Tab 1 - Master Agreement
General Terms and Conditions
♦ Customer Support
► The vendor shall provide timely and accurate technical advice and sales support. The
vendor shall respond to such requests within one (1) working day after receipt of the
request.
♦ Disclosures
► Respondent affirms that he/she has not given, offered to give, nor intends to give at any
time hereafter any economic opportunity, future employment, gift, loan, gratuity, special
discount, trip, favor or service to a public servant in connection with this contract.
► The respondent affirms that, to the best of his/her knowledge, the offer has been arrived at
independently, and is submitted without collusion with anyone to obtain information or
gain any favoritism that would in any way limit competition or give an unfair advantage
over other vendors in the award of this contract.
♦ Renewal of Contract
► Unless otherwise stated, all contracts are for a period of three (3) years with an option to
renew for up to two (2) additional one-year terms or any combination of time equally not
more than 2 years if agreed to by Region 14 ESCand the vendor.
♦ Funding Out Clause
► Any/all contracts exceeding one (1) year shall include a standard "funding out" clause. A
contract for the acquisition, including lease, of real or personal property is a commitment
of the entity's current revenue only, provided the contract contains either or both of the
following provisions:
► Retains to the entity the continuing right to terminate the contract at the expiration of each
budget period during the term of the contract and is conditioned on a best efforts attempt
by the entity to obtain appropriate funds for payment of the contract.
♦ Shipments (if applicable)
► The awarded vendor shall ship ordered products within the written estimate of delivery
time by the vendor to the entity after the receipt of the order unless modified. If a product
cannot be shipped within that time, the awarded vendor shall notify the entity placing the
order as to why the product has not shipped and shall provide an estimated shipping date.
At this point the participating entity may cancel the order if estimated shipping time is not
acceptable. All deliveries shall be freight prepaid, F.0.8. destination.
♦ Tax Exempt Status
► Since this is a national contract, knowing the tax laws in each state is the sole responsibility
of the vendor.
♦ Payments
► The entity using the contract will make payments directly to the awarded vendor or their
affiliates (distributors/business partners/resellers) as long as written request and
approval by NCPAis provided to the awarded vendor.
♦ Adding authorized distributors/ dealers
► Awarded vendors may submit a list of distributors/partners/resellers to sell under their
contract throughout the life of the contract. Vendor must receive written approval from
NCPAbefore such distributors/partners/resellers considered authorized.
► Purchase orders and payment can only be made to awarded vendor or
distributors/business partners/resellers previously approved by NCPA.
► Pricing provided to members by added distributors or dealers must also be less than or
equal to the pricing offered by the awarded contract holder.
► All distributors/partners/resellers are required to abide by the Terms and Conditions of
the vendor's agreement with NCPA.
♦ Pricing
► All pricing submitted shall include the administrative fee to be remitted to NCPAby the
awarded vendor. It is the awarded vendor's responsibility to keep all pricing up to date
and on file with NCPA.
► All deliveries shall be freight prepaid, F.O.B.destination and shall be included in all pricing
offered unless otherwise clearly stated in writing
♦ Warranty
► Proposals should address each of the following:
• Applicable warranty and/or guarantees of equipment and installations including
any conditions and response time for repair and/or replacement of any components
during the warranty period.
• Availability ofreplacement parts
• Life expectancy of equipment under normal use
• Detailed information as to proposed return policy on all equipment
♦ Indemnity
► The awarded vendor shall protect, indemnify, and hold harmless Region 14 ESCand its
participants, administrators, employees and agents against all claims, damages, losses and
expenses arising out of or resulting from the actions of the vendor, vendor employees or
vendor subcontractors in the preparation of the solicitation and the later execution of the
contract.
♦ Franchise Tax
► The respondent hereby certifies that he/she is not currently delinquent in the payment of
any franchise taxes.
♦ Supplemental Agreements
)"" The entity participating in this contract and awarded vendor may enter into a separate
supplemental agreement to further define the level of service requirements over and above
the minimum defined in this contract i.e. invoice requirements, ordering requirements,
specialized delivery, etc. Any supplemental agreement developed as a result of this contract
is exclusively between the participating entity and awarded vendor.
♦ Certificates of Insurance
► Certificates of insurance shall be delivered to the Public Agency prior to commencement of
work. The insurance company shall be licensed in the applicable state in which work is
being conducted. The awarded vendor shall give the participating entity a minimum of ten
(10) days notice prior to any modifications or cancellation of policies. The awarded vendor
shall require all subcontractors performing any work to maintain coverage as specified.
♦ Legal Obligations
► It is the Respondent's responsibility to be aware of and comply with all local, state, and
federal laws governing the sale of products/services identified in this RFP and any
awarded contract and shall comply with all while fulfilling the RFP. Applicable laws and
regulation must be followed even if not specifically identified herein.
♦ Protest
► A protest of an award or proposed award must be filed in writing within ten (10) days from
the date of the official award notification and must be received by 5:00 pm CST. Protests
shall be filed with Region 14 ESCand shall include the following:
• Name, address and telephone number of protester
• Original signature of protester or its representative
• Identification of the solicitation by RFP number
• Detailed statement of legal and factual grounds including copies of relevant
documents and the form of relief requested
► Any protest review and action shall be considered final with no further formalities being
considered.
♦ Force Majeure
► If by reason of Force Majeure, either party hereto shall be rendered unable wholly or in
part to carry out its obligations under this Agreement then such party shall give notice and
full particulars of Force Majeure in writing to the other party within a reasonable time after
occurrence of the event or cause relied upon, and the obligation of the party giving such
notice, so far as it is affected by such Force Majeure, shall be suspended during the
continuance of the inability then claimed, except as hereinafter provided, but for no longer
period, and such party shall endeavor to remove or overcome such inability with all
reasonable dispatch.
► The term Force Majeure as employed herein, shall mean acts of God, strikes, lockouts, or
other industrial disturbances, act of public enemy, orders of any kind of government of the
United States or any civil or military authority; insurrections; riots; epidemics; landslides;
lighting; earthquake; fires; hurricanes; storms; floods; washouts; droughts; arrests;
restraint of government and people; civil disturbances; explosions, breakage or accidents
to machinery, pipelines or canals, or other causes not reasonably within the control of the
party claiming such inability. It is understood and agreed that the settlement of strikes and
lockouts shall be entirely within the discretion of the party having the difficulty, and that
the above requirement that any Force Majeure shall be remedied with all reasonable
dispatch shall not require the settlement of strikes and lockouts by acceding to the
demands of the opposing party or parties when such settlement is unfavorable in the
judgment of the party having the difficulty
♦ Prevailing Wage
► It shall be the responsibility of the Vendor to comply, when applicable, with the prevailing
wage legislation in effect in the jurisdiction of the purchaser. It shall further be the
responsibility of the Vendor to monitor the prevailing wage rates as established by the
appropriate department of labor for any increase in rates during the term of this contract
and adjust wage rates accordingly.
♦ Miscellaneous
► Either party may cancel this contract in whole or in part by providing written notice. The
cancellation will take effect 30 business days after the other party receives the notice of
cancellation. After the 30th business day all work will cease following completion of final
purchase order.
♦ Open Records Policy
► Because Region 14 ESCis a governmental entity responses submitted are subject to release
as public information after contracts are executed. If a vendor believes that its response, or
parts of its response, may be exempted from disclosure, the vendor must specify page-by-
page and line-by-line the parts of the response, which it believes, are exempt. In addition,
the respondent must specify which exception(s) are applicable and provide detailed
reasons to substantiate the exception( s).
► The determination of whether information is confidential and not subject to disclosure is
the duty of the Office of Attorney General (OAG). Region 14 ESCmust provide the OAG
sufficient information to render an opinion and therefore, vague and general claims to
confidentiality by the respondent are not acceptable. Region 14 ESCmust comply with the
opinions of the OAG. Region14 ESCassumes no responsibility for asserting legal
arguments on behalf of any vendor. Respondent are advised to consult with their legal
counsel concerning disclosure issues resulting from this procurement process and to take
precautions to safeguard trade secrets and other proprietary information.
Process
Region 14 ESCwill evaluate proposals in accordance with, and subject to, the relevant statutes,
ordinances, rules, and regulations that govern its procurement practices. NCPAwill assist Region 14 ESC
in evaluating proposals. Award(s) will be made to the prospective vendor whose response is determined
to be the most advantageous to Region 14 ESC,NCPA,and its participating agencies. To qualify for
evaluation, response must have been submitted on time, and satisfy all mandatory requirements
identified in this document.
♦ Contract Administration
► The contract will be administered by Region 14 ESC. The National Program will be
administered by NCPAon behalf of Region 14 ESC.
♦ Contract Term
► The contract term will be for three (3) year starting from the date of the award. The
contract may be renewed for up to two (2) additional one-year terms or any combination
of time equally not more than 2 years.
► It should be noted that maintenance/service agreements may be issued for up to (5) years
under this contract even if the contract only lasts for the initial term of the contract. NCPA
will monitor any maintenance agreements for the term of the agreement provided they are
signed prior to the termination or expiration of this contract.
♦ Contract Waiver
► Any waiver of any provision of this contract shall be in writing and shall be signed by the
duly authorized agent of Region 14 ESC. The waiver by either party of any term or
condition of this contract shall not be deemed to constitute waiver thereof nor a waiver of
any further or additional right that such party may hold under this contract.
♦ Products and Services additions
► Products and Services may be added to the resulting contract during the term of the
contract by written amendment, to the extent that those products and services are within
the scope of this RFP.
♦ Competitive Range
► It may be necessary for Region 14 ESCto establish a competitive range. Responses not in
the competitive range are unacceptable and do not receive further award consideration.
♦ Deviations and Exceptions
).- Deviations or exceptions stipulated in response may result in disqualification. It is the
intent of Region 14 ESCto award a vendor's complete line of products and/or services,
when possible.
♦ Estimated Quantities
► The estimated dollar volume of Products and Services purchased under the proposed
Master Agreement is $100 million dollars annually. This estimate is based on the
anticipated volume of Region 14 ESCand current sales within the NCPAprogram. There is
no guarantee or commitment of any kind regarding usage of any contracts resulting from
this solicitation
♦ Evaluation
► Region 14 ESCwill review and evaluate all responses in accordance with, and subject to,
the relevant statutes, ordinances, rules and regulations that govern its procurement
practices. NCPAwill assist the lead agency in evaluating proposals. Recommendations for
contract awards will be based on multiple factors, each factor being assigned a point value
based on its importance.
♦ Formation of Contract
► A response to this solicitation is an offer to contract with Region 14 ESCbased upon the
terms, conditions, scope of work, and specifications contained in this request. A solicitation
does not become a contract until it is accepted by Region 14 ESC.The prospective vendor
must submit a signed Signature Form with the response thus, eliminating the need for a
formal signing process.
♦ NCPAAdministrative Agreement
► The vendor will be required to enter and execute the National Cooperative Purchasing
Alliance Administration Agreement with NCPAupon award with Region 14 ESC. The
agreement establishes the requirements of the vendor with respect to a nationwide
contract effort.
♦ Clarifications / Discussions
► Region 14 ESCmay request additional information or clarification from any of the
respondents after review of the proposals received for the sole purpose of elimination
minor irregularities, informalities, or apparent clerical mistakes in the proposal.
Clarification does not give respondent an opportunity to revise or modify its proposal,
except to the extent that correction of apparent clerical mistakes results in a revision. After
the initial receipt of proposals, Region 14 ESCreserves the right to conduct discussions
with those respondent's whose proposals are determined to be reasonably susceptible of
being selected for award. Discussions occur when oral or written communications
between Region 14 ESCand respondent's are conducted for the purpose clarifications
involving information essential for determining the acceptability of a proposal or that
provides respondent an opportunity to revise or modify its proposal. Region 14 ESCwill
not assist respondent bring its proposal up to the level of other proposals through
discussions. Region 14 ESCwill not indicate to respondent a cost or price that it must meet
to neither obtain further consideration nor will it provide any information about other
respondents' proposals or prices.
♦ Multiple Awards
► Multiple Contracts may be awarded as a result of the solicitation. Multiple Awards will
ensure that any ensuing contracts fulfill current and future requirements of the diverse and
large number of participating public agencies.
♦ Past Performance
► Past performance is relevant information regarding a vendor's actions under previously
awarded contracts; including the administrative aspects of performance; the vendor's
history of reasonable and cooperative behavior and commitment to customer satisfaction;
and generally, the vendor's businesslike concern for the interests of the customer.
EvaluationCriteria
♦ Product & Services/Pricing (40 points)
► Respondent(s)' products and services (e.g.; quality and breadth of product(s)/service(s),
description(s) quality, reputation in the marketplace, average on time delivery rate and
historical shipping timelines, return and restocking policies and applicable fees, average Fill
Rate, shipping charges and other)
► Competitive Level of Pricing for vendor's available products and services
► Warranties on Respondent(s)' products and services (e.g.; availability of standard/extended
warranties, pricing, detailed descriptions, ease of process and others)
► Evidence of the ability of Respondent(s)' products and services to save members time and
money (e.g.; breadth of service departments, technological advances, personnel experience,
product( s) efficiencies, and others)
► Other factors relevant to this section as submitted by the responder(s)
♦ Ability to Provide and Perform the Required Services for the Contract (25 points)
► Response to emergency orders & service ( e.g.; response time, breadth of service coverage,
strength of meeting service and warranty needs of members)
► Customer service/problem resolution (e.g.; technical abilities of service personnel; quality
of processes,)
► Invoicing process ( e.g.; ease of use; transparency, billing resolutions)
► Respondent(s)' processes, and quality of organizational structure
► Contract implementation/Customer transition
► Financial condition of vendor
► Offeror's safety record (e.g.; benchmarks, lost hours, reporting)
► Instructional materials and training (e.g.; administrative documentation, internal technical
training, training of agencies)
► Other factors relevant to this section as submitted by the proposer
♦ References (10 points)
► A minimum of ten (10) customer references for product and/or services of similar scope
dating within past 3 years
♦ Qualification and Experience (15 points)
► Respondent(s)' reputation in the marketplace
).- Past relationship with Region 14 ESCand/or NCPAmembers
► Experience with cooperative selling (e.g.; number of other cooperatives, Exhibited
understanding of cooperative purchasing)
► Experience and qualification of key employees
► Location and number of sales persons who will work on this contract
► Marketing plan and capability
► Past experience working with the government sector
► Past litigation, bankruptcy, reorganization, state investigations of entity or current officers
and directors
► Completeness of response (e.g.; filled out all sections, answered all questions, provided
pricing)
► Other factors relevant to this section as submitted by the proposer
♦ Value Added Services Description, Products and/or Services (10 points)
► Marketing and agency Training
>-- Customer Service
► Sales force training (e.g.; internal training plan, corporate officer involvement, orientation
commitment)
► Marketing plan and capability (e.g.; contract rollout plan, benchmarks, goals)
► Green initiative( s) (e.g.; philosophy, certificates, awards)
► Quality and breadth of value add(s)
► Other factors relevant to this section as submitted by the proposer
Signature Form
The undersigned hereby proposes and agrees to furnish goods and/or services in strict compliance
with
the terms, specifications and conditions at the prices proposed within response unless noted in writing.
The undersigned further certifies that he/she is an officer of the company and has authority to negotiate
and bind the company named below and has not prepared this bid in collusion with any other Responde
nt
and that the contents of this proposal as to prices, terms or conditions of said bid have not
been
communicated by the undersigned nor by any employee or agent to any person engaged in this type
of
business prior to the official opening of this proposal.
Prices are guaranteed: 120 days
Company name Carrier Corporation (Carrier Global Corpration)
Address 13995 Pasteur Blvd
City/State/Zip Palm Beach Gardens, FL 33418
Telephone No. 561-365-2
000
---------------- --------
Fax No. 860-998-2752
Email address
Printed name
Position with company ts Manager
Authorized signature
See attached - "Bid Exceptions" document
Carrier
NCPA RFP for
HVAC Equipment, Installation, Service, Building Control Systems & Related Products and Services
RFP 32-21
Bid Exceptions
Bid Clarifications, Exceptions and/or Deviations to the NCPA Master Agreement General Terms and
Conditions
Carrier’s agreement to indemnify, defend and hold harmless is limited to third party claims due to personal injury or
property damage to the proportionate extent caused by the negligent acts or omissions of Carrier, its employees,
agents and subcontractors only.
Certificates of insurance notifications will be per policy provisions.
No government procurement regulations, such as Buy American, FARs or DFARs, shall apply to this Agreement
except those regulations expressly accepted in writing by Carrier prior to order, on an order by order basis.
Under no circumstances shall Carrier be liable for any indirect, incidental, special, exemplary, punitive, liquidated, or
consequential damages, including without limitation loss of profit, loss of revenue, loss of use of equipment or
facilities, or economic damages, whether based on strict liability, negligence or any other cause or action. Carrier’s
maximum liability for any reason (except for personal injuries or property damage) shall consist of the refunding of all
moneys paid to Carrier under the relevant order.
Thank You
Joe Ison
Strategic Accounts Manager
Tab 2 - NCPAAdministrationAgreement
December 13, 2021 __, by and between National
This Administration Agreement is made as of __________
Cooperative Purchasing Alliance ("NCPA")and Carrier Corporation ("Vendor").
Recitals
December 13, 2021
WHEREAS,Region 14 ESChas entered into a certain Master Agreement dated _______ _,
02-123
referenced as Contract Number _______ __,by and between Region 14 ESCand Vendor, as may
be amended from time to time in accordance with the terms thereof (the "Master Agreement"), for the
purchase of HVACEquipment, Installation, Service, Building Control Systems & Related Products and
Services;
WHEREAS,said Master Agreement provides that any state, city, special district, local government,
school district, private K-12 school, technical or vocational school, higher education institution, other
government agency or nonprofit organization (hereinafter referred to as "public agency" or collectively,
"public agencies") may purchase products and services at the prices indicated in the Master Agreement;
WHEREAS,NCPAhas the administrative and legal capacity to administer purchases under the
Master Agreement to public agencies;
WHEREAS,NCPAserves as the administrative agent for Region 14 ESC in connection with other
master agreements offered by NCPA
WHEREAS,Region 14 ESCdesires NCPA to proceed with administration of the Master Agreement;
WHEREAS,NCPAand Vendor desire to enter into this Agreement to make available the Master
Agreement to public agencies on a national basis;
NOW,THEREFORE,in consideration of the payments to be made hereunder and the mutual
covenants contained in this Agreement, NCPAand Vendor hereby agree as follows:
♦ General Terms and Conditions
► The Master Agreement, attached hereto as Tab 1 and incorporated herein by reference as
though fully set forth herein, and the terms and conditions contained therein shall apply to
this Agreement except as expressly changed or modified by this Agreement.
► NCPAshall be afforded all of the rights, privileges and indemnifications afforded to Region
14 ESCunder the Master Agreement, and such rights, privileges and indemnifications shall
accrue and apply with equal effect to NCPAunder this Agreement including, but not limited
to, the Vendor's obligation to provide appropriate insurance and certain indemnifications
to Region 14 ESC.
► Vendor shall perform all duties, responsibilities and obligations required under the Master
Agreement in the time and manner specified by the Master Agreement.
► NCPAshall perform all of its duties, responsibilities, and obligations as administrator of
purchases under the Master Agreement as set forth herein, and Vendor acknowledges that
NCPAshall act in the capacity of administrator of purchases under the Master Agreement.
► With respect to any purchases made by Region 14 ESCor any Public Agency pursuant to
the Master Agreement, NCPA(a) shall not be construed as a dealer, re-marketer,
representative, partner, or agent of any type of Vendor, Region 14 ESC,or such Public
Agency, (b) shall not be obligated, liable or responsible (i) for any orders made by Region
14 ESC,any Public Agency or any employee of Region 14 ESCor Public Agency under the
Master Agreement, or (ii) for any payments required to be made with respect to such
order, and (c) shall not be obligated, liable or responsible for any failure by the Public
Agency to (i) comply with procedures or requirements of applicable law, or (ii) obtain the
due authorization and approval necessary to purchase under the Master Agreement. NCPA
makes no representations or guaranties with respect to any minimum purchases required
to be made by Region 14 ESC,any Public Agency, or any employee of Region 14 ESCor
Public Agency under this Agreement or the Master Agreement.
► The Public Agency participating in the NCPAcontract and Vendor may enter into a separate
supplemental agreement to further define the level of service requirements over and above
the minimum defined in this contract i.e. invoice requirements, ordering requirements,
specialized delivery, etc. Any supplemental agreement developed as a result of this contract
is exclusively between the Public Agency and Vendor. NCPA,its agents, members and
employees shall not be made party to any claim for breach of such agreement.
♦ Term of Agreement
}.- This Agreement shall be in effect so long as the Master Agreement remains in effect,
provided, however, that the obligation to pay all amounts owed by Vendor to NCPAthrough
the termination of this Agreement and all indemnifications afforded by Vendor to NCPA
shall survive the term of this Agreement.
♦ Fees and Reporting
► The awarded vendor shall electronically provide NCPAwith a detailed quarterly report
showing the dollar volume of all sales under the contract for the previous quarter. Reports
are due on the fifteenth (15 th ) day after the close of the previous quarter. It is the
responsibility of the awarded vendor to collect and compile all sales under the contract
from participating members and submit one (1) report. The report shall include at least
the following information as listed in the example below:
Entity Name Zip Code State PO or Job# Sale Amount
Total ____ _
► Each quarter NCPAwill invoice the vendor based on the total of sale amount(s) reported.
From the invoice the vendor shall pay to NCPAan administrative fee based upon the tiered
fee schedule below. Vendor's annual sales shall be measured on a calendar year basis.
Deadline for term of payment will be included in the invoice NCPAprovides.
Annual Sales Throueh Contract Administrativ~ Fee
0 - $30,000,000 2%
$30,000,001 - $50,000,000 1.5%
$50,000,001 + 1%
► Supplier shall maintain an accounting of all purchases made by Public Agencies under the
Master Agreement. NCPAand Region 14 ESCreserve the right to audit the accounting for a
period of four (4) years from the date NCPAreceives the accounting. In the event of such
an audit, the requested materials shall be provided at the location designated by Region 14
ESCor NCPA. In the event such audit reveals an under reporting of Contract Sales and a
resulting underpayment of administrative fees, Vendor shall promptly pay NCPAthe
amount of such underpayment, together with interest on such amount and shall be
obligated to reimburse NCPA'scosts and expenses for such audit.
