CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM

Transcription

1 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM Submission of Written Questions Deadline: June 15, 2012 at 10:00 a.m., Pacific Time (PT) Final File Date: July 9, 2012, 10:00 a.m., PT Public Bid Opening: July 9, 2012 at 10:30 a.m., PT CalSTRS Procurement Jennifer Balluch, Central Procurement Analyst 100 Waterfront Place, MS-30 West Sacramento, CA Phone: (916) Fax: (916) address: June 8, 2012

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3 Page 2 of 32 Section: TABLE OF CONTENTS A. INTRODUCTION B. BACKGROUND C. BID REQUIREMENTS AND INFORMATION 1. Time Schedule 2. Submission of Written Questions 3. Minimum Qualifications 4. Bid Sheet 5. Bid Requirements 6. Submission of Bid 7. Evaluation Process 8. Award and Protest 9. Standard Conditions of Service 10. Darfur Contracting Act 11. Disabled Veteran Business Enterprise (DVBE) Program Requirements 12. Bidder s Authorized/Key Personnel 13. Disclosure of Campaign Contributions, Disclosure and Limits on Charitable Contributions, and Gifts 14. Addenda: Errors and Omissions 15. Background Investigation 16. Bidder Client References D. PREFERENCE PROGRAMS 1. Small Business (SB) Preference 2. Disabled Veterans Business Enterprise (DVBE) Incentive 3. Target Area Contract Preference Act (TACPA) 4. Enterprise Zone Act (EZA) 5. Local Agency Military Base Recovery Area (LAMBRA) Act E. ATTACHMENTS 1. Required Attachments/Exhibits Checklist & Certifications 2. Minimum Qualifications 3. Darfur Contracting Act Certification 4. Statement of Commitment to Meet Disabled Veteran Business Enterprise Contract Participation Goal 5. Bidder s Authorized/Key Personnel 6. Bidder Client References 7. Disabled Veteran Business Enterprise (DVBE) Incentive Information and Declaration Form 8. California State Teachers Retirement System DVBE Program Requirements 9. Form 600-H Disclosure of Contributions and Gifts

4 Page 3 of 32 Section: TABLE OF CONTENTS-CONTINUED F. EXHIBITS 1. Exhibit A Scope of Work 2. Exhibit B Operations and Maintenance Manual 3. Exhibit C Bid Sheet 4. Exhibit D Sample Agreement/General Terms and Conditions 5. Exhibit E CalSTRS Confidentiality, Non-Disclosure and Acceptable Use Agreement 6. Exhibit F Teachers Retirement Board Policy Manual Section 600H 7. Exhibit G CalSTRS Contractor Background Investigation Policy 8. Exhibit H Certification of Contractor s Employee Background Investigation Form 9. Exhibit I Personal History Statement 10. Exhibit J Insurance Requirements 11. Exhibit K Proposed Personnel Summary and Reference Sheet

5 Page 4 of 32 A. INTRODUCTION The California State Teachers Retirement System (CalSTRS), with a portfolio valued at $152.9 billion, as of March 31, 2012, is the largest teacher pension fund in the United States. CalSTRS administers a hybrid retirement system, consisting of a traditional defined benefit, cash balance and defined contribution plan, including disability and survivor benefits. CalSTRS serves California s 852,000 public school educators and their families from the state s 1,600 school districts, county offices of education and community college districts. For more information about CalSTRS, please refer to the Internet Web site address at www@calstrs.ca.gov. B. BACKGROUND CalSTRS recently opened a CalSTRS-operated Member Service Center in Glendale, CA at 505 North Brand Avenue, Suite 200, to provide benefits counseling to the members located in the Southern California region. The space encompasses 7900 square feet with an Intermediate Data Facility (IDF) closet that operates independently of the building HVAC system. CalSTRS intends to award an agreement to a qualified firm to provide specified maintenance as fully described in Exhibit A, Scope of Work, and Exhibit B, Operations and Maintenance Manual for the two (2) 2.5 ton Climate Master Heat Pump Tranquility 20 units that cool the server room at this location. CalSTRS intends to award an agreement for up to five (5) years with one (1) five-year option to extend at CalSTRS discretion. C. BID REQUIREMENTS AND INFORMATION 1. Time Schedule: CalSTRS will use its best efforts to adhere to the time schedule. However, CalSTRS reserves the right to amend the time schedule, as it deems necessary. Event Date Time IFB Available to Prospective Bidders June 8, 2012 Written Question Submittal Deadline June 15, :00 a.m. PT Final Date for Bid Submission July 9, :00 a.m. PT Public Bid Opening July 9, :30 a.m. PT Agreement Award Date TBD 2. Submission of Written Questions Should Bidders have questions regarding the information presented in this solicitation, Bidders must submit questions in writing to CalSTRS Procurement via at contractservices@calstrs.com no later than June 15, 2012, 10:00 a.m. PT. CalSTRS will answer all questions received by this date in writing without divulging the source of the

6 Page 5 of 32 query. Copies of all questions and CalSTRS responses will be available at 3. Minimum Qualifications The Bidder must complete Attachment 2, Minimum Qualifications, certifying that the Bidder satisfies all minimum qualifications and requirements. Failure to certify satisfactorily may result in the immediate rejection of the bid. 4. Bid Sheet Bidders must submit their costs in the format prescribed in Exhibit C, Bid Sheet. Any deviation from the prescribed format, which in the opinion of CalSTRS is material, may result in the rejection of the bid. The bid shall include all expenses required to provide the services as described in this IFB, Scope of Work, Exhibit A, and shall be guaranteed for the term of the resulting Agreement. The responsive responsible bidder with the lowest total bid will be considered the lowest, responsive, responsible Bidder. 5. Bid Requirements To be eligible for evaluation, a bid must adhere strictly to the format set forth below; failure to do so may result in disqualification. Bidders must address each of the required sections indicated below. Please label and separate each section and number all pages to allow for ease of review by the evaluation team. The content and sequence of the bid will be as follows: Section a b c Title Required Attachments/Exhibits Checklist & Certifications Table of Contents Exhibit C, Bid Sheet a. Required Attachments/Exhibits Checklist & Certifications Attachment 1, Required Attachments/Exhibits Checklist & Certifications, which shall be a part of the bid package, must be signed by an individual(s) who is authorized to bind the Bidder contractually. An unsigned or incomplete Attachment 1 may cause the bid to be rejected. For your bid to be responsive, all required attachments/exhibits must be returned with the bid; bids submitted that do not include the proper required attachments may be immediately rejected. b. Table of Contents Immediately following Attachment 1, Required Attachments/Exhibits Checklist & Certifications, there must be a comprehensive Table of Contents of the material included in the bid. The Table of Contents must clearly identify the bid section/subsection and the applicable page numbers.

7 Page 6 of 32 c. Exhibit C, Bid Sheet 6. Submission of Bid Place the Bid Sheet behind a separate tab, clearly identifying it as Exhibit C, Bid Sheet. This will help expedite the public bid opening process. a. Submit one (1) paper copy and one (1) copy in digital (PDF file) format (e.g., CD/DVD, flash drive, etc.). 1) The paper copy must contain the original signature of the individual(s) who is authorized to bind the Bidder contractually, be labeled Master Copy, and placed in a loose-leaf, three-ringed binder, which displays the Bidder s name on the outside front cover and the spine. (Do not submit the Master Copy with spiral binding.) 2) It is the Bidder s responsibility to ensure the digital copy is complete and includes all material contained in the paper copy. The information contained in the digital copy is reviewed by the evaluation team for purposes of scoring the bids. If there is an inconsistency between the paper and digital copies, the paper copy will take precedence. b. All bids must be delivered to CalSTRS by July 9, 2012, 10:00 a.m., PT. Bids received after this date and time may not be considered. Bids must be delivered to the following address: California State Teachers Retirement System ATTN: Jennifer Balluch, Procurement 100 Waterfront Place, MS 30 West Sacramento, CA Go to the link below for exact driving directions. spx c. The sealed bid envelopes must include your firm name and be plainly marked with the IFB number and title, and address, as shown in the following example: IFB NUMBER B CLIMATE MASTER HEAT PUMP PREVENTIVE MAINTENANCE - GLENDALE California State Teachers' Retirement System Jennifer Balluch, Central Procurement Analyst 100 Waterfront Place, MS 30 West Sacramento, CA MAIL ROOM DO NOT OPEN PUBLIC BID OPENING

8 Page 7 of 32 d. Bids must be submitted for the performance of all the services described herein. Any deviation from the work specifications will not be considered and will cause a bid to be rejected. e. A bid may be rejected if it is conditional or incomplete, deemed non-responsive, or if it contains any alterations of form or other irregularities of any kind. CalSTRS may reject any or all bids and may waive any immaterial deviation in a bid. CalSTRS waiver of immaterial defect shall in no way modify the IFB document or excuse the Bidder from full compliance with all requirements if awarded the agreement. f. Costs for developing bids and in anticipation of award of the Agreement, are entirely the responsibilities of the Bidder and shall not be charged to CalSTRS. g. A Bidder may modify a bid, after its submission, by withdrawing its original bid and resubmitting a new bid prior to the bid submission deadline date. Bid modifications offered in any other manner, oral or written, will not be considered. h. A Bidder may withdraw its bid by submitting a written withdrawal request to CalSTRS, signed by the Bidder or an agent authorized, through the contact person named in Section b. above. A Bidder may thereafter submit a new bid prior to the bid submission deadline. Bids may not be withdrawn without cause subsequent to bid submission deadline. i. CalSTRS may modify the IFB prior to the date fixed for submission of bids by issuing an addendum that will be posted on j. CalSTRS reserves the right to reject all bids for reasonable cause. If the costs of all bids are excessive, CalSTRS is not required to award an Agreement. k. Bidders are cautioned to not rely on CalSTRS during the evaluation to discover and report to the Bidder any defects and errors in the submitted documents. Bidders, before submitting their documents, should carefully proof them for errors and adherence to the IFB requirements. l. More than one (1) bid from an individual, firm, partnership, corporation or association under the same or different names will not be considered. Reasonable grounds for believing that any bidder has submitted more than one (1) bid for the work contemplated herein will cause the rejection of all bids submitted by that bidder. If there is reason for believing that collusion exists among the bidders none of the participants of such collusion will be considered in this or future procurements. m. A joint bid, where two (2) or more entities submit one (1) bid, will not be considered for this IFB.

9 Page 8 of Evaluation Process a. At the time of the public bid opening, costs will be recorded and an apparent low bidder will be named. After the bid opening process, the apparent low bid response will be checked for the presence or absence of required information in conformance with the submission requirements of this IFB. b. CalSTRS will put each bid through a process of evaluation to determine its responsiveness to CalSTRS needs. c. Bids that contain false or misleading statements, or which provide references which do not support an attribute or condition claimed by the bidder, may be rejected. If, in the opinion of CalSTRS, such information was intended to mislead CalSTRS in its evaluation of the bid, and the attribute, condition, or capability is a requirement of this IFB, it will be the basis for rejection of the bid. d. The responsive responsible bidder with the lowest total bid will be considered the lowest, responsive, responsible Bidder. The final selection will be made on the basis of the lowest total cost for the ten (10) years of maintenance and repair services. 8. Award and Protest a. If at any time during or at the conclusion of this IFB process CalSTRS determines that, in its opinion, the results of this process are unsatisfactory, CalSTRS reserves the right to discontinue this process and decline to award the Agreement. The award of the Agreement, if made, will be made to the lowest responsive, responsible bidder who has met all of the specified qualifications, requirements, and satisfied the Disabled Veteran Business Enterprise (DVBE) contract participation requirements for this IFB. b. All bidders will be notified of the outcome of the IFB process. Notice of the selected contractor will be posted on CalSTRS website at News releases pertaining to the award resulting from this IFB shall not be made without prior written approval by CalSTRS Chief Executive Officer or his designee. c. Any bidder may file a protest against the awarding of the Agreement. The protest must be filed during the five (5) business days that the Notice of Intent to Award is posted. Within five (5) calendar days after filing the protest, the protesting Bidder shall file with CalSTRS a full and complete written statement specifying the grounds for the protest. Protests are limited to the following grounds: 1) CalSTRS failed to substantially adhere to any specified procedures as set out in the IFB. 2) CalSTRS failed to apply correctly the standards for reviewing the format requirements or failed to evaluate the bids as specified in the IFB.

