PROPOSAL CONTRACT DOCUMENTS AND SPECIFICATIONS
2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324
THE BOARD OF WATER AND SEWER COMMISSIONERS OF THE CITY OF MOBILE, ALABAMA BOARD MEMBERS MR. MAYNARD V. ODOM DR. JAMES E. LAIER MS. PATRICIA K. TYRRELL MS. SHERI N. WEBER MS. BARBARA DRUMMOND MR. SAMUEL L. JONES MR. CHARLES CHAPMAN
CHAIR VICE CHAIR SECRETARY-TREASURER COMMISSIONER COMMISSIONER COMMISSIONER COMMISSIONER
MR. CHARLES E HYLAND MR. DOUGLAS L. COTE MR. BUD McCRORY MS. JACKIE MCCONAHA
DIRECTOR ASSISTANT DIRECTOR ASSISTANT DIRECTOR ATTORNEY FEBRUARY 2016
2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324
TITLE
INDEX
DIVISION I – CONTRACT DOCUMENTS Invitation for Bids Information for Bidders Proposal Bid Bond Contract Contract Bond Labor and Material Bond
PAGE NO. I-1 I-2 II-1 - II-7 III-1 - III-2 IV-1 - IV-4 V-1 - V-2 VI-1 - VI-2
DIVISION II – CONTRACT SPECIFICATIONS SECTION 2 - General Requirements
2-1 - 2-5
SECTION 3 - Scope of Work & Specifications Attachment ‘A’
3-1 - 3-5
SECTION 4 - Insurance Requirements
4-1 - 4-2
APPENDIX O - Maps APPENDIX P - Contractor Qualification Information
APPENDIX O-1 - APPENDIX O-6
APPENDIX Q - Vendor Package APPENDIX R - MAWSS Drug Policy
i
INVITATION FOR BIDS
Sealed bids will be received by the Board of Water and Sewer Commissioners of the City of Mobile, Alabama (“Board”), at the Wesley A. James Operations Center, 4725 Moffett Road, Suite A, Mobile, AL 36618 until 10:30 a.m., Local Time, February 19, 2016, and then publicly opened and read for furnishing all labor and materials and performing all work for the 2016 Annual Plant Maintenance Contract (Proj. No. 335324), in the City of Mobile, Alabama. Specifications may be requested from the office of the Purchasing Department, 4725 Moffett Road, Suite H, Mobile, AL 36618. A Pre-Bid Conference will be held at the Wesley A. James Operation Center in the MAWSS Park Forest Facility at 4725 Moffett Road, Suite A, Mobile, AL 36618 at 2:00 p.m., Local Time, on Wednesday, February 10, 2016. A tour of other MAWSS facilities will be available if requested. Bids must be submitted on the standard forms included with the Contract Documents. Bidders shall be listed as plan holders. Envelopes containing bids must be sealed and delivered to the Purchasing Department, Board of Water and Sewer Commissioners of the City of Mobile, Alabama, 4725 Moffett Road, Suite A, Mobile, Alabama 36618-2236: “Bid for the 2016 Annual Plant Maintenance Contract (Proj. No. 335324), to be opened at 10:30 a.m., Local Time, February 19, 2016.” The Bidder's Alabama State Contractor's License Number and discipline shall be on the envelope. Bid guarantee in the form of certified check, bid bond, or irrevocable letter of credit acceptable to the Board will be required for at least 5% of the bid amount, not to exceed $10,000. The Board reserves the right to reject any and all bids and to waive any informality in bids received. THIS INVITATION FOR BIDS IS CONDENSED FOR ADVERTISING PURPOSES. INFORMATION/REQUIREMENTS FOR BIDDERS CAN BE FOUND IN THE CONTRACT DOCUMENTS. THE BOARD OF WATER AND SEWER COMMISSIONERS OF THE CITY OF MOBILE, ALABAMA
I-1
ADDITIONAL
INFORMATION FOR BIDDERS 1.
The Contractor must have a Vendor Package on file with the Board of Water & Sewer Commissioners of the City of Mobile, Alabama prior to award of this Contract. A blank Vendor Package is included in the Project Specifications.
2.
No bid will be accepted or read from a bidder who is not on the list of entities who have picked up a set of Plans and Specifications for this project. Only entities which have picked up a set of Plans and Specifications from the Mobile Area Water & Sewer System Purchasing Department, 4725 Moffett Road, Suite A, Mobile, AL 36618, and placed their names on the list of plan holders will be allowed to bid on this project. Bids must be submitted upon the standard forms, furnished by the Board of Water & Sewer Commissioners of the City of Mobile, Alabama, included in the Project Specifications.
3.
Guarantee will be required with each bid for at least 5% of the amount of the bid not to exceed $10,000 filed in the form of a certified check, Bid Bond, or irrevocable Letter of Credit acceptable to the Owner payable to the Board of Water & Sewer Commissioners of the City of Mobile, Alabama. Bid Bonds shall include certification that the bonding company is listed in Circular 570 of the U. S. Treasury Department. The name, address, telephone number, and contact person for the bonding company shall also be included.
4.
The Contractor shall furnish either a “Contract Bond” and a “Labor and Material Bond” or an irrevocable “Letter of Credit” acceptable to the Owner. All bonds and letters of credit shall be for 100% of the contract price.
5.
Bids must be submitted upon the Standard forms furnished by the Board of Water & Sewer Commissioners of the City of Mobile, Alabama, included in the Project Specifications. Bidders shall be listed as plan holders.
6.
The right is reserved, as the interest of the Owner may require, to reject any and all bids and to waive any informalities in bids received. Failure to complete and sign the “Proposed Subcontracting Plan” in the Proposal will be cause for rejection of bid. In the event that no subcontractors will be used, the form shall read zero and shall be signed.
7.
Attention of Bidders is called to the license required by Title 34, Chapter 8, of the code of Alabama, 1975, and amendments thereto, relating to the licensing of General Contractors. No bid will be accepted from anyone, except a qualified Contractor, licensed by the State Licensing Board for General Contractors, unless otherwise required by the State Licensing Board. The Contractor will be required to have a current General Contractor’s License in the State of Alabama with a Major Classification of (M) Mechanical or a Sub-Classification of HVAC under the (M) Mechanical classification as well as a bid limit sufficient to cover their bid amount.
I-2
PROPOSAL TO:
THE BOARD OF WATER AND SEWER COMMISSIONERS OF THE CITY OF MOBILE, ALABAMA Submitted:
, 2016
The undersigned, as Bidder, hereby declares that he has examined the site of the Work and informed himself fully in regard to all conditions pertaining to the place where the Work is to be done; that he has examined the Plans and Specifications for the Work and contractual documents relative thereto, and has read all General Conditions and Special Provisions furnished; and that he has satisfied himself relative to the Work to be performed. The Bidder proposes and agrees, if this Proposal is accepted, to contract with the Board of Water & Sewer Commissioners of the City of Mobile, Alabama, in the form of contract specified to furnish all materials, equipment, machinery, tools, apparatus, means of transportation and labor necessary to complete the construction of: 2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324 in full and complete accordance with the shown, noted, described and reasonably intended requirements of the Plans, Specifications, and Contract Documents to the full and entire satisfaction of the Board of Water & Sewer Commissioners of the City of Mobile, Alabama, with a definite understanding that no money will be allowed for extra work, except as set forth in the attached General Conditions and Contract Documents, of the lump sum or unit prices listed opposite each item. It is agreed that the description under each item, being briefly stated, implies, although it does not mention, all incidentals and that the prices stated are intended to cover all such work, materials, and incidentals as constitute Bidder's obligations as described in the Specifications and any details not specifically mentioned, but evidently included in the contract shall be compensated for the item in which it most logically is included. The quantities for bid items listed on the Proposal sheet(s) are estimated quantities only for the purpose of comparing bids. Any differences between these estimated quantities and actual quantities required for construction shall not be taken as a basis for claims by the Contractor for extra compensation. Compensation will be based on the lump sum or unit prices and actual construction quantities.
II-1
2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324 CATEGORY
TOTAL MONTHLY AMOUNT
LOCATION
1
Catherine Street Area Facilities
2
E.M. Stickney Water Filtration Facility
3
H.E. Myers Water Filtration Facility
4
C.C. Williams Wastewater Treatment Facility
5
Wright Smith Wastewater Treatment Facility
6A
Park Forest Facility (Units No Longer Under Warranty)
6B1
Park Forest Facility (Business Entrance Units Only) (General Maintenance Only Prior to Warranty Expiration)
6B2
Park Forest Facility (Business Entrance Units Only) (After Warranty Expiration)
6C1
Park Forest Facility (Unit for Former Subway Area) (General Maintenance Only Prior to Warranty Expiration)
6C2
Park Forest Facility (Unit for Former Subway Area) (After Warranty Expiration)
7
Wastewater Lift Stations
8
Water Booster Stations
9A
Thomas Tyrrell Bill Payment Center (Units No Longer in Warranty)
9B
Thomas Tyrrell Bill Payment Center (UPS Unit) (General Maintenance Only Prior to Warranty Expiration)
9C
Thomas Tyrrell Bill Payment Center (UPS Unit) (After Warranty Expiration)
10A
Shelton Beach Maintenance Facility (General Maintenance Only Prior to Warranty Expiration)
10B
Shelton Beach Maintenance Facility (After Warranty Expiration)
Note:
Warranty dates have been rounded to the beginning of the following month of their actual warranty expiration.
A.
YEAR 1 (2016): Subtotal Bid Amount for Categories 1, 2, 3, 4, 5, 6A, 6B1, 7, 8, 9A, 9B, & 10A $
X 10 mos = $
Subtotal Bid Amount for Category 6C1 $
X 5 mos = $
TOTAL YEAR 1 (2016)
II-2
$
B.
YEAR 2 (2017): Subtotal Bid Amount for Categories 2, 3, 4, 5, 6A, 6C1, 7, 8, 9A, & 10B $
X 12 mos = $
Subtotal Bid Amount for Category 6B1 $
X 9 mos = $
Subtotal Bid Amount for Category 6B2 $
X 3 mos = $
Subtotal Bid Amount for Category 9B $
X 10 mos = $
Subtotal Bid Amount for Category 9C $
X 2 mos = $
TOTAL YEAR 2 (2017) C.
$
YEAR 3 (2018): Subtotal Bid Amount for Categories 1, 2, 3, 4, 5, 6A, 6B2, 7, 8, 9A, 9C, & 10B $
X 12 mos = $
Subtotal Bid Amount for Category 6C1 $
X 7 mos = $
Subtotal Bid Amount for Category 6C2 $
X 5 mos = $
TOTAL YEAR 3 (2018)
TOTAL YEARS 1, 2, & 3 $
II-3
$
NOTES: 1.
THE BIDDER SHALL COMPLETE THE PROPOSED SUBCONTRACTING PLAN ON PAGE II-4 AND II-5 FOR PROPOSAL CONSIDERATION.
2.
Should a discrepancy occur between the bid item "Unit Price" and the "Total Amount" for the corresponding approximate quantity, the unit price shall govern.
3.
I, the undersigned bidder, hereby acknowledge receipt of the following addenda: ADDENDUM NO.
ADDENDUM NO.
ADDENDUM NO.
ADDENDUM NO.
ADDENDUM NO.
ADDENDUM NO.
The Bidder further proposes and agrees hereby to commence the Work with an adequate force, plant and equipment at the time stated in the notice to the Contractor from the Engineer to Proceed and fully complete performance within the duration specified in the scope of work and not to exceed the date of December 31, 2016. If agreed to by the Contractor and approved in writing by the Board of Water and Sewer Commissioners of the City of Mobile, Alabama, the Contract time may be extended in one (1) year increments up to December 31, 2018. However, no guarantee is implied or expressed that said extension of the Contract time will be approved after the initial duration of the Contract. The Contractor shall not exceed the Contract amount or the Contract termination date without written approval from the Board. Any work performed without said approval will be at the Contractor’s expense. If the Contract time is extended in one (1) year increments, the Contract amount may be increased only by an amount equal to or less than the original Contract amount for the one (1) year extension upon written approval by the Board of Water and Sewer Commissioners of the City of Mobile, Alabama. With no exceptions, the unit prices bid shall remain in effect for the duration of the Contract. The undersigned further agrees that, in case of failure on his part to execute the said Contract and the bond within ten (10) consecutive calendar days after written notice being given of the award of the Contract, the check or bid bond in the amount of five percent (5%) of this bid accompanying this bid, and the monies payable thereon, shall be paid into the funds of the Board of Water & Sewer Commissioners of the City of Mobile, Alabama, as liquidated damages for such failure; otherwise, the check or bid bond accompanying this Proposal shall be returned to the undersigned:
II-4
Attached hereto is a certified check on the Bank of
, or a Bid Bond for the sum of Dollars ($ payable to the Board of Water & Sewer Commissioners of the City of Mobile, Alabama.
(CONTRACTOR) BY: PRINTED NAME & TITLE:
ADDRESS:
WITNESS:
(STREET) (CITY)
WITNESS:
(STATE)
LICENSE NO.:
II-5
(Legal Signature)
), made
PROPOSED SUBCONTRACTING PLAN The Bidder shall complete the following subcontracting plan for Proposal consideration. Failure to complete this page shall be cause for rejection of bid. A.
SUBCONTRACTORS
The Bidder further proposes that the following subcontracting firms or businesses may be awarded subcontracts for the following portions of the Work in the event that the Bidder is awarded the Contract (use additional sheets, if required): 1.
Name Street
2.
Name Street
3.
City
Name Street
7.
City
Name Street
6.
City
Name Street
5.
City
Name Street
4.
City
City
Name Street
City
PAGE 1 OF 2 II-6
PROPOSED SUBCONTRACTING PLAN The Bidder shall complete the following subcontracting plan for proposal consideration. Failure to complete this page shall be cause for rejection of bid. In the event that no subcontractors will be used, the form shall read zero and shall be signed. B.
SUBCONTRACT COSTS A.
Estimated Total Subcontract Amount
$__________________
B.
Estimated Subcontract Amount to Small Businesses
$__________________
C.
Estimated Subcontract Amount to Small Disadvantaged Businesses
$__________________
D.
Estimated Percentage of Total Base Bid Amount to be Subcontracted to Small Businesses
_________________%
E.
Estimated Percentage of Total Base Bid Amount to be Subcontracted to Small Disadvantaged Businesses
_________________%
Below is a description of the principal supply and work items in which the Bidder plans to use small and small disadvantaged businesses for subcontracting work. Additional information may be included on an attached list. Work Items to be Subcontracted
Small/Small Disadvantaged Businesses
Attach additional pages if required. It is our intent to exercise good faith in order to comply with this plan. (CONTRACTOR) BY: PRINTED NAME & TITLE:
(Legal Signature)
DATE: PAGE 2 OF 2 II-7
BID BOND KNOW ALL MEN BY THESE PRESENTS: THAT
(Name of Contractor) (Address)
and of
as Principal,
(Name of Surety) (Address)
as Surety,
are held and firmly bound unto the Board of Water & Sewer Commissioners of the City of Mobile, Alabama, as Obligee, in the full and just sum of:
lawful money of the United States, for the payment of which sum, well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the said Principal is herewith submitting its Proposal for 2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324 The condition of this obligation is such that, if the aforesaid Principal shall be awarded the Contract, the said Principal will, within the time required, enter into a formal Contract, and give a good and sufficient bond to secure the performance of the terms and conditions of the Contract, then this obligation to be void; otherwise, the Principal and the Surety will pay unto the Obligee the full amount of the proposal guarantee, five percent (5%) of the bid amount not to exceed $10,000 as liquidated damages for such default.
