJMA Expansion Joint Manufacturers Association, Inc. ESD ESD Association (Electrostatic Discharge Association) ETL SEMCO Intertek ETL SEMCO (Formerly: ITS - Intertek Testing Service NA) FIBA Federation Internationale de Basketball (The International Basketball Federation) FIVB Federation Internationale de Volleyball (The International Volleyball Federation) FM Approvals FM Approvals LLC FM Global FM Global (Formerly: FMG - FM Global) FRSA Florida Roofing, Sheet Metal & Air Conditioning Contractors Association, Inc. FSA Fluid Sealing Association FSC Forest Stewardship Council GA Gypsum Association GANA Glass Association of North America GRI (Part of GSI) GS Green Seal GSI Geosynthetic Institute HI Hydronics Institute


REFERENCES 014200-6

HI/GAMA Hydronics Institute/Gas Appliance Manufacturers Association Division of Air-Conditioning, Heating, and Refrigeration Institute (AHRI) HMMA Hollow Metal Manufacturers Association (Part of NAAMM) HPVA Hardwood Plywood & Veneer Association HPW H. P. White Laboratory, Inc. IAPSC International Association of Professional Security Consultants ICBO International Conference of Building Officials ICEA Insulated Cable Engineers Association, Inc. ICRI International Concrete Repair Institute, Inc. ICPA International Cast Polymer Association IEC International Electrotechnical Commission IEEE Institute of Electrical and Electronics Engineers, Inc. (The) IES Illuminating Engineering Society of North America IEST Institute of Environmental Sciences and Technology IGMA Insulating Glass Manufacturers Alliance ILI Indiana Limestone Institute of America, Inc. ISA Instrumentation, Systems, and Automation Society, The ISO International Organization for Standardization ISSFA International Solid Surface Fabricators Association ITS Intertek Testing Service NA (Now ETL SEMCO) ITU International Telecommunication Union KCMA Kitchen Cabinet Manufacturers Association LGSEA Light Gauge Steel Engineers Association LMA Laminating Materials Association (Now part of CPA)


REFERENCES 014200-7

LPI Lightning Protection Institute MBMA Metal Building Manufacturers Association MCA Metal Construction Association MFMA Maple Flooring Manufacturers Association, Inc. MFMA Metal Framing Manufacturers Association, Inc. MH Material Handling (Now MHIA) MHIA Material Handling Industry of America MIA Marble Institute of America MPI Master Painters Institute MSS Manufacturers Standardization Society of The Valve and Fittings Industry Inc. NAAMM National Association of Architectural Metal Manufacturers NACE NACE International (National Association of Corrosion Engineers International) NADCA National Air Duct Cleaners Association NAGWS National Association for Girls and Women in Sport NAIMA North American Insulation Manufacturers Association NBGQA National Building Granite Quarries Association, Inc. NCAA National Collegiate Athletic Association (The) NCMA National Concrete Masonry Association NCTA National Cable & Telecommunications Association NEBB National Environmental Balancing Bureau NECA National Electrical Contractors Association NeLMA Northeastern Lumber Manufacturers' Association NEMA National Electrical Manufacturers Association NETA InterNational Electrical Testing Association


REFERENCES 014200-8

NFHS National Federation of State High School Associations NFPA NFPA (National Fire Protection Association) NFRC National Fenestration Rating Council NGA National Glass Association NHLA National Hardwood Lumber Association NLGA National Lumber Grades Authority NOFMA NOFMA: The Wood Flooring Manufacturers Association (Formerly: National Oak Flooring Manufacturers Association) NOMMA National Ornamental & Miscellaneous Metals Association NRCA National Roofing Contractors Association NRMCA National Ready Mixed Concrete Association NSF NSF International (National Sanitation Foundation International) NSSGA National Stone, Sand & Gravel Association NTMA National Terrazzo & Mosaic Association, Inc. (The) NWFA National Wood Flooring Association PCI Precast/Prestressed Concrete Institute PDI Plumbing & Drainage Institute PGI PVC Geomembrane Institute PTI Post-Tensioning Institute RCSC Research Council on Structural Connections RFCI Resilient Floor Covering Institute RIS Redwood Inspection Service SAE SAE International SCAQMD South Coast Air Quality Management District


REFERENCES 014200-9

SCTE Society of Cable Telecommunications Engineers SDI Steel Deck Institute SDI Steel Door Institute SEFA Scientific Equipment and Furniture Association SEI/ASCE Structural Engineering Institute/American Society of Civil Engineers (See ASCE) SIA Security Industry Association SJI Steel Joist Institute SMA Screen Manufacturers Association SMACNA Sheet Metal and Air Conditioning Contractors' National Association SMPTE Society of Motion Picture and Television Engineers SPFA Spray Polyurethane Foam Alliance (Formerly: SPI/SPFD - The Society of the Plastics Industry, Inc.; Spray

Polyurethane Foam Division) SPIB Southern Pine Inspection Bureau (The) SPRI Single Ply Roofing Industry SSINA Specialty Steel Industry of North America SSPC SSPC: The Society for Protective Coatings STI Steel Tank Institute SWI Steel Window Institute SWPA Submersible Wastewater Pump Association TCA Tilt-Up Concrete Association TCNA Tile Council of North America, Inc. TEMA Tubular Exchanger Manufacturers Association TIA/EIA Telecommunications Industry Association/Electronic Industries Alliance TMS The Masonry Society


REFERENCES 014200-10

TPI Truss Plate Institute, Inc. TPI Turfgrass Producers International TRI Tile Roofing Institute UL Underwriters Laboratories Inc. UNI Uni-Bell PVC Pipe Association USAV USA Volleyball USGBC U.S. Green Building Council USITT United States Institute for Theatre Technology, Inc. WASTEC Waste Equipment Technology Association WCLIB West Coast Lumber Inspection Bureau WCMA Window Covering Manufacturers Association WDMA Window & Door Manufacturers Association (Formerly: NWWDA - National Wood Window and Door Association) WI Woodwork Institute (Formerly: WIC - Woodwork Institute of California) WMMPA Wood Moulding & Millwork Producers Association WSRCA Western States Roofing Contractors Association WWPA Western Wood Products Association

C. Code Agencies: Where abbreviations and acronyms are used in Specifications or other Contract Documents, they shall mean the recognized name of the entities in the following list.

DIN Deutsches Institut fur Normung e.V. IAPMO International Association of Plumbing and Mechanical Officials ICC International Code Council ICC-ES ICC Evaluation Service, Inc.

D. Federal Government Agencies: Where abbreviations and acronyms are used in Specifications or other Contract Documents, they shall mean the recognized name of the entities in the following list.



COE Army Corps of Engineers CPSC Consumer Product Safety Commission DOC Department of Commerce DOD Department of Defense DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FCC Federal Communications Commission FDA Food and Drug Administration GSA General Services Administration HUD Department of Housing and Urban Development LBL Lawrence Berkeley National Laboratory NCHRP National Cooperative Highway Research Program (See TRB) NIST National Institute of Standards and Technology OSHA Occupational Safety & Health Administration PBS Public Buildings Service (See GSA) PHS Office of Public Health and Science RUS Rural Utilities Service (See USDA) SD State Department TRB Transportation Research Board USDA Department of Agriculture USP U.S. Pharmacopeia USPS Postal Service



E. Standards and Regulations: Where abbreviations and acronyms are used in Specifications or other Contract Documents, they shall mean the recognized name of the standards and regulations in the following list.

ADAAG Americans with Disabilities Act (ADA) Architectural Barriers Act (ABA) Accessibility Guidelines for Buildings and Facilities Available from U.S. Access Board

CFR Code of Federal Regulations Available from Government Printing Office DOD Department of Defense Military Specifications and Standards Available from Department of Defense Single Stock Point DSCC Defense Supply Center Columbus (See FS) FED-STD Federal Standard (See FS) FS Federal Specification Available from Department of Defense Single Stock Point Available from Defense Standardization Program Available from General Services Administration Available from National Institute of Building Sciences FTMS Federal Test Method Standard (See FS) MIL (See MILSPEC) MIL-STD (See MILSPEC) MILSPEC Military Specification and Standards Available from Department of Defense Single Stock Point UFAS Uniform Federal Accessibility Standards Available from Access Board

F. State Government Agencies: Where abbreviations and acronyms are used in Specifications or other Contract Documents, they shall mean the recognized name of the entities in the following list.

DCA State of New Jersey Department of Community Affairs


PRDOUCT REQUIREMENTS 016000-1

SECTION 016000 - PRODUCT REQUIREMENTS

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for selection of products for use in Project; product delivery, storage, and handling; manufacturers' standard warranties on products; special warranties; and comparable products.

1.2 DEFINITIONS

A. Products: Items obtained for incorporating into the Work, whether purchased for Project or taken from previously purchased stock. The term "product" includes the terms "material," "equipment," "system," and terms of similar intent.

1. Named Products: Items identified by manufacturer's product name, including make or model number or other designation shown or listed in manufacturer's published product literature that is current as of date of the Contract Documents.

2. New Products: Items that have not previously been incorporated into another project or facility. Products salvaged or recycled from other projects are not considered new products.

3. Comparable Product: Product that is demonstrated and approved through submittal process to have the indicated qualities related to type, function, dimension, in-service performance, physical properties, appearance, and other characteristics that equal or exceed those of specified product.

B. Basis-of-Design Product Specification: A specification in which a specific manufacturer's product is named and accompanied by the words "basis-of-design product," including make or model number or other designation, to establish the significant qualities related to type, function, dimension, in-service performance, physical properties, appearance, and other characteristics for purposes of evaluating comparable products of additional manufacturers named in the specification.


A. Comparable Product Requests: Submit request for consideration of each comparable product. Identify product or fabrication or installation method to be replaced. Include Specification Section number and title and Drawing numbers and titles.

1. Prime Contractor's Action: If necessary, Prime Contractor will request additional information or documentation for evaluation within one week of receipt of a comparable product request. Prime Contractor will notify Subcontractor of approval or rejection of proposed comparable product request within 15 days of receipt of request, or seven days of receipt of additional information or documentation, whichever is later.



a. Form of Approval: As specified in Section 013300 "Submittal Procedures." b. Use product specified if Prime Contractor does not issue a decision on use of a

comparable product request within time allocated.

B. Basis-of-Design Product Specification Submittal: Comply with requirements in Section 013300 "Submittal Procedures." Show compliance with requirements.


A. Compatibility of Options: If Subcontractor is given option of selecting between two or more products for use on Project, select product compatible with products previously selected, even if previously selected products were also options.

1.5 PRODUCT DELIVERY, STORAGE, AND HANDLING

A. Deliver, store, and handle products using means and methods that will prevent damage, deterioration, and loss, including theft and vandalism. Comply with manufacturer's written instructions.

B. Delivery and Handling:

1. Schedule delivery to minimize long-term storage at Project site and to prevent overcrowding of construction spaces.

2. Coordinate delivery with installation time to ensure minimum holding time for items that are flammable, hazardous, easily damaged, or sensitive to deterioration, theft, and other losses.

3. Deliver products to Project site in an undamaged condition in manufacturer's original sealed container or other packaging system, complete with labels and instructions for handling, storing, unpacking, protecting, and installing.

4. Inspect products on delivery to determine compliance with the Contract Documents and to determine that products are undamaged and properly protected.

C. Storage:

1. Store products to allow for inspection and measurement of quantity or counting of units. 2. Store materials in a manner that will not endanger Project structure. 3. Store products that are subject to damage by the elements, under cover in a weather tight

enclosure above ground, with ventilation adequate to prevent condensation. 4. Protect foam plastic from exposure to sunlight, except to extent necessary for period of

installation and concealment. 5. Comply with product manufacturer's written instructions for temperature, humidity,

ventilation, and weather-protection requirements for storage. 6. Protect stored products from damage and liquids from freezing.

1.6 PRODUCT WARRANTIES

A. Warranties specified in other Sections shall be in addition to, and run concurrent with, other warranties required by the Contract Documents. Manufacturer's disclaimers and limitations on



product warranties do not relieve Subcontractor of obligations under requirements of the Contract Documents.

1. Manufacturer's Warranty: Written warranty furnished by individual manufacturer for a particular product and specifically endorsed by manufacturer to Customer.

2. Special Warranty: Written warranty required by the Contract Documents to provide specific rights for Customer.

B. Special Warranties: Prepare a written document that contains appropriate terms and identification, ready for execution.

1. Manufacturer's Standard Form: Modified to include Project-specific information and properly executed.

2. Specified Form: When specified forms are included with the Specifications, prepare a written document using indicated form properly executed.

3. Refer to other Sections for specific content requirements and particular requirements for submitting special warranties.