10 Page 9 of 32 3) CalSTRS failed to follow evaluation and rating methods as specified in the IFB. 4) CalSTRS proposes to award the Agreement to other than the lowest responsive, responsible bid satisfactorily meeting all requirements of the final Agreement negotiations. 5) CalSTRS used a method other than that set out in the IFB to determine the Agreement award. d. Protests shall be made in writing and delivered to: Procurement California State Teachers Retirement System 100 Waterfront Place, MS 30 West Sacramento, CA Once a protest has been filed, the Agreement may not be awarded until either the protest is withdrawn or CalSTRS has decided the matter. Following the receipt of a protest, CalSTRS Chief Executive Officer or his designee will either decide the matter or refer it to a committee appointed by the Teachers Retirement Board for resolution. The decision by the Chief Executive Officer or the committee shall be final. Notification of the decision will be sent to the protesting bidder within thirty (30) days after a decision has been reached. 9. Standard Conditions of Service a. All performance under the Agreement shall be completed on or before the termination date of the Agreement. b. CalSTRS does not accept alternate agreement language from a prospective contractor. A bid with alternate language will be considered a counter bid and may be rejected. The CalSTRS General Terms and Conditions are not negotiable. Please refer to Exhibit D, Sample Agreement/General Terms and Conditions for a sample of the agreement that may be awarded. c. No oral understanding or agreement shall be binding on either party. d. The Bidder, if awarded an agreement, must sign Exhibit E, CalSTRS Confidentiality, Non-Disclosure and Acceptable Use Agreement, prior to commencing work with CalSTRS. 10. Darfur Contracting Act Pursuant to the Darfur Contracting Act of 2008 (Act), scrutinized companies are ineligible to submit a bid for an Agreement with a state agency. As such, the Bidder must certify compliance with the Act by completing (a.) or (b.) as defined below:

11 Page 10 of 32 a. Completing Attachment 3, Darfur Contracting Act Certification, certifying that: 1) It is not a scrutinized company pursuant to Public Contract Code (PCC) Section 10476, or 2) It is a scrutinized company as defined by PCC Section but has received written permission from the Department of General Services to submit a bid or proposal pursuant to PCC Section 10477(b), OR b. Indicating on Attachment 1, Required Attachments/Exhibits Checklist & Certifications, that within the previous three (3) years it has not had any business activities or other operations outside of the United States. Bids submitted without a completed Attachment 3, Darfur Contracting Act Certification, may be deemed ineligible unless the Bidder has indicated on Attachment 1, Required Attachments/Exhibits Checklist & Certifications, that it has satisfied the requirements under this section. 11. Disabled Veteran Business Enterprise (DVBE) Program Requirements The California Public Contract Code (PCC) Section et seq. requires a participation goal of three percent (3%) DVBE for contracts awarded by CalSTRS. This goal applies to the total contract dollars expended by CalSTRS annually. It is the policy of the Teachers Retirement Board that all contracting activities are performed in accordance with all applicable state and federal laws. The Teachers Retirement Board has adopted a policy that directs staff to encourage, promote, and facilitate the fullest possible participation by DVBE s in contracts awarded by CalSTRS. All bidders must complete and return Attachment 4, Statement of Commitment to Meet Disabled Veteran Business Enterprise Contract Participation Goal or submit Attachment 7, Disabled Veteran Business Enterprise (DVBE) Incentive Information and Declaration Form, demonstrating the three percent (3%) or greater participation and Attachment 8, California State Teachers Retirement System DVBE Program Requirements. The DVBE incentive will be applied during the bid evaluation process and only to responsive / responsible bidders. For this award which is based on low price, the incentive will be applied by reducing the bid price by the amount of incentive as computed from the lowest responsive and responsible bid price.

12 Page 11 of 32 The chart below identifies the percentage(s) used to adjust the net bid price when calculating the DVBE incentive. Confirmed DVBE Participation of: 12. Bidder s Authorized/Key Personnel DVBE Incentive: 5% and Over 5% 4% % inclusive 4% 3% % inclusive 3% 2% 2.99% inclusive 2% 1% % inclusive 1% a. Attachment 5, Bidder s Authorized/Key Personnel, names certain members of the Bidder s staff who will exercise a significant role and perform services in compliance with Exhibit A, Scope of Work, under an agreement that may be awarded by CalSTRS. These personnel shall be hereafter referred to (both individually and collectively) as "Authorized/Key Personnel." This designation does not mean that the individuals have the authority to bind the firm contractually. b. Contractor shall not substitute, replace or reassign Authorized/Key Personnel without CalSTRS prior approval. However, with CalSTRS prior approval, the parties may agree in writing to a change in these Authorized/Key Personnel, which writing shall become a part of the agreement awarded by CalSTRS. c. An agreement awarded by CalSTRS may be terminated immediately, in CalSTRS sole discretion and upon written notice from CalSTRS to Contractor, because of any change in or departure of Contractor's Authorized/Key Personnel. 13. Disclosure of Campaign Contributions, Disclosure and Limits on Charitable Contributions, and Gifts a. Policy Section 600 H of the Teachers Retirement Board Policy Manual sets forth policies requiring entities engaging in business with CalSTRS to disclose campaign contributions in excess of $250, prohibits providing charitable contributions in excess of $250, and gifts in excess of $390, as well as requiring the periodic disclosure of campaign contributions, charitable contributions, and gifts. A copy of the current policy is attached as Exhibit F and the Bidder is required to comply with its provisions.

13 Page 12 of 32 b. Submission of Disclosures 1) Upon submission of a bid (or initial application) to do business with CalSTRS, Attachment 9, Form 600-H Disclosure of Contributions and Gifts, must be submitted on behalf of the: 1. Bidder (Entity) (signed by the individual who is authorized to bind the firm contractually) and 2. Each of its Authorized/Key Personnel (those who signed Attachment 5). No other version of this form will be accepted (e.g., annual submittal or generic form downloaded from CalSTRS.com). 2) Upon execution of an agreement, the successful Contractor must submit another Form 600-H on behalf of the Entity (Bidder) and each of the Authorized/Key Personnel to cover the interim period since the submission of the bid (initial application). 3) After execution of an agreement, the Contractor must submit Form 600-H on an annual basis as specified in the agreement. c. Changes in Laws or Policy CalSTRS reserves the right to amend, upon prior written notice, the above provisions to conform with any subsequent amendments to the political reform laws and CalSTRS policies. The successful Contractor shall have the right to terminate any agreement that may be awarded by CalSTRS upon thirty (30) days written notice should it deem any such amendment unacceptable. 14. Addenda: Errors and Omissions CalSTRS may modify any part of the IFB in writing by issuance of an addendum. Addenda issued prior to the final filing date for submission of bids will be sent to all parties who were sent the IFB and also available on the internet at Addenda issued after the final filing date will be sent to all responding Bidders as appropriate. If a Bidder discovers any ambiguity, conflict, discrepancy, omission or other error in this IFB, the Bidder shall immediately notify CalSTRS Procurement of such error in writing and request clarification or modification of the document. Such notice shall be given prior to the final filing date for submission of bids. Modifications of the IFB by CalSTRS shall be made by addenda. Clarifications by CalSTRS shall be issued by written notice to all parties who were sent the IFB. If, prior to the final filing date for submission, a Bidder fails to notify CalSTRS of a known error, or an error that reasonably should have been known, the Bidder shall not be entitled to additional compensation or time by reason of the error or its late correction.

14 Page 13 of 32 The provisions of any written amendment hereto or clarification hereof issued by CalSTRS pursuant to this section shall be incorporated by reference and made a part of the Agreement awarded as a result of this IFB. 15. Background Investigations Selected contractor(s) must demonstrate compliance with Exhibit G, CalSTRS Contractor Background Investigation Policy, for all employees providing services to CalSTRS under the resulting agreement. 16. Bidder Client References Bidder must provide at least three (3) references from customers for whom Bidder has provided at least one (1) year of experience providing the same scope of work as described in this IFB. Bidder must provide client references on Attachment 6, Bidder Client References. If references obtained by CalSTRS are not favorable, CalSTRS may reject the bid. If your firm has provided services to the State of California within the past three (3) years, list the agency, the contract number, address, contact person and telephone number. D. PREFERENCE PROGRAMS Bidders who may have questions regarding the following bid preferences may contact the Office of Small Business and DVBE Certification at (916) , or the TACPA/EZA/LAMBRA Preference Program Group at (916) Small Business Preference 2. Disabled Veteran Business Enterprise Incentive 3. Target Area Contract Preference Act (TACPA) 4. Enterprise Zone Act (EZA) 5. Local Agency Military Base Recovery Area (LAMBRA) Act

15 ATTACHMENT 1 Page 14 of 32 REQUIRED ATTACHMENTS/EXHIBITS CHECKLIST & CERTIFICATIONS Bidder s Name Please complete this checklist and certifications form providing information about the Bidder and to confirm the items below are in the bid. Place a check mark or X next to each item that is being submitted to CalSTRS. For the bid to be responsive, all required attachments must be returned, including this form, Attachment 1. Attachment 1 must be signed by an individual(s) who is authorized to bind the Bidder contractually. An unsigned or incomplete Attachment 1 may cause the bid to be rejected. A. BIDDER S FIRM INFORMATION 1. Organizational structure (e.g., corporation, partnership, etc.) 2. FEIN or TIN 3. Bidder s (Entity) contact information: a. Address b. Phone Number c. Facsimile Number 4. Bidder s Primary Liaison: a. Name b. Phone Number c. address 5. Representative(s) authorized to bind the Bidder contractually: a. Name b. Title c. Phone Number d. address B. CHECKLIST Attachments/Exhibits Attachment 1 Attachment 2 Exhibit C Attachment 3 Attachment Name Required Attachments/Exhibits Checklist & Certifications Minimum Qualifications Bid Sheet Darfur Contracting Act Certification* Check if not required* Please note: If this certification is not required for your agency, do NOT place a check mark on the line next to Attachment 3. Instead, simply check the box above that will indicate it is not required. For more information the Darfur Contracting Act requirements, please see Section C.11..

16 Page 15 of 32 Attachment 5 Attachment 6 Attachment 9 Exhibit K Bidder s Authorized/Key Personnel Bidder Client References Form 600-H Disclosure of Contributions and Gifts Proposed Personnel Summary and Reference Sheet DVBE Attachments must include either: 1. Attachment 4 2. Or both Attachments 7 and 8. Attachment 4 OR Attachment 7 Attachment 8 Statement of Commitment to Meet Disabled Veteran Business Enterprise Agreement Participation Goal DVBE Incentive Information and Declaration Form Documentation of Disabled Veteran Business Enterprise Contacts If applicable: Small Business Preference Disabled Veteran Business Enterprise Incentive Target Area Contract Preference Act (TACPA) Enterprise Zone Act (EZA) Local Agency Military Base Recovery Area (LAMBRA) Act C. CERTIFICATIONS By signing this form, Attachment 1, I (we) certify: 1. The information contained in this bid is accurate and that all required documents (e.g., attachments, exhibits, forms, etc.) to be submitted as a part of this bid are certified to be true and binding upon the Bidder. 2. This is a firm and irrevocable offer good for one (1) year. 3. Our willingness to perform the services as described in the IFB. 4. The availability of staff and other required resources for performing all services and providing all deliverables as described in this IFB. Signature of Person Authorized to Bind The Bidding Firm Contractually Printed Name and Title Date

17 ATTACHMENT 2 MINIMUM QUALIFICATIONS Page 16 of 32 Bidding Firm Name The Bidder must substantiate that the firm satisfies the following minimum qualifications, to CalSTRS satisfaction, to be given further consideration for an Agreement award. Failure to provide complete information, based on CalSTRS sole judgment, may result in the immediate rejection of the bid. 1. As of June 22, 2012, Bidder must possess the appropriate business and professional license to do business in Glendale CA as evidenced by submission of a copy of the appropriate business and professional license. Copy included in response 2. As of June 22, 2012, Bidder must possess the appropriate certifications to perform maintenance and repair on specified equipment herein as evidenced by submission of a copy of the appropriate certifications as required by Exhibit A, Scope of Work. Copy included in response 3. As of June 22, 2012, Bidder must have at least two (2) years experience in maintaining and repairing specified equipment or something equivalent as evidence by submission of Exhibit K, Proposed Personnel Summary and Reference Sheet. Copy included in response 4. As of June 22, 2012, Bidder must meet the insurance requirements of the landlord at 505 North Brand Avenue, Suite 200. These requirements are included in the IFB as Exhibit J, Insurance Requirements. Yes/No