PAGE 1 OF 2
III-1
SIGNED, SEALED AND DELIVERED
(DATE)
WITNESS AS TO PRINCIPAL:
(NAME OF CONTRACTING FIRM) BY: PRINTED NAME & TITLE:
(Legal Signature)
(NAME OF SURETY) BY: TITLE: BIDS WILL NOT BE CONSIDERED UNLESS BID BOND IS SIGNED BY PRINCIPAL AND SURETY, OR IN LIEU THEREOF, A CERTIFIED CHECK MUST ACCOMPANY THE PROPOSAL.
PAGE 2 OF 2
III-2
CONTRACT THIS CONTRACT is made and entered into the ______ day of
, 2016, by and between
(Hereinafter called the “Contractor”) and
the Board of Water & Sewer Commissioners of the City of Mobile, Alabama (Hereinafter called the “Owner”)
, ,
WITNESSETH: The Contractor, for the consideration hereinafter fully set out, hereby agrees with the Owner as follows: 1.
The Contractor shall furnish all materials and perform all Work as set forth in the following Contract Documents: Invitation for Bids, and any Addenda thereto; Proposal and all Documents submitted therewith; Standard Specifications of the Board of Water & Sewer Commissioners of the City of Mobile, Alabama; and Specifications of the Owner provided with the Invitation for Bids which are specific to this Contract; General Conditions; Special Provisions; Detailed Specifications; this Contract form; Bonds; Drawings and Addenda; all of which are attached hereto and made a part of the parties’ Contract, as if fully set forth herein: 2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324
2.
The Contractor shall commence performance of this Contract on a date to be specified in a written order of the Owner and shall fully complete all Work hereunder by December 31, 2016. If agreed to by the Contractor and approved in writing by the Owner, the Contract Time may be extended in one (1) year increments up to December 31, 2018. However, no guarantee is implied or expressed that said extension of the Contract Time will be approved after the initial duration of the Contract. “Work” shall include all construction, delivery of materials and items, and other obligations of the Contractor under this Contract.
3.
The Owner hereby agrees to pay to the Contractor for the faithful performance of the Contract, subject to additions and deductions as provided in the Specifications or Proposal, in lawful money of the United States as follows: An amount not to exceed ($_ ) based on the issuance of individual and separate work orders in accordance with the lump sum and unit prices set forth in the Proposal. Payment for work performed by the Contractor shall not, under any circumstances other than an approved written change order, exceed the above amount. The Contractor shall be responsible for ceasing the performance of all work under this Contract prior to exceeding the above amount, without exception, regardless of the items of work remaining on work orders issued by the Owner (or its consulting engineers). Issuance of a work order by the Owner (or its consulting engineer) does not constitute authorization from the Owner for the Contractor to exceed the above amount. Therefore, the Contractor shall be fully responsible for confirming that the work item quantities and cost of work performed under this Contract do not exceed the above amount. No payment will be made to the Contractor by the Owner for work exceeding the above amount without a written change order approved by the Owner. PAGE 1 OF 4
IV-1
The Contractor agrees that the Owner may assign work under this Contract as the Owner sees fit and may have work of the type which is the subject of this Contract performed by the Board’s own forces or by resources other than the Contractor. Contractor acknowledges and agrees that the dollar amount set forth in the preceding paragraph of this section is a maximum amount only and that the Owner is not obligated to furnish work orders totaling that amount to the Contractor. If a one (1) year extension of the time for performing work under this agreement is granted by written approved of the Owner, the above amount may be increased only by an amount equal to or less than the original contract amount for the one-year extension. With no exceptions, the unit prices bid as provided in the proposal shall remain in effect for the duration of the agreement. The Contractor shall not exceed the contract amount or the contract termination date without written approval by the Owner. Any work performed without said approval will be at the Contractor’s expense. 4.
On or before the 15th day of each calendar month, the Owner shall make final payments to the Contractor on the basis of a duly certified and approved estimate of work performed in accordance with this Contract during the preceding calendar month, given that all work has been completed in accordance with this Contract and to the satisfaction of the Owner. The Contractor shall keep invoice current. At no time shall the Contractor submit an estimate of work to the Board for work performed in accordance with this Contract during a period of greater than 31 calendar days. Therefore, the Contractor shall submit one (1) estimate of Work for each calendar month without exception for the duration of this Contract.
5.
Upon submission by the Contractor of evidence satisfactory to the Owner that all payrolls, material bills, and other cost incurred by the Contractor in connection with the performance of this Contract have been paid in full, and upon satisfaction by the Contractor of all other obligations under this Contract, final payment on account of this Contract shall be made within thirty (30) days after the completion by the Contractor of all Work covered by this Contract and the acceptance thereof by the Owner.
6.
The parties hereto acknowledge and agree that time is of the essence for performance of this Contract. The parties agree that in the event the Work is not completed within the time herein specified, the Owner may retain from the compensation otherwise to be paid to the Contractor the sum of $100 per calendar day for each day thereafter, Sundays and holidays included, that the Work remains uncompleted. The parties agree that this dollar amount represents their agreed upon stipulation as to the damages which the Owner will have sustained per day due to the failure of the Contractor to complete the Work within the time stipulated, and that this amount is not a penalty.
7.
The parties hereto further agree hereto that if at any time after the execution of this Contract and the Contract Bond hereto attached for its faithful performance, the Owner shall deem the surety or sureties upon such bond to be unsatisfactory, or if, for any reason, such bond ceases to be adequate to cover the performance of the Work, the Contractor shall at its expense, within five (5) days after the receipt of notice from the Owner to do so, furnish an additional bond or bonds in such form and amount and with such surety or sureties as shall be satisfactory to the Owner. In such event, no further payment to the Contractor shall be due under this Contract until such new or additional security for the faithful performance of the Work shall be furnished in manner and form satisfactory to the Owner.
PAGE 2 OF 4 IV-2
8.
By signing this Contract, the contracting parties affirm, for the duration of the agreement, that they will not violate federal immigration law or knowingly employ, hire for employment, or continue to employ an unauthorized alien within the state of Alabama. Furthermore, a contracting party found to be in violation of this provision shall be deemed in breach of the agreement and shall be responsible for all damages resulting therefrom.
IN WITNESS WHEREOF the parties hereto have executed this agreement on the day and date above written in two (2) counterparts, each of which shall, without proof or accounting for the other counterpart, be deemed an original contract. THE BOARD OF WATER AND SEWER COMMISSIONERS OF THE CITY OF MOBILE, ALABAMA
(ATTEST) BY:
(Legal Signature)
BY:
(Printed Name & Title)
(Printed Name & Title)
(ATTEST) BY:
(Legal Signature)
(CONTRACTOR) (Legal Signature)
BY:
(Printed Name & Title)
(Legal Signature) (Printed Name & Title)
(SEAL)
PAGE 3 OF 4
IV-3
NOTARY ACKNOWLEDGEMENTS STATE OF COUNTY OF Before me, the undersigned Notary Public in and for the above County and State, personally appeared , whose name as for the above Owner is signed above, and who, after being by me first duly sworn, acknowledged before me that he/she signs this Contract with full authority as the act of the Owner. Given under my hand and seal this
day of
, 20
.
[Print Name]: My Commission Expires:
STATE OF COUNTY OF Before me, the undersigned Notary Public in and for the above County and State, personally appeared , whose name as for the above Contractor is signed above, and who, after being by me first duly sworn, acknowledged before me that he/she signs this Contract with full authority as the act of the Contractor. Given under my hand and seal this
day of
, 20
.
[Print Name]: My Commission Expires:
PAGE 4 OF 4
IV-4
CONTRACT BOND KNOW ALL MEN BY THESE PRESENTS: That we and
(Hereinafter called the "Principal") (Hereinafter called the "Surety")
are held and firmly bound unto the Board of Water & Sewer Commissioners of the City of Mobile, Alabama (Hereinafter called the "Board") in the penal sum of ($_ ) for the faithful performance of a certain written Contract dated the day of , 20 __, entered into between the Principal and the Board, for the following construction project or other work (hereinafter call the “Contract”): 2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324 a copy of which said Contract is incorporated herein by reference and made a part hereof as if fully set out. NOW, THEREFORE, this Bond and all obligations hereof shall remain in full force and effect until all covenants, terms, and conditions of the Contract for the work referenced above have been fully performed. The conditions of this Bond and its obligations are further described as follows: The Principal shall faithfully perform all terms and conditions of the Contract and shall fully pay all obligations incurred in connection therewith. The Principal shall honor all obligations of every nature relative to the Contract. The Principal shall save the Board harmless from any and all liability of every nature, kind, and character which may be incurred in connection with the performance or fulfillment of the Contract and from any and all other such liability resulting from negligence or otherwise on the part of the Principal and/or any entity performing work or providing materials on the Principal’s behalf for the Contract. The Principal shall further save the Board harmless from all costs and damages which may be suffered by reason of the failure to fully completely perform said Contract. The Principal shall fully reimburse and repay the Board for all expenditures of every kind and description which may be incurred by the Board in making good any and every default which may exist on the part of the Principal in connection with the performance of said Contract. The Principal shall pay all lawful claims of persons, firms, partnerships, corporations, and other entities for all labor performed and material furnished in connection with the performance of the Contract. Failure to pay any such claims of persons, firms, partnerships, or corporations shall give them a direct right of action against the Principal and Surety under this obligation.
PAGE 1 OF 2 V-1
Any alterations or additions which may be made under the Contract or in the Work to be done under it, or the giving by the Board of any extensions of time for the performance of the Contract, or any other forbearance on the part of either the Board or the Principal shall not, in any way, release the Principal and Surety, or either of them, their heirs, executors, administrators, successors, or assigns for their liability hereunder, notice to the Surety of any such alteration, extension, or forbearance being expressly waived. All obligations of this Bond shall remain in full force and effect until the performance of all covenants, terms, and conditions herein stipulated, and after such performance in full, it shall become null and void. IN TESTIMONY WHEREOF witness the hands and seal of the parties hereto on this , 20 .
day of
Executed in two (2) counterparts.
(WITNESS)
____
(CONTRACTOR) BY:
(Legal Signature)
PRINTED NAME & TITLE:
(WITNESS)
(NAME OF SURETY)
COUNTERSIGNED:
BY: PRINTED NAME & TITLE:
RESIDENT AGENT PRINTED NAME & TITLE:
PAGE 2 OF 2 V-2
LABOR AND MATERIAL BOND KNOW ALL MEN BY THESE PRESENTS: That we and
____ (Hereinafter called the “Principal”)
(Hereinafter called the “Surety”)
are held and firmly bound unto
The Board of Water & Sewer Commissioners of the City of Mobile, Alabama (Hereinafter called the "Obligee")
in the penal sum of:
($_ ) lawful money of the United States, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, personal representatives, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, said Principal has entered into a certain Contract with said Obligee, dated (Hereinafter called the "Contract") for the construction of:
, 20__,
2016 ANNUAL HVAC MAINTENANCE CONTRACT CONTRACT NO. 335324 which Contract and the Specifications for said Work shall be deemed a part hereof as fully as if set out herein. NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH that if said Principal and all subcontractors to whom any portion of work provided for in said Contract is sublet and all assignees of said Principal and of such subcontractors shall promptly make payments to all persons supplying him or them with labor, materials, feed-stuffs or supplies for or in the prosecution of the Work provided for in such Contract, or in any amendment or extension of or additions to said Contract, and for the payment of reasonable attorney’s fees, incurred by the claimant or claimants in suits on each bond, then the above obligations shall be void; otherwise to remain in full force and effect. PROVIDED, however, that this bond is subject to the following conditions and limitations: (a)
Any person, firm or corporation that has furnished labor, materials, feed-stuffs or supplies for or in the prosecution of the Work provided for in said Contract shall have a direct right of action against the Principal and Surety on this bond, which right of action shall be asserted in a proceeding instituted in the County in which the Work provided for in said Contract is to be performed, or in any county in which said Principal or Surety does business. Such right of action shall be asserted in a proceeding instituted in the name of the claimant or claimants for his or their use and benefit against said Principal and Surety or either of them (but not later than one year after the final settlement, including warranties, of said Contract) in which action such claim or claims shall be adjudicated and judgment rendered thereon.
(b)
The Principal and Surety hereby designate and appoint
(To be filled in by Surety Company)
as the agent of each of them to receive and accept service of process or other pleading issued or filed in any proceeding instituted on this bond and hereby consent that such service shall be the same as personal service on the Principal and/or Surety. PAGE 1 OF 2
VI-1
(c)
The Surety shall not be liable hereunder for damage or compensation recoverable under any Workmen's Compensation or Employer's Liability Statute.
(d)
In no event shall the Surety be liable for a greater sum than the obligation of this bond, or subject to any suit, action or proceeding thereon that is instituted later than one year after the final settlement, including warranties, of said Contract.
(e)
This bond is given pursuant to the terms of Act No. 39, General Laws of Alabama, approved February 8, 1935, entitled "An Act to Further Provide for Bonds of Contractors on State and Other Public Works and Suits Thereon."
Executed in two (2) counterparts. SIGNED, SEALED AND DELIVERED this
day of
(WITNESS)
, 20
(PRINCIPAL)
.
____
BY:
(SEAL)
PRINTED NAME & TITLE:
(SURETY) BY:
(WITNESS)
PRINTED NAME & TITLE:
COUNTERSIGNED:
RESIDENT AGENT PRINTED NAME & TITLE:
PAGE 2 OF 2
VI-2
SECTION 2 GENERAL REQUIREMENTS 1.0
GENERAL: The Contractor shall provide all labor, equipment, permits, incidentals, and materials necessary to provide the following services to all the HVAC equipment listed in Attachment ‘A’ for the time period “Contract start date” through December 31, 2016. This agreement will be in effect for the remainder of 2016 with the option to renew for two (2) calendar years in one (1) year increments, at the same price, if agreed to in writing by both parties. The services provided include Testing and repair; Preventive Maintenance; Repair and Replace; and Emergency trouble calls. These services are more specifically described in the following: A.
B.
TESTING AND INSPECTION: Includes job labor, travel labor and travel and living expenses required to visually INSPECT and TEST equipment to determine its operating condition and efficiency. Typical activities include: i.
TESTING for excessive vibration; motor winding resistance; refrigerant charge; fan RPM; refrigerant oil (acid); water condition; flue gas analysis; safety controls; combustion and draft; crankcase heaters; control system(s), etc.
ii.
INSPECTING for worn, failed or doubtful parts; mountings; drive couplings; oil level; rotation; soot; flame composition and shape; pilot and igniter; steam, water, oil and/or refrigerant leaks, etc.
PREVENTIVE MAINTENANCE: Includes job labor, travel labor and travel and living expenses required to clean, align, calibrate, tighten, adjust, lubricate and paint equipment. These activities are intended to extend equipment life and assure proper i.
CLEANING coil surfaces; fan impellers and blades; electrical contacts; burner orifices; passages and nozzles; pilot and igniter; cooling tower baffles, basin, sump and float; chiller, condenser and boiler tubes, etc. at least once each calendar quarter.
ii.
ALIGNING belt drives; drive couplings; air fins, etc.
iii.
CALIBRATING safety controls; temperature and pressure controls, etc.
iv.
TIGHTENING electrical connections; mounting bolts; pipe clamps; refrigerant piping fittings; damper sections, etc.
v.
ADJUSTING belt tension; refrigerant charge; super heat; fan RPM; water chemical feed and feed rate; burner fuel/air ratios; gas pressure; set point of controls and limits; compressor cylinder unloaders; damper close-off; sump floats, etc.
vi.
LUBRICATING motors; fan and damper bearings; valve stems; damper linkages; fan vane linkages, etc. 2-1
vii.
PAINTING, for corrosion control, as directed by our scheduling system and on an as-needed basis.
C.
REPAIR AND REPLACEMENT: Job labor, travel labor, parts procurement labor (locating, ordering, expediting and transporting) and travel and living expenses required to REPAIR or REMOVE AND REPLACE broken, worn and/or doubtful components and or parts.
D.