C. Submittal Time: Comply with requirements in Section 017700 "Closeout Procedures."

PART 2 - PRODUCTS

1.1 PRODUCT SELECTION PROCEDURES

A. General Product Requirements: Provide products that comply with the Contract Documents, are undamaged and, unless otherwise indicated, are new at time of installation.

1. Provide products complete with accessories, trim, finish, fasteners, and other items needed for a complete installation and indicated use and effect.

2. Standard Products: If available, and unless custom products or nonstandard options are specified, provide standard products of types that have been produced and used successfully in similar situations on other projects.

3. Prime Contractor reserves the right to limit selection to products with warranties not in conflict with requirements of the Contract Documents.

4. Where products are accompanied by the term "as selected," Prime Contractor will make selection.

5. Descriptive, performance, and reference standard requirements in the Specifications establish salient characteristics of products.

B. Product Selection Procedures:

1. Product: Where Specifications name a single manufacturer and product, provide the named product that complies with requirements. Comparable products or substitutions for Subcontractor's convenience will not be considered.

2. Manufacturer/Source: Where Specifications name a single manufacturer or source, provide a product by the named manufacturer or source that complies with requirements. Comparable products or substitutions for Subcontractor's convenience will not be considered.

3. Products:



a. Restricted List: Where Specifications include a list of names of both manufacturers and products, provide one of the products listed that complies with requirements. Comparable products or substitutions for Subcontractor's convenience will not be considered unless otherwise indicated.

b. Nonrestricted List: Where Specifications include a list of names of both available manufacturers and products, provide one of the products listed, or an unnamed product, that complies with requirements. Comply with requirements in "Comparable Products" Article for consideration of an unnamed product.

4. Manufacturers:

a. Restricted List: Where Specifications include a list of manufacturers' names, provide a product by one of the manufacturers listed that complies with requirements. Comparable products or substitutions for Subcontractor's convenience will not be considered unless otherwise indicated.

b. Nonrestricted List: Where Specifications include a list of available manufacturers, provide a product by one of the manufacturers listed, or a product by an unnamed manufacturer, that complies with requirements. Comply with requirements in "Comparable Products" Article for consideration of an unnamed manufacturer's product.

5. Basis-of-Design Product: Where Specifications name a product, or refer to a product indicated on Drawings, and include a list of manufacturers, provide the specified or indicated product or a comparable product by one of the other named manufacturers. Drawings and Specifications indicate sizes, profiles, dimensions, and other characteristics that are based on the product named. Comply with requirements in "Comparable Products" Article for consideration of an unnamed product by one of the other named manufacturers.

1.2 COMPARABLE PRODUCTS

A. Conditions for Consideration: Prime Contractor will consider Subcontractor's request for comparable product when the following conditions are satisfied. If the following conditions are not satisfied, Prime Contractor may return requests without action, except to record noncompliance with these requirements:

1. Evidence that the proposed product does not require revisions to the Contract Documents, that it is consistent with the Contract Documents and will produce the indicated results, and that it is compatible with other portions of the Work.

2. Detailed comparison of significant qualities of proposed product with those named in the Specifications. Significant qualities include attributes such as performance, weight, size, durability, visual effect, and specific features and requirements indicated.

3. Evidence that proposed product provides specified warranty. 4. List of similar installations for completed projects with project names and addresses and

names and addresses of Engineers and owners, if requested. 5. Samples, if requested.

EXECUTION (Not Used)



EXECUTION 017300-1

SECTION 017300 - EXECUTION

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes general administrative and procedural requirements governing execution of the Work including, but not limited to, the following:

1. Construction layout. 2. Field engineering and surveying. 3. Installation of the Work. 4. Cutting and patching. 5. Progress cleaning. 6. Starting and adjusting. 7. Protection of installed construction. 8. Correction of the Work.


1. Section 011000 "Summary" for limits on use of Project site. 2. Section 017700 "Closeout Procedures" for submitting final property survey with Project

Record Documents, recording of Customer-accepted deviations from indicated lines and levels, and final cleaning.


A. Cutting and Patching: Comply with requirements for and limitations on cutting and patching of construction elements.

1. Structural Elements: When cutting and patching structural elements, notify Prime Contractor of locations and details of cutting and await directions from Prime Contractor before proceeding. Shore, brace, and support structural element during cutting and patching. Do not cut and patch structural elements in a manner that could change their load-carrying capacity or increase deflection

2. Visual Elements: Do not cut and patch construction in a manner that results in visual evidence of cutting and patching. Do not cut and patch exposed construction in a manner that would, in Prime Contractor’s opinion, reduce the building's aesthetic qualities. Remove and replace construction that has been cut and patched in a visually unsatisfactory manner.


EXECUTION 017300-2

PART 2 - PRODUCTS

1.1 MATERIALS

A. In-Place Materials: Use materials for patching identical to in-place materials. For exposed surfaces, use materials that visually match in-place adjacent surfaces to the fullest extent possible.

1. If identical materials are unavailable or cannot be used, use materials that, when installed, will provide a match acceptable to Prime Contractor for the visual and functional performance of in-place materials.

PART 3 - EXECUTION

1.1 EXAMINATION

A. Examination and Acceptance of Conditions: Before proceeding with each component of the Work, examine substrates, areas, and conditions, with Installer or Applicator present where indicated, for compliance with requirements for installation tolerances and other conditions affecting performance. Record observations.

1. Examine roughing-in for mechanical and electrical systems to verify actual locations of connections before equipment and fixture installation.

2. Examine walls, floors, and roofs for suitable conditions where products and systems are to be installed.

3. Verify compatibility with and suitability of substrates, including compatibility with existing finishes or primers.

B. Proceed with installation only after unsatisfactory conditions have been corrected. Proceeding with the Work indicates acceptance of surfaces and conditions.

1.2 PREPARATION

A. Field Measurements: Take field measurements as required to fit the Work properly. Recheck measurements before installing each product. Where portions of the Work are indicated to fit to other construction, verify dimensions of other construction by field measurements before fabrication. Coordinate fabrication schedule with construction progress to avoid delaying the Work.

B. Space Requirements: Verify space requirements and dimensions of items shown diagrammatically on Drawings.

C. Review of Contract Documents and Field Conditions: Immediately on discovery of the need for clarification of the Contract Documents caused by differing field conditions outside the control of Subcontractor, submit a request for information to Prime Contractor according to requirements in Section 013100 "Project Management and Coordination."


EXECUTION 017300-3

1.3 INSTALLATION

A. General: Locate the Work and components of the Work accurately, in correct alignment and elevation, as indicated.

1. Make vertical work plumb and make horizontal work level. 2. Where space is limited, install components to maximize space available for maintenance

and ease of removal for replacement. 3. Conceal pipes, ducts, and wiring in finished areas unless otherwise indicated.

B. Comply with manufacturer's written instructions and recommendations for installing products in applications indicated.

C. Install products at the time and under conditions that will ensure the best possible results. Maintain conditions required for product performance until Substantial Completion.

D. Conduct construction operations so no part of the Work is subjected to damaging operations or loading in excess of that expected during normal conditions of occupancy.

E. Sequence the Work and allow adequate clearances to accommodate movement of construction items on site and placement in permanent locations.

F. Tools and Equipment: Do not use tools or equipment that produce harmful noise levels.

G. Templates: Obtain and distribute to the parties involved templates for work specified to be factory prepared and field installed. Check Shop Drawings of other work to confirm that adequate provisions are made for locating and installing products to comply with indicated requirements.

H. Attachment: Provide blocking and attachment plates and anchors and fasteners of adequate size and number to securely anchor each component in place, accurately located and aligned with other portions of the Work. Where size and type of attachments are not indicated, verify size and type required for load conditions.

1. Mounting Heights: Where mounting heights are not indicated, mount components at heights directed by Prime Contractor.

2. Allow for building movement, including thermal expansion and contraction. 3. Coordinate installation of anchorages. Furnish setting drawings, templates, and directions

for installing anchorages, including sleeves, concrete inserts, anchor bolts, and items with integral anchors, that are to be embedded in concrete or masonry. Deliver such items to Project site in time for installation.

I. Hazardous Materials: Use products, cleaners, and installation materials that are not considered hazardous.

1.4 CUTTING AND PATCHING

A. Cutting and Patching, General: Employ skilled workers to perform cutting and patching. Proceed with cutting and patching at the earliest feasible time, and complete without delay.


EXECUTION 017300-4

1. Cut in-place construction to provide for installation of other components or performance of other construction, and subsequently patch as required to restore surfaces to their original condition.

B. Existing Warranties: Remove, replace, patch, and repair materials and surfaces cut or damaged during installation or cutting and patching operations, by methods and with materials so as not to void existing warranties.

C. Temporary Support: Provide temporary support of work to be cut.

D. Protection: Protect in-place construction during cutting and patching to prevent damage. Provide protection from adverse weather conditions for portions of Project that might be exposed during cutting and patching operations.

E. Adjacent Occupied Areas: Avoid interference with use of adjoining areas or interruption of free passage to adjoining areas.

F. Existing Utility Services and Mechanical/Electrical Systems: Where existing services/systems are required to be removed, relocated, or abandoned, bypass such services/systems before cutting to minimize interruption to occupied areas.

G. Cutting: Cut in-place construction by sawing, drilling, breaking, chipping, grinding, and similar operations, including excavation, using methods least likely to damage elements retained or adjoining construction. If possible, review proposed procedures with original Installer; comply with original Installer's written recommendations.

1. In general, use hand or small power tools designed for sawing and grinding, not hammering and chopping. Cut holes and slots neatly to minimum size required, and with minimum disturbance of adjacent surfaces. Temporarily cover openings when not in use.

2. Finished Surfaces: Cut or drill from the exposed or finished side into concealed surfaces. 3. Concrete and Masonry: Cut using a cutting machine, such as an abrasive saw or a diamond-

core drill. 4. Excavating and Backfilling: Comply with requirements in applicable Sections where

required by cutting and patching operations. 5. Mechanical and Electrical Services: Cut off pipe or conduit in walls or partitions to be

removed. Cap, valve, or plug and seal remaining portion of pipe or conduit to prevent entrance of moisture or other foreign matter after cutting.

6. Proceed with patching after construction operations requiring cutting are complete.

H. Patching: Patch construction by filling, repairing, refinishing, closing up, and similar operations following performance of other work. Patch with durable seams that are as invisible as practicable. Provide materials and comply with installation requirements specified in other Sections, where applicable.

1. Inspection: Where feasible, test and inspect patched areas after completion to demonstrate physical integrity of installation.

2. Exposed Finishes: Restore exposed finishes of patched areas and extend finish restoration into retained adjoining construction in a manner that will minimize evidence of patching and refinishing.


EXECUTION 017300-5

3. Floors and Walls: Where walls or partitions that are removed extend one finished area into another, patch and repair floor and wall surfaces in the new space. Provide an even surface of uniform finish, color, texture, and appearance. Remove in-place floor and wall coverings and replace with new materials, if necessary, to achieve uniform color and appearance.

4. Ceilings: Patch, repair, or rehang in-place ceilings as necessary to provide an even-plane surface of uniform appearance.

5. Exterior Building Enclosure: Patch components in a manner that restores enclosure to a weather tight condition and ensures thermal and moisture integrity of building enclosure.

I. Cleaning: Clean areas and spaces where cutting and patching are performed. Remove paint, mortar, oils, putty, and similar materials from adjacent finished surfaces.

1.5 PROGRESS CLEANING

A. General: Clean Project site and work areas daily, including common areas. Enforce requirements strictly. Dispose of materials lawfully.

1. Comply with requirements in NFPA 241 for removal of combustible waste materials and debris.

2. Do not hold waste materials more than seven days during normal weather or three days if the temperature is expected to rise above 80 deg F.

3. Containerize hazardous and unsanitary waste materials separately from other waste. Mark containers appropriately and dispose of legally, according to regulations.

B. Site: Maintain Project site free of waste materials and debris.

C. Work Areas: Clean areas where work is in progress to the level of cleanliness necessary for proper execution of the Work.

1. Remove liquid spills promptly. 2. Where dust would impair proper execution of the Work, broom-clean or vacuum the entire

work area, as appropriate.

D. Installed Work: Keep installed work clean. Clean installed surfaces according to written instructions of manufacturer or fabricator of product installed, using only cleaning materials specifically recommended. If specific cleaning materials are not recommended, use cleaning materials that are not hazardous to health or property and that will not damage exposed surfaces.

E. Concealed Spaces: Remove debris from concealed spaces before enclosing the space.

F. Exposed Surfaces in Finished Areas: Clean exposed surfaces and protect as necessary to ensure freedom from damage and deterioration at time of Substantial Completion.

G. Waste Disposal: Do not bury or burn waste materials on-site. Do not wash waste materials down sewers or into waterways.


EXECUTION 017300-6

H. During handling and installation, clean and protect construction in progress and adjoining materials already in place. Apply protective covering where required to ensure protection from damage or deterioration at Substantial Completion.