♦ General Provisions
► This Agreement supersedes any and all other agreements, either oral or in writing,
between the parties hereto with respect to the subject matter hereof, and no other
agreement, statement, or promise relating to the subject matter of this Agreement which is
not contained herein shall be valid or binding.
► Awarded vendor agrees to allow NCPAto use their name and logo within website,
marketing materials and advertisement. Any use of NCPAname and logo or any form of
publicity regarding this contract by awarded vendor must have prior approval from NCPA.
► If any action at law or in equity is brought to enforce or interpret the provisions of this
Agreement or to recover any administrative fee and accrued interest, the prevailing party
shall be entitled to reasonable attorney's fees and costs in addition to any other relief to
which such party may be entitled.
► Neither this Agreement nor any rights or obligations hereunder shall be assignable by
Vendor without prior written consent of NCPA,provided, however, that the Vendor may,
without such written consent, assign this Agreement and its rights and delegate its
obligations hereunder in connection with the transfer or sale of all or substantially all of its
assets or business related to this Agreement, or in the event of its merger, consolidation,
change in control or similar transaction. Any permitted assignee shall assume all assigned
obligations of its assignor under this Agreement.
► This Agreement and NCPA'srights and obligations hereunder may be assigned at NCPA's
sole discretion, to an existing or newly established legal entity that has the authority and
capacity to perform NCPA's obligations hereunder
► All written communications given hereunder shall be delivered to the addresses as set
forth below.
Vendor: Carrier Corporation
National Cooperative Purchasing Alliance:
Joelson
Name: Matthew Mackel Name:
Strategic Accounts Manager
Title: Director, Business Development Title:
Address: PO Box 701273 Address:
Houston, TX 77270
Signature:
Signature:
Date: 11/15/2021
Date: December 13, 2021
NCPARe~istered Vendor Quotation Number
RFP responders may with the participating members agreement utilize NCPA'squotation number registration
program to provide consistency and faster service for our facility awarded vendors, agency members and
participants. The process will require Facility Contract holders to register and receive a NCPAVendor Registered
Quotation Number that must be prominently displayed on each proposal(s) that you present to the agencies. The
system will track Facility transactions from the initial proposal stage to the completion of each project. NCPAhas
assembled an experienced Facilities Management Team that stands ready and willing to assist its vendors in
providing quality services to the awarded vendor's organization.
NCPARe~istered Vendor Quotation Number Process
Fill out the form on the Facilities page at www.NCPA.us
(Direct link is http://www.ncpa.us/Facilities/Re~ister)
* Fill out and submit.
• All registered vendor quotation number requests must be submitted and a proposal number received before
you present it to your potential customer.
• You will have a response with a NCPAVendor Registered Quotation Number within 4 hours.
• If you have an emergency and need a quotation number sooner, call any member of the Facility Management
team and we will help you.
• Include the quotation number on all proposals.
This document acknowledges that you have received and agree to the details, directions and expectations of the
NCPAVendor Registered Quotation Number process.
Date 11/15/2021
RFP Number 32-21
Printed Name
Tab 3 - Vendor Questionnaire
Please provide responses to the following questions that address your company's operations,
organization, structure, and processes for providing products and services.
♦ States Covered
► Bidder must indicate any and all states where products and services can be offered.
► Please indicate the price co-efficient for each state if it varies.
D
X 50 States & District of Columbia (Selecting this box is equal to checking all boxes below)
□ Alabama D Maryland D South Carolina
□ Alaska D Massachusetts D South Dakota
□ Arizona D Michigan D Tennessee
□ Arkansas D Minnesota □ Texas
D California D Mississippi □ Utah
D Colorado D Missouri □ Vermont
D Connecticut D Montana D Virginia
D Delaware D Nebraska D Washington
D District of Columbia D Nevada D West Virginia
D Florida D New Hampshire D Wisconsin
D Georgia D New Jersey □ Wyoming
D Hawaii D New Mexico
□ Idaho D New York
D Illinois D North Carolina
D Indiana D North Dakota
OIowa □ Ohio
D Kansas D Oklahoma
D Kentucky D Oregon
D Louisiana D Pennsylvania
D Maine D Rhode Island
D All US Territories and Outlying Areas (Selecting this box is equal to checking all boxes below)
D American Somoa D Northern Marina Islands
D Federated States of Micronesia D Puerto Rico
0Guam D U.S. Virgin Islands
D Midway Islands
♦ Minority and Women
Business Enterprise (MWBE)and (HUB) Participation
► It is the policy of some entities participating in NCPAto involve minority and women
business enterprises (MWBE)and historically underutilized businesses (HUB) in the
purchase of goods and services. Respondents shall indicate below whether or not they are
an M/WBE or HUBcertified.
■ Minority/ Women Business Enterprise
• Respondent Certifies that this firm is a M/WBE □
■ Historically Underutilized Business
• Respondent Certifies that this firm is a HUB □
♦ Residency
Palm Beach Gardens
► Responding Company's principal place of business is in the city of _______ ~
State of __FL _
♦ Felony Conviction Notice
► Please Check Applicable Box;
D
X A publically held corporation; therefore, this reporting requirement is not applicable.
D Is not owned or operated by anyone who has been convicted of a felony.
D Is owned or operated by the following individual(s) who has/have been convicted of
a felony
► If the 3rd box is checked, a detailed explanation of the names and convictions must be
attached.
♦ Distribution Channel
► Which best describes your company's position in the distribution channel:
D
X Manufacturer Direct D Certified education/government reseller
D Authorized Distributor D Manufacturer marketing through reseller
D Value-added reseller D
X Other: all services are factory direct, equipment
__________ _ is both direct
and Authorized Distributor dependant on location.
♦ Processing Information
► Provide company contact information for the following:
■ Sales Reports / Accounts Payable
Alex Relf
Contact Person: ______________________ _
Contracts Manager
Title: __________________________ _
Carrier Corporation
Company: ________________________ _
5900 Northwoods Business Parkway, Ste. H.
Address: --------------------------
Charlotte
City: _________ NC
State: ________ 28269
Zip: ____ _
704-521-6443
Phone: ___________ Alex.L.Relf@carrier.com
Email: ___________ _
• Purchase Orders
Joe Ison
Contact Person: ______________________ _
Strategic Accounts Manager
Title: __________________________ _
Carrier Corporation
Company: ________________________ _
5900 Northwoods Business Parkway, Ste. H.
Address: ________________________ _
Charlotte
City: ________ NC
State: _______ Zip: ___ 28269 _
501-529-9688
Phone: ___________ joseph.e.ison@carrier.com
Email: ___________ _
• Sales and Marketing
Joe Ison
Contact Person: ______________________ _
Strategic Accounts Manager
Title: __________________________ _
Carrier Corporation
Company: ________________________ _
5900 Northwoods Business
Address: -------------------------- Parkway
Charlotte
City: ________ NC
State: _______ Zip: ___28269 _
501-529-9688
Phone: ___________ joseph.e.ison@carrier.com
Email: ___________ _
♦ Pricing Information
► In addition to the current typical unit pricing furnished herein, the Vendor agrees to offer
all future product introductions at prices that are proportionate to Contract Pricing.
• If answer is no, attach a statement detailing how pricing for NCPAparticipants
would be calculated for future product introductions.
D
X Yes D No
► Pricing submitted includes the required NCPAadministrative fee. The NCPAfee is
calculated based on the invoice price to the customer.
D Yes
X
X
D No
► Vendor will provide additional discounts for purchase of a guaranteed quantity.
D Yes D
X No
NCPA HVAC RFP Tab 4 - Vendor Profile
GENERAL
1. General Information See attached, Carrier Corp General Information
2. Carrier History https://www.carrier.com/commercial/en/us/about/
3. DUNS # 00-131-7072
4. Corporate location See attached, Carrier Corp General Information
5. Number of employees, etc. See attached Carrier Commerical Service Overview
6. Locations see attached, CCS Branch Locations
7. Responsible Persons Joe Ison, Strategic Accounts Manager will be the single point of contact at this time.
8. Standard Payment Terms Carrier's standard terms are Net30, we accept checks, credit cards & wire transfers
9. Competition Carrier's main competition is Johnson Controls/York, Trane and Daikin.
10. Overall annual sales https://ir.carrier.com/financials/annual-reports-and-proxy-statements
11. Overall public sector sales Specific vertical market sales information is Company Private & not for public release
12. Public sector strategies Specific vertical market strategy informaiton is Compnay Private & not for public release
13. Differiatiates from competitors See attached Carrier Commerical Service Overview
14. Quality Control See attached Carrier Quality Assurance
In the normal course of business, the company may become involved in various lawsuits and other disputes.
Carrier Corporation, strives to act responsibly in all circumstances. For further information, see the
documents that Carrier Global Corporation has filed with the U.S. Securities and Exchange Commission,
15. Litigation including the company’s most recent 10-Q.
Carrier Service helps reduce/control customer costs by keeping HVAC equipment in the best possible running
condition by performing timely recommended maintenance and replacment of aging equipment with modern
16. Cost reduction energy efficent products.
PRODUCTS
Carrier enjoys being the inventor of modern air conditioning and has remained a market leader in many areas
17. Company reputation of HVAC throughout the world.
Carrier Rentals division can normally provide any level of temporary HVAC to anywhere in the contenetial US
18. Providing temporary cooling within 24 hours.
19. Equipment support documents All required equipment documentation can be downloaded from Carrier.com
20. PO Receiving process PO's can be received by fax, email, standard mail or parcel service (FedEx, UPS, etc.)
21. Shipping notifications All project notifications (shipping, project timeline, etc) are handled by the local Carrier offices
Equipment shipping delays are sent out by the Carrier factory where the equipment is being manufactured &
passed down to the local sales office for direct customer contact. Carrier tries to ensure there is as much
22. Shipping delay notification notification lead time as possible to prevent project issues.
All Carrier shipping scheduling is on internal software, we don't exercise a "schduling form" per se. Once a
piece of equipment ships from the factory it is tracked via the shipping company and the receiving Carrier sales
23. Shipping schedule form office.
Stock varies greatly from location to location, parts are generally available within 24 hours in North America,
some equipment is kept in stock for quick shippment/emergency replacements. Larger equipment such as
24. Product stock water cooled chillers or custom air handling equipment are all custom built to order & not stocked.
25. Percentage of on time delivery Information not available at this time.
Carrier has very limited direct order systems in place - generally only for a limited number of residential style
26.Direct order system products.
27. UL Listing UL listing standards are met by all Carrier equipment available in the US.
28. Defective product Carrier handles defective product through our warranty process
Carrier makes every effort to meet customer scheduling/emergency requests - if equipment/parts are not
29. Emergency/Rush orders available, Carrier Rentals is our next step to keep a customer in normal operation.
30. Quality guarantee Carrier works through any quality issues via the warranty process.
Carrier factories maintain a vigorous quality control process - more information can be provided upon specific
31. Quality monitoring request.
Carrier offers from one year to 10 year combination of parts and labor warranties - these are equipment type
32. Extended warranties specific.
33. Customer warranty examples Specific customer information is Company Private.
34. Standard warranty on BAS Carrier i-Vu BAS products carry a two year warranty from factory shipment.
35. Standard warranty on parts Carrier replacement parts carry a one year warranty from installation
36. Warranty tracking Carrier tracks warranty & all other repairs via our operational software.
37. Pricing consistency Carrier will maintain published pricing throughout this contract coverage.
SERVICES
38. Customer Service Dept.
39. After hours Carrier Service maintains techicians on call 24/7 - standard response time is 4 hours from the initial call
Carrier Service maintains a level of techicaians with the sole mission of taking care of customer service calls in a
timely and professional manner, any problems that arise are taken care of at the performing branch level. This
40. Completing service calls keeps the customer and service provider as close as possible.
Carrier randomly poles the customer base for opinions on our service performance - any degradations are
41. Quality programs handled within 48 hours at the performing branch level.
Every type of equipment PM is different, it would be impossible to list them all here - we can supply any
42. Standard PM scope specific tasking upon request.
43. Dollar volume nationally https://ir.carrier.com/financials/annual-reports-and-proxy-statements
Carrier's call center is manned 24/7, it handles overflow during normal business hours and manages our on-call
44. Describe Call Center services after hours.
Carrier's call center is manned 24/7, it handles overflow during normal business hours and manages our on-call
45. 800 numbers & hour access services after hours. It manages all US locations.
If the on-call techician is not reached, the Carrier Service branch management is contacted next, the final step
46. Emergency escalation is a call to the National Service Operations Center for assistance.
47. Service call steps Specific company procedures are Company Private
48. Technology for tracking Carrier utilizes GPS technology for tracking of service projects
Carrier techicians maintain a very professional reputation in the marketplace - all technicians are union, factory
49. Service reputation trained on Carrier equipment.
50. PM Costs over the year Specific company procedures are Company Private
51. PO Process to providing services Specific company procedures are Company Private
Carrier doesn't typically remotely monitor an installed customer BAS system. We do generally have remote
access so that a service call can be responded to remotely/timely. If the issue can be resolved remotely it is, if
52. HVAC BAS monitoring not a techician is dispatched to the customer location for resolution of the problem.
53. Number of sites currently monitored Specific customer information is Company Private.
Carrier is capable of designing, engineering, installing, programming, servicing and reparing i-Vu BAS systems.
54. Company BAS capabilities Carrier does not typically service other brands of BAS systems due to proprietary issues.
55. List reporting capabilities of BAS i-Vu alarm reporting can be via control monitor, web access, email or texting
Carrier control technicians performs BAS work in-house, generally the phyisical "wire pulling" is done via an
56. BAS work in-house electrical subcontractor - all other tasks are by Carrier control technicians.
57. BAS trouble shooting process See item 52. If no remote access the problem is automatically a service call.
Every type of equipment startup is unique, we can provide the tasking for any individual piece of HVAC
58. Startup & check out procedures equipment upon request.
59. Post installation warranty support All warranty issues/repairs are managed by the local Carrier Service office.
60. Steps for system analysis Need clairification on the questions - analyzing what?
61. Company systems architecture Company systems information is Company Private.
62. Company billing timeframe to gov't Carrier utilizes S4 as a financial management tool - all billing is handled in a timely manner.
63. Qualified service centers All Carrier Service offices are company owned & managed - there are no 3rd party service resellers.
All applied equipment requires a factory start up for warranty, others are not dependent on factory start for
64. Warranty coverage dependency warranty, but it is recommended.
If it is a Carrier requirement or Carrier managed project, Carrier Service technicians perform the starts.
65. Who performs startup
66. Total revenue from HVAC retrofits https://ir.carrier.com/financials/annual-reports-and-proxy-statements
Carrier can and does act as the Prime Contractor in many cases - we can provide any required specialty
67. Other services provided subcontractor needed to perform the project.
68. Planned unit replacement program Every program is unique - Carrier can provide a report for a specific senario upon request.
69. Project scheduling tools Carrier Project Managers generally use MS Project or similar for project timeline tracking.
If the project is a direct replacement, then a unit with like specifications is selected. If there is a change in
specification then we engage our engineering partner or request that the customer provide the specifications
70. Equipment selections on the new unit(s).
Carrier does not engage in site development, any required HVAC permits are aquired by the local Carrier
71. Site development & permitting Service office.
72. Design-build quality control Carrier does not typically engage in "design-build" projects.
Carrier does not typically engage in this style of project as lead - our subsidiary NORESCO performs these types
73. Design approach turnkey/energy project of projects.
74. Construction management plan Carrier is not a Construction Management company - outside of our typical scope
75. Standard installation warranty Service repairs, 90 day labor warranty. Installation project, one year labor warranty.
76. Standard energy retrofit warranty Not Applicable
77. Warranty if financing Carrier Corporation does not finance projects at this time.
78. Quality guarantee on service Carrier maintains a 90 day warranty on performed services labor
79. Pricing consistency Carrier will maintain published pricing throughout this contract coverage.
SAFETY
80. Repair work safety program See attached Carrier EHS Program
81. Construction work safety program See attached Carrier EHS Program
82. Lost hours/safety record See attached Carrier 2020 OSHA log
83. Safety reporting mechanism Carrier Safety reports through WorkSafeBC.com
MARKETING/SALES
All company strategic sales plans are Company Private. All activities will be closely coordinated with NCPA
84. Detail plans representatives upon award of contract.
Carrier sales reps are generally well educated on the general benefits of cooperative purchasing, we will
85. Benefits of contract directly engage our sales team with NCPA personnel for specifics of the NCPA benefits.
All company strategic sales plans are Company Private. All activities will be closely coordinated with NCPA
86. Marketing activities representatives upon award of contract.
All company strategic sales plans are Company Private. All activities will be closely coordinated with NCPA
87. 90 day plan representatives upon award of contract.
Training will be held on the regional level with the direct involvement of Carrier Strategic Accounts and NCPA
88. Training representatives.
89. Company logos Carrier company logos will be provided for Region 14 ESC useage on marketing materials
90. Three years revenue projections Specific financial information is Company Private
ADMINISTRATION
91. Sucesses with existing co-ops Specific financial/strategic information is company private.
92. Monthly reporting Carrier can provide monthly/quarterly reporting as requested.
93. Management/billing/reports Carrier can provide consolidated billing - question need clairification.
94. Suggested improvements
95. Green initiatives See Carrier.com for updated global Green Initatives
96. Certifications Carrier will provide any required certifications/licences as needed for any given project.
Branch Business name Address line 1 City State Zip Phone#
Birmingham Carrier Commercial Service 238 Cahaba Valley Parkway Pelham AL 35124 (205) 987-3831
Jonesboro Carrier Commercial Service 5409 Highway 18 East Jonesboro AR 72401 (501) 945-6000
Little Rock Carrier Commercial Service 715 E. Roosevelt Little Rock AR 72206 (501) 663-5676
Tontitown Carrier Commercial Service 372 Agnes St. Tontitown AR 72762 (479) 756-4550
Tucson Carrier Commercial Service 3781 North Highway Drive Tucson AZ 85705 (520) 624-2966
Phoenix Carrier Commercial Service 3802 East University Drive Phoenix AZ 85034 (602) 470-2040
Sacramento Carrier Commercial Service 1170 W. National Dr. Sacramento CA 95834 (916) 928-9500
SD Carrier Commercial Service 5450 Complex Road St San Diego CA 92123 (714) 985-5200
SF Carrier Commercial Service 600 McCormick St San Leandro CA 94577 (510) 347-2000
LA Carrier Commercial Service 2478 Peck Rd City of Industry CA 90601 (714) 985-5200
Denver Carrier Commercial Service 8100 South Akron Street Centennial CO 80112 (303) 796-0799
Wallingford Carrier Commercial Service 23 Village Lane Wallingford CT 06492 (860) 632-1918
Wilmington Carrier Commercial Service 276 Quigley Boulevard New Castle DE 19720 (302) 322-8870
Tampa Carrier Commercial Service 3901 Coconut Palm Dr Tampa FL 33619 (800) 379-6484
Jacksonville Carrier Commercial Service 9143 Philips Highway Jacksonville FL 32256 (904) 256-3100
Ft. Lauderdale Carrier Commercial Service 5440 NW 33rd Ave Ft Lauderdale FL 33309 (954) 247-2096
Orlando Carrier Commercial Service 7305 Greenbriar Pkwy Orlando FL 32819 (407) 521-2218
Altanta Carrier Commercial Service 1800 Sandy Plains Industrial Parkway Northeast Marietta GA 30066 (800) 379-6484
Honolulu Carrier Commercial Service 94-496 Ukeʻe Street # 301 Waipahu HI 96797 (808) 487-5543
Boise Carrier Commercial Service 3905 Summit Lane Nampa ID 83687 (208) 375-5710
Chicago Carrier Commercial Service 7501 S. Quincy Street Willowbrook IL 60527 (630) 516-3261
Peoria Carrier Commercial Service 1601 W Detweiller Drive Peoria IL 61615 (309) 692-5151
Indy Carrier Commercial Service 7310 W. Morris Street Indianapolis IN 46231 (317) 821-3000
KC Carrier Commercial Service 8025 Flint St Lenexa KS 66214 (913) 307-1785
Louisville Carrier Commercial Service 11501 Plantside Drive Louisville KY 40299 (502) 267-7636
New Orleans Carrier Commercial Service 100 Alpha Drive Destrehan LA 70047
Shreveport Carrier Commercial Service 1520 North Hearne Avenue Shreveport LA 71107 (318) 222-8310
Boston Carrier Commercial Service 95 Shawmut Rd Canton MA 02021 (781) 774-6350
Baltimore Carrier Commercial Service 3701 Commerce Drive Baltimore MD 21227 (410) 298-2400
Detroit Carrier Commercial Service 40120 Grand River Ave Novi MI 48375 (313) 570-7315
Grand Rapids Carrier Commercial Service 400 76th Street Byron Center MI 49315 (877) 866-1133
Minneapolis Carrier Commercial Service 953 Westgate Drive St. Paul MN 55114 (952) 933-5300
St. Louis Carrier Commercial Service 4669 Crossroads Industrial Drive Bridgeton MO 63044 (314) 739-8721
Raleigh Carrier Commercial Service 200 Perimeter Park Drive Morrisville NC 27560 (919) 250-6900
CLT Carrier Commercial Service 5900-B Northwoods Business Parkway Charlotte NC 28269 (800) 379-6484
Omaha Carrier Commercial Service 13502 L Street Omaha NE 68117 (501) 945-6000
Jamesburg Carrier Commercial Service 1085 Cranbury South River Road Jamesburg NJ 08810 (609) 655-3400
Clifton Carrier Commercial Service 100 Delawanna Ave Clifton NJ 07014 (877) 866-1137
Albuquerque Carrier Commercial Service 9012 Washington N.E. Albuquerque NM 87113 (505) 345-5331
Vegas Carrier Commercial Service 5565 S. Decatur Blvd. Las Vegas NV 89118 (702) 368-4338
Buffalo Carrier Commercial Service 80 Earhart Dr Williamsville NY 14221 (716) 823-2200
Binghamton Carrier Commercial Service 15 Charles St Binghamton NY 13905 (877) 866-1137
Westchester Carrier Commercial Service 301 Fields Lane Brewster NY 10509 (845) 276-2950
Syracuse Carrier Commercial Service 6304 Thompson Road East Syracuse NY 13057 (877) 866-1137
NYC Carrier Commercial Service 1350 Broadway New York NY 10018 (917) 339-9560
Albany Carrier Commercial Service 5 Hemlock Street Latham NY 12110 (518) 220-2044
Farmingdale Carrier Commercial Service 500 Bi-County Blvd Farmingdale NY 11735 (631) 501-5740
Rochester Carrier Commercial Service 5 Warway Circle Rochester NY 14624 (877) 866-1137
Dayton Carrier Commercial Service 5618 Poe Ave Dayton OH 45414 (937) 275-0645
Toledo Carrier Commercial Service 5960 Angola Road Toledo OH 43615 (877) 866-1133
Cleveland Carrier Commercial Service 9800 Rockside Rd Valley View OH 44125 (216) 663-8900
Cincy Carrier Commercial Service 9910 Windisch Road West Chester Township OH 45069 (513) 759-1500
Columbus Carrier Commercial Service 752 Brooksedge Plaza Drive Westerville OH 43081 (614) 781-3880
OKC Carrier Commercial Service 6101 West Reno Avenue Suite 550A Oklahoma City OK 73127 (405) 792-7174
Tulsa Carrier Commercial Service 5119 South 110 E Ave Tulsa OK 74146 (918) 664-4233
Portland Carrier Commercial Service 7841 SW Cirrus Drive Beaverton OR 97008 (503) 641-5540
Pitt Carrier Commercial Service 1011 Alcon Street Pittsburgh PA 15220 (412) 221-6021
Philly Carrier Commercial Service 4110 Butler Pike Plymouth Meeting PA 19462 (610) 834-1717
Columbia Carrier Commercial Service 560 Chris Dr West Columbia SC 29169 (800) 743-1944
Nashville Carrier Commercial Service 5213 Linbar Drive Nashville TN 37211 (615) 365-1960
Memphis Carrier Commercial Service 97 South Byhalia Rd Collierville TN 38017 (501) 945-6000
San Antonio Carrier Commercial Service 12625 Wetmore Road, Suite 419 San Antonio TX 78247 (210) 495-2600
Houston Carrier Commercial Service 9011 S. Sam Houston Pwy W Missouri City TX 77489 (713) 797-8900
Beaumont Carrier Commercial Service 820 Freeway Blvd Vidor TX 77662 (409) 332-0908
Austin Carrier Commercial Service 11100 Metric Boulevard, Suite 400 Austin TX 78758 (512) 719-6400
Fort Worth Carrier Commercial Service 3900 Sandshell Drive Fort Worth TX 76137 (817) 838-4307
Dallas Carrier Commercial Service 1901 N Glenville Drive, Ste. 702 Richardson TX 75081 (972) 789-3426
Corpus Christi Carrier Commercial Service 4410 Dillon Lane Corpus Christi TX 78415 (361) 289-0944
SLC Carrier Commercial Service 3759 W 2340 S Salt Lake City UT 84120 (801) 486-5994
Richmond Carrier Commercial Service 2800 E. Parham Rd. Richmond VA 23228 (804) 353-6412
Roanoke Carrier Commercial Service 6720 Thirlane Rd Roanoke VA 24019 (540) 366-2471
VA Beach Carrier Commercial Service 4018-A Seaboard Court Portsmouth VA 23701 (757) 548-3852
DC Carrier Commercial Service 21750 Red Rum Drive Ashburn VA 20147 (703) 834-3900
Seattle Carrier Commercial Service 3215 South 116th Street Tukwila WA 98168 (206) 439-0097
Madison Carrier Commercial Service 5001 Voges Road Madison WI 53718 (608) 271-7500
Milwaukee Carrier Commercial Service 1501 Paramount Drive Waukesha WI 53186 (262) 781-1609
Charleston Carrier Commercial Service 15 Mission Way Scott Depot WV 25560 (304) 757-0395
Fairmont Carrier Commercial Service 503 Morgantown Ave Fairmont WV 26554 (304) 757-0395
Environmental Health & Safety Program
®
turn to the expe~
Building Systems and Services
Protecting Our Customers, Our Employees, Our World
PREFACE
The enclosed booklet is provided to assist employees
with working in a safe, healthful and environmentally
sound manner. The booklet provides only a summary of
key information that has been selected for your reference.