TROUBLE CALLS: Job labor and travel labor, including overtime, plus travel and living expenses required for unscheduled work resulting from an abnormal condition.
E.
COMPONENTS, PARTS AND SUPPLIES: The cost of COMPONENTS, PARTS AND SUPPLIES required to keep the equipment operating properly and efficiently.
F.
SERVICE EXCEPTIONS: The services described above will be provided on all HVAC Equipment listed on Attachment ‘A’ except for the following:
G.
i.
For the HVAC units that serve the laboratories at the E.M. Stickney WFF (Category 2), the H.E. Myers WFF (Category 3) and the C.C. Williams WWTF (Category 4), HVAC equipment filters shall be replaced monthly.
ii.
For “Category 4 - C.C. Williams WWTF,” “Category 5 - Wright Smith WWTF,” and “Category 7 - Wastewater Lift Stations,” payment for the maintenance shall only include permits, labor and incidental materials required for regular cleaning maintenance. Additional materials and parts that require replacing due to deteriorated conditions but are necessary to maintain proper operation of the units shall be paid for separately in addition to the monthly maintenance amount. The Owner reserves the right to also solicit pricing from others and potentially allow them to do the work for installing additional materials and parts that require replacing when costs are deemed to be significant.
PAY ITEM DESCRIPTIONS: CATEGORY 1 - Catherine Street Area Facilities All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the MAWSS Facilities in the Catherine Street area as listed in Attachment ‘A’ in the Specifications. These include the equipment identified for Location Nos. 1 thru 10 listed in Attachment ‘A’. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 2 - E.M. Stickney Water Filtration Facility All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the E.M. Stickney Water Filtration Facility as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services.
2-2
CATEGORY 3 - H.E. Myers Water Filtration Facility All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the H.E. Myers Water Filtration Facility as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 4 - C.C. Williams Wastewater Treatment Facility All labor, equipment, and materials required to perform specified general maintenance to the HVAC equipment at the C.C. Williams Wastewater Treatment Facility as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 5 - Wright Smith Wastewater Treatment Facility All labor, equipment, and materials required to perform specified general maintenance to the HVAC equipment at the Wright Smith Wastewater Treatment Facility as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 6A - Park Forest Facility (Units No Longer Under Warranty) All labor, equipment, and materials required to perform specified general maintenance to the HVAC equipment at the Park Forest Facility, excluding the Business Entrance and Subway areas, as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 6B1 - Park Forest Facility (Business Entrance Units Only) (General Maintenance Only Prior to Warranty Expiration) All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the Park Forest Facility, excluding the Business Entrance area, as listed in Attachment ‘A’ in the Specifications until the current warranties expire. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services until October 1, 2017. CATEGORY 6B2 - Park Forest Facility (Business Entrance Units Only) (After Warranty Expiration) All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the Park Forest Facility for the Business Entrance area only as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services beginning October 1, 2017.
2-3
CATEGORY 6C1 - Park Forest Facility (Unit for Former Subway Area) (General Maintenance Only Prior to Warranty Expiration) All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the Park Forest Facility for the Business Entrance area only as listed in Attachment ‘A’ in the Specifications until the current warranties expire (estimated August 1, 2018). The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services until approximately August 1, 2018. The actual warranty date will be determined when the proposed renovations have been completed. CATEGORY 6C2 - Park Forest Facility (Unit for Former Subway Area) (After Warranty Expiration) All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the Park Forest Facility for the Business Entrance area only as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services beginning August 1, 2018 (estimated). CATEGORY 7 - Wastewater Lift Stations All labor, equipment, and materials required to perform specified general maintenance to the HVAC equipment at the identified wastewater lift stations as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 8 - Water Booster Stations All labor, equipment, and materials required to perform HVAC Maintenance at the identified water booster stations and tanks as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 9A - Thomas Tyrrell Bill Payment Center (Units No Longer in Warranty) All labor, equipment, and materials required to perform HVAC Maintenance at the Thomas Tyrrell Bill Payment Center as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services. CATEGORY 9B - Thomas Tyrrell Bill Payment Center (General Maintenance Only Prior to Warranty Expiration for UPS Unit) All labor, equipment, and materials required to perform HVAC Maintenance at the Thomas Tyrrell Bill Payment Center as listed in Attachment ‘A’ in the Specifications until the current warranties expire on November 1, 2017. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services until November 1, 2017. 2-4
CATEGORY 9C - Thomas Tyrrell Bill Payment Center (After Warranty Expiration for UPS Unit) All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the Thomas Tyrrell Bill Payment Center as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services beginning November 1, 2017. CATEGORY 10A - Shelton Beach Maintenance Facility (General Maintenance Only Prior to Warranty Expiration) All labor, equipment, and materials required to perform specified general maintenance to the HVAC equipment at the Shelton Beach Maintenance Facility as listed in Attachment ‘A’ in the Specifications until the current warranties expire (end on January 1, 2017). The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services until January 1, 2017. CATEGORY 10B - Shelton Beach Maintenance Facility (After Warranty Expiration) All labor, equipment, and materials required to perform specified maintenance to the HVAC equipment at the Shelton Beach Maintenance Facility as listed in Attachment ‘A’ in the Specifications. The Total Bid includes the costs for all permits, labor, equipment, and material costs to provide the specified HVAC maintenance services (beginning on January 1, 2017). H.
BASIS OF AWARD: The basis of award will be the lowest lump sum of the Total Bid Amount for Year 1 (2016).
I.
COMPLETION SCHEDULE: Work will be performed on a monthly or “as needed” basis as described in the specifications.
2-5
SECTION 3 SCOPE OF WORK & SPECIFICATIONS 1.0
2.0
SCOPE OF WORK: A.
Contractor shall provide a full coverage preventive maintenance program for servicing all equipment and associated components related to the HVAC systems that are no longer under warranty. Maintenance for HVAC equipment still under warranty shall require only items included in Section 2, “General Requirements,” 1.0, “General,” A. “Testing & Inspection,” and B. “Preventive Maintenance,” (excluding vii., “Painting”).
B.
Contractor shall furnish all personnel, parts, materials, test equipment, tools, and services in accordance with the specifications outlined below.
C.
The Contractor shall respond to all service calls and have a qualified staff person on site within two (2) hours of receiving notification from the Owner.
D.
The Contractor shall provide Mr. Richard Price of MAWSS with advance notification of all routine site visits.
E.
All work under this agreement shall comply with the refrigerant recycling requirements of section 608 of the Clean Air Act, 1990, as amended (CAA), including final regulations published on May 14, 1993 (58 FR 28660), and the prohibition on venting that became effective on July 1, 1992.
F.
Contractor shall perform additional non-related maintenance and repairs on equipment other than the equipment specified herein, and as requested by Owner's representative at labor rates in effect.
G.
The Contractor shall accept all equipment included in this Contract “as is”. It is the responsibility of the Contractor to view all of the equipment prior to submitting bids and accept the equipment for maintenance. Maintenance records for the listed equipment are available for review by contacting Mr. Richard Price of MAWSS.
EQUIPMENT - MAINTENANCE SERVICE: A.
EQUIPMENT INCLUDED: The preventive maintenance and the responsibility of the Contractor shall not be limited to the major pieces of equipment, but shall also include all appurtenant devices and systems such as those listed below that are related to the Equipment. i.
Heating System: Unit heaters, duct heaters, heat exchangers, boilers, etc.
ii.
Cooling System: Air conditioning compressors, evaporative condensers, air cooled condensers, condenser coils, cooling coils, valves and valve bodies, cabinetry, cooling towers, etc. 3-1
iii.
Air handling System: Fans, motors, air filters, dampers, induction units, mixing boxes, fan coil units, etc.
iv.
Miscellaneous Equipment: Direct expansion valves, thermometers, gauges, fan motor drives, belts, and refrigerant.
B.
SERVICES INCLUDED: The general services listed below shall apply to the systems and equipment as described in Section 2, Paragraph 1. i.
C.
Examine each piece of equipment and device to see that it is functioning properly and is in good operational condition. 1.
Clean all components of dust, old lubricants, etc. to allow the equipment to function as designed.
2.
Paint all equipment as needed to prevent and protect against corrosion and deterioration.
3.
Lubricate all equipment as needed to permit bearings, gears, and all contact wearing points to operate freely and without undue wear.
4.
Adjust all linkages, motors, drives, etc. that drifted from their initial design settings and positions.
5.
Calibrate all sensing, monitoring, output and safety devices for optimum efficiency.
6.
Repair the device by the addition of replacement parts if the maintenance described above is inadequate.
7.
Replace the device if the above repair is inadequate.
8.
Replace the entire unit if the above partial replacement is inadequate.
9.
Test and cycle all equipment as a system after it has been cleaned, lubricated, adjusted, and calibrated to assure that it is in proper operating condition and performing at optimum efficiency.
10.
Charge units with applicable refrigerant as required to maintain proper cooling.
EQUIPMENT NOT INCLUDED: Foundations, structural supports, duct work, insulation, any utility or plumbing (electric, gas, water, or sewer) more than 36 inches from covered equipment, drains, electrical power supply, cleaning interior of system ductwork, and explosion proof equipment. 3-2
3.0
PARTS AND LABOR COVERAGE: A.
B.
PARTS REPLACEMENT: i.
All parts, components, or devices for the equipment that are worn or are not in proper operational condition shall be repaired, and/or replaced with new parts, components, or devices.
ii.
When equipment or parts are replaced in their entirety and a newer design of this device is available and is functionally equivalent and compatible, the device of the newer design shall be used as the replacement.
iii.
All repair and replacement parts, components, and devices for the equipment shall be supplied by the Contractor.
iv.
All miscellaneous parts and supplies necessary to maintain the equipment (belts, valve packing, lubricants, tools, paints, refrigerant, test instruments, meters, etc.) shall be supplied by the Contractor.
v.
Costs for all parts and supplies as described above shall be included as a part of the full coverage preventive maintenance program.
vi.
Contractor shall be available, at no additional charge, for consultation relative to minor design and equipment changes or modifications to automatic temperature control and mechanical systems.
Labor: i.
4.0
All labor, overtime, travel costs, and any other expenses incurred and expended on a maintenance or repair call shall be provided by the Contractor and shall be included as a part of the full coverage preventive maintenance program.
FILTER SERVICE: A.
Air Filtration System: Pre-filters, frame filters, and fan coil filters. i.
Filter frames shall be of the reusable type and shall be of a permanent rigid construction that shall permit the insertion of media pads, and may also allow the use of optional pads with different efficiencies, if needed.
ii.
Filter frames shall be sized to fill the entire cross section of the units to prevent blow-by and eliminate filter spaces in the system.
iii.
Contractor shall provide, install, and regularly change all air filters at a frequency agreed upon by the Owner. Filter change outs shall be performed monthly unless a lesser frequency is deemed acceptable by the Owner due to limited change in a filters condition.
3-3
iv. 5.0
6.0
Filters shall be pleated as manufactured by Quality Filters, Inc., Model EQP40 or Owner approved equal. Area and thickness dimensions shall match existing.
MAINTENANCE PROCEDURES AND RECORDS: A.
Contractor shall utilize computer generated preventive maintenance directions, which indicate task functions to be performed on each scheduled service call, as determined by calendar periods, operating hours (run time), manufacturer's recommendations, and historical database, as appropriate for each task.
B.
As required work comes due, Contractor shall issue to his mechanic on the job, the necessary and appropriate recommended maintenance procedures and a listing of any special lubricants, tools, etc. that are required for proper maintenance of the subject item.
C.
Contractor's administration system shall provide for continuous updating of maintenance procedures and frequencies. Breakdown experience and frequency shall determine the on-site material inventory level and preventive maintenance frequencies.
D.
The Contractor shall provide the Owner’s representative with advance notification of all routine site visits.
PREVENTIVE MAINTENANCE AND EMERGENCY SERVICE CALLS: A.
Contractor shall schedule and perform the following preventive maintenance services no less than a quarterly basis (minimum of four (4) times per year). i.
B.
After each service call, a service report shall be left with the Owner's representative detailing the work accomplished.
Contractor shall provide emergency service on an as needed basis. Emergency service shall be considered part of the full coverage preventive maintenance program. i.
This emergency service shall be provided as often as needed, on a 24 hour basis, weekends and holidays included.
ii.
Contractor shall respond to an emergency situation and have a certified technician on site within two (2) hours.
iii.
Emergency service response system shall be a professionally manned telephone answering service. Automated telephone answering/recording machines, or home telephone numbers only are not acceptable.
iv.
Repairs to critical equipment shall be expedited as much as possible to prevent downtime.
3-4
7.0
8.0
SERVICE PERFORMANCE GUARANTEES: A.
Owner's representative may review, at any time, the services provided and reports submitted, to verify that the preventive maintenance is in fact being properly and adequately performed. Any lack of maintenance service, complaints, or deficiencies in the performance of the services will be submitted to the Contractor in writing for correction.
B.
For problems or deficiencies of significant importance or of a repetitive nature, a time period of compliance shall be established after discussion and mutual agreement. Failure of Contractor to correct deficiencies within the time period agreed upon shall constitute cause for termination of the services and/or withholding of payment to the Contractor.
GENERAL: A.
All personnel provided by the Contractor shall be subject to the approval of the Owner's representative based on their training, experience, qualifications, certification, and ability to perform the required service and maintenance for all equipment in an efficient manner. Failure to provide such personnel in the required numbers shall be considered sufficient reason to terminate the agreement.
B.
All work shall be performed in a workmanlike manner. Materials and workmanship shall be subject to the Owner's inspection and approval.
C.
Contractor shall maintain all work areas in an orderly manner and shall remove and properly dispose of all trash as the work is completed.
D.
Contractor shall not be responsible for the identification or removal of any asbestos products or other hazardous substances. In the event such products or substances are encountered, Contractor's sole obligation will be to notify the Owner's representative of the existence of such products or materials. Contractor shall have the right thereafter to suspend his work until such products or materials and the resultant hazards are removed.
E.
All equipment furnished and all work performed by the Contractor shall comply with the requirements of the Occupational Safety and Health Administration, United States – Department of Labor.
F.
Owner shall furnish drinking water, sanitary facilities, and electrical requirements at existing available sources.
G.
Contractor shall provide man lifts, cranes, and other lifting equipment necessary for the performance of this contract.
H.
Contractor agrees to accept all equipment included in this contract for maintenance “as is”. It is the responsibility of the contractor to review all of the equipment covered by this contract and accept the equipment.