I. Clean and provide maintenance on completed construction as frequently as necessary through the remainder of the construction period. Adjust and lubricate operable components to ensure operability without damaging effects.

J. Limiting Exposures: Supervise construction operations to assure that no part of the construction, completed or in progress, is subject to harmful, dangerous, damaging, or otherwise deleterious exposure during the construction period.

1.6 STARTING AND ADJUSTING

A. Start equipment and operating components to confirm proper operation. Remove malfunctioning units, replace with new units, and retest.

B. Adjust equipment for proper operation. Adjust operating components for proper operation without binding.

C. Test each piece of equipment to verify proper operation. Test and adjust controls and safeties. Replace damaged and malfunctioning controls and equipment.

D. Manufacturer's Field Service: Comply with qualification requirements in Section 014000 "Quality Requirements"

1.7 PROTECTION OF INSTALLED CONSTRUCTION

A. Provide final protection and maintain conditions that ensure installed Work is without damage or deterioration at time of Substantial Completion.

B. Comply with manufacturer's written instructions for temperature and relative humidity.



CONSTRUCTION WASTE MANAGEMENT AND DISPOSAL 017419-1

SECTION 017419 - CONSTRUCTION WASTE MANAGEMENT AND DISPOSAL

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for the following: 1. Disposing of nonhazardous demolition and construction waste.

1.2 DEFINITIONS

A. Construction Waste: Building and site improvement materials and other solid waste resulting from construction, remodeling, renovation, or repair operations. Construction waste includes packaging.

B. Demolition Waste: Building and site improvement materials resulting from demolition or selective demolition operations.

C. Disposal: Removal off-site of demolition and construction waste and subsequent sale, recycling, reuse, or deposit in landfill or incinerator acceptable to authorities having jurisdiction.

D. Recycle: Recovery of demolition or construction waste for subsequent processing in preparation for reuse.

E. Salvage: Recovery of demolition or construction waste and subsequent sale or reuse in another facility.

F. Salvage and Reuse: Recovery of demolition or construction waste and subsequent incorporation into the Work.


A. Waste Management Plan: Submit plan within 30 days of date established for the Notice to Proceed.

1.4 WASTE MANAGEMENT PLAN

A. General: Develop a waste management plan according to ASTM E 1609 and requirements in this Section. Plan shall consist of waste identification, waste reduction work plan, and cost/revenue analysis. Distinguish between demolition and construction waste. Indicate quantities by weight or volume, but use same units of measure throughout waste management plan.

B. Waste Identification: Indicate anticipated types and quantities of demolition and construction waste generated by the Work. Include estimated quantities and assumptions for estimates.


CONSTRUCTION WASTE MANAGEMENT AND DISPOSAL 017419-2


PART 3 - EXECUTION

1.1 PLAN IMPLEMENTATION

A. General: Implement approved waste management plan. Provide handling, containers, storage, signage, transportation, and other items as required to implement waste management plan during the entire duration of the Contract.

B. Training: Train workers, subcontractors, and suppliers on proper waste management procedures, as appropriate for the Work occurring at Project site.

1. Distribute waste management plan to everyone concerned within three days of submittal return.

2. Distribute waste management plan to entities when they first begin work on-site. Review plan procedures and locations established for salvage, recycling, and disposal.

C. Site Access and Temporary Controls: Conduct waste management operations to ensure minimum interference with roads, streets, walks, walkways, and other adjacent occupied and used facilities.

1. Designate and label specific areas on Project site necessary for separating materials that are to be salvaged, recycled, reused, donated, and sold.

1.2 DISPOSAL OF WASTE

A. General: Except for items or materials to be salvaged, recycled, or otherwise reused, remove waste materials from Project site and legally dispose of them in a landfill or incinerator acceptable to authorities having jurisdiction.

1. Except as otherwise specified, do not allow waste materials that are to be disposed of accumulate on-site.

2. Remove and transport debris in a manner that will prevent spillage on adjacent surfaces and areas.

B. Burning: Do not burn waste materials.

C. Disposal: Remove waste materials from Customer’s property and legally dispose of them.

1.3 SAMPLE FORMS (Not Used)



CLOSEOUT PROCEDURES 017700-1

SECTION 017700 - CLOSEOUT PROCEDURES

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for contract closeout, including, but not limited to, the following:

1. Substantial Completion procedures. 2. Final completion procedures. 3. Warranties. 4. Final cleaning. 5. Repair of the Work.


1. Section 017823 "Operation and Maintenance Data" for operation and maintenance manual requirements.

2. Section 017839 "Project Record Documents" for submitting record Drawings, record Specifications, and record Product Data.

3. Section 017900 "Demonstration and Training" for requirements for instructing Owner's personnel.


A. Subcontractor's List of Incomplete Items: Initial submittal at Substantial Completion.

B. Certified List of Incomplete Items: Final submittal at Final Completion.

1.3 CLOSEOUT SUBMITTALS

A. Certificates of Release: From authorities having jurisdiction.

B. Certificate of Insurance: For continuing coverage.

C. Field Report: For pest control inspection.

1.4 MAINTENANCE MATERIAL SUBMITTALS

A. Schedule of Maintenance Material Items: For maintenance material submittal items specified in other Sections.



1.5 SUBSTANTIAL COMPLETION PROCEDURES

A. Subcontractor's List of Incomplete Items: Prepare and submit a list of items to be completed and corrected (Subcontractor's punch list), indicating the value of each item on the list and reasons why the Work is incomplete.

B. Submittals Prior to Substantial Completion: Complete the following a minimum of 10 days prior to requesting inspection for determining date of Substantial Completion. List items below that are incomplete at time of request.

1. Certificates of Release: Obtain and submit releases from authorities having jurisdiction permitting Customer unrestricted use of the Work and access to services and utilities. Include occupancy permits, operating certificates, and similar releases.

2. Submit closeout submittals specified in other Division 01 Sections, including project record documents, operation and maintenance manuals, final completion construction photographic documentation, damage or settlement surveys, property surveys, and similar final record information.

3. Submit closeout submittals specified in individual Sections, including specific warranties, workmanship bonds, maintenance service agreements, final certifications, and similar documents.

4. Submit maintenance material submittals specified in individual Sections, including tools, spare parts, extra materials, and similar items, and deliver to location designated by Prime Contractor. Label with manufacturer's name and model number where applicable.

a. Schedule of Maintenance Material Items: Prepare and submit schedule of maintenance material submittal items, including name and quantity of each item and name and number of related Specification Section. Obtain Prime Contractor's signature for receipt of submittals.

5. Submit test/adjust/balance records. 6. Submit changeover information related to Customer’s occupancy, use, operation, and

maintenance.

C. Procedures Prior to Substantial Completion: Complete the following a minimum of 10 days prior to requesting inspection for determining date of Substantial Completion. List items below that are incomplete at time of request.

1. Advise Customer of pending insurance changeover requirements. 2. Complete startup and testing of systems and equipment. 3. Perform preventive maintenance on equipment used prior to Substantial Completion. 4. Instruct Customer’s personnel in operation, adjustment, and maintenance of products,

equipment, and systems. Submit demonstration and training video recordings specified in Section 017900 "Demonstration and Training."

5. Terminate and remove temporary facilities from Project site, along with construction tools, and similar elements.

6. Complete final cleaning requirements, including touchup painting. 7. Touch up and otherwise repair and restore marred exposed finishes to eliminate visual

defects.



D. Inspection: Submit a written request for inspection to determine Substantial Completion a minimum of 10 days prior to date the work will be completed and ready for final inspection and tests. On receipt of request, Prime Contractor will either proceed with inspection or notify Subcontractor of unfulfilled requirements. Prime Contractor will prepare the Certificate of Substantial Completion after inspection or will notify Subcontractor of items, either on Subcontractor's list or additional items identified by Prime Contractor, that must be completed or corrected before certificate will be issued.

1. Reinspection: Request reinspection when the Work identified in previous inspections as incomplete is completed or corrected.

2. Results of completed inspection will form the basis of requirements for final completion.

1.6 FINAL COMPLETION PROCEDURES

A. Preliminary Procedures: Before requesting final inspection for determining final completion, complete the following:

1. Submit a final Application for Payment according to Form A "Subcontractor’s Application and Certificate for Payment”

2. Certified List of Incomplete Items: Submit certified copy of Prime Contractor's Substantial Completion inspection list of items to be completed or corrected (punch list), endorsed and dated by Prime Contractor. Certified copy of the list shall state that each item has been completed or otherwise resolved for acceptance.

3. Certificate of Insurance: Submit evidence of final, continuing insurance coverage complying with insurance requirements.

4. Instruct Customer’s personnel in operation, adjustment, and maintenance of products, equipment, and systems.

B. Inspection: Submit a written request for final inspection to determine acceptance. On receipt of request, Prime Contractor will either proceed with inspection or notify Subcontractor of unfulfilled requirements. Prime Contractor will prepare a final Certificate for Payment after inspection or will notify Subcontractor of construction that must be completed or corrected before certificate will be issued.

1. Reinspection: Request reinspection when the Work identified in previous inspections as incomplete is completed or corrected.

1.7 LIST OF INCOMPLETE ITEMS (PUNCH LIST)

A. Organization of List: Include name and identification of each space and area affected by construction operations for incomplete items and items needing correction including, if necessary, areas disturbed by Subcontractor that are outside the limits of construction.

1. Organize list of spaces in sequential order, starting with exterior areas first and proceeding from lowest floor to highest floor.

2. Organize items applying to each space by major element, including categories for ceiling, individual walls, floors, equipment, and building systems.

3. Submit list of incomplete items in the following format:



a. Three paper copies unless otherwise indicated. Prime Contractor will return two

copies.

1.8 SUBMITTAL OF PROJECT WARRANTIES

A. Time of Submittal: Submit written warranties on request of Prime Contractor for designated portions of the Work where commencement of warranties other than date of Substantial Completion is indicated, or when delay in submittal of warranties might limit Customer’s rights under warranty.

B. Organize warranty documents into an orderly sequence based on the table of contents of the Project Manual.

1. Bind warranties and bonds in heavy-duty, three-ring, vinyl-covered, loose-leaf binders, thickness as necessary to accommodate contents, and sized to receive 8-1/2-by-11-inch paper.

2. Provide heavy paper dividers with plastic-covered tabs for each separate warranty. Mark tab to identify the product or installation. Provide a typed description of the product or installation, including the name of the product and the name, address, and telephone number of Installer.

3. Identify each binder on the front and spine with the typed or printed title "WARRANTIES," Project name, and name of Subcontractor.

4. Warranty Electronic File: Scan warranties and bonds and assemble complete warranty and bond submittal package into a single indexed electronic PDF file with links enabling navigation to each item. Provide bookmarked table of contents at beginning of document.

C. Provide additional copies of each warranty to include in operation and maintenance manuals.

PART 2 - PRODUCTS

1.1 MATERIALS

A. Cleaning Agents: Use cleaning materials and agents recommended by manufacturer or fabricator of the surface to be cleaned. Do not use cleaning agents that are potentially hazardous to health or property or that might damage finished surfaces.

1. Use cleaning products that comply with Green Seal's GS-37, or if GS-37 is not applicable, use products that comply with the California Code of Regulations maximum allowable VOC levels.



PART 3 - EXECUTION

1.1 FINAL CLEANING

A. General: Perform final cleaning. Conduct cleaning and waste-removal operations to comply with local laws and ordinances and Federal and local environmental and antipollution regulations.

B. Cleaning: Employ experienced workers or professional cleaners for final cleaning. Clean each surface or unit to condition expected in an average commercial building cleaning and maintenance program. Comply with manufacturer's written instructions.

1. Complete the following cleaning operations before requesting inspection for certification of Substantial Completion for entire Project or for a designated portion of Project:

a. Clean Project site, yard, and grounds, in areas disturbed by construction activities, including landscape development areas, of rubbish, waste material, litter, and other foreign substances.

b. Sweep paved areas broom clean. Remove petrochemical spills, stains, and other foreign deposits.

c. Rake grounds that are neither planted nor paved to a smooth, even-textured surface. d. Remove tools, construction equipment, machinery, and surplus material from

Project site. e. Remove snow and ice to provide safe access to building. f. Clean exposed exterior and interior hard-surfaced finishes to a dirt-free condition,

free of stains, films, and similar foreign substances. Avoid disturbing natural weathering of exterior surfaces. Restore reflective surfaces to their original condition.

g. Remove debris and surface dust from limited access spaces, including roofs, plenums, shafts, trenches, equipment vaults, manholes, attics, and similar spaces.

h. Sweep concrete floors broom clean in unoccupied spaces. i. Vacuum carpet and similar soft surfaces, removing debris and excess nap; clean

according to manufacturer's recommendations if visible soil or stains remain. j. Clean transparent materials, including mirrors and glass in doors and windows.