Detailed information regarding any subject in this booklet
can be found in the Carrier Sales and Service (CSS),
Environmental Health and Safety (EH&S) or Management
Systems files.
This booklet shall also be provided to all CSS subcontractors
who perform services for CSS on CSS or its customers’
property. At a minimum, Subcontractors will abide by all the
requirements herein but shall not be relieved from complying
with any and all more stringent codes, regulations, or laws
that may be applicable to its work.
This booklet shall also serve as a summary of the CSS
Environmental Health and Safety program when requested
by CSS customers.
TABLE OF CONTENTS
Introduction Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Carrier Sales and Service Environment, Health and Safety Policy . . . . ii
ENVIRONMENTAL HEALTH and SAFETY MANAGEMENT SYSTEMS
Procedure and Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Accountability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Assessment, Prevention and Control (APC) . . . . . . . . . . . . . . . . . . . . . . . . 3
Education and Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Rules and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Inspections and Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Incident Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Documents and Records Management . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Program Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
SAFETY
Powered Industrial Trucks (PIT) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Elevated Work Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Personal Protective Equipment (PPE) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Asbestos Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Variable Frequency Drives (VFD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Life Safety Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Confined Space Entry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Electrical Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Motor Vehicle Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Control of Hazardous Energy Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Rigging Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Working in Cooling Towers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Compressed Gas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Work-Related Injury and Illness Management . . . . . . . . . . . . . . . . . . . . . 31
Contractor Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Hot Work Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Lead Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Hydrogen Sulfide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Benzene . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
OCCUPATIONAL HEALTH
Hazard Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Respiratory Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Hearing Conservation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Material Handling and Ergonomics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Blood-borne Pathogens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Workers’ Compensation Management Guide . . . . . . . . . . . . . . . . . . . . . . 44
Heat Stress Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Copy Employee Medical Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Guidelines for Potentially Contagious
Medical Conditions or Exposures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
ENVIRONMENTAL
Used Oil Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Refrigerant Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Waste Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Water Pollution Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Disposal of Empty Containers and Used Rags . . . . . . . . . . . . . . . . . . . . . 54
Shipping of Hazardous Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Spill or Release Response and Reporting . . . . . . . . . . . . . . . . . . . . . . . . . 56
New or Modified Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
GENERAL EH&S TOPICS
EHS Document Signature Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Regulatory Inspections and Visits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
New Chemical Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
EHS Records Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
To All of Our Associates and Employees
The health and general well being of the Carrier Sales and Service
(CSS) employees — and the communities in which we work and live
— are integral parts and important elements to the success of CSS.
Therefore, the protection of the health and safety of our employees,
our neighbors and our environment is a priority with Carrier Sales and
Service.
As a division of a global corporation, operating in various areas of
North America, it is important for CSS to establish and maintain a high
level of health, safety and environmental performance and achieve
satisfactory results.
In order to be in alignment with Carrier Corporation, CSS will conform
to the United Technologies Corporation and Carrier Environmental
Health and Safety Procedures and Policies. These procedures and
policies establish a foundation upon which CSS operations can build a
comprehensive program that will enable CSS to achieve its health and
safety goals. Copies of the procedures and policies can be obtained by
contacting a CSS Environmental Health and Safety (EH&S) Manager.
Protecting the health and safety of CSS employees and the
environment can only be achieved if all of us do our share.
I am sincerely asking your assistance and cooperation to ensure that
the CSS EHS Management System becomes an integral part of our
daily work and personal lives.
To reinforce our commitment, the following policy reflects Carrier Sales
and Service’s goals regarding the environment, health and safety.
i
Carrier Sales and Service Environment,
Health and Safety Policy
Protecting the safety of our employees, and the environment, is a core
value within Carrier. We will not be satisfied until our workplaces are safe
from hazards, our employees are injury free, our products and services are
safe, and our commitment and record in protecting the environment are
unmatched.
Specifically, this policy requires the following of every Carrier business and
associate:
• Compliance with local laws and the policies, standards and practices of
the corporation;
• Establishment of safety and environmental goals and plans that support
achievement of the performance goals of the corporation and are an
integral part of our business plans;
• Providing accurate and timely measurement and reporting of
performance;
• Implementation and periodic evaluation of EHS Management Systems
in order to reduce risks and continually improve the effectiveness of our
EHS processes;
• Promotion of the health and wellness of our employees;
• Integration of safety and environmental considerations into the design
of our products and services, and support of public policies that
encourage the development of “green” products, services and buildings
in the markets we serve;
• Commitment of the methods and resources necessary to direct,
support, monitor and maintain accountability for implementation of
this policy.
President, BSS NA Field Operations
ii
ENVIRONMENTAL HEALTH & SAFETY
(EH&S) MANAGEMENT SYSTEM
ENVIRONMENTAL HEALTH & SAFETY (EH&S)
MANAGEMENT SYSTEM
Carrier’s parent company, United Technologies Corporation, has
mandated that all its divisions follow a model EH&S Management System
(EHSMS). It has been used as the template for the programs developed
and implemented by CSS operating units to manage EH&S performance.
The management system consists of the following 12 elements:
• Procedure and Leadership • Communication
• Organization • Rules and Procedures
• Planning • Inspections and Audits
• Accountability • Incident Investigation
• Assessment, Prevention • Documents and Records
and Control Management
• Education and Training • Program Evaluation
Each of the 12 elements in the management system is briefly explained
below. For a complete copy of the CSS EH&S Management Systems
Manual please contact your local Carrier Sales and Service office.
Procedure and Leadership
Carrier has a written EH&S Procedure statement that defines senior
management’s EH&S philosophy, commitment and expectations, thus
providing a guide for the entire organization. Annually, it is reviewed,
updated, communicated to all employees and made available to the
public. Senior management demonstrates their commitment and
leadership by ensuring that EH&S is incorporated into business decision
making, participating in EH&S activities and in external groups that
provide value to the organization.
A written Procedure has been developed that describes how the
12 elements of the EHSMS will be implemented.
2 EH&S Program Summary
Organization
A committee that is chaired by a senior manager, comprised of their staff
and any other necessary adhoc members, provides the strategic direction
for the EHSMS. The committee meets periodically to review and approve
procedures; plan programs and financial/human resources; review the
status of on-going programs and the progress toward goals; and to
provide direction to line and functional staffs. They ensure employees
understand the EH&S initiatives; that adequate technical skills are
available; that there is employee participation; and that the appropriate
activities, programs and procedures are in place.
EH&S responsibilities have been designated to individuals in each
office. These coordinators are under the guidance of EH&S managers
that have the proper technical skills and training. The EH&S roles and
responsibilities of management and staff have been defined.
Planning
CSS has established a written, annual EH&S plan that is a part of the
business plan. It consists of numerical goals; objectives and activities
to achieve the goals; risk reduction; legal and company compliance;
resource allocation; and implementation of other Carrier or UTC EH&S
requirements.
Accountability
A formal system has been established that holds all employees
accountable for their respective EH&S assignments, goals, objectives,
compliance, activities and performance. The system recognizes superior
performance and is part of “pay for performance,” job descriptions and
performance appraisals.
Assessment, Prevention and Control (APC)
CSS has identified and assessed EH&S hazards, including regulatory
compliance, implemented prevention and control strategies to minimize
risks. The written APC process continually identifies, assesses, prioritizes
and develops control strategies that effectively manage the risks and
hazards. This element also addresses employee medical programs;
emergency planning and response; integration of EH&S into the design
of products, services and operations; business and property transactions;
and contractor and supplier relationships.
Management Systems 3
Education and Training
EH&S education and training is provided to all segments of the workforce.
Training is conducted for new hires, transferred employees or when
there are changes in operations or laws. The written training program
includes compliance and risk based topics that address the hazards
and control practices identified in the other elements of the EHSMS and
governmental, customer and company requirements.
Communication
CSS has established a means for communicating EH&S issues
and information both internal and external to the organization. The
communication is two-way and addresses both internal and external
complaints and/or concerns. The written communication plan includes
the specific subjects; the audience, methods, feedback and technology
transfer issues.
Rules and Procedures
Rules and procedures are established and implemented at all levels of the
operation based on hazards, risks, applicable regulatory requirements and
company standards. The rules and procedures can be written, integrated
into work instructions and reviewed with employees. Compliance shall be
enforced in the same fashion as are other company rules, etc.
Inspections and Audits
Inspections evaluate relevant physical conditions, acts or omissions
of all CSS employees in relation to EH&S hazards, risks and regulatory
requirements. Audits evaluate the effectiveness of the implementation
of internal controls such as programs, procedures, policies, etc. The
inspections and audits process has been documented, includes corrective
actions and identifies those responsible for conducting them. The process
also includes training, tracking, and analysis of trends and the reporting of
results to the appropriate management level.
Incident Investigation
CSS employees are responsible for reporting and investigating EH&S
incidents, identifying root cause(s) and for implementing corrective
actions. Incidents are any unplanned event or condition that results in, or
has the potential (near miss) to result in, injury/illness; property damage;
adverse impact to the environment; adverse public opinion; or a condition
of legal non-compliance. All incidents are reported, reviewed and
investigated to the level necessary.
4 EH&S Program Summary
Documents and Records Management
CSS has designed and implemented a system for creating, distributing,
controlling and managing documents and records prepared in support of
the EHSMS. The written system includes who will retain them, what will be
retained, retention time, location and how security and confidentiality will
be maintained.
Program Evaluation
An evaluation of the implementation and effectiveness of the CSS
EHSMS is done on an annual basis. The evaluation is written and covers
how it is conducted; status of compliance with regulatory and company
requirements; effectiveness of the management system; analysis of
trends; audit results; and progress toward EH&S goals. Corrective actions
from the evaluation are incorporated into the EH&S plan.
Management Systems 5
SAFETY
SAFETY
Powered Industrial Trucks (PIT)
OSHA 29 CFR 1910.178 and 1926.600 – 602 and Canadian standards
define the requirements for the use of powered industrial trucks. A PIT is
any fork truck, platform lift truck, hand truck and other specialized lifting
truck powered by electric motors or internal combustion engines. CSS
Powered Industrial Truck Procedure S-1 was developed in compliance
with the OSHA and Canadian standards and includes, but is not limited to
the following:
• PIT operators must have successfully completed training and evaluation
specific to the applicable content outlined in OSHA 1910.178(l) and
Canadian standards.
• Only trained and authorized operators shall be permitted to operate
powered industrial trucks (rider and non-rider).
• All powered industrial trucks shall meet the design specifications
established in the American National Standard Institute (ANSI) for
Powered Industrial Trucks, Part II, and ANSI B56.7-1982 or Canadian
and CSA standards.
• All nameplates and marking on the PIT shall remain in place and be
maintained in legible condition.
• Modifications and additions that affect capacity and safe operation shall
not be performed without the manufacturer’s written approval.
• All trucks being unloaded or loaded by a PIT at a loading dock must
be secured from movement. An engineered system (Dock Locks) is
preferred but wheel chocks can be placed under the rear wheels of
highway trucks.
• Battery charging areas and flammable liquid/gas PIT fuel storage will
be located in areas designated for that purpose (i.e., flammable liquid
storage cabinets, no smoking area, outdoor gas storage and eye wash).
• Inspections of a PIV shall be performed by the operator each day prior
to placing the PIV into service and recorded on the CSS PIV inspection
form.
• Periodic preventative maintenance will be conducted based on the
schedule recommended by the manufacturer.
8 EH&S Program Summary
Elevated Work Safety
OSHA 29 CFR 1926.500 – 503 and 1910.21 – 24, CSS Cardinal Rules,
Canadian provincial safety regulations and 1926.104 defines the
requirements for walking/working surfaces at elevated heights. Carrier
Sales and Service (CSS) Elevated Work Safety Procedure S-2, was
developed in compliance with these standards and includes, but is not
limited to, the following requirements:
• Walking and working surfaces must have the strength and structural
integrity to support workers safely.
• Workers on a walking/working surface with an unprotected side or edge
that is 6 feet or more in height, shall be protected from failing by the use
of a guardrail, safety net, or personal fall arrest system. These systems
must meet the criteria specified in CSS EH&S Procedure S-2, CSA and
OSHA 1926.500 – 503.
• Workers shall be protected from falling through holes more than 6 feet
above lower levels by a guardrail, safety net, covers or personal fall
arrest systems.
• To protect CSS employees from failing objects while working;
— All workers shall wear a hard hat.
— Screens or guardrail systems with toe boards shall be used to
prevent objects from failing from the edge of the working surfaces.
• Personal fall arrest systems will consist of an approved, ANSI, OSHA,
CSA, body harness, retractable lanyard, self-locking connectors and an
anchor point (see CSS EH&S Procedure S-2 for details).
• Employee training will cover the recognition of fall hazards and the
procedures necessary to minimize the hazards. Training will be provided
that meets the competency requirements as outlined in 29 CFR
1926.503(2) will do the training. Training records will be kept. Retraining
will be done when changes occur in the workplace or employees do not
have the understanding and skill required.
• Applicable requirements of the Cardinal Rules and the CSS Safety First
Cards will be met prior to working at heights above 2 meters (6 feet).
The Safety First Card will be with the technician on every jobsite. The
technician must have thorough knowledge of the rules.
Safety 9
Ladder Safety
OSHA 29 CFR 1910.25 – 27 and 1926.1050 – 1060 (Subpart X) defines the
requirements for stairways and ladders. The CSS Elevated Work Safety
Procedure S-2, in the CSS Environmental Health & Safety Manual, was
developed to be in compliance with this standard and includes, but is not
limited to, the following requirements:
• Choose the right ladder style (i.e., step or extension), size and duty
rating for the job. Use fiberglass ladders if there is even a remote
possibility of working near electricity.
• Maximum extension ladder length one person can safely lift and handle
is 28 feet.
• The construction of all ladders will meet or exceed the requirements
of the American National Standards Institute (ANSI), the Occupational
Safety and Health Administration (OSHA) and the Underwriters
Laboratory Code (UL) as applicable.
• Read the instruction labels. Labels have information on the weight
limits, highest working levels, safety instructions, proper ladder setup
and usage. Ladders with faded or illegible labels must be replaced or
re-labeled by a qualified ladder inspection vendor.
• Inspect the ladder periodically for defects such as missing, loose,
damaged or worn parts. Be sure that working parts move properly and
that all connections are secure. Check spreaders, extension ladder
locks, flippers and safety shoes. Damaged ladders should be tagged for
repair or disposal.
• Use and climb the ladder safely:
— Fully open and lock both spreaders on stepladders.
— Be sure that all ladder feet are on firm and level ground. Don’t place
the feet on slippery or loose materials.
— Both rails of extension ladders should be fully supported at the top
and the locks fully engaged.
— Do not place the base of an extension ladder too far away from or
too close to the building. Set ladder to the proper slope requirement,
(1:4 ratio i.e., set back 1 foot for each 4 feet of length to the upper
support).
— Keep your body centered on the ladder and hold the ladder with one
hand while working, whenever possible.
— Climb facing the ladder and maintain at least 3 points of contact with
the ladder (i.e., 2 feet and one hand) alternated with four points of
contact (two hands and two feet).
10 EH&S Program Summary
— Haul materials up on a line rather than carry them.
— Do not stand above the highest safe standing level. Do not stand
above the second step from the top of a stepladder and the fourth
rung from the top of an extension ladder.
• By practicing basic maintenance you can keep ladders in proper
working order.
— Keep ladders free from oil, paint or other slippery materials.
— Employees are not certified to repair ladders. Use only external,
certified suppliers to perform ladder repairs.
— Clean and lightly lubricate moving parts such as spreader bars,
hinges, locks and pulleys.
Scaffolds
• Do not assemble or use a scaffold unless you have been trained.
• All employees must complete the CSS web based training modules on
scaffolding prior to using scaffolds.
• After set up a competent person must inspect the scaffold prior to use.
Aerial Lifts
• Only properly trained employees will be allowed to operate aerial lifts.
Documented training will be provided by the company the lift was
rented from.
• Prior to use the lift will be inspected to ensure the lift is in good working
condition.
• A personal fall arrest system will be worn at all times while working and
operating the lift.
Safety 11
Fixed Ladders
• Any fixed ladder that is not safe must not be used.
• Fixed ladders over 20 feet will have a safety cage or personal fall
restraint system or the ladder will not be used.
• Fixed ladders must be secured at all mounting locations prior to use.
• Transitions from one fixed ladder to the next must have a rest platform
installed at the transition location prior to use.
• Use and climb the ladder safely:
— Keep your body centered on the ladder and hold the ladder with one
hand while working, whenever possible.
— Climb facing the ladder and maintain at least 3 points of contact with
the ladder (i.e., 2 feet and one hand) alternated with four points of
contact (two hands and two feet).
— Haul materials up on a line rather than carry them.
— Keep ladders free from oil or other slippery materials.
— Employees are not certified to repair ladders. Use only external,
certified suppliers to perform ladder repairs.
12 EH&S Program Summary
Personal Protective Equipment (PPE)
OSHA 29 CFR 1910.132 – 138 and 1926.95 – 105 establishes the
requirement for use of personal protective equipment, clothing, shields
and barriers where hazards will be encountered that are capable of
causing injury or impairment in the function of any part of the body
through absorption, inhalation or physical contact.
The CSS Personal Protective Equipment Procedure S-3 was developed to
be in compliance with these regulations and includes, but is not limited to,
the following:
• CSS has performed PPE workplace assessments and certifications by
work category, e.g. grinding, welding etc. See the various assessment
and certification forms for details.
• All employees shall use PPE to protect their eyes, face, head, hands,
feet, ears and respiratory system whenever engineered or administrative
controls do not eliminate or reduce hazards to safe levels.
• CSS will provide its affected employees (those employees who must
use PPE) with all the necessary PPE to protect them from hazards at
their work site.
• Safety shoes with toe protection are required at all times on the jobsite.