3-5
ATTACHMENT ‘A’
LIST OF MAWSS EQUIPMENT COVERED BY THIS MAINTENANCE AGREEMENT
Category 1 (Catherine Street Facility) Location #1- Business Office Building/Old Warehouse QTY
SYSTEM COMPONENT(S)
MFG
MODEL
RATING
LOCATION
1
Split System
York
1
Chiller System Liquid Chiller 4-Compressors
York
RKNM009507
50 ton
Outside
Trane
CA4008
5 hp
Outside/ Ground
2 hp
Mech. Room
5 ton
1
Air Cooled Condenser 2-Fan Motors
1
CHWP 1
1
Roof Top
York
1
Boiler System HW Boiler 1
Raypak
1
Hot Water Pump
1
Air Handler(s) Air Handling Unit
1
Supply Fan Motor
1
Variable Speed Drive
Magnetek
GPD503
Mech. Room
1
Controls Temperature Control System
Honeywell
Pneumatic
Mech. Room
1
Air Compressor
Husky
1
Air Dryer
Ingersol Rand
1
Air Distribution VAV Box
D1EM060406C
5 Ton
15 Blr HP
Mech. Rm2 nd Floor
0.5 hp
Trane
Mech. Room 25 HP
Mech. Room
No/Re-Heat
A-1
1st Floor
QTY
SYSTEM COMPONENT(S)
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
1st Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
1
VAV Box
No/Re-Heat
2nd Floor
Location # 2 – Basement Unit 1
MFG
MODEL
RATING
LOCATION
Package Unit(s)
American Standard Split System 1-Evaporator Fan Motor 1-Heating Section 1-Compressor 2-Condenser Fan Motors
TWA180
Basement 3 hp ***Remote Components 15 tons 0.5 hp
Location # 3 – Computer Room 1
Split System
Trane
BTE120
1-Evaporator Fan Motor 1-Heating Section 1-Compressor 2-Condenser Fan Motors
Computer Rm. 2 hp ***Remote Components 10 tons 0.25 hp
A-2
QTY
SYSTEM COMPONENT(S)
MFG
MODEL
Split System 1-Evaporator Fan Motor 1-Heating Section 1-Compressor 1-Condenser Fan Motor
Trane
TTF090
Split System 1-Evaporator Fan Motor 1-Heating Section 1-Compressor 1-Condenser Fan Motor
Trane
RATING
LOCATION
Location # 4 – Field House 1
1
0.75 hp
Field House Break room ***Remote Components
7.5 Tons 0.3 hp TTA060 0.5 hp
Field House Office ***Remote Components
5 Tons 0-25 hp
Location # 5 – UPS Room 1
Split System UPS Room 1-Evaporator Fan Motor ***Remote Components 1-Compressor 1-Condenser Fan Motor
0.5 hp 2 Tons
Location # 6 – O & M Building 1
1
All
Split System O & M Bldg. 1-Evaporator Fan Motor 1-Heating Section 1-Compressor 1-Condenser Fan Motor
***Remote Components 2 Tons
Split System 1-Evaporator Fan Motor 1-Heating Section 1-Compressor 1-condenser Fan Motor
O & M Bldg. ***Remote Components 2 Tons
General Also included are the thermostats, temperature, and safety controls related to the equipment list above. Location #7 – Annex Building
1
Split System
Trane
TWE090B300CA
A-3
1725 RPM
Roof top
Category 2 (Stickney Water Filtration Plant) QTY
SYSTEM COMPONENT(S) LOCATION
MFR
MODEL
1
Bryant
Model # 569DEX120000AA 10 Ton
RATING
S/N 4202G30096
Category 3 (Myers Water Filtration Plant) QTY
SYSTEM COMPONENT(S) LOCATION
MFR
1
Main Floor Trane S/N L88J04190 460V 125A Maximum Fuse Size 21FLA 15 HP Indoor Fan Motor
MODEL
RATING
Model # SWUAC3042C05903 84A Minimum Circuit Amp
3 Phase 60hz
1
Control Room Air Conditioner DATAC by Airflow 460V 3 Phase 60hz 5LB 8OZ R-22 150PSI LOW Blower 460V 2.4 FLA 20 LRA 1.5 HP Compressor (1) 6.7 RLA 41 LRA Reheat (1) 7KW 3 Phase 60hz Humidifier Heater 3.4 KW 1 Phase 60hz Minimum Circuit 23.6 AMP Maximum Fuse 25 AMP Minimum Breaker 25 AMP Date of manufacturer 3/27/89
Model CCI-3W4-UD 350PSI HIGH
S/N M21MD101
1
Laboratory Air Conditioner DATAC by Airflow Model CCT-6W4-UD 460V 3 Phase 60hz 19LB 3OZ R-22 150PSI LOW 350PSI HIGH Blower 460V 2.4 FLA 20 LRA 1.5 HP Compressor (1) 6.7 RLA 41 LRA Compressor (2) 6.7 RLA 41 LRA Model # CRJ3-0300-TFD Reheat (1) 7KW Reheat (2) 7KW 3 Phase 60hz Minimum Circuit 45.8 AMP Maximum Fuse 50 AMP Date of manufacturer 3/10/89
S/N M21MD099
1
Laboratory Air Conditioner DATAC by Airflow Model CCT-3W4 460V 3 Phase 60hz 5LB 8OZ R-22 150PSI LOW 350PSI HIGH Blower 460V 2.4 FLA 20 LRA 1.5 HP Compressor (1) 6.7 RLA 41 LRA Reheat (1) 7KW Humidifier Heater 3.4 KW 1 Phase 60hz Minimum Circuit 22.8 AMP Maximum Fuse 25 AMP Minimum Breaker 25 AMP Date of manufacturer 3/27/89
S/N M21MD100
A-4
NAME:
ADDRESS:
DATE:
Category 4 - MAWSS: C. C. Williams WWTF
1600 Yeend St., Mobile, AL 36604
2/1/2016
Location
Type
Brand
Model #
Serial #
Age
Size
Old Admin
C.U.
Mitsubishi
MUZ-GE18NA
OOO3629
2003
1.5 TONS
Old Admin
AHU
Mitsubishi
Old Admin Old Admin
New Admin West New Admin West
A/C PACKAGE A/C PACKAGE
W/C Package W/C Package
Filters ID #
Type
Size
Poly
Belts Qty Chg. Size
1
12
Qty
N/A N/A
Carrier
50TC0D12ADA6
4611G10351
2011
10 TONS
Pleated
20x20x2
4
12
Carrier
558FEX12000
2905G50601
2005
10 TONS
Pleated
20x20x2
4
12
Carrier
50RTG08CCA611
3204V35250
2004
7.5 TONS
Pleated
16X20X4
6
12
Carrier
50RTP081BDA601
1010V96301
2010
7.5 TONS
Pleated
16X20X2
6
12
12.5 TONS Pleated
20X25X4
2
12
Pleated
30x32x1
1
12
Pleated
20x21x1
1
12
N/A N/A
Pleated
20x21x1
1
12
N/A N/A
New Admin West
C.U.
Carrier
38AUZA14AOK6A
3610G30084
2010
New Admin West
AHU
Carrier
39MW06CO10BX411
1808611990
2008
Maint. Bldg.
C.U.
Carrier
38ARZ008
3507G30119
2001
Maint. Bldg.
AHU
Carrier
Electric Bldg.
C.U.
Carrier
Electric Bldg.
AHU
Carrier
Electric Bldg.
C.U.
Carrier
Electric Bldg.
AHU
Carrier
24ABB360
24ABB360
2911E17559
4411E11450
2011
2011
7.5 TONS
3 TONS
3 TONS
NAME:
ADDRESS:
DATE:
Category 5 - MAWSS: Wright-Smith WWTF
North Conception St., Mobile, AL
2/1/2016
Location
Type
Brand
Model #
Serial #
Age
Size
Operations Building
C.U.
Carrier
25ABC360
3210E10995
2010
3 TONS
Operations Building
AHU
York
G2FD060H24G
A0D6175998
Operations Building
C.U.
Mitsubishi
MUZ-A17NA
8001400T
Operations Building
AHU
Mitsubishi
MSZ-A17NA
6002168
Operations Building
C.U.
Mitsubishi
MUY-A24NA
7003991
Operations Building
AHU
Mitsubishi
MSY-A24NA
7002519
C.U.
Goodman
GSH13024
0903079178
Old Plant Manager Bldg. Old Plant Manager Bldg.
Main Electrical Bldg.
Filters ID#
Belts
Type
Size
Qty
Chg.
Size
Qty
Pleated
22X24X1
1
12
NA
NA
Poly
1
12
NA
NA
Poly
1
12
NA
NA
1.5 TONS
2 TONS
2003
2 TONS
AHU
Pleated
20x20x1
1
12
NA
NA
A/C Package
Carrier
3 TONS ~
Pleated
24X24X1
1
12
NA
NA
Small Electrical Bldg. A/C Package
Carrier
2 TONS ~
Pleated
18x24x1
1
12
NA
NA
3 OF 8 NAME: Category 6 - MAWSS: Park Forest Operations Center Location ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF ROOF
Type A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package
ADDRESS:
DATE:
Moffett Rd., Mobile, AL
2/1/2016
Filters
Belts
Brand
Model #
Serial #
Age
Size
ID #
Type
Size
Qty
Carrier
50TC-012E2A6A
3810G20694
2010
10 TONS
RTU 1A
Pleated
20x20x2
4
4x AX49
1
Carrier
50TC-D08A2A6A
3810G30686
2010
7.5 TONS
RTU 1B
Pleated
16x16x2
4
4x AX52
1
Carrier
50TC-A05A1A6A
3610G10222
2010
4 TONS
RTU-2
Pleated
16x25x2
2
4x AX35
1
Carrier
50TC-A07A2A6A
3710G20316
2010
6 TONS
RTU-3
Pleated
16x16x2
4
4x AX41
1
Carrier
50TC-A07A2A6A
3710G20319
2010
6 TONS
RTU-4
Pleated
16x16x2
4
4x AX41
1
Carrier
50TC-A04A1A6A
3610G10147
2010
3 TONS
RTU-5
Pleated
16x25x2
4
4x AX35
1
Carrier
50VL-A24-30TP
3610C02535
2010
2 TONS
RTU-6
Pleated
16x20x1
1
4x
Carrier
50TC-A06A2A6A
3610G30293
2010
5 TONS
RTU-7
Pleated
16x25x2
2
4x AX38
1
Carrier
50TC-A07A2A6A
3710G40300
2010
6 TONS
RTU-8
Pleated
16x16x2
2
4x AX41
1
Carrier
50TC-A06A2A6A
3610G30292
2010
5 TONS
RTU-9
Pleated
16x25x2
2
4x AX38
1
Carrier
50TC-A05A1A6A
3610G10221
2010
4 TONS
RTU-10
Pleated
16x25x2
2
4x AX35
1
Carrier
50TC-A04A1A6A
3710G30137
2010
3 TONS
RTU-11
Pleated
16x25x2
2
4x AX35
1
Carrier
50TC-A07A2A6A
3710G20317
2010
6 TONS
RTU-12
Pleated
16x16x2
4
4x AX41
1
Carrier
50TC-A06A2A6A
3610G30294
2010
5 TONS
RTU-13
Pleated
16x25x2
2
4x AX38
1
Carrier
50TC-A07A2A6A
3710G20320
2010
6 TONS
RTU-14
Pleated
16x16x2
4
4x AX41
1
Carrier
50TC-D08A2A6A
3810G30687
2010
7.5 TONS
RTU-15
Pleated
16x16x2
4
4x AX52
1
Carrier
50VL-A30-30TP
2710C87427
2010
2.5 TONS
RTU-16
Pleated
16x20x1
1
4x
Carrier
50TC-A07A2A6A
3710G20318
2010
6 TONS
RTU-17
Pleated
16x16x2
2
4x AX41
1
Carrier
50TC-A06A2A6A
3610G10295
2010
5 TONS
RTU-18
Pleated
16x25x2
2
4x AX35
1
Carrier
50TC-A05A1A6A
3610G10220
2010
4 TONS
RTU-19
Pleated
16x25x2
2
4x AX35
1
Chg.
Size
N/A
N/A
Qty
N/A
N/A
4 OF 8 NAME: Category 6 - MAWSS: Park Forest Operations Center Location ROOF ROOF ROOF ROOF ROOF ROOF
Type A/C Package A/C Package A/C Package A/C Package A/C Package A/C Package
BUSINESS ENTRANCE BUSINESS ENTRANCE
A/C Package A/C Package
SUBWAY
TBD
ADDRESS:
DATE:
Moffett Rd., Mobile, AL
2/1/2016
Filters
Belts
Brand
Model #
Serial #
Age
Size
ID #
Type
Size
Qty
Carrier
50TC-A05A1A6A
3610G10219
2010
4 TONS
RTU-20
Pleated
16x25x2
2
4x AX35
1
Carrier
50TC-A05A1A6A
3610G10218
2010
4 TONS
RTU-21
Pleated
16x25x2
2
4x AX35
1
Carrier
50VL-A24-30TP
3510C00956
2010
2 TONS
RTU-22
Pleated
16x20x1
1
4x
N/A
N/A
Carrier
50ES-A24-30TP
3310C97768
2010
2 TONS
RTU-23
Pleated
16x20x1
1
4x
N/A
N/A
Carrier
50TC-A07A2A6A
3710G20321
2010
6 TONS
RTU-24
Pleated
16x16x2
4
4x AX41
Carrier
50VL-A24-30TP
3610C2532
2010
2 TONS
RTU-25
Pleated
16x20x1
1
4x
York
DM120COON2AA
NOG7021224
2010
10 TONS
Pleated
20x25x2
4
4x AX53
1
York
DM120COON2AA
NOD5913421
2010
11 TONS
Pleated
20x25x2
4
4x AX53
1
TBD
2 TONS
50HCD08C2M6A1K1C0
0415P78418
RTU-3
20x20x2
4
50VL-A42-60TF
0315C40842
RTU-4
16x24x2
2
50VL-A24-30TF
0315C23134
RTU-5
20x20x2
50VL-A24-30TF
0315C23135
RTU-6
20x20x2
50VL-A24-30TF
0315C23154
RTU-7
20x20x2
NDG7021224
RTU-26
20x20x2
4
NOD5913421
RTU-27
20x20x2
4
DM120C00N2AAA 3C DM120C00N2AAA 3
Chg.
Size
N/A
Qty
1 N/A
NAME: Category 7 - MAWSS: Wastewater Lift Stations Type
Brand
Model #
Serial #
#154 Virginia St. ROOF
A/C Unit
Bryant
551BEX03600AK
A/C Unit
Bryant
A/C Unit A/C Unit
#156 Eslava Creek ROOF
Filters
2/1/2016
Location
#44 Perch Creek Side of Bldg.
DATE:
ADDRESS:
Age
Size
ID #
Size
Qty
3909G30273
16x25x2
2
551BEX048000am
3909G30294
16x25x2
2
Eubank
V60-10777
04HP59109
20x30x1
1
Eubank
V48-10775
04HP59107
20x30x1
1
A/C Unit
WSC036A4R0A12
352100632L
N/A
A/C Unit
50TFQ008-A-511
2007G21053
N/A
PA13361-A
281L072398685-1
N/A
50TFQ088-511
3606G21747
N/A
50TFF004-611
3304G30244
A/C Unit
#155 Halls Mill ROOF
A/C Unit
LS020 Faye Lane
A/C Unit
Bard
Carrier
Type
Belts
Pleated
20x25x1
1
Chg.
Size
D/D
Qty
NAME: Category 8 - MAWSS: Water Booster Stations and Tanks Location Schillinger Rd. BS 1371 S. Schillinger Rd. Bear Fork BS 5676 Bear Fork Rd. Airport/Snow BS 710-B Snow Rd.
Type
DATE:
ADDRESS:
Filters
2/1/2016
Brand
Model #
Mitsubishi
A36NHA2
Bard
WA372-A00
Marvair Air Excel, Inc. Mod Pac II
AVP12A2A36M100 BO
Serial #
Age
Size
ID #
Type
Size
Belts Qty
Chg.
Size
Qty
NAME: Category 9 - MAWSS: Thomas Tyrrell Bill Payment Center Location
Type
Brand
INSIDE
DATE:
ADDRESS:
Model #
Serial #
Age
517ENS060000ACPG 3889H03999
INSIDE
517A090
INSIDE
N/A
RHGE-075ZK949 139F090311911
INSIDE
Filters
2/1/2016
FF1ENE024
2708A73123 N/A
Size
ID #
Size
1
24x24x1
2
47x35x1
3
24x36x1
4
16x20x1
5
N/A
INSIDE
EMERSON
N/A
OUTSIDE
RUUD
4AND-036CAZ
7295M030805464 2008
1-OUT
OUTSIDE
RHEEM
RAWE-079CAZ
7178F230804457
2008
2-OUT
OUTSIDE
RUUD
UAND-036CAZ
7295M210604678 2006
3 OUT
OUTSIDE
EMERSON
PFH027A-PL7
Y12AG13812
2015
4-OUT
OUTSIDE
ARI PAYNE
PA13NR024-H
3409X67258
2009
5-OUT
UPS ROOM
BARD
2015
Type
Belts Qty
Chg.