Remove glazing compounds and other noticeable, vision-obscuring materials. Replace chipped or broken glass and other damaged transparent materials. Polish mirrors and glass, taking care not to scratch surfaces.

k. Remove labels that are not permanent. l. Wipe surfaces of mechanical and electrical equipment and similar equipment.

Remove excess lubrication, paint and mortar droppings, and other foreign substances.

m. Replace disposable air filters and clean permanent air filters. Clean exposed surfaces of diffusers, registers, and grills.

n. Clean light fixtures, lamps, globes, and reflectors to function with full efficiency. o. Leave Project clean and ready for occupancy.



1.2 REPAIR OF THE WORK

A. Complete repair and restoration operations before requesting inspection for determination of Substantial Completion.

B. Repair or remove and replace defective construction. Repairing includes replacing defective parts, refinishing damaged surfaces, touching up with matching materials, and properly adjusting operating equipment. Where damaged or worn items cannot be repaired or restored, provide replacements. Remove and replace operating components that cannot be repaired. Restore damaged construction and permanent facilities used during construction to specified condition.

1. Remove and replace chipped, scratched, and broken glass, reflective surfaces, and other damaged transparent materials.

2. Touch up and otherwise repair and restore marred or exposed finishes and surfaces. Replace finishes and surfaces that that already show evidence of repair or restoration.

a. Do not paint over "UL" and other required labels and identification, including mechanical and electrical nameplates. Remove paint applied to required labels and identification.

3. Replace parts subject to operating conditions during construction that may impede operation or reduce longevity.

4. Replace burned-out bulbs, bulbs noticeably dimmed by hours of use, and defective and noisy starters in fluorescent fixtures to comply with requirements for new fixtures.



OPERATION AND MAINTENANCE DATA 017823-1

SECTION 017823 - OPERATION AND MAINTENANCE DATA

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for preparing operation and maintenance manuals, including the following:

1. Operation and maintenance documentation directory. 2. Operation manuals for systems, subsystems, and equipment. 3. Product maintenance manuals. 4. Systems and equipment maintenance manuals.


A. Manual Content: Operations and maintenance manual content is specified in individual Specification Sections to be reviewed at the time of Section submittals. Submit reviewed manual content formatted and organized as required by this Section.

1. Prime Contractor will comment on whether content of operations and maintenance submittals are acceptable.

2. Where applicable, clarify and update reviewed manual content to correspond to revisions and field conditions.

B. Format: Submit operations and maintenance manuals in the following format:

1. Three paper copies. Include a complete operation and maintenance directory. Enclose title pages and directories in clear plastic sleeves. Prime Contractor will return two copies.

C. Manual Submittal: Submit each manual in final form prior to requesting inspection for Substantial Completion and at least 15 days before commencing demonstration and training. Prime Contractor will return copy with comments.

1. Correct or revise each manual to comply with Prime Contractor’s comments. Submit copies of each corrected manual within 15 days of receipt of Prime Contractor's comments and prior to commencing demonstration and training.

PART 2 - PRODUCTS

1.1 REQUIREMENTS FOR OPERATION, AND MAINTENANCE MANUALS

A. Directory: Prepare a single, comprehensive directory of emergency, operation, and maintenance data and materials, listing items and their location to facilitate ready access to desired information.



B. Organization: Unless otherwise indicated, organize each manual into a separate section for each system and subsystem, and a separate section for each piece of equipment not part of a system. Each manual shall contain the following materials, in the order listed:

1. Title page. 2. Table of contents. 3. Manual contents.

C. Title Page: Include the following information:

1. Subject matter included in manual. 2. Name and address of Project. 3. Name and address of Customer. 4. Date of submittal. 5. Name and contact information for Subcontractor. 6. Name and contact information for Prime Contractor. 7. Names and contact information for major consultants to the Prime Contractor that designed

the systems contained in the manuals. 8. Cross-reference to related systems in other operation and maintenance manuals.

D. Table of Contents: List each product included in manual, identified by product name, indexed to the content of the volume, and cross-referenced to Specification Section number in Project Manual.

E. Manual Contents: Organize into sets of manageable size. Arrange contents alphabetically by system, subsystem, and equipment. If possible, assemble instructions for subsystems, equipment, and components of one system into a single binder.

F. Manuals, Paper Copy: Submit manuals in the form of hard copy, bound and labeled volumes.

1. Binders: Heavy-duty, three-ring, vinyl-covered, loose-leaf binders, in thickness necessary to accommodate contents, sized to hold 8-1/2-by-11-inch paper; with clear plastic sleeve on spine to hold label describing contents and with pockets inside covers to hold folded oversize sheets.

a. Identify each binder on front and spine, with printed title "OPERATION AND MAINTENANCE MANUAL," Project title or name and subject matter of contents. Indicate volume number for multiple-volume sets.

2. Dividers: Heavy-paper dividers with plastic-covered tabs for each section of the manual. Mark each tab to indicate contents. Include typed list of products and major components of equipment included in the section on each divider, cross-referenced to Specification Section number and title of Project Manual.

3. Protective Plastic Sleeves: Transparent plastic sleeves designed to enclose diagnostic software storage media for computerized electronic equipment.

4. Drawings: Attach reinforced, punched binder tabs on drawings and bind with text.

a. If oversize drawings are necessary, fold drawings to same size as text pages and use as foldouts.



b. If drawings are too large to be used as foldouts, fold and place drawings in labeled envelopes and bind envelopes in rear of manual. At appropriate locations in manual, insert typewritten pages indicating drawing titles, descriptions of contents, and drawing locations.

1.2 OPERATION MANUALS

A. Content: In addition to requirements in this Section, include operation data required in individual Specification Sections and the following information:

1. System, subsystem, and equipment descriptions. Use designations for systems and equipment indicated on Contract Documents.

2. Performance and design criteria if Contractor is delegated design responsibility. 3. Operating standards. 4. Operating procedures. 5. Operating logs. 6. Wiring diagrams. 7. Control diagrams. 8. Piped system diagrams. 9. Precautions against improper use. 10. License requirements including inspection and renewal dates.

B. Descriptions: Include the following:

1. Product name and model number. Use designations for products indicated on Contract Documents.

2. Manufacturer's name. 3. Equipment identification with serial number of each component. 4. Equipment function. 5. Operating characteristics. 6. Limiting conditions. 7. Performance curves. 8. Engineering data and tests. 9. Complete nomenclature and number of replacement parts.

C. Operating Procedures: Include the following, as applicable:

1. Startup procedures. 2. Equipment or system break-in procedures. 3. Routine and normal operating instructions. 4. Regulation and control procedures. 5. Instructions on stopping. 6. Normal shutdown instructions. 7. Seasonal and weekend operating instructions. 8. Required sequences for electric or electronic systems. 9. Special operating instructions and procedures.

D. Systems and Equipment Controls: Describe the sequence of operation, and diagram controls as installed.



E. Piped Systems: Diagram piping as installed, and identify color-coding where required for identification.

1.3 PRODUCT MAINTENANCE MANUALS

A. Content: Organize manual into a separate section for each product, material, and finish. Include source information, product information, maintenance procedures, repair materials and sources, and warranties and bonds, as described below.

B. Source Information: List each product included in manual, identified by product name and arranged to match manual's table of contents. For each product, list name, address, and telephone number of Installer or supplier and maintenance service agent, and cross-reference Specification Section number and title in Project Manual.

C. Product Information: Include the following, as applicable:

1. Product name and model number. 2. Manufacturer's name. 3. Color, pattern, and texture. 4. Material and chemical composition. 5. Reordering information for specially manufactured products.

D. Maintenance Procedures: Include manufacturer's written recommendations and the following:

1. Inspection procedures. 2. Types of cleaning agents to be used and methods of cleaning. 3. List of cleaning agents and methods of cleaning detrimental to product. 4. Schedule for routine cleaning and maintenance. 5. Repair instructions.

E. Repair Materials and Sources: Include lists of materials and local sources of materials and related services.

F. Warranties and Bonds: Include copies of warranties and bonds and lists of circumstances and conditions that would affect validity of warranties or bonds.

1.4 SYSTEMS AND EQUIPMENT MAINTENANCE MANUALS

A. Content: For each system, subsystem, and piece of equipment not part of a system, include source information, manufacturers' maintenance documentation, maintenance procedures, maintenance and service schedules, spare parts list and source information, maintenance service contracts, and warranty and bond information, as described below.

B. Source Information: List each system, subsystem, and piece of equipment included in manual, identified by product name and arranged to match manual's table of contents. For each product, list name, address, and telephone number of Installer or supplier and maintenance service agent, and cross-reference Specification Section number and title in Project Manual.



C. Manufacturers' Maintenance Documentation: Manufacturers' maintenance documentation including the following information for each component part or piece of equipment:

1. Standard maintenance instructions and bulletins. 2. Drawings, diagrams, and instructions required for maintenance, including disassembly and

component removal, replacement, and assembly. 3. Identification and nomenclature of parts and components. 4. List of items recommended to be stocked as spare parts.

D. Maintenance Procedures: Include the following information and items that detail essential maintenance procedures:

1. Test and inspection instructions. 2. Troubleshooting guide. 3. Precautions against improper maintenance. 4. Disassembly; component removal, repair, and replacement; and reassembly instructions. 5. Aligning, adjusting, and checking instructions. 6. Demonstration and training video recording, if available.

E. Maintenance and Service Schedules: Include service and lubrication requirements, list of required lubricants for equipment, and separate schedules for preventive and routine maintenance and service with standard time allotment.

F. Spare Parts List and Source Information: Include lists of replacement and repair parts, with parts identified and cross-referenced to manufacturers' maintenance documentation and local sources of maintenance materials and related services.

G. Maintenance Service Contracts: Include copies of maintenance agreements with name and telephone number of service agent.

H. Warranties and Bonds: Include copies of warranties and bonds and lists of circumstances and conditions that would affect validity of warranties or bonds.

PART 3 - EXECUTION

1.1 MANUAL PREPARATION

A. Operation and Maintenance Manuals: Assemble a complete set of operation and maintenance data indicating operation and maintenance of each system, subsystem, and piece of equipment not part of a system.

B. Manufacturers' Data: Where manuals contain manufacturers' standard printed data, include only sheets pertinent to product or component installed. Mark each sheet to identify each product or component incorporated into the Work. If data include more than one item in a tabular format, identify each item using appropriate references from the Contract Documents. Identify data applicable to the Work and delete references to information not applicable.



C. Drawings: Prepare drawings supplementing manufacturers' printed data to illustrate the relationship of component parts of equipment and systems and to illustrate control sequence and flow diagrams. Coordinate these drawings with information contained in record Drawings to ensure correct illustration of completed installation.

1. Do not use original project record documents as part of operation and maintenance manuals.

D. Comply with Section 017700 "Closeout Procedures" for schedule for submitting operation and maintenance documentation.



PROJECT RECORD DOCUMENTS 017839-1

SECTION 017839 - PROJECT RECORD DOCUMENTS

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for project record documents, including the following:

1. Record Drawings. 2. Record Specifications. 3. Record Product Data.


1. Section 017823 "Operation and Maintenance Data" for operation and maintenance manual requirements.


A. Record Drawings: Comply with the following:

1. Number of Copies: Submit one set of marked-up record prints. 2. Number of Copies: Submit copies of record Drawings as follows:

a. Initial Submittal:

1) Submit one paper-copy set(s) of marked-up record prints. 2) Prime Contractor will indicate whether general scope of changes, additional

information recorded, and quality of drafting are acceptable.

b. Final Submittal:

1) Submit PDF electronic files of scanned record prints and one set of prints. 2) Print each drawing, whether or not changes and additional information were

recorded.

B. Record Specifications: Submit one paper copy and annotated PDF electronic files of Project's Specifications, including addenda and contract modifications.

C. Record Product Data: Submit one paper copy of each submittal.



PART 2 - PRODUCTS

1.1 RECORD DRAWINGS

A. Record Prints: Maintain one set of marked-up paper copies of the Contract Drawings and Shop Drawings, incorporating new and revised Drawings as modifications are issued.

1. Preparation: Mark record prints to show the actual installation where installation varies from that shown originally. Require individual or entity who obtained record data, whether individual or entity is Installer, subcontractor, or similar entity, to provide information for preparation of corresponding marked-up record prints.

a. Give particular attention to information on concealed elements that would be difficult to identify or measure and record later.

b. Record data as soon as possible after obtaining it. c. Record and check the markup before enclosing concealed installations.

2. Mark the Contract Drawings and Shop Drawings completely and accurately. Use personnel proficient at recording graphic information in production of marked-up record prints.

3. Mark record sets with erasable, red-colored pencil. Use other colors to distinguish between changes for different categories of the Work at same location.

4. Note Construction Change Directive numbers, alternate numbers, Change Order numbers, and similar identification, where applicable.