Safety shoes must carry a stamp on the inside which indicates that they
meet the specifications provided by ANSI Z41.1 or ASTM F2413-05,
see Procedure S-3.
• CSS will supply one pair of prescription safety glasses per year to those
affected employees who wear corrective lenses.
• Safety glasses with side shields will be worn on all jobs.
• ANSI Class A, B & C rated protective helmets shall be worn where there
is the potential for head injury from failing objects or when working near
exposed energized conductors.
• Hard hats shall be worn on construction sites at all times, when
overhead work is occurring and when employees are working in
cramped conditions or in the vicinity of objects they could strike their
head against.
• Appropriately selected gloves shall be worn by employees whose
hands are exposed to any of the following hazards: cuts, lacerations,
punctures, burns, hazardous chemicals, etc.
• Respiratory and hearing protection shall be worn according the to
respective CSS specific procedures (i.e., OH-2 and OH-3).
Safety 13
• Carrier has the CSS Safety First Card, Required Minimum Personal
Protective Equipment (PPE), Tools and Equipment for Service Work
document and the Mandatory Fatality Prevention Review: Heights
Above 6 Feet or 2 Meters and Mandatory Fatality Prevention Review:
Electricity documents. All four of these documents have parts that
speak to Personal Protective Equipment (PPE).
• PPE for employees that may be exposed to arc flash is detailed in
section 9 of CSS EHS procedure S-8 “Electrical Safety” and the Arc
flash PPE matrix and standard PPE matrix found in the S-3 procedure.
14 EH&S Program Summary
Asbestos Awareness
OSHA 29 CFR 1910.1001, 1926.58, 1926.1101; EPA 40 CFR 763 and
various State, Provincial and local regulations, e.g. NYS Code Rule
56 define the requirements for the management of asbestos. The CSS
Asbestos Procedure S-4, in the CSS Environmental Health & Safety
Manual, was developed to be in compliance with this standard and
includes, but is not limited to, the following requirements:
Definitions
ACM — Asbestos Containing Material
TSI — Thermal System Insulation
PACM — Presumed Asbestos Containing Material (all TSI and sprayed
on or troweled on surfacing materials in buildings constructed no later
than 1980.)
• Building and facility owners must determine the presence, location and
quantity of ACM and/or PACM at their facility. The owners must inform
employers and employees who will perform services in areas that
contain ACM and/or PACM of its presence.
• Building and facility owners must affix signs or labels so employees will
be notified of what materials are ACM and/or PACM, its location, and
appropriate work practices that will ensure that the materials will not be
disturbed. Signs or labels shall indicate the following:
DANGER
CONTAINS ASBESTOS FIBERS
AVOID CREATING DUST
CANCER AND LUNG DISEASE HAZARD
Safety 15
• Owners are exempt from communicating information about the
presence of building material by demonstrating that PACMs do
not contain asbestos through inspection or testing processes that
meet OSHA requirements. The owner must retain records of the
demonstrating process.
• Carrier Sales and Service (CSS) employees are prohibited from
performing any work that may disturb ACMs or PACMs. Furthermore,
CSS employees are prohibited from performing work in any areas that
will or may expose them to airborne asbestos (areas where abatement
is in progress, asbestos dust has settled, TSI coverings are open
exposing asbestos, etc.).
• CSS employees are permitted to work in areas where ACMs and/or
PACMs exist as long as the materials are safe from becoming airborne.
• CSS employees shall initially bring any job site ACM and PACM
concerns to the customer. If the concerns are not satisfactorily
addressed, the employee shall avoid the area and advise their
supervisor immediately. The supervisor is then responsible to contact
the customer and arrange for clarification or resolution of the concern.
Under no circumstances shall CSS employees be permitted to work in
the areas until the issues of concern have been resolved.
• CSS operations will not dispose of asbestos containing materials or
equipment for customers.
• CSS operations will not contract the abatement or disposal of asbestos.
• CSS employees will not take samples of asbestos.
• Gaskets will be removed following the CSS “Guideline for Removing
Gaskets” procedure in attachment A of CSS EHS procedure S-4.
16 EH&S Program Summary
Variable Frequency Drives (VFD)
The manufacturers of Variable Frequency or Speed Drives have safety
requirements for safely working on VFD or VSD’s associated with HVAC
equipment where employees are exposed to risks during servicing.
The CSS Variable Frequency or Speed Drive Procedure S-5 was
developed to be in compliance with these requirements and includes, but
is not limited to, the following:
• Carrier employees will not work on or near exposed energized
components with greater than 600 volts at any time.
• Safe practices are required to properly dissipate or bleed capacitance
from buss components to allow the servicing of drives. Check the
manufacturer’s instructions for the proper dissipation technique.
• All ladders used to service VFD or VSD will be placed on an insulated
mat or blanket.
• All electrical tools will have a CAT III rating and detection devices will
meet the UTC and CSS grounding policy.
• CSS employees will not rack out or rack in power to starters 600 VAC
or greater.
• Employees will wear the appropriate level of Personal protective
equipment (PPE) while servicing VFD or VSD equipment, e.g. arc flash,
matting, blankets, hand tools, ladders and hand protection.
• Insulated gloves, mats, blankets, arc flash PPE, and electrical test
equipment will be inspected or tested at the prescribed intervals by a
qualified vendor.
• Training on the skills and techniques necessary to safely work on
VFD or VSD and for arc flash will be provided to all exposed service
employees.
Safety 17
Life Safety Considerations
OSHA 29 CFR 1910 Subparts E and L, 1926.150, National Fire Protection
Association (NFPA) 101, and Canadian regulations establish the
requirement for the protection of life and property. The CSS Life Safety
Procedure S-6 was developed to be in compliance with these regulations
and includes, but is not limited to, the items listed below.
When you are at your office, a customer site, planning a meeting or
staying at a hotel/motel, the location shall be reviewed for the following:
• Protection and construction of the facility:
— Automatic sprinkler protection.
— Smoke detection system.
— Methods of fire alarm notification.
— Non-combustible construction materials.
• Accessibility and adequacy of fire exits:
— Exits from offices, meeting rooms, customer sites and hotel/motel
rooms are well marked and preferably lead outside to safe refuge.
— Pathways to exits should be clear and exit doors should be checked
to assure operability.
• Communication:
— The emergency response procedures should be described to all
employees, guests, meeting attendees, etc.
— All CSS personnel should read the evacuation procedures when
staying at a hotel/motel, working at customer sites and in the office.
— If you are not clear on the emergency response plan ask the location
manager or contact your supervisor.
18 EH&S Program Summary
Confined Space Entry
OSHA 29 CFR 1910.146 and 1926.21 defines the requirements for
entering confined spaces. CSS Confined Space Entry Procedure S-7,
was developed in compliance with this standard and includes, but is not
limited to the following:
• A space is classified as a confined space when it is large enough and its
configuration allows personnel to bodily enter to perform assigned work
and also meets the following requirements:
— Has limited or restricted access or exit. Tanks, cooling towers,
boilers, ductwork, storage bins, chilled water storage tanks, vaults
and pits are spaces that may limit access or exit.
— Is not designed for continuous employee occupancy.
• A permit required confined space has one or more of the following
characteristics:
— Contains or has the potential to contain a hazardous atmosphere or
any other hazard capable of death or physical harm to an employee.
— Contains a material that has the potential for engulfing an employee.
— Has an internal configuration such that employees could be trapped
or asphyxiated by inwardly converging walls or a floor that slopes
downward to a smaller cross section.
— Contains any other recognized serious safety or health hazard.
• A non-permit confined space does not contain or in regards to
atmospheric hazards have the potential to contain any hazard capable
of death or serious physical harm to an employee.
• General and comprehensive training will be provided to all employees
involved with confined spaces.
Safety 19
Available Confined Space Options
1. CSS employees shall, without entering the space, make every
effort practical to eliminate hazards in a space. This is called
reclassifying the space and thus avoids the need to implement
the permit confined space procedures.
2. If the only actual or potential hazard that cannot be eliminated in
the space is atmospheric in nature (i.e., oxygen deficiency, toxic
fumes), then the OSHA alternate procedure may be used.
3. If the space cannot be reclassified or the alternate procedure
cannot be used then the permit required confined space
process must be used.
• Contractors and subcontractors used by CSS must comply with
OSHA 1910.146, CSS Procedures and or customer confined space
requirements.
• Rescue services will be established during permit required confined
space entry.
• CSS will comply with all customer requirements pertaining to confined
space as long as compliance with 1910.146 is maintained and CSS
employee EHS is not compromised.
20 EH&S Program Summary
Electrical Safety
OSHA 29 CFR 1910 Subpart S, 1926 Subpart K, Safety First Card, NFPA
70 E and CSS Cardinal Rules define the requirements for worker electrical
safety. The CSS Electrical Safety Procedure S-8, and Electrical Safe
Work Practices training program were developed in compliance with this
standard and include, but are not limited to the following:
• The Carrier Required Minimum Personal Protective Equipment (PPE),
Tools and Equipment for Service Work document also requires several
electrical items. (FR Uniforms, GFCI, Multi-meter, insulated hand tools,
double insulated or grounded electrical tools, LO/TO devices.)
• Applicable requirements of the CSS Safety First Card and the
Mandatory Fatality Prevention Review: Electricity documents will be
met prior to working on electrical equipment and circuits. The fatality
prevention review document will be with the technician on every job and
read through before they start the job.
• Electrical Safe Work Practices training shall be provided initially to all
employees and be documented in the office record keeping files.
• FR uniforms and associated arc flash PPE are required to be worn for all
electrical exposures above 50 volts.
• CSS employees are prohibited from working on energized high voltage
(greater than 600 Volts AC), thus a duly licensed and qualified electrician
must perform the service (an outside contractor or customer employee).
Employees are permitted to work on VFD / VSD of less than 600 volt
AC input power that generate greater than 600 volts DC power on
associated internal buss bars for diagnostic and testing purposes.
• Conductive tools, equipment, accessories and articles may not be
used or worn if they have the potential to contact exposed, energized
components.
• Jewelry is prohibited while working.
• All portable power tools shall be of the three wire grounded type or
double insulated.
• Only load rated devices shall be used to open circuits under load
conditions except in an emergency.
• Properly rated eye and face protection shall be used where there
is a danger for electrical flashes or arcs or a potential for electrical
explosions.
• Lockout / Tagout (LOTO) procedures shall be followed per CSS’s
Hazardous Energy Sources Procedure S-10.
Safety 21
Ground Fault Circuit Interrupters (GFCI)
• The Occupational Safety and Health Act (OSHA) 29CFR 1926.404(b)
(1) and the Carrier Procedure on the Use of Ground Fault Circuit
Interrupters (3/29/96) have requirements that impact electrical safety.
• It is the Procedure of Carrier to require the mandatory use of ground
fault current interrupters whenever any mechanical work using electrical
tools, cord sets, extension lights, etc., is being performed.
• Applicable requirements of the CSS Safety First Card and the
Mandatory Fatality Prevention Review: Electricity documents will be
met prior to performing electrical work. The fatality prevention review
document requires technicians to have the list with them on every
job and read through it before they start the job. This list does have
a specific section on Tools and Equipment that looks at GFCI.
• The Carrier Required Minimum Personal Protective Equipment (PPE),
Tools and Equipment for Service Work document and the CSS Cardinal
Rules also require the use of a GFCI.
• The Carrier Procedure on the Use of Ground Fault Circuit Interrupters
also requires the use of a GFCI on portable electrical tools and
equipment below 240 Volts.
• The ground fault current interrupter is to be used in addition to, not in
lieu of, the normal three or four-wire equipment grounding conductor.
• The ground fault interrupter senses a ground fault the instant there is
a current flowing to ground and in milliseconds, shuts off the power
before an accident can happen. This broadens the margin of safety
in a previously unguarded area of possible danger.
• The ground fault interrupter can be a small (hand-held type) three-
prong, plug-in unit, for extension cord sets and cord connected
electrical tools. It plugs into existing three-prong straight blade,
U-grounded outlets. Additionally, it can be inline, built into a circuit
breaker or outlet.
Verifying Grounds on Equipment
• All equipment will be tested for proper grounding or wire insulation
loss prior to touching or starting any service work or new equipment
start-up activity.
22 EH&S Program Summary
Arc Flash Protection
• All CSS employees will comply with the requirements of NFPA 70 E or
CSA, as applicable, for arc flash protection.
• Employees will wear the appropriate level of PPE as determined in CSS
Procedure S-08 as per the Hazard/Risk Classification. PPE protects
the employee from arc flash releasing energy that could cause severe
injury or death. Proper PPE protects from electrical shocks or burns
due to contact, clothing igniting in the extreme temperatures of a arc
flash, flying debris from explosion of components and molten metals
being carried out from the explosion site due to the high temperatures
experienced, 35,000 degrees, and the rapid expansion of air in an arc
flash zone.
• All employees will follow safe work practices when exposed circuits of
50 volts or greater while performing any work activity.
• Carrier Employees will not work on or near exposed energized
components with greater than 600 volts at any time. Safe distance
of greater that 10 feet will be maintained to all exposed energized
components at all times.
• Employee will maintain a safe distance of 10 feet boundary around
all exposed electrical parts. Only qualified persons may work within
a 4 feet boundary. All qualified persons working within the 4 feet
boundary must wear arc flash protection PPE. See Attachment B in
Procedure S-08 electrical safety for approach Boundary guidance.
• Carrier employee will not rack out or rack in power to starters 600 VAC
or greater. A qualified person, but not a CSS employee, will perform all
de-energizing or energizing of power supplies to equipment requiring
service activities such as electrical motor starters. A Carrier employee
will witness that the qualified person’s electrical testing device works
and will witness that all energies are at zero state.
Safety 23
Motor Vehicle Safety
The UTC Standard Practice 12 (SP-12) and the CSS Employee Motor
Vehicle Safety Procedure S-9 covers the safe use and operation of all
motor vehicles for CSS employees who may drive a vehicle while on
company business, or who may drive a company vehicle at any time. It
includes, but is not limited to the following:
• All occupants shall wear safety restraints while operating or riding in any
motor vehicle while on company business.
• Only Carrier employees may drive service vehicles assigned to hourly
employees and only for business purposes. Personal use of a company
vehicle is prohibited for all hourly employees.
• Salaried Employees shall have all infants riding in a company vehicle
properly secured in an appropriate child restraint system. Children shall
not accompany employees while on company business.
• Employees are to comply with all motor vehicle traffic laws while
operating a company vehicle or any motor vehicle on company
business.
• All individuals driving a company vehicle or driving any motor vehicle
while on company business are required to have a valid driver’s license
and comply with all conditions affecting the license. Employees found
to be driving with a revoked, expired or suspended license may be
subject to disciplinary action.
• Employees are prohibited from operating a company vehicle or any
motor vehicle on company business, while their judgment or faculties
are impaired. Such impairment may be caused by consumption of
alcoholic beverages, drugs, medications, fatigue, lack of prescription
lenses, etc.
• When transporting hazardous materials, the driver will comply with DOT
or CSA, as applicable, regulations. See CSS EHS Procedure E-6 for
more details.
• Employees are prohibited from the transportation of hitchhikers or
strangers in a company vehicle or any other motor vehicle while on
company business.
• Communication devices such as cell phones, PDAs, laptops, etc. shall
not be used while driving for any reason, unless the use of that device is
performed “hands free.”
• Driving record reviews may be conducted on employees involved in
motor vehicle accidents and all employees periodically. Drivers with a
currently suspended or revoked driver’s license, a DUI, DWI, or motor
vehicle felony conviction can be subject to disciplinary procedures.
24 EH&S Program Summary
• Drivers must report all motor vehicle citations they receive to their
immediate manager or supervisor.
• Drivers must report motor vehicle accidents to their supervisor
immediately and follow the directions on the PHH card. Accidents
involving injuries must be reported to the CSS Medical professional or
EH&S Manager.
Safety 25
Control of Hazardous Energy Sources
OSHA 29 CFR 1910.147 and .333 and 1926.417 defines the requirements
for de-energizing equipment or processes for the purpose of repairs,
maintenance or installation (lockout/tagout). The CSS Control of
Hazardous Energy Sources Procedure S-10, in the CSS Environmental
Health & Safety Manual, was developed in compliance with this standard
and includes, but is not limited to, the following requirements:
• Lockout and tagout (LOTO) shall be implemented for all energy
sources that might cause unexpected movement, personal injury,
or property damage. This includes electrical, mechanical, hydraulic,
thermal, pneumatic, compressed gas energy, and potential energy from
suspended or overhead objects and compressed springs.
• A lockout and tagout system shall always be used if equipment is
capable of accepting a lockout or tagout device. Only if the equipment
is not capable of accepting any form of lockout device may the tag-out
system alone be used.
• All employees involved with working on the equipment or process shall
apply their own individual lock. A multiple lockout device can be used if
necessary.
• Each worker shall have his or her own designated lock and the only
key to that lock. Lockout/tagout devices are to be used for lockout
operations only.
• A tagout system shall always be used in addition to the lockout or
system. Tagout devices must indicate:
— The reason for the lockout.
— How that person may be reached.
— The identity of the person who applied the device.
— The date and time the tag was put in place.
• A survey shall be conducted to identify what energy sources need to
be locked and blocked out, and the appropriate method for locking
and blocking out the equipment or process that is to be serviced. Only
persons who are thoroughly familiar with the equipment or process shall
conduct the survey.
See the CSS Lockout and/or Tagout Reminder Tag for additional
information. The following procedure shall be referenced and used:
26 EH&S Program Summary
Steps for De-Energizing:
1. Locate and identify all energizing devices (disconnects, breakers,
valves). If identification does not already exist, mark each device
indicating its function (i.e., Line #1, Chiller #4, 480 Volts).
2. Notify all affected employees that a lockout/tag-out is scheduled to
occur.
3. Know and follow shutdown procedure for the equipment or process that
is to be locked or blocked out.
4. Install lockout and tag-out devices on all energy sources.
5. Bleed or drain stored energy (capacitance, pressurized oil, water, steam,
refrigerant, etc.).
6. Attempt to activate the device to ensure it is inoperable (except 3 phase
equipment).
7. Verify that energy has been isolated with a meter or similar test device.
Steps for Re-Energizing
1. Check that non-essential items have been removed from area.
2. Check that equipment components are operationally intact.
3. Ensure all employees are safely clear of equipment. Notify all affected
employees that the lockout/tag-out devices will be removed.
Rigging Equipment
OSHA 29 CFR 1910.179, 1926.551 etc., defines the requirements for
rigging and hoisting equipment The CSS Rigging Procedure S-11, in
the CSS Environmental Health & Safety Manual, and the Carrier Material
Handling and Rigging Manual were developed in compliance with these
standards and includes, but are not limited to, the following requirements:
• Rigging equipment shall be selected to fit the load and shall be
maintained in safe working condition.
• Equipment shall be inspected annually by a qualified vendor for defects
as well as a visual self-inspection conducted before and after each use.
Defective equipment shall be tagged and sent out for inspection/repair
or functionally incapacitated and disposed of.
• Chain hoists and lever pullers shall be inspected and cleaned per
manufacturer’s recommendations on a regular basis by a qualified
vendor.
Safety 27
• Equipment with any of the following defects shall be removed from
service for repair or disposal:
Nylon and Polyester Slings
— Broken or unraveled stitching
— Missing or illegible load rating tag
— Distortion, cracks, or sharp edges on metal hardware
— Snags, punctures, tears or cuts
— Wear abrasions revealing colored wear indicator thread
— Chemical deterioration
— Burns, melting, weld splatter or heat charring
Wire Rope Slings
— Corrosion
— 10% loss of rope diameter
— 1/3 loss of outer wire diameter
— Broken wires
— Severe kinks
— Bird caged or crushed
— Weld splatter
— Electrical arc burns
Chains and Attachments
— Nicks or gouges
— Twisting or other distortions
— Excess wear
— Stretching
— Pitting
— Weld splatter damage
— Cracks
— Cracked, bent or opened hooks
Chains and Wire Hoists and Lever Pullers
— Wire rope or chain and attachment defects
— Clutch slippage
— Cracked, distorted, bent or otherwise damaged components
— Missing or distorted safety latches
• Rigging equipment shall be repaired using only components supplied
from or approved by the manufacturer.
28 EH&S Program Summary
Working in Cooling Towers
The CSS Working in Cooling Towers Procedure S-12, in the CSS
Environmental Health & Safety Manual, was developed as standard
working instructions for working in cooling towers and includes, but is not
limited to, the following requirements:
• Prior to entering or performing work in a cooling tower, CSS personnel
shall perform an assessment of the safety risks of performing the job.
• Risks related to confined space, elevated work, electricity, control of
hazardous energy and others will be reviewed.
• Personal Protective Equipment (PPE) and other control measures will be
utilized to abate any risks that are identified.
• Cooling tower water will not be in circulation when work takes place.
Circulation will be ceased for at least 10 minutes prior to the start of
work.
• When feasible, adjacent cooling towers shall not be in circulation when
work takes place. Circulation will be ceased for at least 10 minutes prior
to the start of work.
• Respiratory protection is --
not required for CSS personnel performing
work in a cooling tower, as described in procedure S-12. Respiratory
protection is available, however, on a voluntary basis, at the discretion
of the person performing the work.
• The use of any respiratory protection will comply with the CSS
Respiratory Protection Procedure OH-2.
• All affected employees shall be made aware of the requirements of this
procedure.
Compressed Gas
OSHA 29 CFR 1910.101, 1910.253 and 1926.251, the Compressed
Gas Association and CSA defines the requirements for Compressed
Gas safety. The CSS Compressed Gas Procedure S-13, in the CSS
Environmental Health & Safety Manual was developed in compliance
with these standards and includes, but is not limited to, the following
requirements:
• Moving Compressed Gas Cylinders
— Valves closed and protective caps on.
— Cylinders can be hoisted when secured on a cradle or pallet.
— Acetylene shall be secured vertically in a vehicle.
Safety 29
— Remove regulators during transport.
— Secure cylinders with nylon or rope ratchets, no bungee cords are
allowed.
• Safety Procedures
— Cylinders will be kept away from sparks or flame
— Cylinders will not be subjected to > 120 degrees F (49°C).