Size
Qty
NAME: Category 10 - MAWSS: Shelton Beach Maintenance Facility Location FOC SOUTSIDE FOC INSIDE FOC OUTSIDE FOC INSIDE FLEET MAINTENANCE FLEET MAINTENANCE FLEET MAINTENANCE FLEET MAINTENANCE FLEET MAINTENANCE FLEET MAINTENANCE WAREHOUSE INSIDE WAREHOUSE OUTSIDE LIFT STATION OUTSIDE LIFT STATION INSIDE LIFT STATION OUTSIDE LIFT STATION INSIDE
Type
HEAT PUMP
HEAT PUMP AIR HANDLER HEAT PUMP AIR HANDLER
DATE:
ADDRESS:
Filters
2/1/2016 ID #
Belts
Brand
Model #
Serial #
Age
Size
CARRIER
38AUDA14A0C6
3813C92629
2013
12.5 TON
CARRIER
40RUAA14T2A6
3713U34396
2013
N/A
AH-6
EMERSON
PFH037ACYL7
Y13LG11699
2013
N/A
CRO-3
LIEBERT MMD36E7YHFDDFA
Y13E19241
2013
N/A
CRI-3
CARRIER
3113E24164
2013
N/A
HP-1
EMERSON MMD12E7PHS0DS1
Y13LB19261
2013
CRI-1
CARRIER
25HCD336AA500
3713E03021
2013
HP-3
CAC/BDP
FX4DNF061
2413A88753
2013
AH-2
PLEATED20X25X1
1
CARRIER
25HCD318A300
1113E26780
2013
CAC/BDP
FX4DNF019
2413A73750
2013
AH-2
PLEATED14X20X1
1
CARRIER
40RUQA08A1A6
3013U29261
2013
CARRIER
38AUQA08A0A6
2913C91357
2013
CARRIER
38AUQA07A0A6
1713C93623
2013
CARRIER
40RUQA07A1A6
3613U33589
2013
EMERSON
PFH014ACPL7
Y13LG11534
2013
CRO-2
Y13LBI9234
2013
CRI-2
25HCD360A500
EMERSON MMD12E7PHS0DS1
Type
Size
PLEATED 16X20X2
Qty
Chg.
4
Size
Qty
A40
1
PLEATED 16X24X2
4
A40
1
PLEATED 16X24X2
4
A39
1
PLEATED 20X20X1
2
SECTION 4 INSURANCE REQUIREMENTS 1.0
GENERAL: The Contractor must provide insurance coverage and proof thereof for the duration of this Contract. A.
CONTRACTOR COVERAGE’S: The Contractor shall not commence work under this Contract until he has obtained all insurance required under the following paragraphs and until such insurance has been approved the by the Owner, nor shall the Contractor allow any subcontractor to commence work on his subcontract until all similar insurance required of the subcontractor has been obtained and approved. If the subcontractor does not take out insurance in his own name, the principal contractor shall provide such insurance protection for the subcontractor and such subcontractor’s employees.
B.
INSURANCE: The following insurance coverage’s (with limits not less than specified herein) shall be maintained by the Contractor for the duration of the Contract, affording coverage for any claim arising out of the Contractor’s operations herein, whether by the Contractor or any subcontractor or by any Employee or Agent of either. i.
Claims of employees under Worker’s Compensation and other similar employee benefit acts, including claims because of bodily injury, occupational sickness or disease, or death.
ii.
Claims arising out of bodily injury, sickness, disease or death of any person other than employees.
iii.
Claims for damages arising out of libel, slander, false arrest, detention or imprisonment, malicious prosecution, defamation or violation of right of privacy, wrongful entry or eviction or other right of private occupancy, including claims as a result of an offense related to the employment of a claimant by Contractor. (So-called “Personal Injury”)
iv.
Claims arising out of damage to, or destruction of, tangible property, including loss of use.
When and if the use of explosives for blasting purposes appears necessary or desirable, such methods shall not be undertaken without written authorization of the Owner, and then only provided that acceptable extensions of liability coverage have been obtained specifically to include the explosion (“X”) hazard and the collapse (“C”) hazard. The policy of general liability shall include the special underground property damage coverage (providing the so-called “U” hazard) on a blanket basis. LIMITS OF LIABILITY: Worker’s Compensation
Statutory 4-1
Employer’s Liability
$500,000 Each Accident $500,000 By Disease Each Employee $500,000 By Disease - Policy Limit
Commercial Automobile
$1,000,000 Each Accident Bodily Injury and Property Damage Combined
General Liability
$1,000,000 Each Occurrence $1,000,000 Personal & Advertising Injury $2,000,000 General Aggregate $2,000,000 Products & Completed Operations Aggregate
C.
OWNER’S PROTECTIVE LIABILITY: The Contractor shall furnish from a carrier acceptable to the Owner a policy of liability insurance, commonly called “Owner’s Protective Liability,” in the name of the Owner, providing “Independent Contractor’s Coverage” for the operations embraced by this Contract with limits of $1,000,000 combined bodily injury and property damage. Policy premium is to be paid by the named Contractor.
D.
PROPERTY INSURANCE: i.
The Contractor shall assume complete responsibility for safe-guarding all portions of the Work in progress, whether completed or not, until such work has been accepted by the Owner, and shall maintain such insurance to protect himself against perils which may cause such property to be damaged or destroyed. This coverage shall be similar to the former All Risks of Physical Loss Form, including if available, Collapse. Title to such work in progress, whether completed or not, shall remain vested in the Contractor until finally accepted by the Owner.
ii.
Coverage Form: Coverage shall be provided on an actual completed value Builder’s Risk Form or, if more appropriate, an installation floater in the joint name of the Contractor and Owner for the duration of the Contract.
The Owner (MAWSS) has the option of providing Builder’s Risk coverage for any projects undertaken by a Contractor. If the Owner exercises this option, the Contract Proposal will appropriately indicate this and provide for separately showing the costs of the Builder’s Risk coverage in the Bid. E.
CERTIFICATION: The Contractor shall furnish policies verifying that the above coverage’s are in effect before commencing any work, and that each policy is endorsed to give the Owner 30 days notice in writing in the event of cancellation or material change therein. Certificates of Insurance shall state that the Owner be named as additional insured’s on the Contractor’s Automobile Liability and Comprehensive General Liability policies. In respect to Worker’s Compensation, a Waiver of Subrogation shall be issued in favor of the Owner.
4-2
APPENDIX O Maps
250
500 FT.
S a in
t S t e
O&M
v e
n
s R o
a d
BLDG
Ce nt er
BUSINESS OFFICE St N Cather i ne St
125
L yons Park Ave
0
L ambe rt S t
125
ll Ave ng Hi Spri
500 FT.
10
ad ro l i Ra
N L
d an
FAYE LANE LIFT STATION
Ln. Faye
Magnoli a Lane
Ni cholas Lane
Bakers Lane
Forest
Lane
Ra bb it
Dauphi n I sl and Parkway
I
Ni chol son Road
250
Dou gl as Lan e
125
Ri ve r
0
Do g
125
Cr ee
k
Mai n
Dr
nd co Se
500 FT.
Hi tt Road
Schi l l i nger Road
250
Grelot Road
Pete Dr
E rnest Dr
125
Gayl ord Dr
0
k ee Cr
125
SCHILLINGER ROAD BOOSTER STATION
0
125
250
500 FT.
Red
ngs Road an Spri Indi
125
ek Cre
Bear F ork Road
BE AR F ORK ROAD BOOSTE R STATI ON
M o f
f e t t o R d a
125
0
125
250
500 FT.
AIRPORT-SNOW ROAD BOOSTER STATION
od wo l i Tra
o o
d D r
W Dr
Snow Road
k Cree erce Pi T r a il w
E ll Road ne Kno Pi
W
lw ood Dr S Trai
Blvd rport Ai
Ly o
125
ns
0
125
250
500 FT.
St
N
B r o a d
S t
Ba si lS t
St
Pi ne
THOMAS TYRRELL PAYMENT CENTER N Pi ne St
N
N H al l ett St
H erndon Ave
N Ann St
St
St at e
Sp ri ng hil lA ve
125
0
125
250
500 FT.
SHELTON BEACH FACILITY
ton Beach Road Shel
Palli ster Pl S
Dr
ew Dr Northvi
Eastvi ew
ane ps L i l l Phi
US Hw y 98 /M offett
Road
APPENDIX P Contractor Qualification Information
THE BOARD OF WATER AND SEWER COMMISSIONERS OF THE CITY OF MOBILE, ALABAMA 2016 Annual HVAC Maintenance Contract Contract No. 335324 Contractor Qualification Information Rev. 01/28/16 A.
GENERAL 1.
Legal Name of your firm:
2.
Principal Office Street Address:
3.
Principal Office Mailing Address:
4.
Principal Contact Name: Phone No. Fax No. Email
5.
Type of Business (corporation, partnership, etc.)
6.
No. of years organization has been in business (under legal name listed in No. 1 above)
7.
Average No. of employees in your principle (local Mobile area) office for the last three years: 2015: 2014: 2013:
8.
Office Office Office
Crafts Crafts Crafts
Total Total Total
Provide information on any fully staffed branch offices. Address
Manager
Phone No.
APPENDIX P-1
No. Employees
9.
Alabama State License No. Classifications: (check classifications held) Building Construction Highways and Streets Municipal and Utility Heavy and Railroad Construction Specialty Construction List Specialty Classifications: Mechanical Other
B.
10.
Federal ID No.
11.
Company President:
12.
Value of Assets Owned by your firm (as listed in no. 1 above):
13.
Percentage of overall work typically performed by own forces:
MINIMUM QUALIFICATIONS The Board’s water and wastewater treatment Process Plants are critical to the health of the Mobile area community. It is extremely important to have these facilities maintained by competent and qualified personnel. It is the intent of the Board to enter into a contract with a Contractor who is experienced in maintaining similar process facilities and has the resources necessary to successfully supplement the MAWSS maintenance staff. 1.
Within the last two years, has your firm had any unresolved disputes with MAWSS? If yes, please attach additional pages as necessary to explain.
2.
Does your firm have five (5) years proven successful experience with process plant maintenance contracts employing the crafts specified on the bid sheet? List at least one reference for such a contract.
3.
Is your firm able to perform greater than 85% of the labor listed on the bid sheet with your own work force?
4.
Does your firm meet the required safety rates (EMR < 1.0, OSHA IR < 6.0)?
5.
Can your firm meet the insurance requirements as listed in section 3.07 of the Board’s Standard Specifications?
6.
Does your firm have in place and fully comply with a written drug testing policy that meets or exceeds the requirements of the Board’s policy? (See Appendix D for a copy of the Board’s policy.)
7.
Does your firm hold a current Alabama Contractor’s license in the category of MU: Municipal & Utility?
APPENDIX P-2
8.
Does your firm have in place and fully comply with a written safety program?
9.
Can your firm provide personnel that have all completed the 10 hour OSHA Training program?
10.
Does your firm have at least five years of successful experience in process plant maintenance contracts regularly and directly employing personnel in each of the following crafts: Leaderman/Working Foreman, Millwright, Pipefitter, Carpenter, Equipment/Truck Operator, Ironworker, Concrete Mason, and Painter?
11.
Will your firm provide employees properly trained for Confined Space Entry on all jobs requiring such training?
12.
Are all of your employees adequately trained to work in the positions they are assigned to?
13.
Does your firm utilize only trained and authorized personnel for the operation of forklifts, lift trucks, cherry pickers, etc.?
14.
Will your firm provide certified personnel for the following crafts? If yes, are these direct or subcontracted employees? (Certification must be validated by at least one of the following: labor union, state board, merit shop programs, technical school programs, equipment manufacturers, written examination, etc.) a. b. c. d. e. f. g.
C.
Millwright Pipefitter Iron worker Carpenter Equipment Operators Painter Concrete Mason
LABOR 1.
Does your firm have an approved equal employment opportunity (EEO) plan?
2.
Is your firm in compliance with all EEO requirements?
3.
List the types of work that your firm typically performs.
4.
For each type of work listed below, indicate whether you typically perform the work with your own work force or subcontract the work. (The following is an example of crafts needed but not listed in original list, other crafts may be required to meet changing job requirements and should be considered part of the contract as either a leader man, helper or laborer rate.) a. b. c.
Demolition Site work Concrete
Own Forces
APPENDIX P-3
Subcontract
d. e. f. g. h. i. j. k. l. 5. D.
Masonry Metal Fabrication Carpentry Roofing Painting/Coating Material Handling Plumbing Piping HVAC
Own Forces
Subcontract
Estimate the amount (as a percentage) of the work for a process plant maintenance contract that you expect to perform with your own forces.
FINANCIAL 1.
List your firm’s annual business volume (dollars) past three years: 2015: 2014: 2013:
2.
List your firm’s current Dun & Bradstreet Rating (or other industry recognized credit rating):
3.
Bank Reference: Bank Name: Address: Contact: Phone No.:
4.
Is your firm currently in default on any loan or financial agreement with any other entity? If so, please explain.
5.
Bonding Information a.
Current Bonding Capacity of your firm:
b.
Amount of your firm’s work currently bonded:
c.
Name of Bonding Co.: Agent Name: Phone No.: Address:
APPENDIX P-4
E.
SAFETY 1.
List your firm’s worker compensation experience modification rate (EMR) and OSHA total recordable incident rate (IR) for the last three years. (OSHA total recordable incident rate (IR) is defined as (# of recordable injury cases * 200,000/total manhours worked). Also attach copies of you firm’s OSHA 300 logs and the manhours worked for each period requested. 2015: 2014: 2003:
F.
G.
EMR
IR
2.
Does your firm have a Safety Department?
3.
Provide a brief description of how your firm would address safety for the type of maintenance agreement being considered.
4.
Does your firm have a safety and health orientation program for new hires?
5.
Does your firm conduct annual refresher training for all employees?
6.
Will all the employees assigned to this project have the required 10 hour OSHA training?
7.
Do you perform periodic safety audits at the job site?
8.
Do you perform and document inspections on all equipment assigned to your jobs to ensure proper operating condition?
TRAINING 1.
Do you perform testing to verify competence of employees in the tasks they are asked to perform?
2.
Do you require written certification from employees to validate their competency in assigned tasks?
3.
Do you provide management or supervisory training to employees in leadership positions within your company?
OTHER 1.
Experience: Attach a description of your firm’s most recent experience which includes the following: (For each project or reference provided, include name, address, and phone number.)
APPENDIX P-5
2.
3.
a.
Last five projects completed including contract value and completion date
b.
Last three projects completed for MAWSS as a general contractor, subcontractor, or other entity.
c.
Last three current or completed maintenance agreements or “open ended” type contracts
Quality: a.
Is your firm ISO 9000 certified?
b.
Does your firm have a written quality assurance program?
Does your firm have a clear written policy on drug and alcohol abuse? a.
4.
Does it include: Pre-employment testing? Random testing? Testing for cause? DOT testing?
Work Management: a.
Does your firm have an existing work order/task order system?
b.
Is the system maintained by hand or electronically?
c.
Can your firm provide certified payroll?
d.
Does your firm own the basic equipment required for process plant maintenance projects?
e.
Does you firm have the processes and procedures in place currently to handle subcontracted services? Parts & materials?
f.
Can your firm respond to changing work loads and staff as needed to meet changing staffing requirements?