18 Page 17 of 32 ATTACHMENT 3 DARFUR CONTRACTING ACT CERTIFICATION Bidder Firm Name Public Contract Code Sections applies to any company that currently or within the previous three (3) years has had business activities or other operations outside of the United States. For such a company to bid on or submit a proposal for a State of California contract, the company must certify that it is either a) not a scrutinized company; or b) a scrutinized company that has been granted permission by the Department of General Services (DGS) to submit a proposal. If your company has not, within the previous three (3) years, had any business activities or other operations outside of the United States, you do not need to complete this form. OPTION #1 - CERTIFICATION If your company, within the previous three (3) years, has had business activities or other operations outside of the United States, in order to be eligible to submit a bid or proposal, please insert your company name and Federal ID Number and complete the certification below. I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that a) the prospective Proposer/Bidder named below is not a scrutinized company per Public Contract Code 10476; and b) I am duly authorized to legally bind the prospective Proposer/Bidder named below. This certification is made under the laws of the State of California. Company/Vendor Name (Printed) Federal ID Number By (Authorized Signature) Printed Name and Title of Person Signing Date Executed Executed in the County and State of OPTION #2 WRITTEN PERMISSION FROM DGS Pursuant to Public Contract Code section 10477(b), the Director of DGS may permit a scrutinized company, on a case-by-case basis, to bid on or submit a proposal for a contract with a state agency for goods or services, if it is in the best interests of the state. If you are a scrutinized company that has obtained written permission from DGS to submit a bid or proposal, complete the information below. We are a scrutinized company as defined in Public Contract Code section 10476, but we have received written permission from DGS to submit a bid or proposal pursuant to Public Contract Code section 10477(b). A copy of the written permission from DGS is included with our bid or proposal. Company/Vendor Name (Printed) Federal ID Number Initials of Submitter Printed Name and Title of Person Initialing

19 Page 18 of 32 ATTACHMENT 4 STATEMENT OF COMMITMENT TO MEET DISABLED VETERAN BUSINESS ENTERPRISE CONTRACT PARTICIPATION GOAL If selected as a potential contractor, (Bidder Name) hereby commits to comply with CalSTRS intent regarding the contract participation goal of three percent (3%) or greater Disabled Veteran Business Enterprise, in accordance with the provisions of Public Contract Code Section

20 ATTACHMENT 5 BIDDER S AUTHORIZED/KEY PERSONNEL Page 19 of 32 Bidder Firm Name The names and titles of the personnel authorized to conduct business on behalf of the Bidder in a decision-making capacity are as follows: Signature Name (Typed) Title (Typed) Date Signature Name (Typed) Title (Typed) Date Signature Name (Typed) Title (Typed) Date Signature Name (Typed) Title (Typed) Date

21 ATTACHMENT 6 BIDDER CLIENT REFERENCES Page 20 of 32 Bidder Firm Name List below three (3) client references. List the most recent first. Failure to complete and return this Attachment may cause your bid to be rejected. REFERENCE 1 Name of Firm Street Address City State Zip Code Contact Person Dates of Service Telephone Number Address: Cost of Service Brief Description of Service Provided REFERENCE 2 Name of Firm Street Address City State Zip Code Contact Person Dates of Service Telephone Number Address: Cost of Service Brief Description of Service Provided REFERENCE 3 Name of Firm Street Address City State Zip Code Contact Person Dates of Service Telephone Number Address: Cost of Service Brief Description of Service Provided If three (3) references cannot be provided, explain why:

22 ATTACHMENT 7 Page 21 of 32 Disabled Veteran Business Enterprise (DVBE) Incentive Information And Declaration Form The Disabled Veteran Business Enterprise (DVBE) Participation Goal Program for State contracts is established in Public Contract Code (PCC) section et seq., Military and Veterans Code (MVC) section 999 et seq., and California Code of Regulations (CCR), Title 2, section et seq. The DVBE Participation Program was established to acknowledge disabled veterans for their service and to further DVBE participation in state contracting, promote competition and encourage greater economic opportunity. Every year, state agencies must report to the governor and the legislature their total DVBE contracting participation. If the minimum three percent (3%) goal is not met, the state agency must provide their reasons for not meeting the goal and an implementation plan for further DVBE participation improvement. The PCC et seq. requires a goal of three percent (3%) DVBE participation on contracts awarded by CalSTRS. The Teachers Retirement Board has adopted a policy that directs staff to encourage, promote, and facilitate the fullest participation by Disabled Veteran Business Enterprise (DVBE) in contracts awarded by CalSTRS: a) Contractor agrees that as a contractor of CalSTRS it will meet the requirements of at least 3% DVBE participation in this contract opportunity. b) Document DVBE participation on AD 840 form and attach a copy of all applicable certifications. (Form AD 840 is attached as Attachment 6) c) You may also qualify to bid if you have an approved DVBE Business Utilization Plan (BUP) approved by DGS before the bid date. In that plan you must certify that you will expend a minimum of 3% of your statewide contract dollars with the DVBE(s). (This percentage is based on all of your contracts in the state, not just those with CalSTRS.) Bidder Declaration Instructions: All prime Bidders (the firm submitting the bid) must complete the Declaration Form. 1. a. Identify all current certifications issued by the State of California. If the prime Bidder has no California certification(s), check the line labeled None and proceed to Item #2. If the prime Bidder possesses one or more of the following certifications, enter the applicable certification(s) on the line: Microbusiness (MB) Small Business (SB) Small Business Nonprofit Veteran Service Agency (SB/NVSA) Disabled Veteran Business Enterprise (DVBE) b. Mark either Yes or No to identify whether subcontractors will be used for the contract. If the response is No, proceed to Item #1.c. If Yes, enter on the line the distinct element of work contained in the contract to be performed or the goods to be provided by the prime Bidder. Do not include goods or services to be provided by subcontractors. Bidders certified as MB, SB, SB/NVSA, and/or DVBE must provide a commercially useful function as defined in Military and Veterans Code Section 999(b)(5)(B)(i) for DVBEs and Government Code Section 14837(d)(1) and (2) for small/microbusinesses. For questions regarding

23 Page 22 of 32 ATTACHMENT 7 CONTINUED commercially useful function determinations made in conjunction with certification approval, contact the Department of General Services, Procurement Division, Office of Small Business and DVBE Certification (OSDC), OSDC Certification and Compliance Unit via at: osdshelp@dgs.ca.gov. Bids must propose that certified Bidders provide a commercially useful function for the resulting contract or the bid will be deemed non-responsive and rejected by the State. For questions regarding the solicitation, contact the procurement official identified in the solicitation. Note: A subcontractor is any person, firm, corporation, or organization contracting to perform part of the prime s contract. c. This item is only to be completed by businesses certified by California as a DVBE. (1) Declare whether the prime Bidder is a broker or agent by marking either Yes or No. The Military and Veterans Code Section (b)(i) defines broker or agent as any individual or entity, or any combination thereof, that does not have title, possession, control and risk of loss of materials, supplies, services or equipment provided to any awarding department, unless one or more certified disabled veterans has fifty-one percent (51%) ownership of the quantity and value of the materials, supplies, services, and of each piece of equipment provided under the contract. (2) If bidding rental equipment, mark either Yes or No to identify if the prime Bidder owns at least 51% of the equipment provided (quantity and value). If not bidding rental equipment, mark N/A for not applicable. 2. If no subcontractors are proposed, do not complete the table. Read the certification at the bottom of the form and complete Page of on the form. If subcontractors will be used, complete the table listing all subcontractors. If necessary, attach additional pages and complete the Page of accordingly. Column Labels - Subcontractor Name, Contact Person, Phone Number & Fax Number List each element for all subcontractors. Subcontractor Address & Address Enter the address and if available, an address. CA Certification (MB, SB, DVBE or None) If the subcontractor possesses a current State of California certification(s), verify on the OSDC website ( that it is still valid and list all current certifications here. Otherwise, enter None. [Note: A SB/NVSA should not be participating as a subcontractor]. Work performed or goods provided for this contract Identify the distinct element of work contained in the contract to be performed or the goods to be provided by each subcontractor. Certified subcontractors must provide a commercially useful function for the contract. (See paragraph 1.b above for code citations regarding the definition of commercially useful function.) If a certified subcontractor is further subcontracting a greater portion of the work or goods provided for the resulting contract than would be expected by normal industry practices, attach a separate sheet of paper explaining the situation. Corresponding % of bid price Enter the corresponding percentage of the total bid price for the goods and/or services to be provided by each subcontractor. Do not enter a dollar amount. Good Standing? Provide a response for each subcontractor listed. Enter either Yes or No to indicate that the prime Bidder has verified that the subcontractor(s) is in good standing for all of the following: Possesses valid license(s) for any license(s) or permits required by the solicitation or by law If a corporation, the company is qualified to do business in California and designated by the State of California Secretary of State to be in good standing Possesses valid State of California certification(s) if claiming MB, SB, and/or DVBE status Is not listed on the OSDC website as ineligible to transact business with the State

24 Page 23 of 32 ATTACHMENT 7 CONTINUED 51% Rental? This pertains to the applicability of rental equipment. Based on the following parameters, enter either N/A (not applicable), Yes or No for each subcontractor listed. Enter N/A if the: Subcontractor is NOT a DVBE (regardless of whether or not rental equipment is provided by the subcontractor) or Subcontractor is NOT providing rental equipment (regardless of whether or not subcontractor is a DVBE) Enter Yes if the subcontractor is a California certified DVBE providing rental equipment and the subcontractor owns at least 51% of the rental equipment (quantity and value) it will be providing for the contract. Enter No if the subcontractor is a California certified DVBE providing rental equipment but the subcontractor does NOT own at least 51% of the rental equipment (quantity and value) it will be providing. GSPD (EST 8/05) Instructions

25 Page 24 of 32 ATTACHMENT 7 CONTINUED DECLARATION FORM GSPD (EST 8/05) 1. Prime Bidder information (Please review Declaration Form Instructions above prior to completion): a. Identify current California certification(s) (MB, SB, SB/NVSA, DVBE): or None b. Will subcontractors be used for this contract? Yes No (If yes, indicate the distinct element of work your firm will perform in this contract e.g., list the proposed products produced by your firm, state if your firm owns the transportation vehicles that will deliver the products to the State, identify which solicited services your firm will perform, etc.). Use additional sheets, as necessary. c. If you are a California certified DVBE: Are you a broker or agent? Yes No If the contract includes equipment rental, does your company own at least 51% of the equipment provided in this contract (quantity and value)? Yes No N/A 2. If no, subcontractors will be used, skip to certification below. Otherwise, list all subcontractors for this contract on a separate sheet of paper: pursuant to the directions specified in Attachment 5 Disabled Veterans Business Enterprise (DVBE) Incentive Information and Declaration Form Section 2. CERTIFICATION: By signing below, I certify under penalty of perjury that the information provided is true and correct. Bidder s Authorized Signature Printed Name Title Date

26 Page 25 of 32 ATTACHMENT 8 DOCUMENTATION OF DISABLED VETERAN BUSINESS ENTERPRISE CONTACTS CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM DISABLED VETERAN BUSINESS ENTERPRISE PROGRAM REQUIREMENTS Authority: The Disabled Veteran Business Enterprise (DVBE) Participation Goal Program for California State Teachers Retirement System (CalSTRS) contracts is established in Public Contract Code (PCC), section et seq., Military and Veterans Code section 999 et seq., and the California Code of Regulations, Title 2 (2 CCR), section et seq. Introduction: The Bidder must document either option A, or C to comply with this solicitation s DVBE program requirements. Bids or proposals (hereafter called bids ) that fail to fully document one of the DVBE program requirements options shall be considered non-responsive and ineligible for award. All information submitted by the intended awardee to comply with this solicitation s DVBE requirements will be verified by CalSTRS. If evidence of an alleged violation is found during the verification process, CalSTRS shall initiate an investigation with this information in accordance with the requirements of the PCC, Section 10115, et seq. and the Military and Veterans Code, Section 999 et seq. and follow the investigatory procedures required by the 2CCR, section Only State of California, Office of Small Business and DVBE Certification (OSDC) certified DVBEs who perform a commercially useful function relevant to this solicitation may be used to satisfy the DVBE program requirements. The criteria for performing a commercially useful function are contained in the California Military and Veterans Code Section 999(b)(5)(B)(i). A DVBE contractor, subcontractor or supplier is considered performing a commercially useful function when it meets the following criteria: (1) The person or entity is responsible for the execution of a distinct element of the work of the contract, carries out the obligation by actually performing, managing or supervising the work involved, and performs work that is normal for its business services and functions; and (2) The person or entity is not further subcontracting a portion of the work that is greater than that expected to be subcontracted by normal industry practices. CalSTRS will verify each DVBE subcontractor/supplier certification with the OSDC to ensure DVBE eligibility. To meet the DVBE program requirements, Bidders must complete and fully document one of the two following compliance options: Option A Commitment to full DVBE participation: For a Bidder who is a DVBE or who is able to meet the commitment to use identified DVBE(s) to fulfill the full DVBE participation goal. Option C Business Utilization Plan: For a Bidder using an approved DVBE Business Utilization Plan (BUP) to satisfy DVBE participation requirements. Applies only to solicitations for goods or information technology.