B. Format: Identify and date each record Drawing; include the designation "PROJECT RECORD DRAWING" in a prominent location.

1. Record Prints: Organize record prints and newly prepared record Drawings into manageable sets. Bind each set with durable paper cover sheets. Include identification on cover sheets.

2. Format: Annotated PDF electronic file. 3. Record Digital Data Files: Organize digital data information into separate electronic files

that correspond to each sheet of the Contract Drawings. Name each file with the sheet identification. Include identification in each digital data file.

4. Identification: As follows:

a. Project name. b. Date. c. Designation "PROJECT RECORD DRAWINGS." d. Name of Prime Contractor. e. Name of Subcontractor.

1.2 RECORD SPECIFICATIONS

A. Preparation: Mark Specifications to indicate the actual product installation where installation varies from that indicated in Specifications, addenda, and contract modifications.



1. Give particular attention to information on concealed products and installations that cannot be readily identified and recorded later.

2. Mark copy with the proprietary name and model number of products, materials, and equipment furnished, including substitutions and product options selected.

3. Record the name of manufacturer, supplier, Installer, and other information necessary to provide a record of selections made.

4. Note related Change Orders and record Drawings where applicable.

B. Format: Submit record Specifications as paper copy and scanned PDF electronic file(s) of marked-up paper copy of Specifications.

1.3 RECORD PRODUCT DATA

A. Preparation: Mark Product Data to indicate the actual product installation where installation varies substantially from that indicated in Product Data submittal.

1. Give particular attention to information on concealed products and installations that cannot be readily identified and recorded later.

2. Include significant changes in the product delivered to Project site and changes in manufacturer's written instructions for installation.

3. Note related Change Orders and record Drawings where applicable.

B. Format: Submit record Product Data as paper copy.

PART 3 - EXECUTION

1.1 RECORDING AND MAINTENANCE

A. Recording: Maintain one copy of each submittal during the construction period for project record document purposes. Post changes and revisions to project record documents as they occur; do not wait until end of Project.

B. Maintenance of Record Documents and Samples: Store record documents and Samples in the field office apart from the Contract Documents used for construction. Do not use project record documents for construction purposes. Maintain record documents in good order and in a clean, dry, legible condition, protected from deterioration and loss. Provide access to project record documents for Engineer's and Construction Manager's reference during normal working hours.



DEMONSTRATION AND TRAINING 017900-1

SECTION 017900 - DEMONSTRATION AND TRAINING

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for instructing Customer’s personnel, including the following:

1. Demonstration of operation of systems, subsystems, and equipment. 2. Training in operation and maintenance of systems, subsystems, and equipment. 3. Demonstration and training video recordings.


A. Instruction Program: Submit outline of instructional program for demonstration and training, including a list of training modules and a schedule of proposed dates, times, length of instruction time, and instructors' names for each training module. Include learning objective and outline for each training module.

1. Indicate proposed training modules using manufacturer-produced demonstration and training video recordings for systems, equipment, and products in lieu of video recording of live instructional module.


A. Demonstration and Training Video Recordings: Submit two copies within seven days of end of each training module.

1. At completion of training, submit complete training manual(s) for Customer’s use in PDF electronic file format on compact disc.


A. Instructor Qualifications: A factory-authorized service representative, complying with requirements in Section 014000 "Quality Requirements," experienced in operation and maintenance procedures and training.

B. Preinstruction Conference: Conduct conference at Project site to comply with requirements in Section 013100 "Project Management and Coordination." Review methods and procedures related to demonstration and training.



1.5 COORDINATION

A. Coordinate instruction schedule with Customer’s operations. Adjust schedule as required to minimize disrupting Customer’s operations and to ensure availability of Customer’s personnel.

B. Coordinate content of training modules with content of approved emergency, operation, and maintenance manuals. Do not submit instruction program until operation and maintenance data has been reviewed and approved by Prime Contractor.

PART 2 - PRODUCTS

1.1 INSTRUCTION PROGRAM

A. Program Structure: Develop an instruction program that includes individual training modules for each system and for equipment not part of a system, as required by individual Specification Sections.

B. Training Modules: Develop a learning objective and teaching outline for each module. Include a description of specific skills and knowledge that participant is expected to master. For each module, include instruction for the following as applicable to the system, equipment, or component:

1. Basis of System Design, Operational Requirements, and Criteria: Include the following:

a. System, subsystem, and equipment descriptions. b. Performance and design criteria if Contractor is delegated design responsibility. c. Operating standards. d. Regulatory requirements. e. Equipment function. f. Operating characteristics. g. Limiting conditions. h. Performance curves.

2. Documentation: Review the following items in detail:

a. Emergency manuals. b. Operations manuals. c. Maintenance manuals. d. Project record documents. e. Identification systems. f. Warranties and bonds. g. Maintenance service agreements and similar continuing commitments.

3. Emergencies: Include the following, as applicable:

a. Instructions on meaning of warnings, trouble indications, and error messages. b. Instructions on stopping. c. Shutdown instructions for each type of emergency.



d. Operating instructions for conditions outside of normal operating limits. e. Sequences for electric or electronic systems. f. Special operating instructions and procedures.

4. Operations: Include the following, as applicable:

a. Startup procedures. b. Equipment or system break-in procedures. c. Routine and normal operating instructions. d. Regulation and control procedures. e. Control sequences. f. Safety procedures. g. Instructions on stopping. h. Normal shutdown instructions. i. Operating procedures for emergencies. j. Operating procedures for system, subsystem, or equipment failure. k. Seasonal and weekend operating instructions. l. Required sequences for electric or electronic systems. m. Special operating instructions and procedures.

5. Adjustments: Include the following:

a. Alignments. b. Checking adjustments. c. Noise and vibration adjustments. d. Economy and efficiency adjustments.

6. Troubleshooting: Include the following:

a. Diagnostic instructions. b. Test and inspection procedures.

7. Maintenance: Include the following:

a. Inspection procedures. b. Types of cleaning agents to be used and methods of cleaning. c. List of cleaning agents and methods of cleaning detrimental to product. d. Procedures for routine cleaning e. Procedures for preventive maintenance. f. Procedures for routine maintenance. g. Instruction on use of special tools.

8. Repairs: Include the following:

a. Diagnosis instructions. b. Repair instructions. c. Disassembly; component removal, repair, and replacement; and reassembly

instructions. d. Instructions for identifying parts and components. e. Review of spare parts needed for operation and maintenance.



PART 3 - EXECUTION

1.1 PREPARATION

A. Assemble educational materials necessary for instruction, including documentation and training module. Assemble training modules into a training manual organized in coordination with requirements in Section 017823 "Operation and Maintenance Data."

1.2 INSTRUCTION

A. Engage qualified instructors to instruct Customer’s personnel to adjust, operate, and maintain systems, subsystems, and equipment not part of a system. 1. Customer will furnish Subcontractor with names and positions of participants.

B. Scheduling: Provide instruction at mutually agreed on times. For equipment that requires seasonal operation, provide similar instruction at start of each season.

1. Schedule training with Customer through Prime Contractor with at least seven days' advance notice.

C. Training Location and Reference Material: Conduct training on-site in the completed and fully operational facility using the actual equipment in-place. Conduct training using final operation and maintenance data submittals.

D. Evaluation: At conclusion of each training module, assess and document each participant's mastery of module by use of a demonstration performance-based test.



HVAC WATER TREATMENT 232500-1

SECTION 232500 - HVAC WATER TREATMENT

PART 1 - GENERAL


A. Drawings and general provisions of the Contract, including General and Supplementary Conditions and Division 01 Specification Sections, apply to this Section.

1.2 SUMMARY

A. This Section includes the following HVAC water-treatment systems:

1. Bypass chemical-feed equipment and controls. 2. Chemical treatment test equipment. 3. HVAC water-treatment chemicals.

1.3 DEFINITIONS

A. RO: Reverse osmosis.

B. TDS: Total dissolved solids.

1.4 PERFORMANCE REQUIREMENTS

A. Water quality for HVAC systems shall minimize corrosion, scale buildup, and biological growth for optimum efficiency of HVAC equipment without creating a hazard to operating personnel or the environment.

B. Base HVAC water treatment on quality of water available at Project site, HVAC system equipment material characteristics and functional performance characteristics, and requirements and guidelines of authorities having jurisdiction.

C. Closed hydronic systems, including hot-water heating, shall have the following water qualities:

1. pH: Maintain a value within 9.0 to 10.5. 2. "P" Alkalinity: Maintain a value within 100 to 500 ppm. 3. Boron: Maintain a value within 100 to 200 ppm. 4. Closed System: Maintain system essentially free of scale, corrosion and fouling.

1.5 SUBMITTALS

A. Product Data: Include rated capacities; water-pressure drops; shipping, installed, and operating weights; and furnished products listed below:



1. Test equipment. 2. Chemicals. 3. Filters.

B. Shop Drawings: Detail equipment assemblies indicating dimensions, weights, loads, required clearances, method of field assembly, components, and location and size of each field connection.

C. Water Analysis: Submit a copy of the water analysis to illustrate water quality available at Project site.

D. Field Test Reports: Indicate and interpret test results for compliance with performance requirements.

E. Maintenance Data: For filters, and accessories to include in maintenance manuals.


A. Installer Qualifications: An experienced installer who is an authorized representative of the chemical treatment manufacturer for both installation and maintenance of chemical treatment equipment required for this Project.

1.7 MAINTENANCE

A. Scope of Service: Provide chemicals and service program for maintaining optimum conditions in the circulating water for inhibiting corrosion, scale, and organic growths in the heating, hot-water piping, condenser and Evaporative Cooler water piping and equipment. Services and chemicals shall be provided for a period of one year from date of Substantial Completion, including the following:

1. Initial water analysis and recommendations. 2. Startup assistance. 3. Periodic field service and consultation. 4. Customer report charts and log sheets. 5. Laboratory technical assistance. 6. Analyses and reports of all chemical items concerning safety and compliance with

government regulations.

1.8 EXTRA MATERIALS

A. Furnish extra materials described below that match products installed and that are packaged with protective covering for storage and identified with labels describing contents.

1. Chemicals: Furnish quantity equal to 25 percent of amount initially installed.



PART 2 - PRODUCTS

1.1 MANUFACTURERS

A. Available Manufacturers: Subject to compliance with requirements, manufacturers offering products that may be incorporated into the Work include, but are not limited to, the following, or equivalent.

1. HVAC Water-Treatment Products:

a. Aqua-Chem, Inc.; Cleaver-Brooks Div. b. Betz Dearborn, Inc. c. Calgon Corp., ECC International. d. DuBois Chemicals, Inc.; DuBois USA Subsidiary. e. Fluids Pumps & Controllers, Inc. f. Harmsco Industrial Filters. g. Nalco Chemical Co. h. Selick & Bird, Inc. i. Trane Boland Services; Water Treatment. j. Or approved equal.

1.2 CHEMICAL FEEDING EQUIPMENT

A. Bypass Feeders: Cast iron or steel, for introducing chemicals into system; with funnel shutoff valve on top, air-release valve on top, drain valve on bottom, and recirculating shutoff valves on sides.

1. Capacity: 5 gallons. 2. Working Pressure: 300 psig.

1.3 CHEMICAL TREATMENT TEST EQUIPMENT

A. Test Kit: Manufacturer recommended equipment and chemicals, in a carrying case, for testing pH, total dissolved solids, dissolved oxygen, biocount, chloride, and total alkalinity and for calcium hardness field tests.

B. Corrosion Test Coupon Assembly: Constructed of corrosion material, complete with piping, valves, and mild steel and copper coupons. Locate copper coupon downstream from mild steel coupon in the test coupon assembly.

1. Two-station rack for closed-loop systems.



1.4 CHEMICALS

A. Furnish chemicals recommended by water-treatment system manufacturer that are compatible with piping system components and connected equipment.

B. System Cleaner: Liquid alkaline compound with emulsifying agents and detergents to remove grease and petroleum products.

C. Biocide: Chlorine release agents or microbiocides.

D. Closed-Loop, Water Piping Chemicals: Sequestering agent to reduce deposits and adjust pH, corrosion inhibitors, and conductivity enhancers.

1.5 HOT-WATER FILTRATION UNIT

A. Filtration Unit: Stainless-steel housing and polypropylene filter with polypropylene core.

B. Replaceable Filter Media: Compatible with antifreeze and water-treatment chemicals.

C. Filter Media for Sediment Removal Service: Rated at 98 percent efficiency for 20-micrometer particulate.

D. Pressure Drop through the Filter Cartridge: Not to exceed 2 psig at design-flow rate when clean, and 4 psig when filter is dirty.

PART 3 - EXECUTION

1.1 WATER ANALYSIS

A. Perform an analysis of supply water to determine the type and quantities of chemical treatment needed to maintain the water quality as specified in "Performance Requirements" Article.