APPENDIX P-6
APPENDIX Q Vendor Qualification Package
Dear Supplier, To become an approved vendor with Mobile Area Water and Sewer System (MAWSS), please complete all sheets included in this Vendor Package and return to: MAWSS, PO Box 2368 Mobile, AL 36652-2368 or FAX to (251) 694-3461 as soon as possible. We must have all information completed to list your company as a valid supplier of materials, supplies and/or services. Incomplete forms cannot be accepted. Attachments: 1. Page 1 – Vendor Qualification Sheet: Please identify your company accurately and claim “Minority” or “Women” owned (nonminority), ONLY if they apply. Inaccurate identification could result in your company being disqualified from doing business with MAWSS. 2. Page 2 – Vendor Qualification Sheet: Include Officers’ Names, Contact Names, and other pertinent information completely and accurately. 3. Pages 3 - 5 – Purchasing Needs: This is a partial list of materials and services used by MAWSS on a regular basis. Please check each category your company is currently able to supply. If your particular material and/or service is not listed, please add it to the list. 4. Page 6 – Federal Form W-9: This form must be filled out completely and accurately and on file in our Accounts Payable Department before payment can be remitted. We are currently updating our supplier database. If you are not currently a supplier and wish to have the opportunity to do business with us, we ask that you complete the required information. Upon receiving the completed forms, you will be added to our system as a potential supplier. If you have filled out supplier information for us previously, we apologize for the inconvenience, however, we must have this information. Please feel free to contact me if you have any questions or if I can be of further assistance at (251) 694-3162 or at
[email protected]. Respectfully,
Lisa Russell
FOR OFFICE USE ONLY:
MAWSS P O Box 2368 207 North Catherine Street Mobile, AL 36652-2368 Phone: (251) 694-3162 Fax: (251) 694-3461 Page 1
VI# DOV
By:
VENDOR QUALIFICATION QUESTIONNAIRE Company Name Address
City
Phone
Fax
Prepared By
Title
State
Zip Email address Phone
Federal Id#______ - ____________________Social Security # (if applicable)_________ - _______ - _____________ Individual
Partnership
I AM a current supplier
Corporation
Other
Form W-9, completed and attached (required)
Does your company have 500 or more employees?
Yes
Annual gross sales $______________________Dun & B # Business License#:
Government Agency
No Payment terms (Net 30 unless otherwise stated)
Contractor’s License#:
Discipline:
THIS IS TO CERTIFY THAT THIS BUSINESS QUALIFIES AS (CHECK BELOW ALL THAT APPLY): Minority Business Concern – A business at least 51% of which is owned (or, in the case of publicly owned businesses, at least 51% of the stock of which is owned) by one or more minority individuals or other individuals found to be disadvantaged by the Small Business Administration and whose management and daily operations are controlled by such individuals. Check appropriate boxes below:
Check appropriate boxes below:
African American
Male
Hispanic American
Female
Asian-Pacific American Native American (American Indian, Eskimo, Aleut) Women Owned Business Concern – A business that is at least 51% owned by a non-minority women who controls the daily management.
CERTIFICATION STATUS My company is certified by an authorized agency (attach copy).
MAWSS Vendor Qualification Questionnaire Page 2
COMPANY NAME: General instructions to vendors: Please complete this form with sufficient detail to provide a synopsis of your firm’s product, service, personnel, facilities, equipment, and history. Additional detailed information may be submitted if desired; however, the additional information should not be submitted in lieu of completing this form. Principal Officers (names and titles)
Phone
Fax
Our Contacts: Sales Manager___________________________Ph._(______)___________________Fx.__(____)_______________ Inside Sales ______________________________________Ph._(______)____________________Fx._(____)_______________ Outside Sales ______________________________________Ph._(______)____________________Fx._(____)_______________ Accounts Receivable______________________Ph._(______)____________________Fx._(____)_______________ Remit Address (if different)________________________________________________________________________ Invitation to bid address (if different)________________________________________________________________ Contact__________________________________Ph._(______)__________________Fx__(_____)_______________ E-mail: ______________________________ Do you have a Drug/Alcohol Policy in effect for your employees?
Yes
No
Bonding Co. (if Bonded) __________________________________________________________________________________ Certificate of Insurance – Fax (251-694-3461) to Purchasing Dept. Must be updated yearly. Are you required to have Worker’s Comp Insurance?
If not, please indicate why
_______________________________________________________________________________________________ Primary Nature of Business: ________________________________________________________________________________ List NIGP Codes below. List both primary and any secondary codes that apply to your business. Primary NIGP Code:
Principal product, service, or work interested in (See attached list: Check only those you can supply. Leave all others blank. It is important this is filled out properly and all sheets returned.)
MAWSS Vendor Qualification Questionnaire Page 3 MAWSS PURCHASING NEEDS The listing below is a sample of materials and services purchased by The Mobile Area Water and Sewer System. Please place a check (X) beside any of the materials, supplies, and/or services your company can provide. The Mobile Area Water and Sewer System is subject to the Alabama State Bid Laws and any purchases in excess of $15,000 must be advertised and purchased by sealed bid. The state bid law requires all suppliers interested in being included on our bid list submit a written letter requesting inclusion and listing the materials, supplies, and services for which you are interested in submitting bids. Mail your letter to Mobile Area Water and Sewer System, P.O. Box 2368, Mobile, Al. 36652, Attn: Purchasing Department. Materials and Supplies Backflow Kits Barricades & Flashers Building Supplies Chemicals: Activated Carbon/Aluminum Sulfate/Chlorine/Copper Sulfate/Fluoride/Lime/Odor Control Chemicals/Oxalic Acid/Polyphosphates/Polymers/Sodium Chlorite/Sodium Hydroxide/Sodium Hypochlorite/Sulfur Dioxide Chemicals: Cleaning Communications Equipment Computer Equipment Couplings/Clamps Earthmoving Equipment Electrical Supplies Equipment Parts Excavators Fencing Materials & Supplies Fire Hydrants Fuels/Gasoline/Diesel/Kerosene Furniture GIS Equipment Grounds/Lawn Equipment Grounds/Lawn Supplies(Grass, Seeds, Fertilizer, Insecticides, Herbicides) Hose/Couplings Hydrant Guards Janitorial Supplies Lab Supplies Manholes/Castings/Covers Meters/Flow Motors/Motor Starters Nuts & Bolts Office Equipment Office Supplies Paper Products Pipe & Pipe Fittings (Ductile Iron, PVC, Poly, SDR35, DR18) Powdered Drink Mixes (Gatorade/10-K,etc) Pumps/Fuel/Grinder/Horizontal/Submersible Sewage/Vertical Turbine Pump Parts Radmix & Asphalt Rain suits & Boots Safety Supplies Sand/Dirt/Clay
MAWSS Vendor Qualification Questionnaire Page 4 MAWSS PURCHASING NEEDS CONTINUED Seals/Mechanical Shells/Gravel Signs Small Tools Tapping Saddles/Sleeves Tools/Electrical/Machine Shop Tractors/Bushogs/Lawnmowers Trailers Uniforms Uninterruptible Power Systems Valves/Butterfly/MJ Gate/Resilient Seat Gate/Tapping Valve Boxes Vehicles (Autos/Trucks) Vehicle Parts Vehicle Supplies Warehouse Equipment Water Meters Water Meter Boxes/Lids Welding/Acetylene/Oxygen CONSTRUCTION & ENGINEERING SERVICES Architectural Services Building Construction Building Repairs & Construction Concrete Work Electrical Wiring/Installation Engineering Consultants Engineering/Design/Remodeling Flow Monitoring Painting Paving/Road Work Point Repairs Underground Water/Sewer Pipeline Repairs & Installation OTHER SERVICES Aerial Photography Air Conditioning Maintenance & Repair Auditing Advertising Banking Services/ACH, Lockbox, Direct Deposits, Bank Drafts Blueprint & Photocopying Catering Cell Phone Services Commercial Testing Laboratories Computer Programming & Software, Maintenance & Repair Credit Reporting & Collection Diving Dredging Elevator Maintenance & Repair
MAWSS Vendor Qualification Questionnaire Page 5
MAWSS PURCHASING NEEDS CONTINUED
Equipment Installation Equipment/Property Rental Equipment Repairs Fencing Installation & Repairs Fleet Services/Tire Repairs Garbage Collection Grass Mowing Instrument Repairs Insurance/Health, Disability, Life, Real Estate, Auto, Liability Janitorial Services Legal Services Motor Repairs Pager Services Parts Cleaner Services Pest Control Service/Buildings & Lawns Printing/Brochures/Newsletters/Multi-part Forms/Publications Property Repairs Pump Repairs Risk Management Safety Consulting Security Systems/Services Sewer Cleaning & Videoing Towing Training Classes/Seminars Vehicle Repairs Uniform Rental/Cleaning Water Meter Replacement Window Cleaning Other:
W-9
Request for Taxpayer Identification Number and Certification
Form (Rev. January 2011) Department of the Treasury Internal Revenue Service
Give Form to the requester. Do not send to the IRS.
Print or type See Specific Instructions on page 2.
Name (as shown on your income tax return) Business name/disregarded entity name, if different from above Check appropriate box for federal tax classification (required):
Individual/sole proprietor
C Corporation
S Corporation
Partnership
Trust/estate Exempt payee
Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) ▶ Other (see instructions) ▶ Address (number, street, and apt. or suite no.)
Requester’s name and address (optional)
City, state, and ZIP code List account number(s) here (optional)
Part I
Taxpayer Identification Number (TIN)
Enter your TIN in the appropriate box. The TIN provided must match the name given on the “Name” line to avoid backup withholding. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3.
Social security number
Note. If the account is in more than one name, see the chart on page 4 for guidelines on whose number to enter.
Employer identification number
Part II
–
–
–
Certification
Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am a U.S. citizen or other U.S. person (defined below). Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 4.
Sign Here
Signature of U.S. person ▶
Date ▶
General Instructions Section references are to the Internal Revenue Code unless otherwise noted.
Purpose of Form A person who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate transactions, mortgage interest you paid, acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA. Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN to the person requesting it (the requester) and, when applicable, to: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners’ share of effectively connected income.
Note. If a requester gives you a form other than Form W-9 to request your TIN, you must use the requester’s form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: • An individual who is a U.S. citizen or U.S. resident alien, • A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, • An estate (other than a foreign estate), or • A domestic trust (as defined in Regulations section 301.7701-7). Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax on any foreign partners’ share of income from such business. Further, in certain cases where a Form W-9 has not been received, a partnership is required to presume that a partner is a foreign person, and pay the withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid withholding on your share of partnership income.
Cat. No. 10231X
Form W-9 (Rev. 1-2011)
Page 2
Form W-9 (Rev. 1-2011)
The person who gives Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United States is in the following cases: • The U.S. owner of a disregarded entity and not the entity, • The U.S. grantor or other owner of a grantor trust and not the trust, and • The U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you are a foreign person, do not use Form W-9. Instead, use the appropriate Form W-8 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a “saving clause.” Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship income would attach to Form W-9 a statement that includes the information described above to support that exemption. If you are a nonresident alien or a foreign entity not subject to backup withholding, give the requester the appropriate completed Form W-8. What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS a percentage of such payments. This is called “backup withholding.” Payments that may be subject to backup withholding include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive if you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return.
Payments you receive will be subject to backup withholding if: 1. You do not furnish your TIN to the requester, 2. You do not certify your TIN when required (see the Part II instructions on page 3 for details), 3. The IRS tells the requester that you furnished an incorrect TIN, 4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends on your tax return (for reportable interest and dividends only), or 5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only).
Certain payees and payments are exempt from backup withholding. See the instructions below and the separate Instructions for the Requester of Form W-9. Also see Special rules for partnerships on page 1.
Updating Your Information You must provide updated information to any person to whom you claimed to be an exempt payee if you are no longer an exempt payee and anticipate receiving reportable payments in the future from this person. For example, you may need to provide updated information if you are a C corporation that elects to be an S corporation, or if you no longer are tax exempt. In addition, you must furnish a new Form W-9 if the name or TIN changes for the account, for example, if the grantor of a grantor trust dies.
Penalties Failure to furnish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willful neglect. Civil penalty for false information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty. Criminal penalty for falsifying information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines and/or imprisonment. Misuse of TINs. If the requester discloses or uses TINs in violation of federal law, the requester may be subject to civil and criminal penalties.
Specific Instructions Name If you are an individual, you must generally enter the name shown on your income tax return. However, if you have changed your last name, for instance, due to marriage without informing the Social Security Administration of the name change, enter your first name, the last name shown on your social security card, and your new last name. If the account is in joint names, list first, and then circle, the name of the person or entity whose number you entered in Part I of the form. Sole proprietor. Enter your individual name as shown on your income tax return on the “Name” line. You may enter your business, trade, or “doing business as (DBA)” name on the “Business name/disregarded entity name” line. Partnership, C Corporation, or S Corporation. Enter the entity's name on the “Name” line and any business, trade, or “doing business as (DBA) name” on the “Business name/disregarded entity name” line. Disregarded entity. Enter the owner's name on the “Name” line. The name of the entity entered on the “Name” line should never be a disregarded entity. The name on the “Name” line must be the name shown on the income tax return on which the income will be reported. For example, if a foreign LLC that is treated as a disregarded entity for U.S. federal tax purposes has a domestic owner, the domestic owner's name is required to be provided on the “Name” line. If the direct owner of the entity is also a disregarded entity, enter the first owner that is not disregarded for federal tax purposes. Enter the disregarded entity's name on the “Business name/disregarded entity name” line. If the owner of the disregarded entity is a foreign person, you must complete an appropriate Form W-8. Note. Check the appropriate box for the federal tax classification of the person whose name is entered on the “Name” line (Individual/sole proprietor, Partnership, C Corporation, S Corporation, Trust/estate). Limited Liability Company (LLC). If the person identified on the “Name” line is an LLC, check the “Limited liability company” box only and enter the appropriate code for the tax classification in the space provided. If you are an LLC that is treated as a partnership for federal tax purposes, enter “P” for partnership. If you are an LLC that has filed a Form 8832 or a Form 2553 to be taxed as a corporation, enter “C” for C corporation or “S” for S corporation. If you are an LLC that is disregarded as an entity separate from its owner under Regulation section 301.7701-3 (except for employment and excise tax), do not check the LLC box unless the owner of the LLC (required to be identified on the “Name” line) is another LLC that is not disregarded for federal tax purposes. If the LLC is disregarded as an entity separate from its owner, enter the appropriate tax classification of the owner identified on the “Name” line.
Page 3
Form W-9 (Rev. 1-2011)
Other entities. Enter your business name as shown on required federal tax documents on the “Name” line. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on the “Business name/ disregarded entity name” line.
Exempt Payee If you are exempt from backup withholding, enter your name as described above and check the appropriate box for your status, then check the “Exempt payee” box in the line following the “Business name/ disregarded entity name,” sign and date the form. Generally, individuals (including sole proprietors) are not exempt from backup withholding. Corporations are exempt from backup withholding for certain payments, such as interest and dividends. Note. If you are exempt from backup withholding, you should still complete this form to avoid possible erroneous backup withholding. The following payees are exempt from backup withholding: 1. An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2), 2. The United States or any of its agencies or instrumentalities, 3. A state, the District of Columbia, a possession of the United States, or any of their political subdivisions or instrumentalities, 4. A foreign government or any of its political subdivisions, agencies, or instrumentalities, or 5. An international organization or any of its agencies or instrumentalities. Other payees that may be exempt from backup withholding include: 6. A corporation, 7. A foreign central bank of issue, 8. A dealer in securities or commodities required to register in the United States, the District of Columbia, or a possession of the United States, 9. A futures commission merchant registered with the Commodity Futures Trading Commission, 10. A real estate investment trust, 11. An entity registered at all times during the tax year under the Investment Company Act of 1940, 12. A common trust fund operated by a bank under section 584(a), 13. A financial institution, 14. A middleman known in the investment community as a nominee or custodian, or 15. A trust exempt from tax under section 664 or described in section 4947. The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, 1 through 15. IF the payment is for . . .
THEN the payment is exempt for . . .
Interest and dividend payments
All exempt payees except for 9
Broker transactions
Exempt payees 1 through 5 and 7 through 13. Also, C corporations.