27 Page 26 of 32 ATTACHMENT 8 CONTINUED Please Read All Instructions Carefully. These instructions contain information about the DVBE program requirements, Bidder responsibilities, and requirements for performing and documenting each of the two available options as detailed below. Bidders are responsible for thorough review and compliance with these instructions. Document your option selection on the attached AD 840 form, Documentation of Disabled Veteran Business Enterprise Program Requirements. OPTION A COMMITMENT: Commit to meet or exceed the DVBE participation requirement in this solicitation by Method A. Bidders must document DVBE participation commitment by completing and submitting the attached AD 840 form. Failure to complete and submit the AD 840 form as instructed shall render your bid non-responsive The Bidder must provide, prior to contract award, a written agreement signed by the Bidder and each proposed DVBE subcontractor. The written agreement will include the (1) DVBE scope of work; (2) work to be performed by the DVBE; (3) term of intended subcontract with the DVBE; (4) anticipated dates the DVBE will perform the required work; (5) rate and conditions of payment; (6) total amount of contract to be paid to the DVBE; and (7) the percentage of the entire contract that will be awarded to the DVBE, with each DVBE subcontractor. If this information is contained in the Bidder s DVBE written agreement of intent, the agreement may be attached to the AD 840 form. If further verification is necessary, CalSTRS will obtain additional information to verify the above requirements. Method A. Certified DVBE Bidder: a. Commit to performing at least 3% of the contract bid amount with your firm or in combination with other DVBE(s). b. Document DVBE participation on AD 840 (Side 1) form and attach copy of all applicable certifications. c. A DVBE working in combination with other DVBEs shall be requested to submit proof of its commitment by submitting a written agreement with the DVBE(s) identified in its bid s AD 840 form. When requested, the written agreement must be submitted to the address or facsimile number specified and within the timeframe identified in the notification. Failure to submit the requested written agreement as specified may be grounds for bid rejection. OPTION C THE DVBE BUSINESS UTILIZATION PLAN (BUP): option permits Bidders to submit an approved DVBE BUP to satisfy DVBE participation solicitation requirements up to 3%. DVBE BUPs apply only to solicitations for goods and information technology (IT) goods and services. DVBE BUPs are a company s commitment to expend a minimum of 3% of its total statewide contract dollars with DVBEs this percentage is based on all of its contracts in the State, not just those with the CalSTRS. DVBE BUPs must be submitted to and approved by the DGS-PD prior to the bid due date. Please call the DGS-PD, Office of Small Business and DVBE Outreach and Education at (800) for assistance. Bidders choosing this option must properly complete and submit an AD 840 (Side 1) form and include a copy of its approval letter with the bid. Failure to submit these documents shall render your bid non-responsive. Designation of Option - Check the appropriate box(es) to indicate the option(s) with which you choose to comply, complete the applicable sections and attach the required supporting documentation. You are advised to read all instructions carefully prior to completing this form. Remember that only California certified DVBEs who can provide related goods and/or services may be used to satisfy these program solicitation requirements.

28 Page 27 of 32 FORM AD 840 ATTACHMENT 8 CONTINUED OPTION A: I commit to meeting the full DVBE contract participation requirement. Complete AD 840, Section A. OPTION C: I submit a copy of my firm s Notice of Approved DVBE Business Utilization Plan. A. Full information must be provided. For contract participation commitment, at least one DVBE must be listed. DVBEs must perform a commercially useful function. List the specific goods and/or services with the dollar and/or percentage value(s) that the DVBE(s) commit(s) to provide and the DVBEs tier (prime contractor=0, subcontractor to prime contractor=1, subcontractor to Tier 1 subcontractor =2, etc.) If both the estimated dollar amount and percentage are listed, the higher value supercedes. Attach additional pages to list all other DVBE subcontractors/suppliers (you may use AD 840A form). During contract performance, all requests for substituting named DVBEs must be made in accordance with the provisions of California Code of Regulations, Title 2, Section I. Date Contacted DVBE Company Name (If you are the Prime and a DVBE enter your name, if not, enter the solicited subcontractor.) DVBE Contact Name & Reference # Telephone Number ( ) Street Address, City, State and Zip Code Fax Number ( ) (if available) YES, I am, or will subcontract with, the listed DVBE to provide the following goods and/or services: Specific Goods and/or Services Estimated $ and/or % Tier $ / % NO, I am unable to subcontract with the DVBE for the following business reasons: Date Contacted DVBE Company Name (If you are the Prime and a DVBE enter your name, if not, enter the solicited subcontractor.) DVBE Contact Name & Reference # Telephone Number ( ) Street Address, City, State and Zip Code Fax Number ( ) (if available) YES, I am, or will subcontract with, the listed DVBE to provide the following goods and/or services: Specific Goods and/or Services Estimated $ and/or % Tier $ / % NO, I am unable to subcontract with the DVBE for the following business reasons: Use AD 840A form (add additional pages as necessary) to list all other DVBE contacts.

29 ATTACHMENT 8 CONTINUED Page 28 of 32 Step 1. Contact the CalSTRS contracting official to identify potential DVBE subcontractors/ suppliers, and document this contact as required. Date Contact Name Contract Services Telephone Number ( 916 ) Describe Result Step 2. Contact all of the following and document your contacts as required: Other state and federal agencies and local organizations to identify potential DVBE subcontractors/suppliers. Other State Agency Procurement Division, Office of Small Business and DVBE Certification (Certification Office) PHONE CONTACT OR ONLINE SEARCH Date Date Describe Result Telephone Number (916) (916) Contact Name Internet Address I contacted the Certification Office for a list of California certified DVBEs. I searched the Certification Office s online database to identify California certified DVBEs. Federal Agency U.S. Small Business Administration (SBA) online database. Date Internet Address I searched the federal online database for California DVBEs. Describe Result Local DVBE Organizations Contact at least one local DVBE organization. Refer to the DVBE Resource Packet for a list of acceptable contacts. ( - select DVBE Resource Packet ) Date Organization Name Contact Name Telephone Number and/or Internet Address Describe Result Date Organization Name Contact Name Telephone Number and/or Internet Address Describe Result

30 ATTACHMENT 8 CONTINUED Page 29 of 32 Step 3. Publish advertisements: Two (2) advertisements One (1) ad in an accepted trade paper; and one (1) ad in an accepted DVBE focus paper (See the DVBE Resource Packet for a list of accepted publications); unless the paper is dual purpose (fulfilling both trade and focus requirements), in which case one (1) ad is acceptable. Copy(ies) of the advertisement(s) must be attached. Focus Paper Name (List Full name) Contact Name Telephone Number ( ) Address Date Ad Published Trade Paper Name (List Full name) Contact Name Telephone Number ( ) Address Date Ad Published I certify the ad was placed to reach both trade and focus audiences through this one publication. Trade and Focus Paper Name (List Full Contact Name Telephone Number name) ( ) Address Date Ad Published Additional Documentation of Disabled Veteran Business Enterprise Contacts FORM AD 840A may be used as a continuation from Section A of Form AD 840.

31 ATTACHMENT 8 CONTINUED Page 30 of 32 FORM AD 840A Date Contacted DVBE Company Name DVBE Contact Name Street Address, City, State and Zip Code Telephone Number ( ) Fax Number ( ) OR Yes, I will subcontract with the listed DVBE to provide the following goods and/or services. Specific Goods and/or Services Estimated $ and/or % $ / % No, I am unable to subcontract with the DVBE for the following business reasons: Tier Date Contacted DVBE Company Name DVBE Contact Name Street Address, City, State and Zip Code Telephone Number ( ) Fax Number ( ) OR Yes, I will subcontract with the listed DVBE to provide the following goods and/or services. Specific Goods and/or Services Estimated $ and/or % $ / % No, I am unable to subcontract with the DVBE for the following business reasons: Tier Date Contacted DVBE Company Name DVBE Contact Name Street Address, City, State and Zip Code Telephone Number ( ) Fax Number ( ) OR Yes, I will subcontract with the listed DVBE to provide the following goods and/or services. Specific Goods and/or Services Estimated $ and/or % $ / % No, I am unable to subcontract with the DVBE for the following business reasons: Tier Date Contacted DVBE Company Name DVBE Contact Name Street Address, City, State and Zip Code Telephone Number ( ) Fax Number ( ) OR Yes, I will subcontract with the listed DVBE to provide the following goods and/or services. Specific Goods and/or Services Estimated $ and/or % $ / % No, I am unable to subcontract with the DVBE for the following business reasons: Tier

32 Form 600-H Print Form ATTACHMENT 9 DISCLOSURE OF CONTRIBUTIONS AND GIFTS Pursuant to Section 600.H. of the Teachers' Retirement Board Policy Manual, entitled "Disclosure of Campaign Contributions, Charitable Contributions, and Gifts, Recusal Requirement, and Ban on Specified Gifts" any party and its Authorized/Key Personnel who engages in business with CalSTRS for gain is required to make specific public disclosures. Contracting Entities and each of their Authorized/Key Personnel must complete and file separate forms. The below identified party or its Authorized/Key Personnel hereby make the following disclosures. (Please attach other sheets if more space is needed for disclosure and indicate enclosures.) Identification of Filer Climate Master Heat Pump Preventive Maintenance - Glendale Page 31 of 32 Name of Entity / Contractor: Authorized / Key Personnel or Person Making Disclosure: Relationship Category (Please choose the one that is most appropriate to this relationship): Investment Investment Mgr Consultant Independent Fiduciary Investment Asset Class (Check all that apply): Absolute Return Fixed Income Reported on behalf of Entity Broker Dealer General Ptr Other Services: Global Equity Non-Investment Contractor / Consultant - Description of Service Provided: Innovation & Risk Operations Private Equity Real Estate Other Mailing Address: Number Street City/Locality State/Province Zip Telephone: Address: Filing and Disclosure Period This disclosure of campaign contributions, charitable contributions, and gifts is in response to the following filing requirement: Upon submission of an initial application or proposal to do business with CalSTRS for the preceding 12-month period. With the submission of the contract for execution (signature) to cover the interim period since the initial application. Annual disclosure for the previous calendar year. Form 600-H (rev. 01/2010) Compliance & Privacy

33 Form 600-H Print Form 1. Disclosure of Campaign Contributions Disclosure of Campaign Contributions valued in excess of $250 made to or on behalf of any a) existing Teacher s Retirement Board member, b) candidates for Board member, Controller, Treasurer, and Superintendent of Public Instruction, and c) CalSTRS officer or employee. The term contribution is defined in the Political Reform Act regulations, in Title 2, California Code of Regulations (CCR) section If the business is an Investment Relationship, disclosure of campaign contributions made to the Governor or candidates for the governorship must also be made, according to CalSTRS Campaign Contribution regulations in Title 5, CCR section Value of Contribution Description if other than monetary ATTACHMENT 9 (CONT.) Date of Contribution Climate Master Heat Pump Preventive Maintenance - Glendale Page 32 of 32 Identity of Recipient of Contribution Nothing to report Attachment is enclosed 2. Disclosure of Charitable Contributions Disclosure of charitable contributions valued in excess of $250 made at the request of any Teachers Retirement Board member or CalSTRS officer or employee to any charitable organization. Value of Contribution Description of Contribution (monetary or in-kind) Date of Contribution Identity of Recipient of Contribution Identity of Requester of Contribution Nothing to report Attachment is enclosed 3. Disclosure of Gifts Disclosure of gifts, including meals, entertainment, or travel, valued in excess of $50 made to any Teachers Retirement Board member or CalSTRS officer or employee. Value of Gift Description of Gift Date Gift Given Identity of Recipient of Gift Nothing to report Attachment is enclosed I have exercised all reasonable due diligence in preparing this disclosure statement on my own behalf or on behalf of the reporting entity identified above. I have reviewed this statement and to the best of my knowledge the information contained herein and in any attachments is true and complete. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Signature Title Printed Name Form 600-H (rev. 01/2010) Compliance & Privacy Date

34 Exhibit A Page 1 of 3 Scope of Work Contractor shall provide labor, materials and insurance to provide preventative maintenance services for two (2) 2.5 ton Climate Master Heat Pumps, Tranquility 20 (TS Series) per the manufacturers specifications which are attached as part of this Scope of Work. At a minimum, services shall include the following: A. Preventive Maintenance 1. Quarterly and Annually Change Filters Check belts for tightness and alignment Check controls and power connections for tightness Check fan and compressor starter contact via voltage drop across starter phases Check condensate pan, clean as necessary and renew pan treatment Check condensate pump reservoir and function and drain line 2. Annually B. Repair Service Check for refrigerant leaks Check safety functions: high pressure, condensate pan high level alarm, low pressure 1. Contractor shall provide unlimited visits for any repair services requested or necessary to keep the equipment fully operational. Repair services that are not provided during regularly scheduled maintenance visits, will require a written estimate to CalSTRS for prior approval for parts and labor at the Repair Hourly Rate stated on the Bid Sheet. 2. Contractor shall make every attempt to complete repairs the same working day. When a delay in repair will occur due to part(s) that must be ordered, Contractor must notify CalSTRS immediately. Contractor must be able to provide a temporary solution approved by CalSTRS to ensure continuity of services while waiting for replacement part.