— All compressed gas apparatus shall be free of oil or grease.
— When a wrench is used on a cylinder valve it will remain in place
when the cylinder is in use.
— All cylinders will have a label of the contents.
— Never tamper with safety devices in cylinders or valves.
• Torches and Regulators
— Torches, regulators and hoses will be inspected before each use.
Defective equipment will not be used.
— Torches will be ignited with friction lighters only
— Back flow and or back flash device shall be used.
• Storage of Cylinders (Warehouse)
— It is preferred that no oxygen and acetylene be stored in service
warehouses.
— Only store oxygen and acetylene tanks sized R, Q, MC or B is
necessary.
— Oxygen and acetylene will be separated by a minimum of 20 feet or a
minimum 5 foot high barrier with a minimum 30 minute fire resistance
rating.
— Empty cylinders will be labeled
— Areas where cylinders are stored must have proper signs posted.
• Storage of Cylinders (Service Vehicles)
— Cylinders will be tightly secured by safety chains, nylon or rope
ratchet binders. In the upright position. No bungee cords.
— No large acetylene cylinders will be transported.
— Protective dust caps will be installed on all R, Q, MC or B cylinders
without screw on valve caps when transported.
30 EH&S Program Summary
— No cylinders will be stored next to the rear doors or back of a van or
in the back compartment of a service body truck.
— Larger cylinders will be transported to and from job sites by the gas
vendor.
• Refrigerant Cylinders
— All refrigerant disposable cylinders being readied for disposal must
have all refrigerant removed and all refrigerant vapors recovered to a
recovery/reclaim cylinder (marked mixed refrigerant). All disposable
cylinders must be evacuated to four inches of mercury vacuum on
the disposable cylinder being readied for disposal.
— After the vacuum has been achieved, the knock out on the cylinder
needs to be punched or drilled out.
— The tank is now ready for disposal in the proper trash container or
via a scrap vendor.
— All refrigerant recovery/reclaim cylinders should be tested per DOT
requirements every five years. Per DOT requirements, do not fill
a cylinder if the present date is more than five years past the test
date on the cylinder. The test date will be stamped on the collar of
cylinders.
Work-Related Injury and Illness Management
Carrier EHS SWI-007 Workers’ Compensation, EHS SWI-014- Work-
Related Illness & Injury Management, Reporting and General Medical
Guidelines for U.S. facilities that do not have Carrier Medical Departments
and UTC Procedure 33-Serious Injury Report defines the requirements for
Injury and Illness Management. The CSS Work-related Injury and Illness
Management Procedure S-14, in the CSS Environmental Health & Safety
Manual, was developed in compliance with these standards and includes,
but is not limited to, the following requirements:
• Establish Contact with Local Medical Providers
— The CSS Medical Professional will coordinate efforts to identity local
Occupational Health Clinics (US only).
— The CSS Medical Professional will coordinate medical treatment
plans with local medical providers (US only).
• Medical and First Aid Treatment
— Injured employees will receive prompt medical attention.
— Any injury will be attended to as quickly as possible to reduce any
adverse effects.
Safety 31
• Communication
— The supervisor will initiate contact according to the injury process
chart (US only).
— The U.S. CSS Medical Professional will be the primary contact for
Workers’ Compensation.
— UTC serious injuries or fatalities require immediate and additional
reporting.
• Investigation
— An incident investigation with root cause will be completed in 2 days
— Lessons Learned postings shall be created within 2 days.
— The supervisor will schedule a conference call review and finalize the
incident report in 5 business days.
• Return to Work
— Alternative work shall be provided within prescribed restrictions.
— The treating medical care provider will be informed of the availability
of alternative productive work.
Contractor Safety
OSHA 29 CFR 1926.16, United Technologies Corporation’s EH&S
Standard Practice 10 (SP-010), and CSS Contractor EH&S Procedure
S-15, defines the requirements for contractors’ and sub-contractors’
EH&S. The CSS EH&S Management System Manual, Element 5 and Daily
Reference Guide were developed to be in compliance with this standard
practice and include, but are not limited to, the following requirements:
• Local management will implement, ensure awareness and support the
Contractor EHS program.
• Each CSS operation will assign a contract coordinator who will be
responsible for the following:
— Will be familiar with the requirements in Contractor EHS program.
— Providing selected contractors with a copy of CSS EHS Contractor
Requirements, Safety First Card, EH&S Program Summary,
Technician EHS book and to obtain the information in the “CSS
Contractor EHS Requirements
— Inform all contractors that all fatalities, serious injuries resulting in
permanent disability, major environmental incidents and violations of
law resulting in legal notice will be reported.
32 EH&S Program Summary
• Carrier job supervisors who are responsible for overseeing contractor
activities at the job site shall:
— Inform all contractors and subs that all Carrier, customer and
governmental rules will be adhered to.
— Provide the contractor, during each visit to the site, with a verbal
assessment of the contractor’s EHS performance.
— The inspection schedule is as follows: 1 - 3 day projects = no
inspection; 4 day – 3 month projects = 1 inspection and 3 month –
1 year = quarterly inspections.
— Ensure that the contractor immediately corrects all noted deficiencies
and notes serious deficiencies are noted in the file and disciplinary
log.
• The general requirements for contractors and subcontractors while
performing work for Carrier include, but are not limited to the following:
— Acting in a safe and environmentally responsible manner, maintaining
compliance with Carrier’s Contractor EHS Requirements and all
applicable EH&S laws and regulations.
— Accepting sole responsibility for acts or omissions by contractor
employees with respect to environmental or safety risks, incidents,
or liabilities encountered by the contractor.
— Accepting without appeal, termination of the contract if Carrier
determines that the contractor has falsified any required
environmental or safety information, or if Carrier determines that
the contractor is significantly deficient in environmental or safety
performance or capabilities.
— Allowing Carrier to inspect the contractor activities at Carrier’s
discretion and to immediately correct any noted safety or
environmental deficiencies.
• Specific requirements for contractors and subcontractors whose
services include labor values at more than $5,000 in a year on an annual
basis:
— Submit a completed Carrier Contractor EH&S Qualification Submittal
form.
— Submit a copy of available Contractor EH&S Procedures.
— Submit a listing of EH&S training provided to employees in the past
three years.
• All submittals not meeting the minimum selection criteria will be sent to
the EHS manager for final approval.
Safety 33
Hot Work Program
OSHA 29 CFR 1910.252 and 254 defines the requirements for hot work.
The CSS Hot Work Procedure S-16, in the CSS Environmental Health &
Safety Manual was developed in compliance with these standards and
includes, but is not limited to, the following requirements:
• General Procedures
— Flammable or combustible materials must be removed from the area.
If materials can’t be moved a proper welding curtain must be used.
— An ABC rated fire extinguisher must be available in the work area.
— A fire watch must be used when: An ‘other than minor fire’ could
develop; Combustibles are within 35 feet; Combustibles more than
35 feet away are easily ignited; Combustibles are exposed by a
wall/floor opening within 35 feet; Combustibles are adjacent to the
opposite side of a metal partition/roof/ceiling.
— Before welding/cutting the supervisor must inspect the area and
complete a hot work permit.
— Completed permit records will be maintained in the respective
job file.
• Welding Safety
— Never carry or use butane lighters while welding.
— Refer to the PPE Workplace Assessment for welding, cutting and
brazing.
— Keep the work area clean and free of hazards.
— Use a suitable cylinder truck, chain or other device to secure the
gas cylinders.
— Shield others from the sparks and UV radiation produced from
welding.
— When welding in wet areas, wear rubber boots and stand on a dry
insulated platform.
— Do not weld on sealed containers or compartments without providing
vents.
34 EH&S Program Summary
Lead Awareness
OSHA 29 CFR 1910.1025, 1926.62 and CAL OSHA 1532.1 define the
requirements for working with lead. The CSS Lead Awareness Procedure
S-17, in the CSS Environmental Health & Safety Manual was developed in
compliance with these standards and includes, but is not limited to, the
following requirements:
• Lead exposure affects six bodily systems, e.g. digestive,
reproductive, circulatory, nervous, urinary and skeletal.
• The two main routes for lead to enter the human body are by
inhalation and ingestion.
• Customers are required to post warning signs in areas where
an employee’s exposure to lead is above the OSHA Permissible
Exposure Limit. (PEL)
• CSS employees are prohibited from performing any work where the
potential for lead exposure exists.
• Contact your supervisor if there is any incident which has the
potential for lead exposure.
• All employees shall review this policy where the potential of lead
exposure exists.
Hydrogen Sulfide
OSHA 29 CFR 1910.1000 and 1926.55 define the requirements for
working with hydrogen sulfide. The CSS Hydrogen Sulfide Awareness
Procedure S-18, in the CSS Environmental Health & Safety Manual was
developed in compliance with these standards and includes, but is not
limited to, the following requirements:
• Hydrogen sulfide exposure causes respiratory paralysis or irritation
and eye and skin irritation.
• The main route for hydrogen sulfide to enter the human body is
through inhalation.
• Oil refineries have the potential to produce hydrogen sulfide. Other
locations that may have hydrogen sulfide are sewers, cesspools,
stagnant water or anywhere the decay of organic materials occurs.
• Hydrogen sulfide can be detected by direct read fixed or portable
monitors as well as colorimetric detector tubes and personal
monitoring.
• Identification of hydrogen sulfide concentrations is the
responsibility of the host-facility operator.
Safety 35
• Process areas in most refineries have identified potential hydrogen
sulfide exposures and have indicated the exposure areas with
signs that read “Caution High levels of Hydrogen Sulfide May Be
Present”.
• Most host facilities have hydrogen sulfide emergency plans that
explain what the procedure is when hydrogen sulfide is present.
• All employees shall review this policy where the potential of
hydrogen sulfide exposure exists.
Benzene
OSHA 29 CFR 1910.1028, 1926.1128, CAL OSHA 5218 and WAC 296-
849-190 define the requirements for working with benzene. The CSS
Benzene Awareness Procedure S-19, in the CSS Environmental Health
& Safety Manual was developed in compliance with these standards and
includes, but is not limited to, the following requirements:
• The main routes for benzene to enter the human body are through
inhalation, absorption and ingestion.
• Customer work sites that have benzene present are required to
post signs at the entrances to regulated areas that say “Danger,
Benzene, Cancer Hazard, Flammable – No Smoking, Authorized
Personnel Only, Respirator Required”.
• Carrier Sales and Service employees are prohibited from
performing work in regulated areas where the potential for benzene
exposure exists.
• Locations where benzene exposure can occur are petroleum
refining sites, tank gauging and field maintenance.
• In case of benzene related medical emergency, utilize the
customer’s work site emergency plan if it is available or call 911
and report any incidents to your supervisor.
• All employees shall review this policy where the potential of
benzene exposure exists.
36 EH&S Program Summary
OCCUPATIONAL HEALTH
OCCUPATIONAL HEALTH
Hazard Communication
OSHA 29 CFR 1910.1200, 1926.59 and WHMIS in Canada establishes
the requirements for ensuring employees are aware of the hazardous
chemicals they may be exposed to in the work place. The CSS Hazard
Communication Procedure OH-1, in the CSS Environmental Health &
Safety Manual, was designed to be in compliance with this standard and
includes, but is not limited to, the following requirements:
• All employees shall receive training on Hazard Communication prior to
starting work in their assigned position, and annually thereafter.
• The training shall include a review of the following:
— The chemicals that may be used or encountered as part of the job
duties.
— The physical and heath risks of the chemicals.
— Symptoms of over exposure.
— How to determine the presence or release of hazardous chemicals.
— How to reduce or prevent exposure to hazardous chemicals through
use of control procedures, work practices, and personal protective
equipment.
— Procedures to follow if employees are overexposed to hazardous
chemicals.
— How to obtain and read a Material Safety Data Sheet (MSDS).
• Prior to introducing a new chemical, each employee will be given
information and training as outlined above.
• All new chemicals must be reviewed and approved by the EHS Manager
prior to purchase and use.
• MSDSs for all hazardous chemicals used during CSS services
shall be obtained utilizing the vendor defined for providing
MSDS documentation. For Carrier chemicals purchased, go to
www.CarrierTotaline.com then EPIC then MSDS for Carrier products.
• All containers holding chemicals shall be labeled to identify the
contents, regardless if the chemical is hazardous or not. Containers
holding hazardous chemicals must also indicate the appropriate hazard
warning, the chemical name and address of the manufacturer.
38 EH&S Program Summary
• Contractors and customers who may be exposed to hazardous
chemicals used by CSS shall be provided with hazard information about
each chemical. MSDSs shall be provided if requested.
• On construction jobsites, physical copies will be maintained on the
jobsite per construction standards.
Occupational Health 39
Respiratory Protection
OSHA 29 CFR 1910.134 and 1926.103 defines the requirements for
protecting employees from overexposure to airborne contaminants.
The CSS Respiratory Protection Procedure OH-2, in the CSS
Environmental Health & Safety Manual, was developed to be in
compliance with this standard and includes, but is not limited to, the
following requirements:
• Employees must maintain a detailed knowledge of the hazardous
materials they may be exposed to (through MSDSs, training, verbal and
written communications). This knowledge is essential for assessing
the need for respiratory protection when overexposure is possible or
unavoidable.
• Mechanical ventilation shall always be used to attempt to minimize the
airborne concentrations of hazardous materials to safe levels.
• Employees shall be trained annually on the appropriate respiratory
protection to use for each hazardous material they may be exposed to.
Only approved respirators shall be used.
• Prior to using a respirator, each employee must pass a medical
evaluation verifying they are physically fit to use a respirator. Evaluations
shall be conducted on a periodic basis to identify changes in health
status that could affect an employee’s fitness to wear a respirator.
• Prior to using a respirator, each employee must pass a fit test on the
specific model respirator they will use. No facial hair is permitted that
would impede with the fit of the respirator.
• An employee must perform a positive and negative fit test each time
they don a respirator.
• Respirators shall be inspected for defects before and after each use
by the employee using it, and identified components shall be replaced
promptly.
• Respirators shall be cleaned after each use.
• Respirators must be stored in a sealed plastic bag or container in a
manner that will protect it from damage or contamination.
40 EH&S Program Summary
Hearing Conservation
OSHA 29 CFR 1910.95 and 1926.52 and .101 defines the requirements for
protecting employees’ hearing from exposure to occupational noise. The
CSS Hearing Conservation Procedure OH-3, in the CSS Environmental
Health & Safety Manual, was developed to be in compliance with these
standards and includes, but is not limited to, the following requirements:
• Affected employees are those employees who perform applied work
either full time or part time (applied and unitary).
• Testing has shown these employees are exposed to noise levels that
exceed 85 dBA for an 8 hour TWA
• Affected employees shall receive training annually on:
— The effects of overexposure to noise.
— Methods to prevent overexposure.
— The proper use and care of hearing protection equipment.
• Feasible administrative or engineering controls shall be utilized to
eliminate noise exposure. If they are unsuccessful, use of hearing
protection shall be enforced.
• Affected employees shall wear hearing protection in all designated/
posted high noise areas and whenever there is a chiller running in
the equipment room. The company shall provide, at no cost to the
employee, all appropriate hearing protection.
• Employees shall report symptoms of suspected hearing loss to their
supervisor.
• In areas not posted or designated with high noise warnings:
— Employees shall apply the rule of thumb for wearing hearing
protection when noise levels prevent conversation at a normal voice
level from a distance of up to three feet.
— Employees shall notify their supervisor and if necessary, sound levels
shall be measured to verify the need for hearing protection (ear plugs
or muffs).
• Annual audiometric hearing evaluations will be made available to
affected employees or their representatives.
• Employees shall inspect hearing protection equipment for signs of wear
or defects and replace identified components promptly. All hearing
protection will have noise reduction rating (NRR) of 26 dBA or greater.
Occupational Health 41
Material Handling and Ergonomics
United Technologies Corporation’s Standard Practice (SP-007) defines
the requirements for protecting employees’ from ergonomic injuries.
The CSS Procedure on Material Handling and Ergonomics, OH-4, in
the CSS Environmental Health & Safety Manual, was developed to be
in compliance with this standard and includes, but is not limited to, the
following requirements:
• A high potential for injuries exist when materials and equipment
are handled during service operations both at the office and at the
customer job site. To reduce the risk of material handling injuries, (back
strains/sprains, hernia, shoulder/arm/leg strain, etc.), CSS employees
should identify material handling and ergonomic problems and report
them to their supervisor.
• Plan for the best use of material handling equipment whenever possible,
such as loading ramps, two wheel handcarts, hoists/slings, fork trucks,
hydraulic lift-gates, stair climbers etc.
• The first rule is to lighten the load whenever possible! This may mean
that two trips to the destination will be necessary or soliciting the help
of another person when needed.
• Always push carts, hand trucks, and dollies rather than pulling them.
• Use safe lifting techniques:
— Conduct a preliminary survey of your travel route to identify and
address hazards and obstructions.
— For heavy lifting, perform some back stretching exercises first to
limber up your back muscles.
— For repetitive lifting, take occasional breaks.
— Face the load with your feet shoulder width apart and one foot
slightly ahead of the other.
— Bend your knees to squat down with your back straight and have a
good grip on the load.
— Lift the load slowly with your legs while keeping your back straight,
do not jerk.
— Keep the load close to your body.
— Turn with your feet, not your waist.
— Lower the load slowly with your legs while keeping your back
straight.
42 EH&S Program Summary
Bloodborne Pathogens
OSHA 29 CFR 1910.1030 defines the requirements for protecting
employees from exposure to blood borne Pathogens. The CSS Blood
Borne Pathogens Procedure OH-5, in the CSS Environmental Health &
Safety Manual, was developed to be in compliance with this standard and
includes, but is not limited to, the following requirements:
• All CSS employees who assist/respond to a medical emergency are
expected to follow universal precautions to prevent contact with blood
and other potentially infectious materials. Using universal precautions
means that you treat bodily fluids as if they are infectious.
• The following personal protective equipment (PPE) will be used when
dealing with bodily fluids: latex gloves, a CPR one-way valve mask,
protective garments and eye protection.
• Where there is an area with a likelihood for potential exposure to bodily
fluids, wash your hands as soon as possible and do not eat, drink,
smoke or apply cosmetics when you are in that area.
• Contaminated clothing should be properly laundered, disposed of or
replaced.
• All contaminated materials, bandages, clothing etc., will be disposed
properly. Place the waste materials in a red plastic bio-hazard bag and
contact your EHS Manager/OHS for specific disposal instructions.
• Training will be given to employees who have the potential for exposure
to blood borne pathogens.
Occupational Health 43
Workers’ Compensation Management Guide
Carrier EHS Standard Work Instructions (SWI) 7 Workers’ Compensation,
SWI 14 Work-Related Illness & Injury Management and State Laws
define the requirements for Workers’ Compensation. The CSS Workers’
Compensation Management Guide Procedure OH-6, in the CSS
Environmental Health & Safety Manual was developed to be in compliance
with all applicable laws, Company procedures and includes, but is not
limited to, the following requirements:
• It is a CSS Procedure to comply with all state and provincial
requirements with regard to providing prompt, reasonable medical
and income benefits to employees for work related injuries, regardless
of fault, and to institute the early return to work of injured employees
through appropriate restricted (light) duty work.
• Employees shall report work related injuries to their office Workers’
Compensation Coordinator or supervisor immediately, regardless
of severity.
• If an injury results in medical treatment by a doctor or other health
professional, a First Report of Injury shall be filed with Carrier’s
insurance company or, in the case of state administered programs,
the designated state insurance company, within 24 hours.
• The insurance company will obtain target return to work dates and
medical restrictions from the medical provider. Coordinate return to
work and restrictions with local operations.
• CSS offices will make every attempt to provide productive “restricted
duty” work to injured employees to facilitate their earliest possible
return to work. Work assignments shall always be within the limits of the
medical treatment providers written instructions.
• The respective CSS Workers’ Compensation management team
is responsible for maintaining contact with the employee and the
insurance company representative to ensure effective management of
the workers’ compensation claim (change in medical condition, return
to work, legal representation, etc.).
• Requests for information from the insurance company should be
completed promptly to ensure proper benefits are provided to the
injured employee in a timely manner.
• The CSS Medical Professional must approve all medical treatment
for all work-related injuries and illnesses (not including emergency
medical care).
44 EH&S Program Summary
• Since state workers’ compensation regulations vary, questions on
specific state regulations should be directed to the CSS Medical
Professional, the local Workers’ Compensation insurance representative
or your EH&S Manager.
Heat Stress Prevention
American Conference of Governmental Industrial Hygiene (ACGIH) and
other organizations define the requirements for protecting employees from
exposure to excessive heat. The CSS Heat Stress Prevention Procedure
OH-7, in the CSS Environmental Health & Safety Manual, was developed
to be in compliance with these standards and includes, but is not limited
to, the following requirements:
• The levels of heat related illness and associated symptoms include
the following:
— Heat rash = red bumpy rash with severe itching.
— Heat cramps = cramps in the legs or stomach and excessive
sweating.
— Heat exhaustion = heavy sweating, tried and weak, nausea,
vomiting, cool moist skin.
— Heat stroke = hot dry red skin, fast pulse, weakness, confusion,
loss of consciousness and convulsions.
• Heat stress control strategies include the follow:
— Pre-job planning = check the media for the weather forecast
and any environmental key indicators, e.g. SMOG alerts, humidity
readings or air quality warnings.
— Provision of water = access to potable water in sufficient quantities.
— Access to shade = shaded areas will be open to the air or have
ventilation or cooling for a period of no less than 5 minutes.
— Personal protective equipment (PPE) = cooling neck wraps or
cooling vests.
• First aid responses to heat stress include the following:
— Early recognition of heat stress symptoms.
— Cool the skin with water and loosen clothing.
— Apply wet cloths and provide sips of water, do not gulp it down.
— Stop water consumption if nausea occurs.
— Arrange for medical attention.
Occupational Health 45
Copy Employee Medical Records
Governmental and Company standards and regulations define the
requirements for the handling of employee medical records. The
CSS Copy Employee Medical Records Procedure OH-8, in the CSS
Environmental Health & Safety Manual, was developed to be in
compliance with these standards and includes, but is not limited to, the
following requirements:
• Carrier Sales and Service (CSS) complies fully with HIPPA for work and
non-work related medical/personnel records.