Barter exchange transactions and patronage dividends
Exempt payees 1 through 5
Payments over $600 required to be Generally, exempt payees reported and direct sales over 1 through 7 2 1 $5,000 1 2
See Form 1099-MISC, Miscellaneous Income, and its instructions. However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys' fees, gross proceeds paid to an attorney, and payments for services paid by a federal executive agency.
Part I. Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN is your IRS individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter either your SSN or EIN. However, the IRS prefers that you use your SSN. If you are a single-member LLC that is disregarded as an entity separate from its owner (see Limited Liability Company (LLC) on page 2), enter the owner’s SSN (or EIN, if the owner has one). Do not enter the disregarded entity’s EIN. If the LLC is classified as a corporation or partnership, enter the entity’s EIN. Note. See the chart on page 4 for further clarification of name and TIN combinations. How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Form SS-5, Application for a Social Security Card, from your local Social Security Administration office or get this form online at www.ssa.gov. You may also get this form by calling 1-800-772-1213. Use Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN, or Form SS-4, Application for Employer Identification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at www.irs.gov/businesses and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS-4 from the IRS by visiting IRS.gov or by calling 1-800-TAX-FORM (1-800-829-3676). If you are asked to complete Form W-9 but do not have a TIN, write “Applied For” in the space for the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note. Entering “Applied For” means that you have already applied for a TIN or that you intend to apply for one soon. Caution: A disregarded domestic entity that has a foreign owner must use the appropriate Form W-8.
Part II. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even if item 1, below, and items 4 and 5 on page 4 indicate otherwise. For a joint account, only the person whose TIN is shown in Part I should sign (when required). In the case of a disregarded entity, the person identified on the “Name” line must sign. Exempt payees, see Exempt Payee on page 3. Signature requirements. Complete the certification as indicated in items 1 through 3, below, and items 4 and 5 on page 4. 1. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your correct TIN, but you do not have to sign the certification. 2. Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject to backup withholding and you are merely providing your correct TIN to the requester, you must cross out item 2 in the certification before signing the form. 3. Real estate transactions. You must sign the certification. You may cross out item 2 of the certification.
Page 4
Form W-9 (Rev. 1-2011)
4. Other payments. You must give your correct TIN, but you do not have to sign the certification unless you have been notified that you have previously given an incorrect TIN. “Other payments” include payments made in the course of the requester’s trade or business for rents, royalties, goods (other than bills for merchandise), medical and health care services (including payments to corporations), payments to a nonemployee for services, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (including payments to corporations). 5. Mortgage interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), IRA, Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correct TIN, but you do not have to sign the certification.
What Name and Number To Give the Requester For this type of account:
Give name and SSN of:
1. Individual 2. Two or more individuals (joint account)
The individual The actual owner of the account or, if combined funds, the first 1 individual on the account
3. Custodian account of a minor (Uniform Gift to Minors Act)
The minor
4. a. The usual revocable savings trust (grantor is also trustee) b. So-called trust account that is not a legal or valid trust under state law 5. Sole proprietorship or disregarded entity owned by an individual 6. Grantor trust filing under Optional Form 1099 Filing Method 1 (see Regulation section 1.671-4(b)(2)(i)(A)) For this type of account:
The grantor-trustee
7. Disregarded entity not owned by an individual 8. A valid trust, estate, or pension trust
The owner
2
The actual owner The owner
The grantor*
Give name and EIN of:
Legal entity
4
The corporation
13. Account with the Department of Agriculture in the name of a public entity (such as a state or local government, school district, or prison) that receives agricultural program payments 14. Grantor trust filing under the Form 1041 Filing Method or the Optional Form 1099 Filing Method 2 (see Regulation section 1.671-4(b)(2)(i)(B))
The public entity
2 3
1
3
9. Corporation or LLC electing corporate status on Form 8832 or Form 2553 10. Association, club, religious, charitable, educational, or other tax-exempt organization 11. Partnership or multi-member LLC 12. A broker or registered nominee
1
1
The organization
The partnership The broker or nominee
Note. If no name is circled when more than one name is listed, the number will be considered to be that of the first name listed.
Secure Your Tax Records from Identity Theft Identity theft occurs when someone uses your personal information such as your name, social security number (SSN), or other identifying information, without your permission, to commit fraud or other crimes. An identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: • Protect your SSN, • Ensure your employer is protecting your SSN, and • Be careful when choosing a tax preparer. If your tax records are affected by identity theft and you receive a notice from the IRS, respond right away to the name and phone number printed on the IRS notice or letter. If your tax records are not currently affected by identity theft but you think you are at risk due to a lost or stolen purse or wallet, questionable credit card activity or credit report, contact the IRS Identity Theft Hotline at 1-800-908-4490 or submit Form 14039. For more information, see Publication 4535, Identity Theft Prevention and Victim Assistance. Victims of identity theft who are experiencing economic harm or a system problem, or are seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayer Advocate Service (TAS) assistance. You can reach TAS by calling the TAS toll-free case intake line at 1-877-777-4778 or TTY/TDD 1-800-829-4059. Protect yourself from suspicious emails or phishing schemes. Phishing is the creation and use of email and websites designed to mimic legitimate business emails and websites. The most common act is sending an email to a user falsely claiming to be an established legitimate enterprise in an attempt to scam the user into surrendering private information that will be used for identity theft. The IRS does not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access information for their credit card, bank, or other financial accounts. If you receive an unsolicited email claiming to be from the IRS, forward this message to
[email protected]. You may also report misuse of the IRS name, logo, or other IRS property to the Treasury Inspector General for Tax Administration at 1-800-366-4484. You can forward suspicious emails to the Federal Trade Commission at:
[email protected] or contact them at www.ftc.gov/idtheft or 1-877-IDTHEFT (1-877-438-4338). Visit IRS.gov to learn more about identity theft and how to reduce your risk.
The trust
List first and circle the name of the person whose number you furnish. If only one person on a joint account has an SSN, that person’s number must be furnished. Circle the minor’s name and furnish the minor’s SSN. You must show your individual name and you may also enter your business or “DBA” name on the “Business name/disregarded entity” name line. You may use either your SSN or EIN (if you have one), but the IRS encourages you to use your SSN.
4
List first and circle the name of the trust, estate, or pension trust. (Do not furnish the TIN of the personal representative or trustee unless the legal entity itself is not designated in the account title.) Also see Special rules for partnerships on page 1. *Note. Grantor also must provide a Form W-9 to trustee of trust.
Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons (including federal agencies) who are required to file information returns with the IRS to report interest, dividends, or certain other income paid to you; mortgage interest you paid; the acquisition or abandonment of secured property; the cancellation of debt; or contributions you made to an IRA, Archer MSA, or HSA. The person collecting this form uses the information on the form to file information returns with the IRS, reporting the above information. Routine uses of this information include giving it to the Department of Justice for civil and criminal litigation and to cities, states, the District of Columbia, and U.S. possessions for use in administering their laws. The information also may be disclosed to other countries under a treaty, to federal and state agencies to enforce civil and criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Under section 3406, payers must generally withhold a percentage of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent information.
APPENDIX R MAWSS Drug Policy
Mobile, Alabama
Substance Abuse and Alcohol Policy And Program
HANDBOOK
NOTES
BOARD OF WATER AND SEWER COMMISSIONERS OF THE CITY OF MOBILE, ALABAMA SUBSTANCE ABUSE AND ALCOHOL POLICY AND PROGRAM I. PURPOSE; SCOPE; APPLICATION The Board of Water and Sewer Commissioners of the City of Mobile (the “Board”) is concerned about the effects of the abuse of controlled substances and alcohol upon the health and safety of its employees. The Board recognizes that substance abuse and alcohol use on or off duty could lead to increased accidents, injuries, illnesses and medical claims and can lead to the deterioration of employees’ health and adversely affect their family lives. Employees who abuse controlled substances or alcohol are not only a danger to themselves, but to their fellow employees and the public as well. Medical costs incurred by employees with substance abuse and alcohol problems place an unacceptable financial burden on health and benefit programs to the detriment of the public and other employees. Decreased productivity, employee morale, increased absenteeism and turnover can adversely affect the Board’s ability to serve the public. In light of these concerns, the Board’s goal is to maintain a safe, healthy and productive workplace and workforce free of substance and alcohol abuse. Board policy is to identify substance and alcohol abusers as early as possible, help such employees with their problems associated with substance abuse and alcohol use and encourage their rehabilitation and return to work. To implement this policy, we have established this comprehensive program of voluntary and supervisory referral for counseling and rehabilitation, alcohol and controlled substance testing, education and training and appropriate discipline for violations. However, no part of this Policy and Program, nor any of the procedures hereunder, is intended to affect the Board’s right to manage the workplace or to discipline employees. Nor is this Policy and Program a contract or guarantee of employment, continued employment or of any terms or conditions of employment. The Board reserves the right to interpret, change, modify, amend or rescind this Policy and Program, in whole or in part at any time, with or without notice. Appropriate notice will be given when practicable, in advance, when possible. Exceptions to this Policy or Program may be granted in unusual or extenuating circumstances, but only with the concurrence of the Board. This Policy and Program covers all Board employees, including salaried, exempt, non-exempt, hourly, regular, part-time and seasonal, casual or temporary employees on the Board’s payroll. 1
II. DEFINITIONS A. ALCOHOL “Alcohol” is 1. beer and other malt beverages, 2. wine, and 3. distilled spirits. B. CONTROLLED SUBSTANCES “Controlled substances” include, but are not limited to, 1. marijuana, cocaine, heroin, hallucinogens, methaqualone, benzodiazepines, opiates, amphetamines, methamphetamines, barbiturates, phencyclidine (PCP), any other substance, and all derivatives thereof, whose manufacture, sale, distribution, dispensation, possession or use is prohibited or controlled by state or federal law in this country. 2. any prescription substance, 3. any so called “designer drug,” “look alike,” synthetic drug and similar substance, even if not specifically prohibited by state or federal law, 4. any other substance which may be abused, whether available legally over-the-counter (such as cough syrup) or naturally occurring (such as hallucinogenic mushrooms) or which was never intended for human consumption (such as glue), and 5. a metabolite of any substance described in paragraphs 1 through 4. C. MEDICAL REVIEW OFFICER The “medical review officer” (MRO) is a Board-designated licensed physician with knowledge of substance abuse disorders and appropriate medical training to interpret and evaluate positive results of alcohol and controlled substance tests in light of an applicant’s or employee’s medical history and relevant biomedical information. D. TESTING LABORATORY The “testing laboratory” is a Board-designated facility certified by the National Institution For Drug Abuse and licensed or certified, when required, by appropriate local and state authorities, to test applicants and employees for the use of alcohol and controlled substances. E. SCREENING TEST A “screening test is an immunoassay screen for alcohol or controlled substances to eliminate negative samples from further consideration.
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AMENDMENTS TO SUBSTANCE ABUSE AND ALCOHOL POLICY AND PROGRAM 1. Unskilled Laborers employed by the Board of Water and Sewer Commissioners of the City of Mobile who test positive for substance or alcohol abuse shall be terminated from employment immediately upon receipt of the confirmatory results from the Medical Review Officer. ADOPTED: 11-04-91 2. Any employee of the Board of Water and Sewer Commissioners of the City of Mobile who tests positive for substance or alcohol abuse shall not be considered for promotions, merit raises or bonus incentives until one year from the date of the negative test which is required upon completion of the counseling or rehabilitation program. Questions concerning this policy are to be addressed directly to the Board. ADOPTED: 11-04-91 3. With the establishment of the Employee Assistance Program to provide expanded benefits to our employees, any employee requiring counseling or rehabilitation services must use the Board Approved agency. Failure to follow the proper procedure for assistance may result in denial of benefit claims. ADOPTED: 3-09-92 4. MAWSS employees whose job duties require the possession of a commercial driver’s license (CDL) are subject to random, post accident and reasonable suspicion alcohol drug testing pursuant to 49 CFR (Code of Federal Regulations) beginning January 1, 1996. All policies and procedures outlined in the Substance Abuse and Alcohol Policy and Program Handbook established and approved by the Board of Water and Sewer Commissioners on January 23, 1991, will apply to employees whose jobs require a CDL to perform them. Federal regulations require random alcohol testing of 25% of our CDL workforce each year and random drug testing of 50% of the same group. E ffective January 1, 1996, the Human Resources Officer will conduct random drug and alcohol testing of CDL personnel to ensure the Board’s compliance with Federal law.
F. CONFIRMATORY TEST A “confirmatory test” is a second analytical procedure to confirm the use of alcohol or a controlled substance by gas chromatography/mass spectrometry (GC/MS). G. COLLECTION SITE The “collection site” is a Board-designated physician, office, hospital, clinic or other facility to collect samples for testing by the testing laboratory. H. CHAIN OF CUSTODY “Chain of custody” is the procedure established by the testing laboratory and followed by the Board, the sample collector, and the courier to account for identification and integrity of samples from point of collection to final disposition. I.
SAMPLE COLLECTOR A “sample collector” is a Board-designated physician, agency or person authorized by the Board to collect samples. III. APPLICANTS A. POLICY 1. Each applicant for a position requiring driving, mechanical equipment operator, or sensitive position shall undergo a screening test as part of the application process. Any offer of employment is contingent upon such applicant testing negative. No such applicant shall be permitted to begin work until the test results have been obtained. 2. The Board shall not employ an applicant for a position requiring driving, mechanical equipment operator, or sensitive position who refuses to undergo a test or who tests positive for alcohol or a controlled substance unless currently prescribed for a valid medical reason by a licensed doctor of medicine (including a psychiatrist), osteopathy or dental surgeon familiar with the applicant’s medical history and contemplated duties. B. PROCEDURE 1. Release—Prior to the screening test, the applicant shall sign a RELEASE OF LIABILITY (APPENDIX A, if a physical examination is given, or APPENDIX B, if a physical examination is not given). Failure to sign the release or cooperate in test procedures shall be deemed a withdrawal of the application for employment.
ADOPTED: 8-21-95
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2. Sample Collection—Tests shall be conducted on samples collected in accordance with procedures established by the testing laboratory. One sample shall be collected to test for marijuana, cocaine, opiates, amphetamines and phencyclidine (PCP); additional separate samples may be collected to test for all other controlled substances and alcohol. IV. EMPLOYEES A. VOLUNTARY REFERRAL FOR COUNSELING OR REHABILITATION 1. Policy—IT IS RECOGNIZED THAT EARLY TREATMENT IS THE KEY TO REHABILITATION FOR SUBSTANCE ABUSERS. EMPLOYEES ARE ENCOURAGED TO VOLUNTARILY REQUEST HELP. NO EMPLOYEE WILL HAVE JOB SECURITY JEOPARDIZED BY A GOOD FAITH REQUEST. 2. Posting—The Board shall cause the names and telephone numbers of the Board’s human resources officer (HRO) and/or safety manager, the Board’s Employee Assistance Program (EAP) and available counseling or rehabilitation programs and other community resources approved by federal, state or local health or law enforcement agencies to be posted at locations where they may be seen by all employees. 3. Procedure for Volunteering For Assistance—An employee may volunteer for assistance either by requesting help from the Board’s human resources officer and/or safety manager, a supervisor or by contacting the Board’s Employee Assistance Program or one of the available counseling or rehabilitation programs or other approved community resources. If an employee contacts a supervisor or the Board’s human resources officer and/or safety manager concerning a substance abuse problem, the supervisor, or the human resources officer and/or safety manager shall assist the employee in setting up an appointment with the Board’s Employee Assistance Program, but shall not attempt to diagnose the problem or counsel the employee. B. POLICY 1. Except as provided in paragraph 2 below, the possession, use, distribution, dispensation, manufacture or sale of alcohol or any controlled substance on Board property or on Board time and/or reporting for duty or working while affected by alcohol or with any controlled substance or a metabolite thereof present in the body unless the employee has a current legal prescription and a valid medical reason for using any such controlled substance are specifically prohibited, unless authorized by the Board.