35 Exhibit A Page 2 of 3 C. Emergency Repair Service 1. Contractor must respond to requests for emergency repair within two hours of telephone notification by CalSTRS, 24/7 days a week. All repair services will require a written estimate to CalSTRS for prior approval for parts and labor at the Emergency Hourly Rate stated on the Bid Sheet. 2. Contractor shall make every attempt to complete repairs the same working day. When a delay in repair will occur due to part(s) that must be ordered, Contractor must notify CalSTRS immediately. Contractor must be able to provide a temporary solution approved by CalSTRS to ensure continuity of services while waiting for replacement part. D. Appropriate Certifications EPA Universal Refrigeration license

36 THE SMART SOLUTION FOR ENERGY Invitation EFFICIENCY for Bid B Exhibit A Page 3 of 3 Tranquility 20 (TS) Series Created: 01 August, 2011 Preventive Maintenance Water Coil Maintenance - (Direct ground water applications only) If the system is installed in an area with a known high mineral content (125 P.P.M. or greater) in the water, it is best to establish a periodic maintenance schedule with the owner so the coil can be checked regularly. Consult the well water applications section of this manual for a more detailed water coil material selection. Should periodic coil cleaning be necessary, use standard coil cleaning procedures, which are compatible with the heat exchanger material and copper water lines. Generally, the more water flowing through the unit, the less chance for scaling. Therefore, 1.5 gpm per ton [1.6 l/m per kw] is recommended as a minimum flow. Minimum flow rate for entering water temperatures below 50 F [10 C] is 2.0 gpm per ton [2.2 l/m per kw]. Water Coil Maintenance - (All other water loop applications) Generally water coil maintenance is not needed for closed loop systems. However, if the piping is known to have high dirt or debris content, it is best to establish a periodic maintenance schedule with the owner so the water coil can be checked regularly. Dirty installations are typically the result of deterioration of iron or galvanized piping or components in the system. Open cooling towers requiring heavy chemical treatment and mineral buildup through water use can also contribute to higher maintenance. Should periodic coil cleaning be necessary, use standard coil cleaning procedures, which are compatible with both the heat exchanger material and copper water lines. Generally, the more water flowing through the unit, the less chance for scaling. However, flow rates over 3 gpm per ton (3.9 l/m per kw) can produce water (or debris) velocities that can erode the heat exchanger wall and ultimately produce leaks. Hot Water Generator Coils - See water coil maintenance for ground water units. If the potable water is hard or not chemically softened, the high temperatures of the desuperheater will tend to scale even quicker than the water coil and may need more frequent inspections. In areas with extremely hard water, a HWG is not recommended. Filters - Filters must be clean to obtain maximum performance. Filters should be inspected every month under normal operating conditions and be replaced when necessary. Units should never be operated without a filter. Washable, high efficiency, electrostatic filters, when dirty, can exhibit a very high pressure drop for the fan motor and reduce air flow, resulting in poor performance. It is especially important to provide consistent washing of these filters (in the opposite direction of the normal air flow) once per month using a high pressure wash similar to those found at self-serve car washes. Condensate Drain - In areas where airborne bacteria may produce a slimy substance in the drain pan, it may be necessary to treat the drain pan chemically with an algaecide approximately every three months to minimize the problem. The condensate pan may also need to be cleaned periodically to ensure indoor air quality. The condensate drain can pick up lint and dirt, especially with dirty filters. Inspect the drain twice a year to avoid the possibility of plugging and eventual overflow. Compressor - Conduct annual amperage checks to ensure that amp draw is no more than 10% greater than indicated on the serial plate data. Fan Motors - All units have lubricated fan motors. Fan motors should never be lubricated unless obvious, dry operation is suspected. Periodic maintenance oiling is not recommended, as it will result in dirt accumulating in the excess oil and cause eventual motor failure. Conduct annual dry operation check and amperage check to ensure amp draw is no more than 10% greater than indicated on serial plate data. Air Coil - The air coil must be cleaned to obtain maximum performance. Check once a year under normal operating conditions and, if dirty, brush or vacuum clean. Care must be taken not to damage the aluminum fins while cleaning. CAUTION: Fin edges are sharp. Cabinet - Do not allow water to stay in contact with the cabinet for long periods of time to prevent corrosion of the cabinet sheet metal. Generally, vertical cabinets are set up from the floor a few inches [7-8 cm] to prevent water from entering the cabinet. The cabinet can be cleaned using a mild detergent. Refrigerant System - To maintain sealed circuit integrity, do not install service gauges unless unit operation appears abnormal. Reference the operating charts for pressures and temperatures. Verify that air and water flow rates are at proper levels before servicing the refrigerant circuit. climatemaster.com 57

37 Tranquility 20 (TS) Series Exhibit B Page 1 of 64 Models TSD/H/V Hz - HFC-410A INSTALLATION, OPERATION & MAINTENANCE 97B0075N06 Created: 01 August, 2011 Model Nomenclature - General Overview 3 General Information 4 Unit Physical Data 6 Horizontal Installation 7 Field Conversion of Air Discharge 9 Horizontal Installation 10 Vertical Installation 11 Piping Installation 13 Water-Loop Heat Pump Applications 14 Ground-Loop Heat Pump Applications 15 Ground-Water Heat Pump Applications 17 Water Quality Standards 19 Electrical - Line Voltage 20 Electrical - Power Wiring 26 Electrical - Power & Low Voltage Wiring 27 Electrical - Low Voltage Wiring 28 Electrical - Thermostat Wiring 29 TS Blower Performance Data - (ECM Motor) - Standard Unit - No Reheat 30 TS Blower Performance Data - Standard Unit - No Reheat (PSC Motor) 31 TS Blower Performance Data - Units with ClimaDry (PSC Motor) 32 ECM Blower Control 33 Typical Wiring Diagram - Units with CXM Board and ECM Fan Motor (Single Phase) 35 Typical Wiring Diagram - Units with CXM Board and PSC Fan Motor (Single Phase) 36 CXM Controls 39 DXM Controls 40 Safety Features - CXM and DXM Controls 42 ClimaDry Modulating Reheat Option 44 Unit Starting and Operating Conditions 47 Piping System Cleaning and Flushing 48 Unit and System Checkout 49 Unit Start-Up Procedure 50 Unit Operating Conditions 52 Preventive Maintenance 57 Functional Troubleshooting 58 Performance Troubleshooting 59 Start-Up Log Sheet 60 Functional Troubleshooting 61 Warranty (U.S. & Canada) 62 Warranty (International) 63 Revision History 64

38 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 This Page Intentionally Left Blank Exhibit B Page 2 of 64 2 ClimateMaster Water-Source Heat Pumps

39 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 3 of 64 Created: 01 August, 2011 Model Nomenclature - General Overview SERIES TS = Tranquility 1 2 TS CONFIGURATION V = Vertical Up H = Horizontal D = Vertical Down 3 V UNIT SIZE E,G E,G E,G E, G E, G, H, F E, G, H, F E, G, H, F G, H, F, N G, H, F, N G, H, F, N G, H, F, N A = B = A G C 1 0 A L T REVISION LEVEL VOLTAGE G = /60/1 E = 265/60/1 H = /60/3 F = 460/60/3 N = 575/60/3 CONTROLS C = CXM D = DXM L= CXM w/lon M = DXM w/lon N = CXM w/mpc P = DXM w/mpc } A = CXM B = DXM E = CXM w/lon K = DXM w/lon R = CXM w/mpc S = DXM w/mpc w/ Disconnect 15 S SUPPLY AIR FLOW & MOTOR CONFIGURATION RETURN AIR FLOW CONFIGURATION L = Left Return R = Right Return HEAT EXCHANGER OPTIONS WATER CIRCUIT OPTIONS 0 = None STANDARD S = Standard Option Supply Configuration Motor T D B Top Down Back TSV TSD TSH PSC PSC PSC S Straight TSH PSC V Top TSV PSC Hi Static U Down TSD PSC Hi Static Y Back TSH PSC Hi Static Z Straight TSH PSC Hi Static K Top TSV ECM N Down TSD ECM P Back TSH ECM W Straight TSH ECM Non Coated Air Coil Coated Air Coil Copper Cupro-Nickel Copper Cupro-Nickel Standard Motorized Valve C T N S A U J W Reheat E P D F 2 = HWG (Coil Only) 5 = Internal Secondary Pump 6 = HWG (Coil Only) w/auto Flow Regulator 2.5 GPM/Ton 7 = HWG (Coil Only) w/auto Flow Regulator 3.0 GPM/Ton 8 = Auto Flow Regulator 2.5 GPM/Ton 9 = Auto Flow Regulator 3.0 GPM/Ton CABINET 1 = Commercial Extended Range 2 = Commercial Extended Range w/ultraquiet 3 = Commercial Standard Range 4 = Commercial Standard Range w/ultraquiet Note: Above model nomenclature is a general reference. Consult individual engineering guides for detailed information. climatemaster.com 3

40 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 General Information Exhibit B Page 4 of 64 Storage Pre-Installation Safety Warnings, cautions, and notices appear throughout this manual. Read these items carefully before attempting any installation, service, or troubleshooting of the equipment. DANGER: Indicates an immediate hazardous situation, which if not avoided will result in death or serious injury. DANGER labels on unit access panels must be observed. WARNING: Indicates a potentially hazardous situation, which if not avoided could result in death or serious injury. CAUTION: Indicates a potentially hazardous situation or an unsafe practice, which if not avoided could result in minor or moderate injury or product or property damage. NOTICE: Notification of installation, operation, or maintenance information, which is important, but which is not hazard-related. WARNING! WARNING! The EarthPure Application and Service Manual should be read and understood before attempting to service refrigerant circuits with HFC-410A. WARNING! WARNING! To avoid the release of refrigerant into the atmosphere, the refrigerant circuit of this unit must be serviced only by technicians who meet local, state, and federal proficiency requirements. CAUTION! CAUTION! To avoid equipment damage, DO NOT use these units as a source of heating or cooling during the construction process. The mechanical components and filters will quickly become clogged with construction dirt and debris, which may cause system damage. WARNING! WARNING! The installation of water-source heat pumps and all associated components, parts, and accessories which make up the installation shall be in accordance with the regulations of ALL authorities having jurisdiction and MUST conform to all applicable codes. It is the responsibility of the installing contractor to determine and comply with ALL applicable codes and regulations. WARNING! WARNING! All refrigerant discharged from this unit must be recovered WITHOUT EXCEPTION. Technicians must follow industry accepted guidelines and all local, state, and federal statutes for the recovery and disposal of refrigerants. If a compressor is removed from this unit, refrigerant circuit oil will remain in the compressor. To avoid leakage of compressor oil, refrigerant lines of the compressor must be sealed after it is removed. Inspection - Upon receipt of the equipment, carefully check the shipment against the bill of lading. Make sure all units have been received. Inspect the packaging of each unit, and inspect each unit for damage. Ensure that the carrier makes proper notation of any shortages or damage on all copies of the freight bill and completes a common carrier inspection report. Concealed damage not discovered during unloading must be reported to the carrier within 15 days of receipt of shipment. If not filed within 15 days, the freight company can deny the claim without recourse. Note: It is the responsibility of the purchaser to file all necessary claims with the carrier. Notify your equipment supplier of all damage within fifteen (15) days of shipment. Storage - Equipment should be stored in its original packaging in a clean, dry area. Store units in an upright position at all times. Stack units a maximum of 3 units high. Unit Protection - Cover units on the job site with either the original packaging or an equivalent protective covering. Cap the open ends of pipes stored on the job site. In areas where painting, plastering, and/or spraying has not been completed, all due precautions must be taken to avoid physical damage to the units and contamination by foreign material. Physical damage and contamination may prevent proper start-up and may result in costly equipment clean-up. Examine all pipes, fittings, and valves before installing any of the system components. Remove any dirt or debris found in or on these components. 4 ClimateMaster Water-Source Heat Pumps