• CSS maintains strict confidentiality when it comes to medical/
personnel records.
• Medical records shall be stored separately in a file cabinet or drawer.
The cabinet or drawer shall be locked and or the room the files are kept
in shall be locked.
• Under no circumstances will medical records be left unattended.
• Medical record packaging will comply with HIPPA regulations.
• Anyone handling medical records will be trained in the HIPPA
requirements.
• Employees may request their medical records by completing the
request for medical records form – “Authorization to Release Medical
Records” and returning the form to the Occupational Health Specialist –
Company RN.
• The Workers’ Compensation insurance vendor can request a copy
of the employee’s medical records by phone to the Carrier Medical
Coordinator or Workers’ Compensation Coordinator.
46 EH&S Program Summary
Guidelines for Potentially Contagious
Medical Conditions or Exposures
The Centers for Disease Control (CDC), State and Local Health
Departments, OSHA, United Technologies Corporation (UTC) Standard
Practice -3 (SP-3) and Standard Work Instruction (SWI)-007 define the
requirements for protecting employees from exposure to contagious
medical conditions. The CSS Medical Procedure Guidelines for Potentially
Contagious Medical Conditions or Exposures Procedure OH-9, in the
CSS Environmental Health & Safety Manual, was developed to be in
compliance with these standards and includes, but is not limited to, the
following requirements:
• All employees will be trained and expected to follow Universal
Precaution guidelines.
• Employees may be referred to their personal physician for further
evaluation and return to work clearance.
• In order to minimize the potential exposure, the CSS Medical
Professional and EHS Regional Manager will coordinate appropriate
communications with branch management to the potentially affected
population.
• The CSS Medical Professional will act as the focal point for potentially
contagious medical conditions and exposure issues and will be
responsible for the following:
— Assessment and evaluation.
— Obtaining recommendations from the CDC et al.
— Notification of Carrier management and employees as well as
Governmental agencies.
— Recordkeeping and reporting.
Occupational Health 47
ENVIRONMENTAL
ENVIRONMENTAL
Used Oil Management
EPA 40 CFR 261, 279 and UTC SP-11 define the requirements for used
oil management. All these requirements shall be followed at all times by
Carrier employees and subcontractors. The CSS Used Oil Management
Procedure E-1, in the CSS Environmental Health & Safety Manual, was
developed to be in compliance with this standard and includes, but is not
limited to, the following requirements:
• Centrifugal Chillers
— The customer should maintain responsibility for the proper disposal
of used oil.
— When contract terms or other customer insistence requires Carrier
to be responsible for removal of the used oil, Carrier will contract
directly with a qualified vendor to pick-up used oil directly from the
customer’s facility. Oil is to be removed under the Customer’s name
and EPA ID number or CESQG status NOT Carrier’s ID number.
— The UTC approved vendor will supply the necessary testing, labels
and seals for the drums.
— Used oil from centrifugal chillers will not be transported back to CSS
offices for disposal.
• Reciprocal Chillers
— Used oil from the service of unitary equipment can be returned to the
local CSS office for aggregation.
— No more than 5 gallons can be transported at a time.
— Used oil or other containers of less than 5 gallons must be
transported in a sealed bucket or container suitable for chemicals,
with a tight fitting lid. Buckets designed for spill clean up or spill kit
buckets may be used. The bucket must be a DOT approved bucket
with a “UN” labeling. If the container is not DOT approved or does
not have a “UN” labeling a secondary bucket must be used.
— At the CSS office, used oil storage will have secondary containment,
be labeled “USED OIL” and be disposed of after 55 gallons are
accumulated.
• Oil will be removed from equipment that is destined to be scrapped or
otherwise disposed of.
50 EH&S Program Summary
Refrigerant Management
40 CFR – Chapter 1, Part 82, Canadian EPA, UTC SP-006 and ASHRAE
15 all define the regulations for servicing air conditioning and refrigeration
appliances. All requirements shall be followed at all times by Carrier
employees and subcontractors. The CSS Refrigerant Management
Procedure E-2, in the CSS Environmental Health & Safety Manual, was
developed to be in compliance with these regulations or standards and
includes but is not limited to, the following requirements:
• The deliberate venting of refrigerants is strictly prohibited.
• Individuals who will service air conditioning or refrigeration equipment
must have a valid USEPA certification or Canadian certification to do so.
• Technicians who perform work on HCFC-123 equipment are required to
have a CSS HCFC-123 certificate.
• HCFC-123 conversion work will require a pre-approval from the BSS
NA president and Legal Counsel, an ASHRAE 15 equipment room
inspection and refrigerant monitoring as work takes place.
• A CSS customer certification form shall be completed when CSS sells
or distributes refrigerant. Sales invoices will be kept for all transactions.
• A CSS certification form for the Purchase of Refrigerant shall be
completed when CSS buys refrigerant.
• Refrigerant transportation and storage containers will be labeled with
the EPA ozone depletion warning.
• Refrigerant recovery, reclaim and recycle equipment will meet the
US-EPA standards.
• Only UTC/Carrier approved vendors will be used for the handling of
refrigerant.
• Refrigerant will be removed from equipment that is destined to be
scrapped or otherwise disposed of.
• Only DOT approved cylinders, stamped with a certification date less
than five years old, shall be used for transporting refrigerant. Cylinders
shall not be filled over 80% of their total capacity.
• Where a system contains 50 pounds of refrigerant or more, a
“Refrigerant Status Report” will be completely filled out for each
job where refrigerant circuits are accessed.
• All refrigerant recovery tools must be ARI certified tools (no homemade
equipment).
Environmental 51
• Never use refrigerant recovery equipment that is not labeled with a
sticker which states: “This equipment is approved for Carrier personnel
use on refrigerant”.
• Refrigerant must be recovered from equipment while it is at the jobsite.
Any exception must be approved by CSS Operations.
• Once you have recovered the refrigerant from a unit for disposal, you
must affix a Refrigerant Removal Certificate – EHS-004 sticker.
• All refrigerant releases regardless of the quantity must be reported to
the branch immediately.
• While servicing a 410a refrigerant circuit, use tools and equipment rated
to handle the higher refrigerant pressures.
52 EH&S Program Summary
Waste Management
40 CFR Parts 260 – 268 and 279 of the Resource Conservation and
Recovery Act (RCRA) and UTC SP-011 define the requirements for
managing hazardous waste. The CSS Hazardous Waste Management
Procedure E-3 in the CSS Environmental Health & Safety Manual, was
developed to be in compliance with these laws and include, but is not
limited to, the following requirements:
• CSS customers are liable for the proper disposal of hazardous and
other wastes generated at their site.
• Hazardous waste generated at job sites cannot be transported to a
Carrier facility for subsequent disposal.
• Hazardous wastes that are generated at CSS facilities must be
disposed of per 40 CFR Parts 260 – 268. Waste storage areas will have
secondary containment and containers will be labeled.
• When disposing of a hazardous waste, CSS offices must contact their
EHS Manager to review the process and ensure all regulations are
complied with.
• Hazardous waste will not be stored for more than 90 days. See CSS
EH&S Procedure E-3 for guidance.
• Only UTC approved vendors shall be used for disposal of CSS
hazardous wastes or recommended to customers.
• Waste disposal records, e.g. POs, manifests, correspondence and
quotes will be kept as permanent records.
• Universal waste will be managed as per the requirements in section
6.10 of procedure E-03.
• General waste should be recycled when possible.
Water Pollution Control
EPA defines the requirements of the National Pollutant Discharge
Elimination System as part of the Clean Water Act and UTC SP-009 also
defines Corporate water pollution control requirements. The CSS Water
Pollution Control Procedure E-4, in the CSS Environmental Health & Safety
Manual, was developed to aid in compliance with governmental and
customer requirements.
• Direct water discharges may include, but are not limited to, roof drains,
parking lot drains, floor drains, facility grounds and sink drains, etc.
• Typical water pollution sources include, but are not limited to, chemical
wastes (lithium bromide), boiler blow down, cooling water, wash water
(coil cleaner), condensates, etc.
Environmental 53
• Indirect discharges include any of the above that are discharged into
a sanitary sewer drain that discharges to a Publicly Owned Treatment
Works (POTW) a.k.a., sewage treatment plant. Such discharges are
subject to pretreatment standards under the General Prohibitions
Procedure.
• Both direct and indirect discharges may require permits. All actual
or potential discharges associated with CSS tasks to be performed
at customer sites must be communicated to the customer using the
appropriate MSDS. The customer shall evaluate each circumstance
for permit compliance and must authorize all discharges. Authorization
must be documented on the CSS customer service report (CRS) signed
by a customer representative.
• If discharges are not authorized, the pollutants must be captured for
customer disposal, or alternate methods must be used that will not
generate a pollutant.
Disposal of Empty Containers and Used Rags
EPA 40 CFR Part 261 defines the requirements of the Resource
Conservation and Recovery Act (RCRA) for managing hazardous
waste while UTC SP-011 defines corporate requirements for managing
hazardous waste. The CSS Procedure E-5 Disposal of Empty Containers
and Used Rags in the CSS Environmental Health & Safety Manual was
developed to be in compliance with these laws and includes, but is not
limited to, the following requirements:
• Empty containers and rags are to be disposed of per federal, state and
local regulations. See the CSS EH&S Procedure E-5.
• Empty containers or rags can be disposed of according to any
customer requirements as long as they at least comply with all legal
requirements.
• Containers are considered empty if all the material has been removed.
• Containers that have held hazardous materials or waste should be
disposed of according to the Hazardous Waste section of this book.
• When rags are contaminated with solvents, paint or bromide, etc.,
they may be considered hazardous waste and need to be disposed of
according to the Waste management section of this book.
• Rags can be sent to a laundry service, disposed of as hazardous waste
and/or put in the trash if they are not hazardous waste
• If rags cannot be disposed of at a customer site, they must be
transported and stored in a fireproof safety container approved by
the NFPA.
54 EH&S Program Summary
Shipping of Hazardous Materials
Department of Transportation (DOT) 49 CFR 171 – 173 defines the
requirements for the transportation of hazardous materials (Haz Mat).
The CSS Hazardous Material Shipping Manual and the CSS Procedure
E-6 Shipping of Hazardous Materials in the CSS Environmental Health &
Safety Manual, were developed in compliance with the DOT standard and
includes, but are not limited to the following:
• All employees who handle shipping and receiving of hazardous
materials will receive annual DOT Awareness training. Function specific
DOT training is required and retraining every 3 years minimum for
employees that have the potential to ship hazardous materials.
• Hazardous Materials shipping papers will be retained on site for two
years following the date of shipment (US only). Hazardous waste
shipping papers will be retained for three years from the date of
shipment (US only). Canadian recordkeeping policy requires permanent
records of movement.
• The Materials of Trade (MOT) exception gives regulatory relief to
companies that are not in the transportation business but need to
transport small quantities of hazardous material in direct support of their
principle business.
— MOT allows 440 pounds of certain MOT materials in total aggregate
with a maximum allowed cylinder weight of 220 pounds, to be
transported in the original packaging without the DOT required
paperwork and packaging requirements. See 49 CFR 173.6 and or
the CSS Hazardous Material Shipping Manual for details.
• If the materials of trade exception cannot be used then the following
must be done:
— The hazardous material supplier will deliver the Haz Mat directly to
the job site.
• Haz Mat will be shipped only by ground transportation.
• Small compressed gas sample shipment by air needs the written
approval of the CSS EHS Manager or designee.
Environmental 55
Spill or Release Response and Reporting
US-EPA 40 CFR, State, Local, Provincial and United Technologies
Corporation (UTC) define the requirements for the reporting and response
to spills or releases. The CSS Procedure E-7 Spill/Release Response
and Reporting Requirements in the CSS Environmental Health & Safety
Manual, was developed to be in compliance with these laws and include,
but is not limited to, the following requirements:
• Spills and releases include liquids, solids and gases. The spill or release
can be to the air, water or soil directly or indirectly. For example, a
chemical is spilled on a roof and washed, by rain to the soil, a stream or
sewer.
• If the spill cannot be contained quickly and safely, evacuate to a safe
distance, control access to the area and notify any CSS EHS Manager,
your supervisor and or branch manager immediately.
• Incident investigations will be completed for spills and releases.
Reference form 10.9 on the Daily Reference Guide.
• Employees will use personal protective equipment (PPE) as prescribed
by the CSS PPE Quick Reference Guide when cleaning up spills or
releases.
• Spill clean up waste materials will be disposed of according to US-EPA,
State, Provincial and UTC requirements.
• The US-EPA, State and local governmental agencies as well as United
Technologies Corporation (UTC) and Carrier have spill/release reporting
requirements that will be complied with.
New or Modified Sources
EPA 40 CFR, CAA Parts 1-6, CWA 100-148, RCRA 260 – 260-262 and
279, OSHA 29 CFR 1910.120 and UTC CS Standard Practices define the
requirements for new and modified pollution sources. The CSS Procedure
E-9 New and Modified Sources in the CSS Environmental Health &
Safety Manual, was developed to be in compliance with these laws or
requirements and include, but is not limited to, the following requirements:
• Any new or existing machine, process or other entity that emits,
generates or has the potential to emit or generate waste water or air
emissions must be evaluated prior to disposal, discharge, installation,
modification or alteration.
• Before any new chemical, Carrier owned machinery or waste is
purchased, disposed, combined, modified, moved or taken out of
service contact the CSS Regional EH&S Manager.
56 EH&S Program Summary
• New or modified source evaluation will determine if the chemical
emission, discharge, disposal material or new chemical are subject to
any governmental regulation or United Technology Corporation (UTC)
requirement.
• CSS is subject to a partial list of banned chemical(s) which include the
following:
— 1, 1, 1, Trichloroethane
— All class 1 ozone depleting substances (excluding refrigerants)
— 1, 1, 2 Trichloroethylene
— Methylene Chloride
— Carbon Tetrachloride
— Perchloroethylene
— Methyl Ethyl Ketone
— Cadmium
Environmental 57
GENERAL EH&S TOPICS
Turn to the Ex
www.carrier.
GENERAL EH&S TOPICS
EHS Document Signature Authority
Carrier procedures and Standard Work Instructions - EHS-0-016
defines the requirements of the signature authority. The CSS Procedure
EHS-01 EHS Document Signature Authority in the CSS Environmental
Health & Safety Manual, was developed to be in compliance with these
requirements and include, but is not limited to, the following requirements:
• The Regional Operations Manger will sign permit applications.
• The Regional EHS Manager will sign chemical inventory reports and
routine correspondence with regulatory agencies that do not involve
non-compliance.
• For non U.S. sites follow the local requirements for your Country.
• If there are questions contact the Sr. EHS Director or Business Unit
Legal representative.
• If there are no requirements the documents must be signed by the
Regional Operations Manager level or higher.
60 EH&S Program Summary
Regulatory Inspections and Visits
Carrier procedures define the requirements for regulatory inspections and
visits. The CSS Procedure EHS-2 EHS, Regulatory Inspections and Visits,
in the CSS Environmental Health & Safety Manual, was developed to be in
compliance with these requirements and includes but is not limited to the
following:
• Request the inspector’s identification; notify CSS operations and EHS
management of the inspection.
• Under no circumstances is the inspector to be unescorted during the
visit.
• Conduct the opening conference with the inspector and take notes of
the discussion.
• Review the CSS safety and security rules with the inspector and then
proceed directly to only the area in question.
• During the inspection take notes and take corrective actions on any
issued identified by the inspector.
• Take photographs and samples in tandem with the inspector.
• Conduct the closing conference and take notes of the proceedings.
• Post inspection follow up actions will be completed as soon as
possible.
• All written correspondence should be sent via certified return mail.
General Topics 61
New Chemical Approval
US-EPA 40 CFR, State, Local, Provincial, Carrier and United Technologies
Corporation (UTC) define the requirements for the approval of new
chemicals. The CSS Procedure EHS 03 New Chemical Approval in the
CSS Environmental Health & Safety Manual, was developed to be in
compliance with these laws and include, but is not limited to, the following
requirements:
• Fourteen days prior to the purchasing a new chemical the person
requesting the new chemical must obtain a MSDS from the
manufacturer.
• Once the new chemical requestor has the MSDS they must
complete the EHS 03 F form, attach the MSDS and send it all to the
Branch Manager.
• The MSDS and New Chemical Approval Form (EHS 03F) will be
forwarded to the Regional EHS Manager for evaluation.
• Evaluation criteria will include but is not limited to the following:
SARA 313, HAP, VOC, health risk, storage, use and ODS class, e.g.
no class I ODS will be approved and limited class II ODS may be
approved.
• There is a list of Materials of Concern (MOC) that is part of this EHS
procedure and this list must be reviewed as part of the evaluation
process.
• If approved the purchaser will be notified and the EHS 03 F form
will be sent back to the Branch. The EHS 03 F will be kept on file for
5 years.
62 EH&S Program Summary
EHS Records Management
US-EPA, OSHA and State, Local, Provincial and United Technologies
Corporation (UTC) define the requirements for EHS Records Management.
The CSS Procedure EHS 04 EHS Records Management in the CSS
Environmental Health & Safety Manual, was developed to be in
compliance with these laws and include, but is not limited to, the following
requirements:
• This procedure is specific to the transfer, storage, retrieval and
disposition of EHS records at Carrier Corporation.
• There is a Records Retention Schedule that is part of this EHS
procedure and this schedule must be reviewed to obtain what is
retained, by whom, the owner of the record, the security level and
retention period. The Records Retention Schedule is available at
http://cybercool.utc.com/vgn-ext-templating-car/v/index.jsp?vgnex
toid=2f890fd8c41a7110VgnVCM1000006981000aRCRD.
• Any changes to the records retention schedule must be presented
to the Corporate Records Manager for review and approval.
Changes will be communicated as updates to the Records
Retention Schedule.
• The Corporate Records Manager can be reached (315) 432-3804.
General Topics 63
When Dr. Willis Carrier began in the air conditioning industry in 1902, little
did he know the tremendous impact it would have on our daily lives.
As a global citizen, Carrier recognizes the vital importance of maintaining
a responsible balance between the comfort we create today and the world
we live in tomorrow. Carrier is an industry leader in energy efficiency,
dedicated to creating environmentally sound products and solutions
that fulfill our customers’ demands while preserving our precious natural
resources.
Carrier’s comprehensive line of chillers are the most environmentally
responsible equipment available today. Carrier’s Evergreen® positive-
pressure centrifugal chillers achieve the industry’s highest efficiency levels
while utilizing a chlorine-free, nonozone depleting refrigerant.
Carrier Sales and Service, a division of Carrier Corporation, offers unique
solutions to your equipment and service needs.
You are assured of consistent, high-quality, customized, single-source
HVAC building services from Carrier. As your service partner, Carrier
is ready to service your equipment backed by over 75 years of service
experience, national service capabilities and the latest technologies.
Therefore, Carrier’s environmentally-friendly equipment combined with
quality service is your assurance of long-term inside comfort and an
outdoor environment for enjoyment tomorrow.
64 EH&S Program Summary
~
, '
Products
COOLING
• Absorption Chillers • Centrifugal Chillers
• Reciprocating Chillers • Packaged Units
• Rooftop Units • Split Systems
• Heat Pumps • Screw Chillers
• Refrigerant Management • Refrigerant Containment
Systems Products
HEATING
• Furnaces • Heat Pumps
• Packaged Heating Units • Packaged Rooftop Heating
Units
AIR & WATER DISTRIBUTION
• Central Station Air-handling Units • Fan Coil Units
• Induction Air Terminals • VAV Terminals
• Fan Powered Terminals • Linear Slot Diffusers
• Water Source Heat Pumps
CONTROLS
• i-Vu Open Protocol BMS (BACnet) • Zoned Comfort Systems “3V”
• Carrier Comfort Network • Chiller Plant Optimization
• Demand Control Ventilation Controls
Systems • Remote Monitoring Systems
(Web Based)
Services
• Comprehensive Turnkey • Energy Solutions
Replacement • Repair Services
• Service Agreements • HVAC Replacement Parts
• Control Services • Tube & Chemical Analysis
• Non-Destructive Services • Indoor Air Quality Services
• Retrofit & Upgrade Services • Remote Monitoring Service
• Refrigerant Containment Services • Temporary Heating, Cooling
• Refrigerant Conversions and Power
• Start-Up/Commissioning • Financing Solutions
• Emergency Service • Power Solutions
65
C CarrierA United Technologies Company
05-811-30003 Carrier Corporation 11/09 Printed in the USA
OSHA's Form 300A (Rev. 01/2004) Year 2020
Summary of Work-Related Injuries and Illnesses U.S. Department of Labor
Occupational Safety and Health Administration
Form approved OMB no. 1218-0176
All establishments covered by Part 1904 must complete this Summary page, even if no injuries or
illnesses occurred during the year. Remember to review the Log to verify that the entries are complete
Using the Log, count the individual entries you made for each category. Then write the totals below, Establishment information
making sure you've added the entries from every page of the log. If you had no cases write "0."
Employees former employees, and their representatives have the right to review the OSHA Form 300 in Your establishment name Carrier Corporation
its entirety. They also have limited access to the OSHA Form 301 or its equivalent. See 29 CFR
1904.35, in OSHA's Recordkeeping rule, for further details on the access provisions for these forms. Street 5900 Northwoods Business Parkway
City Charlotte State NC Zip 28269
Number of Cases
Industry description (e.g., Manufacture of motor truck trailers)
Total number of Total number of Total number of cases Total number of Air conditioning system service provider
deaths cases with days with job transfer or other recordable
away from work restriction cases Standard Industrial Classification (SIC), if known (e.g., SIC 3715)
0 9 9 5 1711
(G) (H) (I) (J) OR North American Industrial Classification (NACIS), if known (e.g. 336212)
238220
Number of Days
Employment information
Total number of Total number of days of
days away from job transfer or restriction Annual average number of employees 1,340
work
375 332 Total hours worked by all employees last year 3,035,820
(K) (L)
Injury and Illness Types
Sign here
Total number of… Knowingly falsifying this document may result in a fine.