(a) That the employee submitted to a drug and alcohol screening test (b) The date of such test (c) The location of such test (d) The name of the laboratory performing the test (e) Whether the test was positive, negative, adulterated, unreadable, or not authentic. Such information shall be accessible only to the Board’s Chairman, human resources officer and/or safety manager, authorized testing laboratory personnel, the MRO and other persons as have been approved by the Board on a valid need to know basis. No such information shall be provided to any other party, including members of management, fellow employees, family and friends, without the specific written consent of the employee authorizing release to an identified person, except pursuant to judicial or quasi-judicial process. Any employee who willfully discloses such information in violation of Board policy will be subject to discipline, up to and including discharge. In response to inquiries regarding an employee discharged for any violation of this Policy and Program, the Personnel Department shall state only that the employee was terminated and the dates of employment. VI. NOTIFICATION TO EMPLOYEES The Board shall provide 60 days prior notice of initiation of the testing requirements of this Policy and Program (APPENDIX E). This Policy and Program shall be distributed to all employees and shall be available in the HRO Office and Personnel Department to all employees for inspection and copying during regular business hours.
Approved on January 23, 1991 Board of Water and Sewer Commissioners of Mobile Revised March 29, 2006
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drug use or which, based on laboratory inspection reports, quality assurance control data and other test results, the MRO concludes is scientifically insufficient for further action. (d) If the MRO verifies that the positive result is correct, the MRO shall inform the applicant or employee of the result and of the controlled substance or substances discovered by the test. The applicant or employee shall be asked to provide an explanation and whether a second confirmatory test is desired. (e) If the applicant or employee desires a second confirmatory test, the employee shall submit a written request to the MRO for such retest no later than 60 days after being informed of the initial positive result; the MRO shall notify the Board; and the second test shall be done on the original sample using GC/MS or equivalent at the applicant’s or employee’s expense. At the applicant’s or employee’s option, the test shall be done at either the Board’s designated testing laboratory or at another laboratory certified by the NIDA. The cost of the test shall be paid before retesting is done. Untimely requests for retesting shall be denied. (f) If the results of the additional confirmatory test are negative, the MRO shall notify the Board and the results of the initial positive test will not be used to deny employment or impose discipline. (g) If no additional confirmatory test is timely requested or if the additional confirmatory test is positive and a satisfactory explanation is still not provided, the Board’s human resources officer and/or safety manager shall inform the applicant or employee. The applicant shall be denied employment. The employee shall be disciplined, up to and including discharge, and may be referred for appropriate counseling and rehabilitation in accordance with Article IV, Section E, as the Board determines. (h) A confidential written memorandum of any discussion with the applicant or employee shall be prepared and signed by all management representatives present. 4. Access to Test Records—Upon written request, an employee shall have access during regular business hours to any records relating to the employee’s screening tests conducted pursuant to this Policy and Program. The employee is entitled to one copy of the results, if requested in writing. The employee shall give the Board a receipt for such copy. 5. Confidentiality—All information involving medical examinations, testing, counseling, rehabilitation, treatment or discipline of an individual employee or applicant shall be treated as confidential medical information. The MRO shall be sole custodian of all test results. The Board shall retain only the following information in an employee’s drug and alcohol testing file: 12
2. In order to assure that employees can perform their jobs safely, employees using controlled substances currently prescribed for a valid medical reason by a licensed doctor of medicine (including a psychiatrist), osteopathy or dental surgeon familiar with the employee’s medical history and job duties or using over-the-counter substances for medicinal purposes shall notify their supervisors immediately upon reporting to work. Such information shall be kept strictly confidential. C. SEARCHES 1. General—Normal search practices which are part of the Board’s general security program are not affected by this Policy and Program and may be continued or implemented as provided by such program. 2. Special searches—When there is reason to believe that any employee may be in possession of a substance prohibited by this Policy and Program, the employee may be required, as a condition of employment, to submit to a reasonable search of clothing, personal locker, purse, lunch box or other container, desk or personal vehicle. Searches shall be approved by the Board’s human resources officer and/or safety manager. 3. Procedure (a) Searches shall be directly supervised by a Board authorized member of management with a second Board authorized member of management present as a witness. (b) Whenever practical, searches of personal effects, lockers and clothing shall be conducted and witnessed by persons of the same gender as the person being searched. (c) The employee shall be asked to consent to any search, asked to cooperate and informed that submission to the search is a condition of employment. Failure to consent or cooperate may result in a suspension without pay and is grounds for termination of employment. (d) The search shall not involve the “touching” of any employee in any way. (e) Suspected contraband shall be sealed in a container with the employee’s name, date and general physical description thereof and shall be locked in a cabinet under the exclusive control of a designated member of management. A receipt shall be given for any property seized. A proper chain of custody shall be maintained. (f) Management shall not make any determination or statement that the seized property is a controlled substance or alcohol. Appropriate agencies may be notified for purposes of identification and analysis of any seized property and for further investigation.
(g) If the seized property is found not to violate the Board’s policy, it shall be returned to the employee. D. TESTING 1. General—The Board may instruct an employee to undergo a test under the following circumstances: (a) Accident or Incident—The Board may test an employee involved in an accident or incident which caused or could have caused personal injury, including illness or death, or property damage, if the action or inaction of the employee contributed to, or cannot be ruled out as a factor leading to, the incident or accident. The Board’s human resources officer and/or safety manager shall make the decision to test or not. In addition, the factors which would be grounds for testing for evidence of substance or alcohol abuse under subparagraph (b) may be considered. (b) Reasonable Suspicion of Substance Abuse—The Board may test an employee upon reasonable suspicion that the employee may be an alcohol or substance abuser or in violation of this Policy and Program. While it is not possible to list every factor that might lead to a decision to test, those listed below are representative: (i) excessive absenteeism or tardiness; (ii) significant deterioration in job performance; (iii) significant change in personality (such as depression, mood swings, euphoria, secretiveness, abusive behavior, insolence, violence, insubordination); (iv) reliable reports from other persons; (v) unexplained absences from normal work sites; (vi) unusual or erratic behavior which cannot be readily explained; (viii) cravings for water or sweets; (ix) reddened eyes or dilated pupils; (x) odor of alcohol or a controlled substance; (xi) unexplained weight loss or gain; (xii) slurred or incoherent speech; (xiii) difficulty in motor coordination At least one supervisor and, if at all possible, two supervisors, who have received training in the detection of probable alcohol or substance abuse by observation of behavior, must witness the employee’s behavior giving reasonable cause. The witness or witnesses shall prepare and sign an incident report (APPENDIX C) detailing the employee’s reasonable cause conduct within 24 hours of observation and before the test results are released.
Which may include regular attendance at Alcoholics or Narcotics Anonymous or similar therapy sessions and participation in after-care, follow up and similar monitoring programs. H. CRIMINAL CONVICTIONS As a condition of employment, each employee who is convicted of any violation occurring in the workplace of any criminal drug statute shall notify the Board no later than 5 days after such conviction. A conviction includes a guilty plea or a plea of nolo contendere. Any employee so convicted shall be disciplined up to and including discharge. V. COMMUNICATION OF TEST RESULTS 1. Negative Test Result—The testing laboratory shall report negative results to the Board’s human resources officer and/or safety manager who shall communicate the results confidentially in person to the applicant or employee. If an employee has been suspended pending the results of the examination, the employee may, in the Board’s sole discretion, be reinstated with back pay. 2. Unreadable Sample—The testing laboratory shall report any sample which is adulterated, contaminated, unreadable, not authentic or otherwise impossible to analyze properly to the Board’s human resources officer and/or safety manager, who shall meet with the applicant or employee in private and ask for an explanation. If a satisfactory explanation is provided, a new test may be performed at the Board’s discretion. If a satisfactory explanation is not provided, the Board will no longer consider the applicant for employment, and the employee is subject to discipline, up to and including discharge. The Board shall determine the adequacy of any explanation. 3. Positive Test Result—The testing laboratory shall confirm all positive test results using GC/MS. If the confirmatory test is positive, the following procedures shall be followed: (a) The testing laboratory shall report positive test results only to the MRO for verification. (b) Prior to finally verifying a positive test result, the MRO shall give the applicant or employee an opportunity to discuss the result in person, and shall review the applicant’s or employee’s medical history, relevant biomedical factors and all medical records made available by the applicant or employee to determine if a confirmed positive result might be due to an alternative medical explanation. The MRO may request a reanalysis of the sample to determine the accuracy of the reported result. (c) The MRO shall report as negative any initial positive result for which there is a legitimate medical explanation consistent with legal 11
The Board has established an Employee Assistance Program (EAP). A written statement outlining the EAP is on file and available for inspection at the human resources officer office. The EAP provides professional counseling to employees for a wide variety of job performance and personal difficulties, including alcohol and substance abuse problems. If appropriate, the EAP will refer an employee to appropriate community resources for counseling or rehabilitation assistance. A significant part of the EAP is the Drug-Free Awareness Program (DFAP) which includes educational training programs for employees, supervisors and management officials which cover the effects, consequences and dangers of alcohol and controlled substance use and abuse in the workplace on health, safety and the work environment, and the manifestations and behavioral causes that may indicate alcohol or controlled substance use or abuse. Such programs are at least 60 minutes in length and shall be given annually to all personnel. Attendance is mandatory and is part of an employee’s job performance. Such education and training shall be documented and maintained as part of each employee’s personnel or qualification file. The EAP and DFAP will also display substance abuse informational materials and community service “hot-line” telephone numbers for employee assistance on all bulletin boards. Informational materials shall be distributed to employees from time to time. In addition, supervisors and management officials shall receive annually at least 60 minutes of training on the specific, contemporaneous physical, behavioral and performance indicators of probable alcohol or controlled substance use or abuse. G. DISCIPLINE Employee compliance with and cooperation in this Policy and Program is a condition of employment. Violation of, or failure or refusal by any employee to cooperate and participate fully in this Policy and Program, sign any required document, submit to a test or search or agree to referral for counseling or rehabilitation shall be grounds for discipline, up to and including discharge, unless a compelling, satisfactory reason is provided. Any employee who has a subsequent positive test after referral to counseling or rehabilitation shall be discharged. Employees who return to employment after referral to counseling or rehabilitation shall meet all standards of conduct and job performance. Employees who have been referred for counseling or rehabilitation under this Policy and Program shall cooperate and participate fully in their rehabilitation and the recommendations of the program administrators, 10
(c) Testing After Referral For Assistance—The Board shall test an employee who has had a positive test and who has been referred by the Board for counseling or rehabilitation under this Policy and Program before the employee returns to work or on completion of the counseling or rehabilitation program, whichever is earlier. Testing shall be required and may occur at any time during the counseling or rehabilitation program and for a period of two years after return to work or after completion of the counseling or rehabilitation program, whichever is later. (d) Employee Requests—The Board may test an employee who specifically requests to take a test. The Board shall consider the employee’s motivation for requesting a test, as well as the impact that the testing may have on the other employees before approving the test. 2. Employees who are Drivers, Mechanical Equipment Operators and are in Sensitive Positions—In addition to testing performed pursuant to paragraph 1 of this Section D, the Board shall test employees who are drivers, mechanical equipment operators and are in sensitive positions on a random basis, using a random number table or a computer based random number generator matched to such employees’ social security numbers. (a) “Sensitive positions” involve (i) risk of damage to personal or public health or safety or property; or (ii) a high degree of trust or confidence (b) The Board shall determine which jobs, if any, shall be classified as sensitive. (c) After approval by the Board, the Board’s human resources officer and/or safety manager shall give written notice to each employee currently holding a sensitive position. The same shall be given to new employees in sensitive positions at the time of hire. The notice shall specify that such job is sensitive and that continued employment in such position is contingent upon agreement to permit unscheduled tests when requested to do so. An employee will not be required to sign a release until a request to take a test is made. 3. Board’s Concurrence—Before employees are requested to submit to a test, the concurrence of the Board or, in the Board’s absence, the Board’s human resources officer and/or safety manager shall be obtained. 4. Release—The employee shall sign the RELEASE OF LIABILITY (APPENDIX A or B, depending upon whether a medical examination is to be performed also).
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5. Continuation of Work—An employee may be permitted to continue work pending the results of the test, if, in the Board’s sole discretion, the employee’s continuation of work will not risk security or the health, safety or property of any person, including the employee, fellow employees, the Board or members of the public; or cause any other problem relating to the Board’s ability to serve its customers and manage its workplace. If an employee cannot or should not be permitted to continue to work pending the results of the test, the employee may be suspended with or without pay until the results have been obtained. 6. Sample Collection Procedure—Tests shall be conducted on samples collected in accordance with procedures established by the testing laboratory. One sample shall be collected for marijuana, cocaine, opiates, amphetamines and phencyclidine (PCP); additional separate samples may be collected to test for all other controlled substances and alcohol. If an employee is seriously injured, unconscious or otherwise unable to sign a release or provide a sample, the employer shall provide all necessary authorizations for obtaining hospital or medical records and other documents that would indicate whether there was alcohol or any controlled substance in the employee’s body. 7. Transportation To Collection Site—The Board shall arrange transportation of employees to be tested to the collection site. If an employee refuses to accept transportation arranged by the Board, the employee shall be warned that the Board may take disciplinary action, up to and including discharge, if the employee refuses Board-provided transportation. If supervisory or management personnel believe that the employee is impaired by alcohol or a controlled substance, the employee shall be advised that the Board will notify local law enforcement authorities if the employee attempts to drive. If the employee attempts to drive, the police shall be notified immediately and all actions taken to persuade the employee not to drive shall be documented. E. REFERRAL FOR COUNSELING OR REHABILITATION 1. Procedure—The Board may offer to refer an employee who tests positive for counseling or rehabilitation in addition to (but not in lieu of) discipline. If the employee agrees to referral for counseling or rehabilitation, the employee shall sign a LAST CHANCE, ASSISTANCE AGREEMENT (APPENDIX D), and the Board’s human resources officer and/or safety manager shall set up an appointment for the employee with the Board’s Employee Assistance Program (EAP).
2. EAP Duties—The EAP shall evaluate the employee and design a program of counseling or rehabilitation, or both, for the employee, which may include, when appropriate, further referral to appropriate community resources for counseling or rehabilitation assistance. The EAP shall monitor and provide periodic reports (no less frequently than monthly) to the Board’s human resources officer and/or safety manager and the MRO on the employee’s compliance, cooperation and progress and shall certify the employee’s completion of the program. 3. MRO Duties—The MRO shall recommend whether and when an employee may return to work after a positive test result. In making such recommendation, the MRO shall (a) review the counseling or rehabilitation program designed for the employee; (b) ensure the employee tests negative prior to return to work; (c) ensure the employee is complying, cooperating and progressing through the counseling or rehabilitation program; (d) determine that the risk of subsequent prohibited use of alcohol or a controlled substance by the employee is low enough to justify return to work; and (e) in consultation with the Board’s HR officer and/or safety manager, determine a schedule of unannounced testing for all employees who return to work after referral for counseling or rehabilitation. 4. Leave of Absence and Return to Work—The Board shall grant the employee a leave of absence for counseling or rehabilitation. The leave of absence does not guarantee a return to work. The employee may not apply to return to work until the MRO and the counseling or rehabilitation program director recommend such return. If the MRO and the counseling and rehabilitation program director recommend and the employee applies to return within 45 days of referral, the employee shall be returned to the same or a substantially similar position. 5. Pay and Benefits—A leave of absence for counseling or rehabilitation is without pay. The employee may use applicable compensatory time, accumulated sick days and vacation if any. Medical benefits, if any, are available as provided in the Board’s health plans. F. EMPLOYEE ASSISTANCE PROGRAM AND DRUG-FREE AWARENESS PROGRAM
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