41 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 5 of 64 Created: 01 August, 2011 General Information Pre-Installation - Installation, Operation, and Maintenance instructions are provided with each unit. Horizontal equipment is designed for installation above false ceiling or in a ceiling plenum. Other unit configurations are typically installed in a mechanical room. The installation site chosen should include adequate service clearance around the unit. Before unit start-up, read all manuals and become familiar with the unit and its operation. Thoroughly check the system before operation. Prepare units for installation as follows: 1. Compare the electrical data on the unit nameplate with ordering and shipping information to verify that the correct unit has been shipped. 2. Keep the cabinet covered with the original packaging until installation is complete and all plastering, painting, etc. is finished. 3. Verify refrigerant tubing is free of kinks or dents and that it does not touch other unit components. 4. Inspect all electrical connections. Connections must be clean and tight at the terminals. 5. Remove any blower support packaging (water-to-air units only). 6. Loosen compressor bolts on units equipped with compressor spring vibration isolation until the compressor rides freely on the springs. Remove shipping restraints. (No action is required for compressors with rubber grommets.) 7. Some airflow patterns are field convertible (horizontal units only). Locate the airflow conversion section of this IOM. 8. Locate and verify any hot water generator (HWG), hanger, or other accessory kit located in the compressor section or blower section. CAUTION! CAUTION! All three phase scroll compressors must have direction of rotation verified at start-up. Verification is achieved by checking compressor Amp draw. Amp draw will be substantially lower compared to nameplate values. Additionally, reverse rotation results in an elevated sound level compared to correct rotation. Reverse rotation will result in compressor internal overload trip within several minutes. Verify compressor type before proceeding. CAUTION! CAUTION! DO NOT store or install units in corrosive environments or in locations subject to temperature or humidity extremes (e.g., attics, garages, rooftops, etc.). Corrosive conditions and high temperature or humidity can significantly reduce performance, reliability, and service life. Always move and store units in an upright position. Tilting units on their sides may cause equipment damage. CAUTION! CAUTION! CUT HAZARD - Failure to follow this caution may result in personal injury. Sheet metal parts may have sharp edges or burrs. Use care and wear appropriate protective clothing, safety glasses and gloves when handling parts and servicing heat pumps. NOTICE! Failure to remove shipping brackets from spring-mounted compressors will cause excessive noise, and could cause component failure due to added vibration. climatemaster.com 5

42 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Unit Physical Data Exhibit B Page 6 of 64 Tranquility 20 Single-Stage (TS) Series (60Hz) Model Compressor (1 Each) Rotary Scroll Factory Charge HFC-410A (oz) [kg] 24 [0.68] 32 [0.91] 34 [0.96] 50 [1.13] 56 [1.59] 58 [1.64] 70 [1.98] 80 [2.27] 80 [2.27] 136 [3.86] 144 [4.08] ECM Fan Motor & Blower Fan Motor (hp) [W] N/A N/A N/A 1/2 [373] 1/2 [373] 1/2 [373] 1/2 [373] 1/2 [373] 1 [746] 1 [746] 1 [746] Blower Wheel Size (dia x w) - N/A N/A N/A (in) [mm] PSC Fan Motor & Blower (3 Speeds) 9 x 7 [229 x 178] 9 x 7 [229 x 178] 9 x 7 [229 x 178] 11 x 10 [279 x 254] 11 x 10 [279 x 254] 11 x 10 [279 x 254] 11 x 10 [279 x 254] 11 x 10 [279 x 254] Fan Motor (hp) [W] 1/25 [30] 1/20 [37] 1/8 [93] 1/6 [124] 1/5 [149] 1/3 [249] 1/2 [373] 1/2 [373] 3/4 [560] 1 [746] 1 [746] High Static Fan Motor (hp) [W] N/A N/A N/A 1/5 [149] 1/3 [249] 1/2 [373] 1/2 [373] 3/4 [560] 3/4 [560] 1 [746] Not Available Blower Wheel Size (dia x w) - (in) [mm] Water Connection Size 6 X 5 [152 X 127] 6 X 5 [152 X 127] 6 X 5 [152 X 127] 9 x 7 [229 x 178] 9 x 7 [229 x 178] 9 x 7 [229 x 178] 10 x 10 [254 x 254] 10 x 10 [254 x 254] 10 x 10 [254 x 254] 11 x 10 [279 x 254] 11 x 10 [279 x 254] FPT (in) 1/2 1/2 1/2 3/4 3/4 3/4 3/ HWG Connection Size FPT (in) N/A N/A N/A 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/2 Coax Volume Volume (US Gallons) [liters] 0.17 [0.64] 0.29 [1.10] 0.45 [1.70] 0.56 [2.12] 0.76 [2.88] 0.76 [2.88] 0.92 [3.48] 1.24 [4.69] 1.24 [4.69] 1.56 [5.91] 1.56 [5.91] Vertical Upflow/Downflow Air Coil Dimensions (h x w) - (in) [mm] Standard Filter - 1 [25.4mm] Throwaway, qty (in) [mm] 16 x 16 [406 x 406] Upflow Only 16 x 20 [406 x 508] 16 x 16 [406 x 406] Upflow Only 16 x 20 [406 x 508] 16 x 16 [406 x 406] Upflow Only 16 x 20 [406 x 508] 24 x 20 [610 x 508] 24 x 24 [610 x 610] 28 x 20 [711 x 508] 28 x 24 [711 x 610] 28 x 20 [711 x 508] 28 x 24 [711 x 610] 28 x 25 [711 x 635] 28 x 30 [711 x 762] 32 x 25 [813 x 635] 2-16 x 30 [2-406 x 762] 32 x 25 [813 x 635] 2-16 x 30 [2-406 x 762] 36 x 25 [914 x 635] 1-16 x 30; 1-20 x 30 [1-406 x 762; x 762] 36 x 25 [914 x 635] 1-16 x 30; 1-20 x 30 [1-406 x 762; x 762] Weight - Operating, (lbs) [kg] 126 [57] 146 [66] 150 [68] 252 [114] 266 [121] 268 [122] 327 [148] 414 [188] 416 [189] 441 [200] 443 [201] Weight - Packaged, (lbs) [kg] 136 [62] 156 [71] 160 [73] 262 [119] 276 [125] 278 [126] 337 [153] 424 [192] 426 [193] 451 [205] 453 [206] Horizontal Air Coil Dimensions (h x w) - (in) [mm] Standard Filter - 1 [25.4mm] Throwaway, qty (in) [mm] 16 x 16 [406 x 406] 16 x 20 [406 x 508] 16 x 16 [406 x 406] 16 x 20 [406 x 508] 16 x 16 [406 x 406] 16 x 20 [406 x 508] 18 x 27 [457 x 686] 2-18 x 18 [2-457 x 457] 18 x 31 [457 x 787] 2-18 x 18 [2-457 x 457] 18 x 31 [457 x 787] 2-18 x 18 [2-457 x 457] 20 x 35 [508 x 889] 1-12 x 20; 1-20 x 25 [1-305 x 508; x 635] 20 x 40 [508 x 1016] 1-18 x 20; 1-20 x 24 [1-457 x 508; x 610] 20 x 40 [508 x 1016] 1-18 x 20; 1-20 x 24 [1-457 x 508; x 610] 20 x 45 [508 x 1143] 2-20 x 24 [2-508 x 610] 20 x 45 [508 x 1143] 2-20 x 24 [2-508 x 610] Weight - Operating, (lbs) [kg] 136 [62] 156 [71] 160 [73] 257 [117] 266 [121] 268 [122] 327 [148] 414 [188] 416 [189] 441 [200] 443 [201] Weight - Packaged, (lbs) [kg] 146 [66] 166 [72] 170 [77] 267 [121] 276 [125] 278 [126] 337 [153] 424 [192] 426 [193] 451 [205] 453 [206] Notes: All units have TXV expansion device and 1/2 & 3/4 electrical knockouts. 575 volt motors are two speed. Unit Maximum Water Working Pressure Options Max Pressure PSIG [kpa] Base Unit 500 [3,445] Internal Secondary Pump (ISP) 145 [999] ClimaDry 145 [999] Internal Motorized Water Valve (MWV) 300 [2,067] Internal Auto Flow Valve 500 [3,445] Use the lowest maximum pressure rating when multiple options are combined. 6 ClimateMaster Water-Source Heat Pumps

43 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 7 of 64 Created: 01 August, 2011 Horizontal Installation Horizontal Unit Location Units are not designed for outdoor installation. Locate the unit in an INDOOR area that allows enough space for service personnel to perform typical maintenance or repairs without removing unit from the ceiling. Horizontal units are typically installed above a false ceiling or in a ceiling plenum. Never install units in areas subject to freezing or where humidity levels could cause cabinet condensation (such as unconditioned spaces subject to 100% outside air). Consideration should be given to access for easy removal of the filter and access panels. Provide sufficient room to make water, electrical, and duct connection(s). If the unit is located in a confined space, such as a closet, provisions must be made for return air to freely enter the space by means of a louvered door, etc. Any access panel screws that would be difficult to remove after the unit is installed should be removed prior to setting the unit. Refer to Figure 3 for an illustration of a typical installation. Refer to unit submittal data or engineering design guide for dimensional data. Conform to the following guidelines when selecting unit location: 1. Provide a hinged access door in concealed-spline or plaster ceilings. Provide removable ceiling tiles in T-bar or lay-in ceilings. Refer to horizontal unit dimensions for specific series and model in unit submittal data. Size the access opening to accommodate the service technician during the removal or replacement of the compressor and the removal or installation of the unit itself. 2. Provide access to hanger brackets, water valves and fittings. Provide screwdriver clearance to access panels, discharge collars and all electrical connections. 3. DO NOT obstruct the space beneath the unit with piping, electrical cables and other items that prohibit future removal of components or the unit itself. 4. Use a manual portable jack/lift to lift and support the weight of the unit during installation and servicing. The installation of water source heat pump units and all associated components, parts and accessories which make up the installation shall be in accordance with the regulations of ALL authorities having jurisdiction and MUST conform to all applicable codes. It is the responsibility of the installing contractor to determine and comply with ALL applicable codes and regulations. Mounting Horizontal Units Horizontal units have hanger kits pre-installed from the factory as shown in Figure 1. Figure 3 shows a typical horizontal unit installation. Horizontal heat pumps are typically suspended above a ceiling or within a soffit using field supplied, threaded rods sized to support the weight of the unit. Use four (4) field supplied threaded rods and factory provided vibration isolators to suspend the unit. Hang the unit clear of the floor slab above and support the unit by the mounting bracket assemblies only. DO NOT attach the unit flush with the floor slab above. Pitch the unit toward the drain as shown in Figure 2 to improve the condensate drainage. On small units (less than 2.5 tons/8.8kw) ensure that unit pitch does not cause condensate leaks inside the cabinet. Figure 1: Hanger Bracket 3/8" [10mm] Threaded Rod (by others) Vibration Isolator (factory supplied) Washer (by others) Double Hex Nuts (by others) Figure 2: Horizontal Unit Pitch Drain Connection 1/4 (6.4mm) pitch for drainage climatemaster.com 7

44 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Horizontal Installation Exhibit B Page 8 of 64 Figure 3: Typical Horizontal Unit Installation 3/8" [10mm] threaded rods (by others) Return Air Thermostat Wiring Optional Low Pressure Drop Water Control Valve (can be internally mounted on some models) Supply Air Power Wiring Stainless steel braid hose with integral "J" swivel Optional Balancing Valve Insulated supply duct with at least one 90 deg elbow to reduce air noise Flexible Duct Connector Unit Power Unit Power Disconnect (by others) Unit Hanger Water Out Water In Ball Valve with optional integral P/T plug Building Loop Air Coil - To obtain maximum performance, the air coil should be cleaned before start-up. A 10% solution of dishwasher detergent and water is recommended for both sides of the coil. A thorough water rinse should follow. UV based anti-bacterial systems may damage coated air coils. Notice! Installation Note - Ducted Return: Many horizontal WSHPs are installed in a return air ceiling plenum application (above ceiling). Vertical WSHPs are commonly installed in a mechanical room with free return (e.g. louvered door). Therefore, filter rails are the industry standard and are included on ClimateMaster commercial heat pumps for the purposes of holding the filter only. For ducted return applications, the filter rail must be removed and replaced with a duct flange or filter rack. Canvas or flexible connectors should also be used to minimize vibration between the unit and ductwork. 8 ClimateMaster Water-Source Heat Pumps

45 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 9 of 64 Created: 01 August, 2011 Field Conversion of Air Discharge Overview - Horizontal units can be field converted between side (straight) and back (end) discharge using the instructions below. Figure 4: Left Return Side to Back Water Connection End Remove Screws Note: It is not possible to field convert return air between left or right return models due to the necessity of refrigeration copper piping changes. Return Air Preparation - It is best to field convert the unit on the ground before hanging. If the unit is already hung it should be taken down for the field conversion. Side Discharge Side to Back Discharge Conversion 1. Place unit in well lit area. Remove the screws as shown in Figure 4 to free top panel and discharge panel. 2. Lift out the access panel and set aside. Lift and rotate the discharge panel to the other position as shown, being careful with the blower wiring. 3. Check blower wire routing and connections for tension or contact with sheet metal edges. Re-route if necessary. 4. Check refrigerant tubing for contact with other components. 5. Reinstall top panel and screws noting that the location for some screws will have changed. 6. Manually spin the fan wheel to ensure that the wheel is not rubbing or obstructed. 7. Replace access panels. Water Connection End Water Connection End Move to Side Replace Screws Rotate Return Air Return Air Back to Side Discharge Conversion - If the discharge is changed from back to side, use above instruction noting that illustrations will be reversed. Left vs. Right Return - It is not possible to field convert return air between left or right return models due to the necessity of refrigeration copper piping changes. However, the conversion process of side to back or back to side discharge for either right or left return configuration is the same. In some cases, it may be possible to rotate the entire unit 180 degrees if the return air connection needs to be on the opposite side. Note that rotating the unit will move the piping to the other end of the unit. Back Discharge Figure 5: Right Return Side to Back Return Air Supply Duct Side Discharge Drain Discharge Air Water Connection End Water Connection End Return Air Drain Discharge Air Back Discharge climatemaster.com 9