(M)
(1) Injury 22 (4) Poisoning 0
(2) Skin Disorder 0 (5) Hearing Loss 0
(3) Respiratory I certify that I have examined this document and that to the best of my knowledge the entries are
Condition 1 (6) All Other Illnesses 0 true, accurate, and complete.
Paul Alexander EHS Manager
Company executive Title
(510) 833-3501 1/8/2021
Post this Summary page from February 1 to April 30 of the year following the year covered by the form Phone Date
Public reporting burden for this collection of information is estimated to average 50 minutes per response, including time to review the instruction, search and
gather the data needed, and complete and review the collection of information. Persons are not required to respond to the collection of information unless it
displays a currently valid OMB control number. If you have any comments about these estimates or any aspects of this data collection, contact: US Department
of Labor, OSHA Office of Statistics, Room N-3644, 200 Constitution Ave, NW, Washington, DC 20210. Do not send the completed forms to this office.
CARRIER CORPORATION GENERAL INFORMATION
13995 Pasteur Blvd., Palm Beach Gardens, FL 33418
Address & Phone
(561) 365-2000
Carrier Corporation is owned by Carrier Global Corporation, a publicly
traded corporation (NYSE: CARR).
Ownership Structure
Carrier Global Corporation-100%
Type of Services Heating, ventilation, air-conditioning and controls, services, and
Offered by sustainable solutions for residential, commercial, industrial applications.
Carrier
History of Carrier Carrier Global Corporation engages in the heating, ventilating and air conditioning
Corporation (HVAC), refrigeration, and fire and security solutions businesses. Its HVAC
segment provides air conditioners, heating systems, controls, and aftermarket
components for residential and commercial customers which include the
Automated Logic, Bryant, Carrier, CIAT, NORESCO, and Riello brands; and
aftermarket repair and maintenance services and building automation solutions.
Carrier Corporation financials are reported on a consolidated basis with Carrier
Annual Reports
Global Corporation at https://ir.carrier.com/financials/sec-filings or www.sec.gov
Carrier Corporation has never filed for bankruptcy
Bankruptcy
REFERENCES:
Hilton Worldwide
Randy P. Gaines
V.P. Engineering - Americas
7930 Jones Branch Drive, Suite 1100, McLean, VA 22102
Phone: 703-883-1026
Fax: 703-442-3111
randy.gaines@hilton.com
Honeywell Building Solutions
Mark Bramwell
Commodity Leader, Strategic Sourcing - Americas
1985 Douglas Drive N.
Golden Valley, MN 55422
Office: 763.954-5614
Mobile: 952-818-1165
mark.bramwell@honeywell.com
Carrier Strategic Accounts
5900-B Northwoods Business Pkwy
Charlotte, NC 28269
Quality Assurance of Products & Services
In early 1990, Carrier's Service Marketing Division developed a process for Service Product Design and
Implementation. Once a concept is established, it progresses through a feasibility study, where
customers are consulted via focus groups or questionnaires. If management approval is obtained, a
multi-functional team selected from marketing and operations is formed to undertake the project.
Consequently, field training must take place for the proper delivery of the service product. This can be a
concurrent activity with the technical training that must accompany each product. Training sessions are
held at the region or district offices, with all office personnel involved. This includes the clerical people
who administer the product, the engineers who may be called upon to install the product, the managers
who manage the product’s introduction, and the technicians who are involved in product installation and
delivery.
In product introduction, the project manager meets with quality review teams and suppliers to assure that
the final product meets the initial goals for the product. Once the product is field implemented, the
Customer Service Report (CSR) provides the means to communicate product deficiencies. Service
marketing compiles the data via statistical analysis and the information is passed on to the appropriate
suppliers.
What service was sold versus what service was performed is a key indicator in the service business.
Method of documentation of this indicator includes a computerized scheduling system, and the Customer
Service Report (CSR) time tickets.
The Customer Service Report (CSR), is a critical document for conformity. The CSR consists of several
sections. The equipment information, model and serial numbers are recorded to identify the machine. A
task code is used to identify the work done. Additionally, operating log readings are taken to verify the
proper operation of the machine within design conditions. Calculations are done by the mechanic to
confirm that operation is within the design specifications. Space on the form is dedicated to parts used,
written description of work done and abnormalities discovered by the servicing mechanic. Finally, after all
service is performed, customer signatures are obtained to verify that the work was done to the customer’s
satisfaction.
The service performance key indicators are measured monthly by management. If any discrepancies are
noted, the next level of management meets with the entity, determines the root cause of the existing
performance as a comparison to plan and develop action plans to rectify the situation. These action
plans detail specific areas of concern, outlining actions to be taken, timing, and responsibilities. Monthly
follow-ups are conducted and actual results compared to planned results. Further corrective actions are
taken as required.
For product hardware, statistics and data compiled by the CSR Report feedback process determines
product deficiencies. Its purpose is to allow the mechanic to receive technical assistance during startup,
to give feedback to engineering on problems encountered with the unit. This information is shared with
the components supplier and action items implemented to correct the situation. Management makes a
required vendor visit to assure that the proper actions are implemented.
In a distributed technical organization, there is the need to communicate service instructions across the
nation. The principle vehicles for these transfers of information are the Service Bulletin and Equipment
Technical Manuals.
Page 1 of 2
Carrier Strategic Accounts
5900-B Northwoods Business Pkwy
Charlotte, NC 28269
The need to generate technical bulletins is created by the input received from the field service
organization through Customer Service Report (CSR) documents which are reviewed by U.S Field
Operations (USFO) customer assurance personnel and field requests for assistance.
Carrier uses both formal and informal approaches to assess the quality of its systems, processes,
practices, products and services. Formally, Carrier Systems and Services assess the quality of the above
with measurements. Some of the measurements include yearly audits (i.e., policies, procedures,
purchasing, signature authority, safety), product failure rates on a monthly basis, service agreement
cancellations, customer surveys (customer satisfaction index), and customer complaints.
There are Product Management Councils set up to monitor, review and take action for specific products.
Examples are the chiller, airside products, and controls products quality councils which meet on a
quarterly basis or as required.
Carrier is committed to delivering a quality product or service at an appropriate price. We have or are
implementing processes that allow us to measure the quality of our current offerings, assess opportunities
for improvement and implement changes, when needed, to improve our quality or modify our products to
meet new customer requirements.
Page 2 of 2
NORTH AMERICA
CARRIER
COMMERCIAL
SERVICE
©2021 Carrier. All Rights Reserved.
AGENDA
Introduce Carrier Determine if we are a fit
Commercial Service
Understanding of what’s Develop a schedule
important to you and of events
your business
©2021 Carrier. All Rights Reserved. | 1
OUR HISTORY
Weathermakers to the World
1902 1914 1928 1998 2020
Willis Carrier Air conditioning became an The Milam Building in San Willis Carrier is named TIME names Carrier
invented modern international phenomenon, Antonio, Texas was the first one of Time magazine's OptiCleanTM a Best
air conditioning in with important installations of skyscraper to install comfort "100 Most Influential Invention of 2020
Brooklyn, NY equipment designed by cooling as it was built People of the Century”
Willis Carrier all over the
world
©2021 Carrier. All Rights Reserved. | 2
TIME NAMES CARRIER'S OPTICLEAN™
A BEST INVENTION OF 2020
Carrier’s OptiClean dual-mode air scrubber and negative air
machine was named one of TIME’s Best Inventions of 2020.
This prestigious annual list recognizes 100 ground-breaking
inventions that are making the world better and smarter.
Developed through rapid innovation in early 2020 to help
support infectious isolation rooms in hospitals, the OptiClean THE
BEST
INVENTIONS
OF2020
was honored in the Medical Care category. As an air scrubber,
OptiClean can also improve the indoor air quality of
classrooms, restaurants, dental offices, commercial buildings
and more.
©2021 Carrier. All Rights Reserved. | 3
COMMERCIAL MARKETS
HEALTHCARE
EDUCATION
RETAIL
MANUFACTURING
+ INDUSTRIAL
HOSPITALITY
COMMERCIAL BUILDINGS
MARINE
©2021 Carrier. All Rights Reserved. | 4
CARRIER COMMERCIAL SERVICE
HVAC Service Organization
900+ 24/7/365
QUALIFIED, HIGHLY-TRAINED US + CANADA CUSTOMER SERVICE
TECHNICIANS SERVICE LOCATIONS SUPPORT
SERVICE
MAINTAIN
CULTURE OF
RETROFIT SERVICE
UPGRADE ALL BRANDS SAFETY, ETHICS,
EQUIPMENT & SYSTEMS OF HVAC EQUIPMENT & TRAINING
©2021 Carrier. All Rights Reserved. | 5
WHERE WE ARE
..
t
I Iii ,,'
I RENTALSYSTEMS
' ,,
'
NATIONAL
TRAINING
I •
COOLERS
PORTABLE SOLUTIONS
SERVICE
CENTER
RENTAL SYSTEMS
SPOT COOLERS
©2021 Carrier. All Rights Reserved. | 6
WHAT WE DO
All-Inclusive & Flexible Solutions
EQUIPMENT
PURCHASE/REPLACEMENT
......
•••• • o@o
TEMPORARY ♦
♦ ♦
RENTAL SOLUTIONS INSTALL/START UP
0
•
• •
• •
~.
REFRIGERANT EXTENDED
MANAGEMENT ~ WARRANTY
..
HVAC SYSTEM OPTIMIZATION
~- PREVENTIVE & PREDICTIVE
♦
MAINTENANCE PLANS
MODIFICATIONS & UPGRADES REPAIRS & OVERHAUL
©2021 Carrier. All Rights Reserved. | 7
SERVICING ALL BENEFITS
BRANDS 1
Eliminates the need
for multiple vendors
CARRIER SERVICES
2
All types and brands Professional factory-
of HVAC equipment trained technicians who
receive continuous training
All brands of controls
3
Building Ensures consistent
management equipment performance
* systems
and comfort
©2021 Carrier. All Rights Reserved. | 8
CUSTOMER EXPERIENCE
PROGRAM
Our new Customer Experience Program features a Net
Promoter Score (NPS) survey designed to better
understand customer satisfaction and create actionable
plans to ensure consistent, excellent service.
Surveys will be sent a few times per year and will take
just a few minutes to complete. Questions will be related
to your previous experience with Carrier and will be quick
to answer. On occasion, email survey follow-ups may be
sent after specific interactions with Carrier.
As we continue to grow and refine our customer
interactions, we appreciate your candid feedback.
©2021 Carrier. All Rights Reserved. | 9
BLU..:D~
Preventive, Predictive, and
Proactive Maintenance
Maximize performance, protect your investments and maintain
your HVAC budget with the customizable BluEdgeTM service
platform. Carrier helps you create a plan that ensures your
equipment’s peak performance and longevity.
©2021 Carrier. All Rights Reserved. | 10
BLUEDGE SERVICE OFFERINGS
Customer Portal – Easy to view asset-related documents and
contract coverage and request on-demand service
BluEdge Digital– Improve productivity with real-time health
notifications and advanced analytics on all your connected
HVAC assets
BluEdge Command Center – 24/7/365 monitoring by HVAC-
experts for proactive solutions to reduce unplanned downtime
BluEdge Digital Carrier Equipment
Optimization Solutions – Full range of specialized services to Dashboard
consistently deliver desired outcomes • Data on-demand
• Data trending and
• Intuitive calls to action
performance
Advanced Analytics – Access to full range of OEM algorithms • Portfolio view of correlation for
that help you manage, monitor, predict and optimize equipment multiple assets improved decision
health and performance making
• The right service at the
First Year Service Contract – With the purchase of qualifying right time
equipment, Carrier provides inspections and remote monitoring
during the first year standard warranty period.
©2021 Carrier. All Rights Reserved. | 11
BLUEDGE SERVICE PLATFORM
PREVENTIVE FULL COVERAGE
{§}CORE (±) ENHANCE @ ELITE
An economical solution for customers with ioT-enabled Complete preventive maintenance and technical Our Elite plan is the ultimate worry-free, peace of mind
equipment that collects real-time data to improve staff expertise including proactive monitoring of health, program for clients; achieving building comfort, efficiency
efficiency and reduce unplanned downtime. efficiency and performance with actionable insights to and operational goals with Carrier turn-key solutions
identify opportunities for reducing operating costs and powered by predictive analysis and EOM expertise.
avoiding failures.
BluEdge Digital*
24/7 Emergency Support & Prioritization
Operational Inspections
Annual Maintenance
On-site Predictive Maintenance
IAQOfferlng
Preventive Maintenance Options
Unscheduled Repairs, Parts & Labor
,; INCLUDED + ADD ON - NOT INCLUDED
*BluEdge Digital Core is included with all Service Agreement levels.
*Applicable only for compatible chillers.
©2021 Carrier. All Rights Reserved. | 12
BLU=D~
BLUEDGE DIGITAL DIGITAL
Online service contract management
.,.,
CORE
.,.,
ENHANCE
.,.,
ELITE
OnDemand service request
Web/mobile real-time chiller dashboards
.,., .,., .,.,
Performance and vibration reports
., ., .,
Prioritized alarm and alert notifications
Remote monitoring health reports
.,., .,.,
Proactive maintenance recommendations
., .,
Portfolio analytics & benchmarks
SMART Predictive dispatch
.,
.,.,
Plant room energy audits
Continuous vibration monitoring
©2021 Carrier. All Rights Reserved. | 13
BLU=D~
DIGITAL
The SMART cloud collects and
••• analyzes the data
••
••••• 0~
□·-
•• ••
•••• :: 0
t_o
Your connected equipment After analysis, remote experts
provides status updates to Carrier develop tailored solutions
How BluEdge
Digital Works
Carrier Service dispatches to Carrier delivers the results and
address identified solution recommendations for action
©2021 Carrier. All Rights Reserved. | 14
HEALTHYBUILDINGS
Carrier offers an expanded suite of advanced solutions to help
deliver healthier, safer, more efficient and productive indoor
environments across key verticals. From products to improve
indoor air quality and remote services to manage ventilation, to
touchless solutions in public spaces, Carrier is redefining the
spaces of the future, today.
Assessments
Our experts take time to understand how each building is
performing and identify areas for improvement, with assessments
covering indoor air quality, wellness, security and more.
Operations
To help ensure performance and facilitate continuous optimization,
we enhance buildings with advanced controls and digital solutions
and services, including remote management and monitoring.
Upgrades
We can implement a range of solutions to improve building
performance and the overall health of the people inside with
upgrades to HVAC, fire safety, security and building controls.
©2021 Carrier. All Rights Reserved. | 15
CARRIER HEALTHY BUILDING SERVICES
Safe Start Emergency Indoor Air Quality Wellness
Service Assets Assessment Services
Remote Energy Remote Airside Security Advanced
Management Management Services Access Services
©2021 Carrier. All Rights Reserved. | 16
©2021 Carrier. All Rights Reserved.
Tab 5 - Products and Services
♦ Respondent shall perform and provide these products and/or services under the terms of this
agreement. The supplier shall assist the end user with making a determination of their individual
needs.
♦ Provide the minimum information as listed for your product categories on the following
classifications of product:
► HVACRefrigeration
• Type (e.g., Rotary, Centrifugal, Scroll, Reciprocating., Absorption)
• Cooling medium (e.g., air, water)
• Brand Name(s)
• Capacity Range (tons)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies (KW/Ton)
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Indoor Air Quality Products and Devices
• Type (Active polarization, non-ionizing, electronic air cleaning systems intended to replace
passive filtration, any other.)
• Brand Name(s)
• Capacity Range
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Unitary
• Type (e.g., rooftops, split systems, VRFs, Heat Pumps, PTACs,water-source, mini-splits)
• Brand Name(s)
• Capacity Range
• Heating Medium (Electric, Gas, Steam, Hot Water)
• Cooling Medium (DX,Chilled Water)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies (EER, SEER,COP)
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Air handling
• Type (e.g. central station-manufactured or custom makeup air, fan, filter, coil sections)
• Brand Name(s)
• Fan Types (e.g. Backward incline, Forward curve, airfoil)
• Capacity Range (CFM)
• Heating Medium (Electric, Gas, Steam, Hot Water)
• Cooling Medium (DX,Chilled Water)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Air Terminal Devices and Heating Products
• Type (e.g. VAV,Fan Coils, Unit Ventilators, Unit Heaters, Fin Tube Radiation/Convectors)
• Brand Name(s)
• Capacity Range (CFM)
• Heating Medium (Electric, Gas, Steam, Hot Water)
• Cooling Medium (DX,Chilled Water)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► DDCControls
• Type (core components, end devices, lighting, panels)Brand Name(s)
• System Protocol (BACnet, LonWorks, Proprietary or Combo)
• LANCommunication Structure (Peer-to-peer, Polling)
• Human Machine Interface (HMI) types (PC, Notebooks, Handheld terminals)
• Third party interface (Drivers and Gateways)
• Remote alarm and message capabilities
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Estimated Market Share (North America)
• Detail Features & Benefits
► Cooling Towers
• Type (e.g., open, closed, evaporative, other)
• Brand Name(s)
• Capacity Range (tons)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Pumps
• Type (e.g., single stage, split case, end suction, inline, circulator, turbines)
• Brand Name(s)
• Capacity Range (GPM)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Invertors
• Brand Name(s)
• Capacity Range (HP)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Boilers & Water Heaters
• Type (e.g., modulating, condensing, cast iron, water tube, packaged, other)
• Brand Name(s)
• Heating Medium (Electric, Gas, Steam, Hot Water)
• Capacity Range (MBH)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► HVACSpecialty Products
• Type (e.g., modular, outside/inside, Steam &Thermal Heat Recovery, Humidity Control,
Heat Wheel, Heat Pipe, Heat Exchangers, Geothermal)
• Brand Name(s)
• Heating Medium (Electric, Gas, Steam, Hot Water)
• Cooling Medium (DX,Chilled Water)
• Capacity Range (CFMand/or MBH)
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Location of Manufacturing (City, State or Country)
• Range of Efficiencies
• Estimated Market Share (North America)
• Provide example data on each type of product provided
• Detail Features & Benefits
► Equipment Parts and Supplies
• Type (e.g., manufactured parts, emergency parts service, miscellaneous material and
supplies and other)
• Brand Name(s) stocked
• Location of stocking parts
• Standard Warranty (Parts & Labor)
• Optional Warranty (components covered & Labor)
• Estimated Lead/Delivery Time
• Percentage of locally stocked parts to delivered parts
• Detail Features & Benefits
Respondents are requested to provide service forms with detailed description of your service offerings.
Provide the minimum information as listed for your service categories on the following classifications of
service:
► Startup & Commissioning Services
• Define process for validation of system or equipment operation to design
• Type (e.g., equipment startups, system checkouts, control verification, retro
commissioning, M & V verifications, rebate auditing, other)
• List key personnel (factory, sub-contract, other)
• References (public sector only)
• Case studies describing benefits of services
► Service & Maintenance
• Type (e.g., preventative and full maintenance contracts, man-at attendance, remote
monitoring, annuals, emergency services, regulatory compliance, cleaning (e.g., duct, coils
and filters), scheduled maintenance (e.g., oil, chemical and vibration analysis) and other)
• Define processes for each type of service and/ or maintenance of the system or the
equipment
• List key personnel (factory, sub-contract, other)
• References (public sector only)
• Case studies describing benefits of services
► Installation and Turnkey Contracting
• Type (e.g., retrofit, new construction, energy retrofit, controls new- and upgrade and other)
• Define processes for each type install of the system or the equipment
• Bonding and licensing capabilities
• List key personnel (factory, sub-contract, other)
• References (public sector only)
• Case studies describing benefits of services
► Warranty Services
• Type (e.g., Extended parts & labor (define maximum number of years available), delayed
start-up and other)
• Define processes for each type of warranty
• List key personnel (factory, sub-contract, other)
• References (public sector only)
• Case studies describing benefits of services
► Energy Services
• Type (e.g., (Energy Tracking, Energy Analysis, Evaluation of Potential Upgrades, demand
response, rebates and others)
• Define processes for each type of energy services
• Certifications of personnel
• List key personnel (factory, sub-contract, other)
• References (public sector only)
• Case studies describing benefits of services
► Equipment Rentals
• Type (e.g., chillers, pumps, transformers, terminal units, generators, cooling towers,
packaged unitary and other)
• Brands available
• Locations of rental fleet
• Process of accessing rental fleet during disaster event
• List key personnel (factory, sub-contract, other)
• References (public sector only)
• Case studies describing benefits of services
► Financial Services
• Type (e.g., leasing, prompt and pre-payment discounts, guaranteed savings and other)
• Describe type of each funding and availability
• Funding Sources (internal and/ or external)
• List key personnel (internal and/ or external)
• References (public sector only)
• Case studies describing benefits of services
► Professional Services
• Type (e.g., Engineering, Design, Drafting, Architectural, Project Management and other)
• Describe type of each professional service and availability
• Licensing and certification capabilities
• List key personnel (internal and/ or external)
• References (public sector only)
• Case studies describing benefits of services
► Site Surveys
• Type (e.g., Equipment, system analysis, operational, architectural and other)
• Describe type of survey
• Licensing and certification capabilities
• Advanced technology uses for each type of survey
• List key personnel (internal and/ or external)
• References (public sector only)
• Case studies describing benefits of services
NCPA HVAC RFP Tab 5 - Products & Services
Topic Information
HVAC Refrigeration - https://www.carrier.com/commercial/en/us/
Indoor Air Quality Products & Devices www.corporate.carrier.com/healthybuildings/
Unitary www.carrier.com/carrier/en/worldwide/
Air Handling www.carrier.com/carrier/en/worldwide/
Air Terminal Devices & Heating Products https://www.riello.com/north-america/
DDC Controls - Carrier i-Vu System www.carrier.com/commercial/en/us/products/controls/
DDC Controls - Automated Logic, subsidiary of Carrier Corp https://www.automatedlogic.com/en/
Cooling Towers Available via open market
Pumps Available via open market
Invertors Available via open market
Boilers & Water Heaters Available via open market
Boilers - Riello, subsidiary of Carrier Corp https://www.riello.com/north-america/
HVAC Specialty Products www.carrier.com/carrier/en/worldwide/
Equipment Parts & Supplies https://www.rchvacparts.com/
Startup & Commissioning Services https://www.carrier.com/commercial/en/us/service/operate-service-and-protect/start-up-and-extended-warranty/
Service & Maintenance https://www.carrier.com/commercial/en/us/service/operate-service-and-protect/prevent-and-predict/
Installation & Turn-key Contracting https://www.carrier.com/commercial/en/us/service/retrofit-and-optimize/equipment-replacement-solutions/
Warranty Services https://www.carrier.com/commercial/en/us/service/operate-service-and-protect/start-up-and-extended-warranty/
Energy Services - NORESCO, subsidiary of Carrier Corp https://www.noresco.com/
Equipment Rentals https://www.carrier.com/rentals/en/us/
Financial Services Carrier does not offer early pay discounts, volume discounts or project funding at this time. See NORESCO for energy savings funded projects
Professional Services Carrier is partnered with Cromwell Architects Engineers for professional building services. We can also use customer preferred vendors as well.