1.2 INSTALLATION

A. Provide isolation, bypass and drain valves per manufacturer’s recommendations, and as required to properly operate system.

B. Install treatment equipment level and plumb.

C. Add cleaning chemicals as recommended by manufacturer.

1.3 CONNECTIONS

A. Install piping adjacent to equipment to allow service and maintenance.



1.4 FIELD QUALITY CONTROL

A. Engage a factory-authorized service representative to perform startup service.

1. Inspect field-assembled components and equipment installation, including piping and valve connections. Report results in writing.

2. Inspect piping and equipment to determine that systems and equipment have been cleaned, flushed, and filled with water, and are fully operational before introducing chemicals for water-treatment system.

3. Place HVAC water-treatment system into operation during the preliminary phase of HVAC systems' startup procedures.

B. Test chemical feed piping as follows:

1. Do not enclose, cover, or put piping into operation until it is tested and satisfactory test results are achieved.

2. Test for leaks and defects. If testing is performed in segments, submit separate report for each test, complete with diagram of portion of piping tested.

3. Leave uncovered and unconcealed new, altered, extended, and replaced water piping until it has been tested and approved. Expose work that has been covered or concealed before it has been tested and approved.

4. Cap and subject piping to static water pressure of 50 psig above operating pressure, without exceeding pressure rating of piping system materials. Isolate test source and allow test pressure to stand for four hours. Leaks and loss in test pressure constitute defects.

5. Repair leaks and defects with new materials and retest piping until satisfactory results are obtained.

6. Prepare test reports, including required corrective action.

1.5 ADJUSTING

A. Sample boiler water at one-week intervals after boiler startup for a period of five weeks, and prepare certified test report for each required water performance characteristic. Where applicable, comply with ASTM D 3370 and the following standards:

1. Silica: ASTM D 859. 2. Acidity and Alkalinity: ASTM D 1067. 3. Iron: ASTM D 1068. 4. Water Hardness: ASTM D 1126.

B. Occupancy Adjustments: Within 12 months of Substantial Completion, perform two separate water analyses to prove that automatic chemical feed systems are maintaining water quality within performance requirements specified in this Section. Perform analyses at least 60 days apart. Submit written reports of water analysis.

1.6 DEMONSTRATION

A. Engage a factory-authorized service representative to train Owner's maintenance personnel to adjust, operate, and maintain HVAC water-treatment systems and equipment.



1. Train Owner's maintenance personnel on procedures and schedules for starting and stopping, troubleshooting, servicing, and maintaining equipment and schedules.

B. Review manufacturer's safety data sheets for handling of chemicals.

C. Review data in maintenance manuals, especially data on recommended parts inventory and supply sources and on availability of parts and service. Refer to Division 1 Section "Operation and Maintenance Data."

D. Schedule at least four hours of training with Owner, through Engineer, with at least seven (7) days' advance notice.



CONDENSING BOILERS 235216-1

SECTION 235216 – CONDENSING BOILERS

PART 1 - GENERAL


A. Drawings and general provisions of the Contract apply to this Section, including General and Supplementary Conditions and Division 01 Specification Sections.

1.2 SUMMARY

A. This Section includes packaged, factory-fabricated and assembled, gas-fired, fire-tube condensing boilers, trim and accessories for generating hot water.

1.3 SUBMITTALS

A. Product Data: Include performance data, operating characteristics, furnished specialties and accessories. 1. Prior to flue vent installation, engineered calculations and drawings must be submitted to

Architect/Engineer to thoroughly demonstrate that size and configuration conform to recommended size, length and footprint for each submitted boiler.

B. Efficiency Curves: At a minimum, submit efficiency curves for 100%, 50% and 7% input firing rates at incoming water temperatures ranging from 80°F to 160°F. Test protocols shall conform to AERCO’s AE-1 standards.

C. Pressure Drop Curve. Submit pressure drop curve for the following flow ranges per designated capacities below

1. 750-1000 MBH: 0-175 GPM

1500-2000 MBH: 0-350 GPM

2500-3000 MBH: 0-400 GPM

2. If submitted material is different from that of the design basis, boiler manufacture shall incur all costs associated with reselection of necessary pumps. Possible differences include, but are not limited to, the pump type, pump pad size, electrical characteristics and piping changes.

D. Shop Drawings: For boilers, boiler trim and accessories include:

1. Plans, elevations, sections, details and attachments to other work

2. Wiring Diagrams for power, signal and control wiring

E. Source Quality Control Test Reports: Reports shall be included in submittals.

F. Field Quality Control Test Reports: Reports shall be included in submittals.

G. Operation and Maintenance Data: Data to be included in boiler emergency, operation and maintenance manuals.



H. Warranty: Standard warranty specified in this Section

I. Other Informational Submittals:

1. ASME Stamp Certification and Report: Submit "H" stamp certificate of authorization, as required by authorities having jurisdiction, and document hydrostatic testing of piping external to boiler.


A. Electrical Components, Devices and Accessories: Boilers must be listed and labeled as defined in NFPA 70, Article 100, by a testing agency acceptable to authorities having jurisdiction, and marked for intended use.

B. I=B=R Performance Compliance: Condensing boilers must be rated in accordance with applicable federal testing methods and verified by AHRI as capable of achieving the energy efficiency and performance ratings as tested within prescribed tolerances.

C. ASME Compliance: Condensing boilers must be constructed in accordance with ASME Boiler and Pressure Vessel Code, Section IV “Heating Boilers”.

D. ASHRAE/IESNA 90.1 Compliance: Boilers shall have minimum efficiency according to "Gas and Oil Fired Boilers - Minimum Efficiency Requirements."

E. DOE Compliance: Minimum efficiency shall comply with 10 CFR 430, Subpart B, Appendix N, "Uniform Test Method for Measuring the Energy Consumption of Furnaces and Boilers."

F. UL Compliance: Boilers must be tested for compliance with UL 795, "Commercial-Industrial Gas Heating Equipment." Boilers shall be listed and labeled by a testing agency acceptable to authorities having jurisdiction.

G. NOx Emission Standards: When installed and operated in accordance with manufacturer’s instructions, the following condensing boiler models shall comply with the NOx emission standards outlined in South Coast Air Quality Management District (SCAQMD), Rule 1146.1; and the Texas Commission on Environmental Quality (TCEQ), Title 30, Chapter 117, and Rule 117.465 or the NOx emissions referenced below:

BMK750-2000, BMK5000-6000: 9 ppm NOx corrected to 3% oxygen at all firing rates when firing on natural gas

BMK2500-3000: 20 ppm NOx corrected to 3% oxygen at all firing rates when firing on natural gas

1.5 COORDINATION

A. Coordinate size and location of concrete bases. Cast anchor-bolt inserts into bases. Concrete, reinforcement and formwork requirements are specified on Drawings.



1.6 WARRANTY

A. Standard Warranty: Boilers shall include manufacturer's standard form in which manufacturer agrees to repair or replace components of boilers that fail in materials or workmanship within specified warranty period.

2. Warranty Period for Fire-Tube Condensing Boilers

a. The pressure vessel/heat exchanger shall carry a 15-year from shipment, non-prorated, limited warranty against any failure due to condensate corrosion, thermal stress, mechanical defects or workmanship.

b. The burner shall be conditionally guaranteed against any failure for (5) five years from shipment.

c. Manufacturer labeled control panels are conditionally warranted against failure for (3) three years from shipment.

d. All other components, with the exception of the igniter, flame detector and sensor, are conditionally guaranteed against any failure for (2) two years from shipment.

PART 2 - PRODUCTS

2.1 MANUFACTURERS

A. This specification is based on the Benchmark Platinum Series boilers as manufactured by AERCO International Inc. Equivalent units and manufacturers must meet all performance criteria, and will be considered upon prior approval.

B. Basis-of-Design Product: Subject to compliance with requirements, provide AERCO International, Benchmark Platinum Series Boiler Models:

1. BMK 750-3000 (750,000-3,000,000 BTU/hr input)

2.2 CONSTRUCTION

A. Description: Boiler shall be either natural gas, propane or dual fuel (nat. gas/propane; BMK1500-6000 models only) fired, fully condensing, fire tube design. Power burner shall have full modulation, discharge into a positive or negative pressure vent and the minimum firing rate shall not exceed the following per model:

BMK750-1000: 50,000 BTU/hr input

BMK1500: 75,000 BTU/hr input




Boilers that have an input greater than what is specified above at minimum fire will not be considered. Boiler efficiency shall increase with decreasing load (output), while maintaining



setpoint. Boiler shall be factory-fabricated, factory-assembled and factory-tested, fire-tube condensing boiler with heat exchanger sealed pressure-tight, built on a steel base, including insulated jacket, flue-gas vent, combustion-air intake connections, water supply, return and condensate drain connections, and controls.

B. Heat Exchanger: The heat exchanger shall be constructed of 439 stainless steel fire tubes and tubesheets, with a one-pass combustion gas flow design. The fire tubes shall be 1/2” or 5/8” OD, with no less than 0.049” wall thickness. The upper and lower stainless steel tubesheet shall be no less than 0.25” thick. The pressure vessel/heat exchanger shall be welded construction. The heat exchanger shall be ASME stamped for a working pressure not less than 150 psig. Access to the tubesheets and heat exchanger shall be available by burner and exhaust manifold removal. Minimum access opening shall be no less than 8-inch diameter.

C. Pressure Vessel: The pressure vessel shall have a maximum water volume per each model as listed below:

BMK750: 16.25 gallons (61.5 liters)

BMK1000: 14.25 gallons (54.9 liters)

BMK1500: 44 gallons (166.6 liters)




The boiler water pressure drop shall not exceed the following per model size:

BMK750-1000: 3 psig @ 100 gpm

BMK1500-2000: 3 psig @ 170 gpm

BMK2500: 3 psig @ 218 gpm

BMK3000: 3 psig @ 261 gpm

The boiler water connections shall be 3-inch (BMK750-1000), or 4-inch (BMK1500-3000) flanged 150-pound, ANSI rated. The pressure vessel shall be constructed of ASME SA53 carbon steel, with a 0.25-inch thick wall and 0.50-inch thick upper head. Inspection openings in the pressure vessel shall be in accordance with ASME Section IV pressure vessel code. The boiler shall be designed so that the thermal efficiency increases as the boiler firing rate decreases.

D Dual Returns: The boiler shall include dual return connections for low and high return temperature zones for added flexibility and thermal efficiency optimization. The boiler shall be able to handle a variety of flow splits and not have a minimum flow rate requirement through the low temperature return as long as the specified minimum flow of the boiler is met through the secondary high temperature return. Boilers without this feature from other manufacturers will be deemed unacceptable.

E. Modulating Air/Fuel Valve and Burner: The boiler burner shall be capable of up to 20-to-1 turndown ratio of the firing rate without loss of combustion efficiency or staging of gas valves. The burner shall not operate above 7.5% oxygen level or 55% excess air. The burner shall produce less than 20 ppm of NOx, under standard calibration, corrected to 3% excess oxygen when firing



on natural gas. The burner shall be metal-fiber mesh covering a stainless steel body with spark or proven pilot ignition and flame rectification. All burner material exposed to the combustion zone shall be of stainless steel construction. There shall be no moving parts within the burner itself. A modulating air/fuel valve shall meter the air and fuel input. The modulating motor must be linked to both the gas valve body and air valve body with a single linkage. The linkage shall not require any field adjustment. A variable speed cast aluminum pre-mix blower shall be used to ensure the optimum mixing of air and fuel between the air/fuel valve and the burner.

F. Minimum boiler efficiencies shall be as follows at a 20 degree delta-T:

EWT 100% Fire 50% Fire 7% Fire

160 °F 86.5% 87% 87%

140 °F 87% 87.5% 87.5%

120 °F 88.5% 89% 90%

100 °F 93.2% 94.5% 95.2%

80 °F 95.6% 96.8% 98.2%

G. Exhaust Manifold: The exhaust manifold shall be of corrosion resistant cast aluminum or 316 stainless steel with the following diameter flue connections:

BMK750-1500: 6 inch

BMK2000-3000: 8 inch

The exhaust manifold shall have a collecting reservoir and a gravity drain for the elimination of condensation.

H. Blower: The boiler shall include a variable-speed, DC centrifugal fan to operate during the burner firing sequence and pre-purge the combustion chamber.

1. Motor Sizes: Minimum size as indicated. If not indicated, large enough so driven load will not require a motor to operate in the service factor range above 1.0.

I. Ignition: Ignition shall be via spark or proven pilot ignition with 100 percent main-valve shutoff and electronic flame supervision.

J. The boiler shall be designed such that the combustion air is drawn from the inside of the boiler enclosure, decoupling it from the combustion air supply and preheating the air to increase efficiency.