46 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Condensate Piping Duct System Installation Horizontal Installation Exhibit B Page 10 of 64 Condensate Piping - Horizontal Units - A condensate drain line must be installed and pitched away for the unit to allow for proper drainage. This connection must meet all local plumbing/building codes. Pitch the unit toward the drain as shown in Figure 2 to improve the condensate drainage. On small units (less than 2.5 tons/8.8 kw), ensure that unit pitch does not cause condensate leaks inside the cabinet. Install condensate trap at each unit with the top of the trap positioned below the unit condensate drain connection as shown in Figure 6. Design the depth of the trap (water-seal) based upon the amount of ESP capability of the blower (where 2 inches [51mm] of ESP capability requires 2 inches [51mm] of trap depth). As a general rule, 1-1/2 inch [38mm] trap depth is the minimum. Each unit must be installed with its own individual trap and connection to the condensate line (main) or riser. Provide a means to flush or blow out the condensate line. DO NOT install units with a common trap and/or vent. Always vent the condensate line when dirt or air can collect in the line or a long horizontal drain line is required. Also vent when large units are working against higher external static pressure than other units connected to the same condensate main since this may cause poor drainage for all units on the line. WHEN A VENT IS INSTALLED IN THE DRAIN LINE, IT MUST BE LOCATED AFTER THE TRAP IN THE DIRECTION OF THE CONDENSATE FLOW. Figure 6: Horizontal Condensate Connection CAUTION! CAUTION! Ensure condensate line is pitched toward drain 1/4 per ft [21mm per m] of run. Duct System Installation - Proper duct sizing and design is critical to the performance of the unit. The duct system should be designed to allow adequate and even airflow through the unit during operation. Air flow through the unit MUST be at or above the minimum stated airflow for the unit to avoid equipment damage. Duct systems should be designed for quiet operation. Refer to Figure 3 for horizontal duct system details or Figure 8 for vertical duct system details. A flexible connector is recommended for both discharge and return air duct connections on metal duct systems to eliminate the transfer of vibration to the duct system. To maximize sound attenuation of the unit blower, the supply and return plenums should include internal fiberglass duct liner or be constructed from ductboard for the first few feet. Application of the unit to uninsulated ductwork in an unconditioned space is not recommended, as the unit s performance may be adversely affected. At least one 90 elbow should be included in the supply duct to reduce air noise. If air noise or excessive air flow is a problem, the blower speed can be changed. For airflow charts, consult submittal data for the series and model of the specific unit. If the unit is connected to existing ductwork, a previous check should have been made to ensure that the ductwork has the capacity to handle the airflow required for the unit. If ducting is too small, as in the replacement of a heating only system, larger ductwork should be installed. All existing ductwork should be checked for leaks and repaired as necessary. Vent *3/4" FPT Trap Depth 1.5" [38mm] Min 1.5" [38mm] 3/4" PVC or Copper by others 1/4" per foot (21mm per m) drain slope * Some units include a painted drain connection. Using a threaded pipe or similar device to clear any excess paint accumulated inside this fitting may ease final drain line installation. 10 ClimateMaster Water-Source Heat Pumps

47 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 11 of 64 Created: 01 August, 2011 Vertical Installation Vertical Unit Location - Units are not designed for outdoor installation. Locate the unit in an INDOOR area that allows enough space for service personnel to perform typical maintenance or repairs without removing unit from the mechanical room/closet. Vertical units are typically installed in a mechanical room or closet. Never install units in areas subject to freezing or where humidity levels could cause cabinet condensation (such as unconditioned spaces subject to 100% outside air). Consideration should be given to access for easy removal of the filter and access panels. Provide sufficient room to make water, electrical, and duct connection(s). Figure 7: Vertical Unit Mounting If the unit is located in a confined space, such as a closet, provisions must be made for return air to freely enter the space by means of a louvered door, etc. Any access panel screws that would be difficult to remove after the unit is installed should be removed prior to setting the unit. Refer to Figures 7 and 8 for typical installation illustrations. Refer to unit submittal data or engineering design guide for dimensional data. Air Pad or extruded polystyrene insulation board 1. Install the unit on a piece of rubber, neoprene orother mounting pad material for sound isolation. The pad should be at least 3/8 [10mm] to 1/2 [13mm] in thickness. Extend the pad beyond all four edges of the unit. 2. Provide adequate clearance for filter replacement and drain pan cleaning. Do not block filter access with piping, conduit or other materials. Refer to unit submittal data or engineering design guide for dimensional data. 3. Provide access for fan and fan motor maintenance and for servicing the compressor and coils without removing the unit. 4. Provide an unobstructed path to the unit within the closet or mechanical room. Space should be sufficient to allow removal of the unit, if necessary. 5. Provide access to water valves and fittings and screwdriver access to the unit side panels, discharge collar and all electrical connections. Figure 8: Typical Vertical Unit Installation Using Ducted Return Air Internally insulate supply duct for the first 4 (1.2m) each way to reduce noise Use turning vanes in supply transition Flexible canvas duct connector to reduce noise and vibration Rounded return transition Notice! Installation Note - Ducted Return: Many horizontal WSHPs are installed in a return air ceiling plenum application (above ceiling). Vertical WSHPs are commonly installed in a mechanical room with free return (e.g. louvered door). Therefore, filter rails are the industry standard and are included on ClimateMaster commercial heat pumps for the purposes of holding the filter only. For ducted return applications, the filter rail must be removed and replaced with a duct flange or filter rack. Canvas or flexible connectors should also be used to minimize vibration between the unit and ductwork. Internally insulate return transition duct to reduce noise climatemaster.com 11

48 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Vertical Installation Exhibit B Page 12 of 64 Sound Attenuation for Vertical Units - Sound attenuation is achieved by enclosing the unit within a small mechanical room or a closet. Additional measures for sound control include the following: 1. Mount the unit so that the return air inlet is 90 to the return air grille. Refer to Figure 9. Install a sound baffle as illustrated to reduce line-of sight sound transmitted through return air grilles. 2. Mount the unit on a rubber or neoprene isolation pad to minimize vibration transmission to the building structure. Figure 9: Vertical Sound Attenuation Figure 10a: Vertical Condensate Drain Water Connections *3/4" FPT Vent 3/4" PVC Alternate Condensate Location (21mm per m) * Some units include a painted drain connection. Using a threaded pipe or similar device to clear any excess paint accumulated inside this fitting may ease final drain line installation. Figure 10b: Vertical Internal Condensate Trap Notice! Units with clear plastic drain lines should have regular maintenance (as required) to avoid buildup of debris, especially in new construction. Condensate Piping for Vertical Units - A condensate line must be installed and pitched away from the unit to allow for proper drainage. This connection must meet all local plumbing/building codes. Vertical units utilize a condensate hose inside the cabinet as a trapping loop; therefore an external trap is not necessary. Figure 10a shows typical condensate connections. Figure 10b illustrates the internal trap for a typical vertical heat pump. Each unit must be installed with its own individual vent (where necessary) and a means to flush or blow out the condensate drain line. Do not install units with a common trap and/or vent. 12 ClimateMaster Water-Source Heat Pumps

49 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 13 of 64 Created: 01 August, 2011 Piping Installation Installation of Supply and Return Piping Follow these piping guidelines. 1. Install a drain valve at the base of each supply and return riser to facilitate system flushing. 2. Install shut-off / balancing valves and unions at each unit to permit unit removal for servicing. 3. Place strainers at the inlet of each system circulating pump. 4. Select the proper hose length to allow slack between connection points. Hoses may vary in length by +2% to -4% under pressure. 5. Refer to Table 1. Do not exceed the minimum bend radius for the hose selected. Exceeding the minimum bend radius may cause the hose to collapse, which reduces water flow rate. Install an angle adapter to avoid sharp bends in the hose when the radius falls below the required minimum. Insulation is not required on loop water piping except where the piping runs through unheated areas, outside the building or when the loop water temperature is below the minimum expected dew point of the pipe ambient conditions. Insulation is required if loop water temperature drops below the dew point (insulation is required for ground loop applications in most climates). Pipe joint compound is not necessary when Teflon thread tape is pre-applied to hose assemblies or when flared-end connections are used. If pipe joint compound is preferred, use compound only in small amounts on the external pipe threads of the fitting adapters. Prevent sealant from reaching the flared surfaces of the joint. Note: When antifreeze is used in the loop, ensure that it is compatible with the Teflon tape or pipe joint compound that is applied. Maximum allowable torque for brass fittings is 30 ft-lbs [41 N-m]. If a torque wrench is not available, tighten finger-tight plus one quarter turn. Tighten steel fittings as necessary. Installer Caution: After making water connections on units equipped with ClimaDry, ensure the three union nuts on the internal three-way water valve are tight. ClimaDry -equipped units have a manual air bleed valve at the top of the reheat coil. This valve must be used to bleed the air from the reheat coil after filling the system, for the ClimaDry to operate properly. CAUTION! Corrosive system water requires corrosion resistant fittings and hoses, and may require water treatment. CAUTION! Do not bend or kink supply lines or hoses. Table 1: Metal Hose Minimum Bend Radii Hose Diameter CAUTION! CAUTION! CAUTION! CAUTION! Piping must comply with all applicable codes. Minimum Bend Radii 1/2" [12.7mm] 2-1/2" [6.4cm] 3/4" [19.1mm] 4" [10.2cm] 1" [25.4mm] 5-1/2" [14cm] 1-1/4" [31.8mm] 6-3/4" [17.1cm] NOTICE! Do not allow hoses to rest against structural building components. Compressor vibration may be transmitted through the hoses to the structure, causing unnecessary noise complaints. Figure 11: Supply/Return Hose Kit Rib Crimped Swivel Brass Fitting Brass Fitting Optional pressure-rated hose assemblies designed specifically for use with ClimateMaster units are available. Similar hoses can be obtained from alternate suppliers. Supply and return hoses are fitted with swivel-joint fittings at one end to prevent kinking during installation. MPT Length (2 ft [0.6m] Length Standard) MPT Refer to Figure 11 for an illustration of a typical supply/ return hose kit. Adapters secure hose assemblies to the unit and risers. Install hose assemblies properly and check regularly to avoid system failure and reduced service life. climatemaster.com 13

50 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Water-Loop Heat Pump Applications Exhibit B Page 14 of 64 Commercial Water Loop Applications Commercial systems typically include a number of units connected to a common piping system. Any unit plumbing maintenance work can introduce air into the piping system; therefore air elimination equipment is a major portion of the mechanical room plumbing. Consideration should be given to insulating the piping surfaces to avoid condensation. ClimateMaster recommends unit insulation any time the water temperature is expected to be below 60ºF (15.6ºC). Metal to plastic threaded joints should never be used due to their tendency to leak over time. Teflon tape thread sealant is recommended to minimize internal fouling of the heat exchanger. Do not over tighten connections and route piping so as not to interfere with service or maintenance access. Hose kits are available from ClimateMaster in different configurations as shown in Figure 12 for connection between the unit and the piping system. Depending upon selection, hose kits may include shut off valves, P/T plugs for performance measurement, high pressure stainless steel braided hose, Y type strainer with blow down valve, and/or J type swivel connection. Balancing valves and an external low pressure drop solenoid valve for use in variable speed pumping systems may also be included in the hose kit. The piping system should be flushed to remove dirt, piping chips, and other foreign material prior to operation (see Piping System Cleaning and Flushing Procedures in this manual). The flow rate is usually set between 2.25 and 3.5 gpm per ton [2.9 and 4.5 l/m per kw] of cooling capacity. ClimateMaster recommends 3 gpm per ton [3.9 l/m per kw] for most applications of water loop heat pumps. To ensure proper maintenance and servicing, P/T ports are imperative for temperature and flow verification, as well as performance checks. Water loop heat pump (cooling tower/boiler) systems typically utilize a common loop, maintained between F [16-32 C]. The use of a closed circuit evaporative cooling tower with a secondary heat exchanger between the tower and the water loop is recommended. If an open type cooling tower is used continuously, chemical treatment and filtering will be necessary. Figure 12: Typical Water-Loop Application 3/8" [10mm] threaded rods (by others) Low Water Temperature Cutout Setting - CXM Control When antifreeze is selected, the FP1 jumper (JW3) should be clipped to select the low temperature (antifreeze 10.0 F [-12.2 C]) setpoint and avoid nuisance faults (see Low Water Temperature Cutout Selection in this manual). Note: Low water temperature operation requires extended range equipment. 14 ClimateMaster Water-Source Heat Pumps