Professional Services, subcontracted partner https://cromwell.com/
Site Surveys Site surveys are typically conducted by the local Carrier Service office. Depending on the level of request, an engineering partner may be solicited.
Carrier
NCPA RFP for
HVAC Equipment, Installation, Service, Building Control Systems & Related Products and Services
RFP 32-21
Value Added
Built on Willis Carrier’s invention of modern air conditioning in 1902, Carrier is a world leader in HVAC
solutions. We constantly build upon our history of proven innovations with new products and services
that improve global comfort and efficiency.
Carrier brings a number of products and services which add a tremendous amount of value to our
customers, the following are just a few of the ways we provide top tier equipment and services.
Healthy Buildings – Carrier’s Healthy Buildings Program provides an expanded suite of advanced
solutions to help deliver healthier, safer, more efficient and productive indoor environments. Follow
this link for additional information – Carrier Healthy Buildings
The fight against COVID-19, The Carrier OptiClean Air Scrubber, one of TIME’s 100 Best Inventions of
2020. Right now, the world is more focused than ever on ways to reduce airborne contaminants,
including particles containing viruses. With more than a century of expertise in indoor environments,
we are committed to being part of the solution. With OptiClean Air Scrubber, everyone at our
customers facilities will know we care about the air they breathe. Read about OptiClean here.
BluEdge Digital Services – Maximize performance, protect customer investments and maintain budgets
with the customizable BluEdge service platform. Carrier helps customers create a plan that ensures
peak performance and longevity from their HVAC equipment. Learn about BluEdge here.
This is just a small example of the added value Carrier brings to its customers. These items and much
more will be marketed directly to the NCPA membership. We will work directly with NCPA
representatives on positioning and delivery to the membership group.
Tab 9 - Required Documents
♦ Clean Air and Water Act/ Debarment Notice
♦ Contractors Requirements
♦ Antitrust Certification Statements
♦ Required Clauses for Federal Funds Certifications
♦ Required Clauses for Federal Assistance by FTA
♦ State Notice Addendum
Clean Air and Water Act & Debarment Notice
I, the Vendor, am in compliance with all applicable standards, orders or regulations issued pursuant to
the Clean Air Act of 1970, as Amended (42 U.S.C. 1857 (h), Section 508 of the Clean Water Act, as
amended (33 U.S.C.1368), Executive Order 117389 and Environmental Protection Agency Regulation, 40
CFR Part 15 as required under 0MB Circular A-102, Attachment 0, Paragraph 14 (1) regarding reporting
violations to the grantor agency and to the United States Environment Protection Agency Assistant
Administrator for the Enforcement.
I hereby further certify that my company has not been debarred, suspended or otherwise ineligible for
participation in Federal Assistance programs under Executive Order 12549, "Debarment and
Suspension", as described in the Federal Register and Rules and Regulations
Potential Vendor Carrier Corporation
Print Name Joelson
Address siness Pkwy, Ste. H
City,Sate, Zip
Authorized signature
Date
-
Contractor Requirements
Contractor Certification
Contractor's Employment Eligibility
By entering the contract, Contractor warrants compliance with the Federal Immigration and Nationality
Act (FINA), and all other federal and state immigration laws and regulations. The Contractor further
warrants that it is in compliance with the various state statues of the states it is will operate this contract
in.
Participating Government Entities including School Districts may request verification of compliance from
any Contractor or subcontractor performing work under this Contract. These Entities reserve the right to
confirm compliance in accordance with applicable laws.
Should the Participating Entities suspect or find that the Contractor or any of its subcontractors are not in
compliance, they may pursue any and all remedies allowed by law, including, but not limited to:
suspension of work, termination of the Contract for default, and suspension and/or debarment of the
Contractor. All costs necessary to verify compliance are the responsibility of the Contractor.
The offeror complies and maintains compliance with the appropriate statutes which requires compliance
with federal immigration laws by State employers, State contractors and State subcontractors in
accordance with the E-Verify Employee Eligibility Verification Program.
Contractor shall comply with governing board policy of the NCPAParticipating entities in which work is being performed
Fingerprint & Background Checks
If required to provide services on school district property at least five (5) times during a month, contractor shall submit a
full set of fingerprints to the school district if requested of each person or employee who may provide such service.
Alternately, the school district may fingerprint those persons or employees. An exception to this requirement may be
made as authorized in Governing Board policy. The district shall conduct a fingerprint check in accordance with the
appropriate state and federal laws of all contractors, subcontractors or vendors and their employees for which
fingerprints are submitted to the district. Contractor, subcontractors, vendors and their employees shall not provide
services on school district properties until authorized by the District.
The offeror shall comply with fingerprinting requirements in accordance with appropriate statutes in the state in which
the work is being performed unless otherwise exempted.
Contractor shall comply with governing board policy in the school district or Participating Entity in which work is being
performed
BusinessOperations in Sudan, Iran
In accordance with A.R.S.35-391 and A ... 3 - 93 the Contractor hereby certifies that the contractor does not have
scrutinized business operations in S
Authorized signature
Date
Antitrust Certification Statements (Tex. Government Code§ 2155.005)
I affirm under penalty of perjury of the laws of the State of Texas that:
(1) I am duly authorized to execute this contract on my own behalf or on behalf of the company, corporation, firm,
partnership or individual (Company) listed below;
(2) In connection with this bid, neither I nor any representative of the Company has violated any provision of the Texas
Free Enterprise and Antitrust Act, Tex. Bus. & Comm. Code Chapter 15;
(3) In connection with this bid, neither I nor any representative of the Company has violated any federal antitrust law;
and
(4) Neither I nor any representative of the Company has directly or indirectly communicated any of the contents of this
bid to a competitor of the Company or any other company, corporation, firm, partnership or individual engaged in the
same line of business as the Company.
Company name Carrier Corporation
Address 5900 Northwoods Business Pkwy, Ste H.
City/State/Zip Charlotte, NC 28269
Telephone No. 501-529-9688
Fax No.
Email address
Printed name
Position with company
Authorized signature
Required Clausesfor Federal FundsCertifications
Participating Agencies may elect to use federal funds to purchase under the Master Agreement. The following
certifications and provisions may be required and apply when a Participating Agency expends federal funds for any
purchase resulting from this procurement process. Pursuant to 2 C.F.R.§ 200.326, all contracts, including small
purchases, awarded by the Participating Agency and the Participating Agency's subcontractors shall contain the
procurement provisions of Appendix II to Part 200, as applicable.
APPENDIXII TO 2 CFRPART200
(A) Contracts for more than the simplified acquisition threshold currently set at $150,000, which is the inflation adjusted
amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council
(Councils) as authorized by 41 U.S.C.1908, must address administrative, contractual, or legal remedies in instances
where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate.
(B) Termination for cause and for convenience by the grantee or subgrantee including the manner by which it will be
effected and the basis for settlement. (All contracts in excess of $10,000)
(C) Equal Employment Opportunity. Except as otherwise provided under 41 CFRPart 60, all contracts that meet the
definition of "federally assisted construction contract" in 41 CFRPart 60-1.3 must include the equal opportunity clause
provided under 41 CFR60-1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 CFR
12319, 12935, 3 CFRPart, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, "Amending Executive Order
11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 CFRpart 60, "Office of Federal
Contract Compliance Programs, Equal Employment Opportunity, Department of Labor."
Pursuant to Federal Rule (C) above, when a Participating Agency expends federal funds on any federally assisted
construction contract, the equal opportunity clause is incorporated by reference herein.
(D) Davis-Bacon Act, as amended (40 U.S.C.3141-3148). When required by Federal program legislation, all prime
construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for compliance with
the Davis-Bacon Act (40 U.S.C.3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR
Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction"). In
accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less
than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors
must be required to pay wages not less than once a week. The non-Federal entity must place a copy of the current
prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract
or subcontract must be conditioned upon the acceptance of the wage determination. The non- Federal entity must
report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision
for compliance with the Copeland "Anti-Kickback" Act (40 U.S.C.3145), as supplemented by Department of Labor
regulations (29 CFRPart 3, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in
Part by Loans or Grants from the United States"). The Act provides that each contractor or subrecipient must be
prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work,
to give up any part of the compensation to which he or she is otherwise entitled. The non-Federal entity must report all
suspected or reported violations to the Federal awarding agency.
(E) Contract Work Hours and Safety Standards Act (40 U.S.C.3701-3708). Where applicable, all contracts awarded by the
non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision
for compliance with 40 U.S.C.3702 and 3704, as supplemented by Department of Labor regulations (29 CFRPart 5).
Under 40 U.S.C.3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer
on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided
that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked
in excess of 40 hours in the work week. The requirements of 40 U.S.C.3704 are applicable to construction work and
provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are
unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or
articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.
(F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding
agreement" under 37 CFR§401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small
business firm or nonprofit organization regarding the substitution of parties, assignment or performance of
experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must
comply with the requirements of 37 CFRPart 401, "Rights to Inventions Made by Nonprofit Organizations and Small
Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations
issued by the awarding agency.
(G) Clean Air Act (42 U.S.C.7401-7671q.) and the Federal Water Pollution Control Act {33 U.S.C.1251-1387), as
amended- Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non-
Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air
Act (42 U.S.C.7401- 7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C.1251- 1387). Violations
must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).
(H) Debarment and Suspension (Executive Orders 12549 and 12689)-A contract award (see 2 CFR180.220) must not be
made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance
with the 0MB guidelines at 2 CFR180 that implement Executive Orders 12549 (3 CFRpart 1986 Comp., p. 189) and
12689 (3 CFRpart 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclusions contains the names of parties
debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or
regulatory authority other than Executive Order 12549.
{I) Byrd Anti-Lobbying Amendment (31 U.S.C.1352)-Contractors that apply or bid for an award exceeding $100,000
must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal
appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee
of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in
connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C.1352. Each tier must also
disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such
disclosures are forwarded from tier to tier up to the non-Federal award.
RECORDRETENTIONREQUIREMENTSFOR CONTRACTSINVOLVING FEDERALFUNDS
When federal funds are expended by Participating Agency for any contract resulting from this procurement process,
offeror certifies that it will comply with the record retention requirements detailed in 2 CFR§ 200.333. The offeror
further certifies that offeror will retain all records as required by 2 CFR§ 200.333 for a period of three years after
grantees or subgrantees submit final expenditure reports or quarterly or annual financial reports, as applicable, and all
other pending matters are closed.
CERTIFICATIONOF COMPLIANCEWITH THE ENERGYPOLICYAND CONSERVATIONACT
When Participating Agency expends federal funds for any contract resulting from this procurement process, offerer
certifies that it will comply with the mandatory standards and policies relating to energy efficiency which are contained
in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C.6321
et seq.; 49 C.F.R.Part 18).
CERTIFICATIONOF COMPLIANCEWITH BUY AMERICA PROVISIONS
To the extent purchases are made with Federal Highway Administration, Federal Railroad Administration, or Federal
Transit Administration funds, offeror certifies that its products comply with all applicable provisions of the Buy America
Act and agrees to provide such certification or applicable waiver with respect to specific products to any Participating
Agency upon request. Purchases made in accordance with the Buy America Act must still follow the applicable
procurement rules calling for free and open competition.
RequiredClausesfor FederalAssistanceprovided by FTA
ACCESSTO RECORDSAND REPORTS
Contractor agrees to:
a) Maintain all books, records, accounts and reports required under this Contract for a period of not less
than three (3) years after the date of termination or expiration of this Contract or any extensions thereof
except in the event of litigation or settlement of claims arising from the performance of this Contract, in
which case Contractor agrees to maintain same until Public Agency, the FTA Administrator, the
Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation,
appeals, claims or exceptions related thereto.
b) Permit any of the foregoing parties to inspect all work, materials, payrolls, and other data and records
with regard to the Project, and to audit the books, records, and accounts with regard to the Project and to
reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed for the
purpose of audit and examination.
FTA does not require the inclusion of these requirements of Article 1.01 in subcontracts. Reference 49 CFR18.39 (i}(ll}.
CIVIL RIGHTS/ TITLEVI REQUIREMENTS
1) Non-discrimination. In accordance with Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.§
2000d, Section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C.§ 6102, Section 202 of the
Americans with Disabilities Act of 1990, as amended, 42 U.S.C.§ 12132, and Federal Transit Law at 49 U.S.C.
§ 5332, Contractor or subcontractor agrees that it will not discriminate against any employee or applicant for
employment because of race, color, creed, national origin, sex, marital status age, or disability. In addition,
Contractor agrees to comply with applicable Federal implementing regulations and other implementing
requirements FTA may issue.
2) Equal Employment Opportunity. The following Equal Employment Opportunity requirements apply to this
Contract:
a. Race,Color, Creed. National Origin. Sex. In accordance with Title VII of the Civil Rights Act, as amended,
42 U.S.C.§ 2000e, and Federal Transit Law at 49 U.S.C.§ 5332, the Contractor agrees to comply with all
applicable Equal Employment Opportunity requirements of U.S. Dept. of Labor regulations, "Office of
Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor, 41 CFR,
Parts 60 et seq., and with any applicable Federal statutes, executive orders, regulations, and Federal
policies that may in the future affect construction activities undertaken in the course of this Project.
Contractor agrees to take affirmative action to ensure that applicants are employed, and that employees
are treated during employment, without regard to their race, color, creed, national origin, sex, marital
status, or age. Such action 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. In addition, Contractor
agrees to comply with any implementing requirements FTA may issue.
b. Age. In accordance with the Age Discrimination in Employment Act (ADEA) of 1967, as amended, 29
U.S.C.Sections 621 through 634, and Equal Employment Opportunity Commission (EEOC)implementing
regulations, "Age Discrimination in Employment Act", 29 CFRPart 1625, prohibit employment
discrimination by Contractor against individuals on the basis of age, including present and prospective
employees. In addition, Contractor agrees to comply with any implementing requirements FTA may
issue.
c. Disabilities. In accordance with Section 102 of the Americans with Disabilities Act of 1990, as amended
(ADA), 42 U.S.C.Sections 12101 et seq., prohibits discrimination against qualified individuals with
disabilities in programs, activities, and services, and imposes specific requirements on public and private
entities. Contractor agrees that it will comply with the requirements of the Equal Employment
Opportunity Commission (EEOC),"Regulations to Implement the Equal Employment Provisions of the
Americans with Disabilities Act," 29 CFR,Part 1630, pertaining to employment of persons with
disabilities and with their responsibilities under Titles I through V of the ADA in employment, public
services, public accommodations, telecommunications, and other provisions.
d. Segregated Facilities. Contractor certifies that their company does not and will not maintain or provide
for their employees any segregated facilities at any of their establishments, and that they do not and will
not permit their employees to perform their services at any location under the Contractor's control
where segregated facilities are maintained. As used in this certification the term "segregated facilities"
means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas,
parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities
provided for employees which are segregated by explicit directive or are in fact segregated on the basis
of race, color, religion or national origin because of habit, local custom, or otherwise. Contractor agrees
that a breach of this certification will be a violation of this Civil Rights clause.
3) Solicitations for Subcontracts. Including Procurements of Materials and Equipment. In all solicitations,
either by competitive bidding or negotiation, made by Contractor for work to be performed under a
subcontract, including procurements of materials or leases of equipment, each potential subcontractor or
supplier shall be notified by Contractor of Contractor's obligations under this Contract and the regulations
relative to non-discrimination on the grounds of race, color, creed, sex, disability, age or national origin.
4) Sanctions of Non-Compliance. In the event of Contractor's non-compliance with the non-discrimination
provisions of this Contract, Public Agency shall impose such Contract sanctions as it or the FTA may
determine to be appropriate, including, but not limited to: 1) Withholding of payments to Contractor under
the Contract until Contractor complies, and/or; 2) Cancellation, termination or suspension of the Contract, in
whole or in part.
Contractor agrees to include the requirements of this clause in each subcontract financed in whole or in part with Federal
assistance provided by FTA, modified only if necessary to identify the affected parties.
DISADVANTAGEDBUSINESSPARTICIPATION
This Contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, "Participation by
Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs", therefore, it is the
policy of the Department of Transportation (DOT) to ensure that Disadvantaged Business Enterprises (DBEs),as defined in
49 CFRPart 26, have an equal opportunity to receive and participate in the performance of DOT-assisted contracts.
1) Non-Discrimination Assurances. Contractor or subcontractor shall not discriminate on the basis of race,
color, national origin, or sex in the performance of this Contract. Contractor shall carry out all
applicablerequirements of 49 CFRPart 26 in the award and administration of DOT-assisted contracts. Failure
by Contractor to carry out these requirements is a material breach of this Contract, which may result in the
termination of this Contract or other such remedy as public agency deems appropriate. Each subcontract
Contractor signs with a subcontractor must include the assurance in this paragraph. (See 49 CFR26.13(b)).
2) Prompt Payment. Contractor is required to pay each subcontractor performing Work under this prime
Contract for satisfactory performance of that work no later than thirty (30) days after Contractor's receipt of
payment for that Work from public agency. In addition, Contractor is required to return any retainage
payments to those subcontractors within thirty (30) days after the subcontractor's work related to this
Con~ract is satisfactorily completed and any liens have been secured. Any delay or postponement of
payment from the above time frames may occur only for good cause following written approval of public
agency. This clause applies to both DBEand non-DBEsubcontractors. Contractor must promptly notify
public agency whenever a DBEsubcontractor performing Work related to this Contract is terminated or fails
to complete its Work, and must make good faith efforts to engage another DBEsubcontractor to perform at
least the same amount of work. Contractor may not terminate any DBEsubcontractor and perform that
Work through its own forces, or those of an affiliate, without prior written consent of public agency.
3) DBEProgram. In connection with the performance of this Contract, Contractor will cooperate with public
agency in meeting its commitments and goals to ensure that DBEsshall have the maximum practicable
opportunity to compete for subcontract work, regardless of whether a contract goal is set for this Contract.
Contractor agrees to use good faith efforts to carry out a policy in the award of its subcontracts, agent
agreements, and procurement contracts which will, to the fullest extent, utilize DBEsconsistent with the
efficient performance of the Contract.
ENERGYCONSERVATIONREQUIREMENTS
Contractor agrees to comply with mandatory standards and policies relating to energy efficiency which are contained in
the State energy conservation plans issued under the Energy Policy and Conservation Act, as amended, 42 U.S.C.
Sections 6321 et seq. and 41 CFRPart 301-10.
FEDERALCHANGES
Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including
without limitation those listed directly or by reference in the Contract between public agency and the FTA, as they may
be amended or promulgated from time to time during the term of this contract. Contractor's failure to so comply shall
constitute a material breach of this Contract.
INCORPORATIONOF FEDERALTRANSITADMINISTRATION{FTA)TERMS
The provisions include, in part, certain Standard Terms and Conditions required by the U.S. Department of
Transportation (DOT), whether or not expressly set forth in the preceding Contract provisions. All contractual provisions
required by the DOT, as set forth in the most current FTACircular 4220.lF, dated November 1, 2008, are hereby
incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed
to control in the event of a conflict with other provisions contained in this Contract. Contractor agrees not to perform
any act, fail to perform any act, or refuse to comply with any public agency requests that would cause public agency to
be in violation of the FTAterms and conditions.
NO FEDERALGOVERNMENTOBLIGATIONSTO THIRD PARTIES
Agency and Contractor acknowledge and agree that, absent the Federal Government's express written consent and
notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the
underlying Contract, the Federal Government is not a party to this Contract and shall not be subject to any obligations or
liabilities to agency, Contractor, or any other party (whether or not a party to that contract) pertaining to any matter
resulting from the underlying Contract.
Contractor agrees to include the above clause in each subcontract financed in whole or in part with federal assistance
provided by the FTA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who
will be subject to its provisions.
PROGRAMFRAUDAND FALSEOR FRAUDULENTSTATEMENTS
Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§
3801 et seq. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFRPart 31, apply to its actions pertaining to
this Contract. Upon execution of the underlying Contract, Contractor certifies or affirms the truthfulness and accuracy of
any statement it has made, it makes, it may make, or causes to me made, pertaining to the underlying Contract or the
FTA assisted project for which this Contract Work is being performed.
In addition to other penalties that may be applicable, Contractor further acknowledges that if it makes, or causes to be
made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the
right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on Contractor to the extent the Federal
Government deems appropriate.
Contractor also acknowledges that if it makes, or causes to me made, a false, fictitious, or fraudulent claim, statement,
submission, or certification to the Federal Government under a contract connected with a project that is financed in whole
or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C.§ 5307, the Government
reserves the right to impose the penalties of 18 U.S.C.§ 1001 and 49 U.S.C.§ 5307 (n)(l) on the Contractor, to the extent
the Federal Government deems appropriate.
Contractor agrees to include the above clauses in each subcontract financed in whole or in part with Federal assistance
provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will
be subject to the provisions.
State NoticeAddendum
The National Cooperative Purchasing Alliance (NCPA),on behalf of NCPAand its current and potential participants to
include all county, city, special district, local government, school district, private K-12 school, higher education
institution, state, tribal government, other government agency, healthcare organization, nonprofit organization and all
other Public Agencies located nationally in all fifty states, issues this Request for Proposal (RFP)to result in a national
contract.
For your reference, the links below include some, but not all, of the entities included in this proposal:
http://www.usa.gov/Agencies/State and Territories.shtml
https://www.usa.gov/local-governments