K. Enclosure: The plastic and sheet metal enclosure shall be fully removable, allowing for easy access during servicing.

2.3 CONTROLS

A. The boiler control system shall be segregated into three components: “C-More” Control Panel, Power Panel and Input/Output Connection Box. The entire system shall be Underwriters Laboratories recognized.



B. The control panel shall consist of seven individual circuit boards using state-of-the-art surface-mount technology in a single enclosure. These circuit boards shall include: 1. A display board incorporating LED display to indicate temperature and a vacuum

fluorescent display module board for all message enunciation

2. A CPU board housing all control functions

3. An electric low-water cutoff board with test and manual reset functions

4. A power supply board

5. An ignition /stepper board incorporating flame safeguard control

6. A connector board

Each board shall be individually field replaceable.

C. The combustion safeguard/flame monitoring system shall use spark or proven pilot ignition and a rectification-type flame sensor.

D. The control panel hardware shall support RS-485 remote communications.

E. The controls shall annunciate boiler and sensor status and include extensive self-diagnostic capabilities that incorporate a minimum of eight separate status messages and 52 separate fault messages.

F. The control panel shall incorporate three self-governing features designed to enhance operation in external control modes. When operating by an external control signal, the control panel can work to eliminate nuisance faults, such as over-temperature, resulting from improper external signal or loss of external signal. These features include: 1. Setpoint High Limit: Setpoint high limit allows for a selectable maximum boiler outlet

temperature and acts as temperature limiting governor. Setpoint limit is based on a PID function that automatically limits firing rate to maintain outlet temperature within a 0 to 10 degree selectable band from the desired maximum boiler outlet temperature.

2. Setpoint Low Limit: Allow for a selectable minimum operating temperature.

3. Failsafe Mode: Failsafe mode allows the boiler to switch its mode to operate from an internal setpoint if its external control signal is lost, rather than shut off. This is a selectable mode, enabling the control can to shut off the unit upon loss of external signal, if so desired.

G. The boiler control system shall incorporate the following additional features for enhanced external system interface: 1. System start temperature feature

2. Pump delay timer

3. Auxiliary start delay timer

4. Auxiliary temperature sensor

5. Analog output feature to enable simple monitoring of temperature setpoint, outlet temperature or fire rate

6. Remote interlock circuit

7. Delayed interlock circuit

8. Fault relay for remote fault alarm



H. Each boiler shall include an electric, single-seated combination safety shutoff valve/regulator with proof of closure switch in its gas train. Each boiler shall incorporate dual over-temperature protection with manual reset, in accordance with ASME Section IV and CSD-1.

I. Each boiler shall be equipped with the patented AERtrim system, an advanced O₂-trim system for condensing boiler applications. The system shall utilize a low cost reliable automotive O₂ sensor that measures and monitors the oxygen content of the exhaust gases. The system shall adjust the blower speed to maintain optimal air-fuel ratios in the event of any site condition changes (air density, gas pressure, BTU content, etc.). The system shall have the following capabilities: 1. Self Diagnostics

a. System Status and Error Messages b. When excessive trimming is occurring c. When O₂ sensor has fallen out of calibration

2. Adjustable parameter settings a. O₂ target and range to meet site requirements b. Schedule daily or weekly self diagnostics

Output of O2 information shall be displayed on the C-More control panel.

The O₂ sensor shall be installed through the unit’s burner plate and measure the oxygen content directly within the unit’s combustion chamber.

Boilers without an equivalent O₂ trim will be deemed unacceptable. Due to the moisture content of flue gases from condensing boilers, placing the O₂ sensor in the exhaust manifold or stack will be deemed unacceptable.

J. Each boiler shall be OnAER ready with a standard Ethernet port and include a 5 year OnAER subscription at no additional charge. AERCO’s OnAER service grants the user online access to real time operation and status of their system plant from any computer, tablet or mobile device along with the following capabilities: 1. Efficiency status and trends 2. Savings calculator 3. Efficiency and performance optimization tips 4. Maintenance alerts and scheduling 5. Warning and error messages 6. Weekly or monthly performance and status reports 7. Manage multiple boiler plants or buildings 8. Customizable dashboard 9. Add email contacts for alerts and reports, including local AERCO trained technicians 10. Manage and store startup, maintenance and service documentation The boiler manufacturer shall be able to provide a network hub to connect up 8 boilers to an online network.

K. Each boiler shall have integrated Boiler Sequencing Technology (BST), capable of multi-unit sequencing with lead-lag functionality and parallel operation. The system will incorporate the following capabilities: 1. Efficiently sequence 2-to-8 units on the same system to meet load requirement.



2. Integrated control and wiring for seamless installation of optional isolation valve. When valves are utilized, the system shall operate one motorized valve per unit as an element of load sequencing. Valves shall close with decreased load as units turn off, minimum of one must always stay open for recirculation.

3. Automatically rotate lead/lag amongst the units on the chain and monitor run hours per unit and balance load in an effort to equalize unit run hours.

4. Option to manually designate lead and last boiler 5. Designated master control, used to display and adjust key system parameters. 6. Automatic bump-less transfer of master function to next unit on the chain in case of

designated master unit failure; master/slave status should be shown on the individual unit displays.

2.4 ELECTRICAL POWER

A. Controllers, Electrical Devices and Wiring: Electrical devices and connections are specified on drawings.

B. Single-Point Field Power Connection: Factory-installed and factory-wired switches, motor controllers, transformers and other electrical devices shall provide a single-point field power connection to the boiler.

C. Electrical Characteristics: Electrical

Specifications BMK750-2000 BMK2500-6000

Voltage 120 V 208 V

Phase 1 3

Frequency 60 Hz 60 Hz

Full Load Current 13-16 Amps 10-19 Amps

2.5 VENTING

A. The exhaust vent must be UL Listed for use with Category II, III and IV appliances and compatible with operating temperatures up to 230°F, condensing flue gas service. UL-listed vents of Al 29-4C stainless steel must be used with boilers.

See drawings for additional information.

B. The minimum exhaust vent duct size for each boiler is six-inch (BMK750-1500), or 8-inch (BMK2000-3000) diameter. Refer to drawings as the size may be larger.

C. Combustion-Air Intake: Boilers shall be capable of drawing combustion air from the outdoors via a metal or PVC duct connected between the boiler and the outdoors.

D. The minimum ducted combustion air duct size for each boiler is six-inch (BMK750-1500), or 8-inch (BMK2000-3000) diameter. Refer to drawings as the size may be larger.

E. Common vent and common combustion air must be an available option for boiler installation. Consult manufacturer for common vent and combustion air sizing.

F. Follow guidelines specified in manufacturer’s venting guide.



2.6 SOURCE QUALITY CONTROL

A. Burner and Hydrostatic Test: Factory adjust burner to eliminate excess oxygen, carbon dioxide, oxides of nitrogen emissions and carbon monoxide in flue gas, and to achieve combustion efficiency. Perform hydrostatic testing.

B. Test and inspect factory-assembled boilers, before shipping, according to ASME Boiler and Pressure Vessel Code.

1. If boilers are not factory assembled and fire-tested, the local vendor is responsible for all field assembly and testing.

C. Allow Owner access to source quality-control testing of boilers. Notify Engineer fourteen (14) days in advance of testing.

PART 3 - EXECUTION

3.1 EXAMINATION

A. Before boiler installation examine roughing-in for concrete equipment bases, anchor-bolt sizes and locations and piping and electrical connections to verify actual locations, sizes and other conditions affecting boiler performance, maintenance and operations. 1. Final boiler locations indicated on Drawings are approximate. Determine exact locations

before roughing-in for piping and electrical connections.

B. Examine mechanical spaces for suitable conditions where boilers will be installed.

C. Proceed with installation only after unsatisfactory conditions have been corrected.

3.2 BOILER INSTALLATION

A. Install boilers level on concrete bases. The pad height shall e a minimum of six inches (6”). Concrete materials and installation requirements are indicated on drawings.

B. Install gas-fired boilers according to NFPA 54.

C. Assemble and install boiler trim.

D. Install electrical devices furnished with boiler but not specified to be factory mounted.

E. Install control wiring to field-mounted electrical devices. 3.3 CONNECTIONS

A. Piping installation requirements are specified on drawings. Drawings indicate general arrangement of piping, fittings and specialties.



B. Install piping adjacent to boiler to permit service and maintenance.

C. Install piping from equipment drain connection to nearest floor drain. Piping shall be at least full size of connection. Provide an isolation valve if required. 1. Connect gas piping to boiler gas-train inlet with unions. Piping shall be at least full size of

gas train connection. Provide a reducer if required. 2. Connect hot-water piping to supply and return boiler tappings with shutoff valve and union

or flange at each connection. 3. Install piping from safety relief valves to nearest floor drain. 4. Boiler Venting

a. Install flue venting kit and combustion-air intake. b. Connect venting full size to boiler connections.

3.4 FIELD QUALITY CONTROL

A. Perform tests and inspections and prepare test reports. 1. Manufacturer’s Field Service: Engage a factory-authorized service representative to

inspect components, assemblies and equipment installations, including connections and to assist in testing.

B. Tests and Inspections

1. Perform installation and startup checks according to manufacturer's written instructions.

2. Perform hydrostatic test. Repair leaks and retest until no leaks exist.

3. Start units to confirm proper motor rotation and unit operation. Adjust air-fuel ratio and combustion.

4. Test and adjust controls and safeties. Replace damaged and malfunctioning controls and equipment.

a. Check and adjust initial operating set points and high- and low-limit safety set points of fuel supply, water level and water temperature.

b. Set field-adjustable switches and circuit-breaker trip ranges as indicated.

C. Remove and replace malfunctioning units and retest as specified above.

D. Occupancy Adjustments: When requested within 2 months of date of Substantial Completion, provide on-site assistance adjusting system to suit actual occupied conditions. Provide up to two visits to Project during other than normal occupancy hours for this purpose.

E. Performance Tests:

The boiler manufacturer is expected to provide partial load thermal efficiency curves. These thermal efficiency curves must include at least three separate curves at various BTU input levels. If these curves are not available, it is the responsibility of the boiler manufacturer to complete the following performance tests: 1. Engage a factory-authorized service representative to inspect component assemblies and

equipment installations, including connections, and to conduct performance testing.

2. Boilers shall comply with performance requirements indicated, as determined by field performance tests. Adjust, modify, or replace equipment to comply.



3. Perform field performance tests to determine capacity and efficiency of boilers.

a. Test for full capacity.

b. Test for boiler efficiency at [low fire, 20, 40, 60, 80, 100, 80, 60, 40 and 20] percent of full capacity. Determine efficiency at each test point.

4. Repeat tests until results comply with requirements indicated.

5. Provide analysis equipment required to determine performance.

6. Provide temporary equipment and system modifications necessary to dissipate the heat produced during tests if building systems are not adequate.

7. Notify Engineer in advance of test dates.

8. Document test results in a report and submit to Engineer.



COMBINED HEAT & POWER 483113-1

SECTION 483113 – COMBINED HEAT AND POWER (CHP) EQUIPMENT PART 1 - GENERAL REQUIREMENTS 1.1 RELATED DOCUMENTS Drawings are part of the bid package; see ECM-4. Work shall be coordinated with other projects and trades prior to installation to prevent interference and relocations. 1.2 SCOPE OF WORK Provide all labor, materials, equipment and incidentals required to furnish and install complete and fully operating combined heat and power system aka cogeneration system as shown on the Drawings and specified herein, but not limited to, the following:

1. 35kW Yanmar Cogeneration/CHP module with on board Dry cooler. 2. Natural-gas driven reciprocating EPA Certified engine with current year Certificate of

Conformity with the Clean Air Act, as issued by EPA. 3. Pump and Valve Modules 4. Thermal Load Modules 5. CHP Real-Time Remote Monitoring Adaptor 6. Real-Time System Motor Control Center and Devices 7. Power Distribution equipment including panel boards, circuit breakers, disconnect switches

and fuses. 8. Anti-Vibration Mounts 9. Installation of materials furnished by others where indicated.

1.1 SUBMITTALS

A. Comply with the requirements of the General Conditions as applicable. Provide six (6) copies or electronic document in PDF of all required submittals.

B. Uniformity, unless otherwise specified, equipment or materials of same type of classification shall be used for same purposes and shall be product of same manufacturer.

C. Provide submittals for the following products and/or systems:

1. Cogeneration Module 2. On Board (external) Dry cooler 3. Pump & Valve Modules 4. Thermal Load Modules 5. CHP Remote Monitoring Adaptor 6. System Controller 7. Current year Certificate of Conformity with the Clean Air Act, as issued by EPA.

1.2 PRODUCT DELIVERY, STORAGE AND HANDLING

A. Deliver products individually wrapped in factory-fabricated containers.



B. Handle products carefully to avoid damage to material components, enclosure and finish. Do not install damaged products, remove from project site.

C. Store products in a clean, dry space. Protect products from dirt, fumes, water and physical damage.

PART 2 - PRODUCTS 2.1 GENERAL MATERIALS

A. General materials shall be the manufacturer and model number indicated on the Drawings and as specified herein, or approved equal.

1. 35 kW YANMAR CHP Module CP35D1Z-TNUG (Black Out Start Unit)

B. CHP Module

1. Contractor shall, in accordance with the documents, furnish and install a packaged

CP35D1Z-TNUG CP system: Furnish packaged-type micro Cogeneration Package (CP). Each package shall consist of an internal combustion engine for use with natural gas and a permanent magnet generator rated at 35 kW for continuous operation. The CP shall have a combined engine and exhaust heat recovery capacity of 204,040 btu/hour at a maximum return temperatureof 190⁰F when furnished with a natural gas supply of 307.2 cubic feet per hour at a delivery pressure of 8 to 10 inches w.c. The unit will have an overall efficiency of 88.5% when using LHV of natural gas (983/scf). Each unit shall contain necessary internal piping, controls and equipment ready for final connections to be made by the contractor to the building’s fuel system and heating water loop.

2. Each CHP module shall be 78.7” wide, 76.9” high, and 31.5” long, and weigh no more than

3,196 pounds. 2.2 QUALITY CONTROL

A. It is the intent of this specification to secure a cogeneration module that has been prototype tested, factory built, production tested, and site tested, of the latest commercial design, together with all accessories necessary for a complete installation as shown on the drawings and specified herein.

B. Engage only manufacturers/installers of CHP systems and related equipment that have been working in the CHP industry for a minimum of 15 years, and have demonstrated experience with the manufacture, design, installation, and service of at least 200 CHP systems. Supplier shall make available list of installations and references.

C. To assure that the equipment has been designed and built to the highest reliability and quality

standards, the manufacturer shall be responsible for a comprehensive equipment design and component level certification reports. Components of the production product, such as the engine/generator set, prime mover microprocessor, and heat recovery heat exchangers shall be included in the reports.



D. All equipment shall be new, of current production by a national firm which manufactures the generator and controls, and assembles the CHP module as a matched unit so that there is one-source responsibility for warranty, parts, and service through a factory representative with factory-trained servicemen.

E. CHP Module shall comply with the interconnection standards of the author authority having

jurisdiction and have a separate and redundant on-board utility grade relay protection system. The system shall have redundant voltage and frequency protection capabilities.

F. CHP module will employ electrical interconnection components compliant UL 2200 and UL

1741, voltage harmonics shall meet the requirements of IEEE 519. Module will be factory tested and certified to meet these requirements and the contractor shall forward documentation to Engineer through the submittal Process. Contractor shall coordinate with CHP equipment vendor for interconnection approval with local electric utility.

G. CHP module will come with a Certificate of Conformity with the Clean Air Act for the current

year, issued by EPA. 2.3 NATURAL GAS DRIVEN ENGINE

A. The CHP module shall employ a 3.318L (4 cylinder) Industrial grade engine. The 0.20248 cubic

inch displacement engine shall deliver a minimum of (25 HP/Unit) at a governed speed of 1800 rpm. The full transistor spark ignited; naturally aspirated engine shall utilize natural gas or propane as its primary fuel. The intake manifold shall be modified to accommodate equal cooling temperatures across all 4 cylinders vertical series water cooling four cycles configuration. The engine shall be supplied with a minimum of the following accessories:

1. Inverter system with self-excited voltage type current control system 2. Permanent magnet type synchronous generator 3. Stoichiometry spark combustion and ternary catalyst system, with two O2 sensors 4. DC-12 Starter motor 5. Ethylene glycol (L201) 50%

B. The engine shall be supplied with an integral 132 L onboard oil sump capable of self oil pressure

regulation to insure proper engine lubrication. The lubrication system shall be supplied with an oil cooler capable of recovering heat for module use.

C. Engine shall be supplied with EPA Certificate of Conformance with Clean Air Act.

2.4 GENERTOR

A. The engine shall be connected to a Synchronous Permanent Magnet Generator style generator consisting of 16–poles, and uses the Inverter to produce. The connection between the engine and generator shall be of a directly coupled flange. The nature of the Synchronous style motor will allow the CHP module to operate in parallel with the utility grid as well as independent of the grid.

B. The industrial grade generator shall be rated for continuous power production at 208 volts, 3

phase, 3 wire, 1800 RPM.



2.5 HEAT RECOVERY SYSTEM

A. The Module will be supplied with heat recovery capabilities to allow transfer heat from module to external building systems in the form of hot water. The system will circulate at 35 GPM: m-CHP in piping +/- 5% Maximum 44.8 GPM in accordance to manufacturer’s recommendation.

B. All sources of heat recovery are to be located within the confines of the equipment enclosure. Heat recovery components will not be allowed to hang on the external frame of the CHP module. In addition, the exhaust gas heat exchangers will have an integral 3-way NSR emissions control package mounted to the heat exchanger and located within the equipment enclosure.

2.6 STARTING SYSTEM The Module shall come equipped with a battery based 12V charging and engine starting system based on a remote signal to operate the module. Predicated upon a microprocessor command, a solenoid system shall engage a Hi-torque industrial engine starter to engage the engine flywheel allowing engine to operate. The rating capacity is 16/40. 2.7 CONTROL SYSTEM

A. The Control configuration consists of a color LCD touch panel. These controls allow for general system monitoring such as transmission power, transmission voltage, transmission current, transmission frequency, engine speed, cumulative operation time, cumulative operation time after maintenance service, engine oil pressure and temperature and cooling water temperature.

B. Control functions include setting functions, scheduled operation, or manual operation, holiday setting, operation start power, operation stop power, multiple unit operation, buzzer on/off. The monitoring functions include checking the various set values, operation date (generated power, receiving power, voltage, current) and alarm displace (history, occurrence, and recovery status). There are also alarm functions and an emergency stop function.

2.8 REMOTE MONITORING SYSTEM

A. The system enables the Remote Monitoring Adapter to perform remote monitoring tasks through e-mail communication via the Internet.

2.9 EQUIPMENT ENCLOSURES The CHP module shall be equipped with an outdoor rated enclosure with an acoustic signature of 62 dB (with the radiator stopped) and 64 dB (with the fan operating) at 3 feet. 2.10 PUMP AND VALVE MODULE The CHP Module shall be supplied with a factory produced and integrated pump and valve module capable of pumping up to 44.8 gpm of water through the module to remove all the recoverable heat and deliver the thermal energy to the building heating system via the Load modules described below. The factory supplied module shall allow simplified installation by onsite contractors and shall be located adjacent to the CHP module. It shall include an in-line centrifugal pump, thermostatic mixing valve, pressure and temperature gauges, isolation valves, expansion tank, Spirovent, water pressure relief valve, strainer, and temperature sensors for the BAS system.



2.11 THERMAL LOAD MODULES The CHP Modules shall be supplied with factory produced and integrated Load modules capable of transferring all the recoverable heat from the CHP modules to the building heating system and an independent Glycol based dry cooler circulation loop. The factory supplied modules shall allow simplified installation by onsite contractors and shall be located Adjacent to the CHP Modules. It shall include in-line centrifugal pumps, electrically operated 3-way mixing valves, heat exchangers, pressure and temperature gauges, isolation valves, expansion tank, air elimination devices, strainers, and temperature sensors for the BAS system. 2.12 CHP AUTOMATION AND MCC PANEL The CHP Modules shall be supplied with an Aegis Energy integrated Building Automation System (BAS) package and Motor Control Center (MCC) (in addition to Yanmar system) capable of automatically dispatching the CHP Modules, in response to the thermal and electrical needs of the building. Site specific system logic shall be engineered using sensors in the system to sequence valves and pumps accordingly to maintain the thermal needs of the building within tight tolerance. The controller shall be capable of dispatching the production of the CHP modules according to the minimum heat requirement of the building through selective operation of multiple units, and proportionally commanding the generation rate of units individually (through a thermal turn-down schedule) to avoid thermal dumping or cycling. The system shall automatically adjust operating parameters to balance the run hours and electrical production between all CHP modules. Temperature sensors monitored by the BMS shall be placed before and after each load on both the primary and secondary loops, and after each CHP module. A web-based human machine interface (HMI) shall be supplied, with interactive graphical representation of all control assets including, pumps, valves, temperature sensor, and CHP modules. All system set points shall be configurable by the operator through the HMI. All data collected by the BMS, including temperatures, values, commands, and status shall be maintained in a database and available for visual trending or tabular reporting. Integration of control points with existing building automation systems shall be available through MODBUS RTU/TCP and BacNet. A record set of wiring schematics and panel layouts shall be included within a pocket in each MCC. Each drawing package shall contain a field wiring schedule including landing points within the MCC and corresponding landing points of field devices. A dedicated industrial rated PC shall be included in the control system, and connected to each CHP module with a permanent RS-232 connection to the PC interface of the module. Remote access to the PC shall be provided through secure remote internet connection, such as a virtual private network VPN. Networking hardware including any routers, switches, and firewalls shall be provided to connect the BMS, remote monitoring adapter, and industrial PC through an Ethernet modem. A secure wireless access point shall be accessible at any location a technician may need to be while operating or servicing the system



PART 3 - EXECUTION 3.1 COGENERATION MODULE INSTALLATION

A. Install generator set as indicated on the Drawings in strict accordance with the manufacturer's written instructions. Installation shall include all labor and material necessary to integrate the CHP module with the facility including all the final connections of water, gas, exhaust, electric, ventilation, etc...

B. CHP components shall be moved through the building using routes coordinated with and

approved by the Owner. Maximum design loading of existing floor construction shall not be exceeded. Provide for temporary removal of existing doors, frames and guardrails if necessary to move Cogeneration System components through existing openings. Repair all damage to existing building and finishes caused during movement of the components to the full satisfaction of the Owner.

C. An installation check, startup, and building load test shall be performed by the manufacturer's

local, factory trained service personnel. The Engineer, regular operators, and the maintenance staff shall be notified of the time and date of the site test. The tests shall include:

1. Fuel, lubricating oil, and battery shall be checked for conformity to the manufacturer's

recommendations under the environmental conditions present and expected.

2. Accessories that normally function while the module is standing by shall be checked prior to cranking the engine. This shall include: water flows, battery charger, remote communications, etc.

3. Start-up under test mode to check for exhaust leaks, path of exhaust gases outside the

building, cooling air flow, movement during starting and stopping, vibration during running, normal line-to-line voltage and phase rotation.

4. Automatic start-up by means of simulated call for operation to test remote-automatic

starting and automatic shutdown. Engine temperature, oil pressure and battery charge level along with generator voltage, amperes, and frequency shall be monitored throughout the test.

3.2 TESTING AND CLEANING

A. Test all systems, in the presence of the Engineer for a period not less than four (4) hours and demonstrate system performance and proper operation of all switches and controls. Correct any defects noted during testing and retest until proper operation is obtained. After testing, clean all equipment, touch-up paint all blemished, scratched or marred equipment, adjust and lubricate all mechanisms as required. B. Upon completion of testing, all electrical equipment shall be cleaned, lubricated per manufacturer’s instructions and excess lubricant removed.



3.3 TEN-YEAR COMPLETE SERVICE AND MAINTENANCE BY MANUFACTURER

A. The Combined Heat and Power unit System Manufacturer shall provide a comprehensive maintenance program on each Combined Heat-Power unit and associated equipment, under a separate agreement, during the first ten years of operation, commencing on the date of start-up, which shall include all items provided by the manufacturer.

1. Both scheduled and unscheduled service of each Combined Heat and Power unit module

shall be provided, including parts, labor, travel, and consumables. 2. In addition, complete engine and/or generator replacements or overhauls shall be

provided as needed, including parts, labor, travel and consumables. B. All service on the unit(s) shall be performed by qualified and trained factory service technicians.

C. In addition, the Combined Heat and Power unit module manufacturer shall maintain at least One

(1) established, full-time, factory service office in the Eastern US. The manufacturer’s factory service office shall have been in operation for at least five years and all Authorized Service Personnel shall be regularly engaged in servicing at least 250 other Combined Heat and Power unit throughout the US, and may be required to evidence at least 20 service contracts in effect for five (5) years or more.

D. Manufacturer’s service operations for the area shall consist of at least five (5) full-time factory

service technicians located within 30 miles of the installed equipment. Service technicians shall be devoted exclusively to servicing this type of engine-driven equipment, and shall be permanent, full-time employees of the Combined Heat and Power unit module manufacturer.


GTPS Project Manual - Mechanical In Progress/Gloucester Twp … · Section 004560 Affirmative...

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Transcript of GTPS Project Manual - Mechanical In Progress/Gloucester Twp … · Section 004560 Affirmative...