51 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 15 of 64 Created: 01 August, 2011 Ground-Loop Heat Pump Applications CAUTION! CAUTION! The following instructions represent industry accepted installation practices for closed loop earth coupled heat pump systems. Instructions are provided to assist the contractor in installing trouble free ground loops. These instructions are recommendations only. State/provincial and local codes MUST be followed and installation MUST conform to ALL applicable codes. It is the responsibility of the installing contractor to determine and comply with ALL applicable codes and regulations. CAUTION! CAUTION! Ground loop applications require extended range equipment and optional refrigerant/water circuit insulation. Pre-Installation Prior to installation, locate and mark all existing underground utilities, piping, etc. Install loops for new construction before sidewalks, patios, driveways, and other construction has begun. During construction, accurately mark all ground loop piping on the plot plan as an aid in avoiding potential future damage to the installation. Piping Installation The typical closed loop ground source system is shown in Figure 13. All earth loop piping materials should be limited to polyethylene fusion only for in-ground sections of the loop. Galvanized or steel fittings should not be used at any time due to their tendency to corrode. All plastic to metal threaded fittings should be avoided due to their potential to leak in earth coupled applications. A flanged fitting should be substituted. P/T plugs should be used so that flow can be measured using the pressure drop of the unit heat exchanger. Earth loop temperatures can range between 25 and 110 F [-4 to 43 C]. Flow rates between 2.25 and 3 gpm [2.41 to 3.23 l/m per kw] of cooling capacity is recommended in these applications. Test individual horizontal loop circuits before backfilling. Test vertical U-bends and pond loop assemblies prior to installation. Pressures of at least 100 psi [689 kpa] should be used when testing. Do not exceed the pipe pressure rating. Test entire system when all loops are assembled. Flushing the Earth Loop Upon completion of system installation and testing, flush the system to remove all foreign objects and purge to remove all air. Antifreeze In areas where minimum entering loop temperatures drop below 40 F [5 C] or where piping will be routed through areas subject to freezing, antifreeze is required. Alcohols and glycols are commonly used as antifreeze; however your local sales office should be consulted to determine the antifreeze best suited to your area. Freeze protection should be maintained to 15 F [9 C] below the lowest expected entering loop temperature. For example, if 30 F [-1 C] is the minimum expected entering loop temperature, the leaving loop temperature would be 22 to 25 F [-6 to -4 C] and freeze protection should be at 15 F [-10 C]. Calculation is as follows: 30 F - 15 F = 15 F [-1 C - 9 C = -10 C]. All alcohols should be premixed and pumped from a reservoir outside of the building when possible or introduced under the water level to prevent fumes. Calculate the total volume of fluid in the piping system. Then use the percentage by volume shown in table 2 for the amount of antifreeze needed. Antifreeze concentration should be checked from a well mixed sample using a hydrometer to measure specific gravity. Low Water Temperature Cutout Setting - CXM Control When antifreeze is selected, the FP1 jumper (JW3) should be clipped to select the low temperature (antifreeze 10.0 F [-12.2 C]) setpoint and avoid nuisance faults (see Low Water Temperature Cutout Selection in this manual). Note: Low water temperature operation requires extended range equipment. Table 2: Antifreeze Percentages by Volume Type Methanol 100% USP food grade Propylene Glycol Ethanol* Minimum Temperature for Low Temperature Protection 10 F [-12.2 C] 15 F [-9.4 C] 20 F [-6.7 C] 25 F [-3.9 C] 25% 38% 29% 21% 25% 25% 16% 22% 20% 10% 15% 14% * Must not be denatured with any petroleum based product climatemaster.com 15

52 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Ground-Loop Heat Pump Applications Exhibit B Page 16 of 64 Figure 13: Typical Ground-Loop Application To Thermostat High and Low Voltage Knockouts Vibration Isolation Pad 16 ClimateMaster Water-Source Heat Pumps

53 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 17 of 64 Created: 01 August, 2011 Ground-Water Heat Pump Applications Open Loop - Ground Water Systems - Typical open loop piping is shown in Figure 14. Shut off valves should be included for ease of servicing. Boiler drains or other valves should be tee d into the lines to allow acid flushing of the heat exchanger. Shut off valves should be positioned to allow flow through the coax via the boiler drains without allowing flow into the piping system. P/T plugs should be used so that pressure drop and temperature can be measured. Piping materials should be limited to copper or PVC SCH80. Note: Due to the pressure and temperature extremes, PVC SCH40 is not recommended. Water quantity should be plentiful and of good quality. Consult table 3 for water quality guidelines. The unit can be ordered with either a copper or cupro-nickel water heat exchanger. Consult Table 3 for recommendations. Copper is recommended for closed loop systems and open loop ground water systems that are not high in mineral content or corrosiveness. In conditions anticipating heavy scale formation or in brackish water, a cupro-nickel heat exchanger is recommended. In ground water situations where scaling could be heavy or where biological growth such as iron bacteria will be present, an open loop system is not recommended. Heat exchanger coils may over time lose heat exchange capabilities due to build up of mineral deposits. Heat exchangers must only be serviced by a qualified technician, as acid and special pumping equipment is required. Desuperheater coils can likewise become scaled and possibly plugged. In areas with extremely hard water, the owner should be informed that the heat exchanger may require occasional acid flushing. In some cases, the desuperheater option should not be recommended due to hard water conditions and additional maintenance required. Water Quality Standards - Table 3 should be consulted for water quality requirements. Scaling potential should be assessed using the ph/calcium hardness method. If the ph <7.5 and the calcium hardness is less than 100 ppm, scaling potential is low. If this method yields numbers out of range of those listed, the Ryznar Stability and Langelier Saturation indecies should be calculated. Use the appropriate scaling surface temperature for the application, 150 F [66 C] for direct use (well water/open loop) and DHW (desuperheater); 90 F [32 F] for indirect use. A monitoring plan should be implemented in these probable scaling situations. Other water quality issues such as iron fouling, corrosion prevention and erosion and clogging should be referenced in Table 3. Expansion Tank and Pump - Use a closed, bladdertype expansion tank to minimize mineral formation due to air exposure. The expansion tank should be sized to provide at least one minute continuous run time of the pump using its drawdown capacity rating to prevent pump short cycling. Discharge water from the unit is not contaminated in any manner and can be disposed of in various ways, depending on local building codes (e.g. recharge well, storm sewer, drain field, adjacent stream or pond, etc.). Most local codes forbid the use of sanitary sewer for disposal. Consult your local building and zoning department to assure compliance in your area. Water Control Valve - Note the placement of the water control valve in Figure 14. Always maintain water pressure in the heat exchanger by placing the water control valve(s) on the discharge line to prevent mineral precipitation during the off-cycle. Pilot operated slow closing valves are recommended to reduce water hammer. If water hammer persists, a mini-expansion tank can be mounted on the piping to help absorb the excess hammer shock. Ensure that the total VA draw of the valve can be supplied by the unit transformer. For instance, a slow closing valve can draw up to 35VA. This can overload smaller 40 or 50 VA transformers depending on the other controls in the circuit. A typical pilot operated solenoid valve draws approximately 15VA (see Figure 19). Note the special wiring diagrams for slow closing valves (Figures 20 & 21). Flow Regulation - Flow regulation can be accomplished by two methods. One method of flow regulation involves simply adjusting the ball valve or water control valve on the discharge line. Measure the pressure drop through the unit heat exchanger, and determine flow rate from Table 9. Since the pressure is constantly varying, two pressure gauges may be needed. Adjust the valve until the desired flow of 1.5 to 2 gpm per ton [2.0 to 2.6 l/m per kw] is achieved. A second method of flow control requires a flow control device mounted on the outlet of the water control valve. The device is typically a brass fitting with an orifice of rubber or plastic material that is designed to allow a specified flow rate. On occasion, flow control devices may produce velocity noise that can be reduced by applying some back pressure from the ball valve located on the discharge line. Slightly closing the valve will spread the pressure drop over both devices, lessening the velocity noise. Note: When EWT is below 50 F [10 C], 2 gpm per ton (2.6 l/m per kw) is required. climatemaster.com 17

54 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Ground-Water Heat Pump Applications Exhibit B Page 18 of 64 Water Coil Low Temperature Limit Setting - For all open loop systems the 30 F [-1.1 C] FP1 setting (factory setting-water) should be used to avoid freeze damage to the unit. See Low Water Temperature Cutout Selection in this manual for details on the low limit setting. Figure 14: Typical Open Loop/Well Application Water Control Valve Flow Regulator Pressure Tank Water Out Water In P/T Plugs Optional Filter Boiler Drains Shut-Off Valve 18 ClimateMaster Water-Source Heat Pumps

55 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 19 of 64 Created: 01 August, 2011 Water Quality Standards Table 3: Water Quality Standards Water Quality Parameter HX Material Closed Recirculating Open Loop and Recirculating Well Scaling Potential - Primary Measurement Above the given limits, scaling is likely to occur. Scaling indexes should be calculated using the limits below ph/calcium Hardness Method All - ph < 7.5 and Ca Hardness <100ppm Index Limits for Probable Scaling Situations - (Operation outside these limits is not recommended) Scaling indexes should be calculated at 66 C for direct use and HWG applications, and at 32 C for indirect HX use. A monitoring plan should be implemented. Ryznar Stability Index All If >7.5 minimize steel pipe use. Langelier to +0.5 All Saturation Index If <-0.5 minimize steel pipe use. Based upon 66 C HWG and Direct well, 29 C Indirect Well HX Iron Fouling Iron Fe 2+ (Ferrous) (Bacterial Iron potential) Iron Fouling Corrosion Prevention ph Hydrogen Sulfide (H 2 S) Ammonia ion as hydroxide, chloride, nitrate and sulfate compounds Maximum Chloride Levels Erosion and Clogging Particulate Size and Erosion All All All All All - <0.2 ppm (Ferrous) If Fe 2+ (ferrous)>0.2 ppm with ph 6-8, O2<5 ppm check for iron bacteria. - <0.5 ppm of Oxygen Above this level deposition will occur Monitor/treat as Minimize steel pipe below 7 and no open tanks with ph <8 needed - <0.5 ppm At H 2 S>0.2 ppm, avoid use of copper and copper nickel piping or HX's. Rotten egg smell appears at 0.5 ppm level. Copper alloy (bronze or brass) cast components are OK to <0.5 ppm. - <0.5 ppm Maximum Allowable at maximum water temperature. 10 C 24 C 38 C Copper - <20ppm NR NR Cupronickel - <150 ppm NR NR 304 SS - <400 ppm <250 ppm <150 ppm 316 SS - <1000 ppm <550 ppm < 375 ppm Titanium - >1000 ppm >550 ppm >375 ppm All <10 ppm of particles and a maximum velocity of 1.8 m/s Filtered for maximum 841 micron [0.84 mm, 20 mesh] size. <10 ppm (<1 ppm "sandfree for reinjection) of particles and a maximum velocity of 1.8 m/s. Filtered for maximum 841 micron 0.84 mm, 20 mesh] size. Any particulate that is not removed can potentially clog components. Notes: Closed Recirculating system is identified by a closed pressurized piping system. Recirculating open wells should observe the open recirculating design considerations. NR - Application not recommended. "-" No design Maximum. climatemaster.com 19

56 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Electrical - Line Voltage Exhibit B Page 20 of 64 Electrical - Line Voltage - All field installed wiring, including electrical ground, must comply with the National Electrical Code as well as all applicable local codes. Refer to the unit electrical data for fuse sizes. Consult wiring diagram for field connections that must be made by the installing (or electrical) contractor. All final electrical connections must be made with a length of flexible conduit to minimize vibration and sound transmission to the building. General Line Voltage Wiring - Be sure the available power is the same voltage and phase shown on the unit serial plate. Line and low voltage wiring must be done in accordance with local codes or the National Electric Code, whichever is applicable. Transformer - All 208/230 voltage units are factory wired for 208 volt. If supply voltage is 230 volt, installer must rewire transformer. See wire diagram for connections. WARNING! WARNING! To avoid possible injury or death due to electrical shock, open the power supply disconnect switch and secure it in an open position during installation. CAUTION! CAUTION! Use only copper conductors for field installed electrical wiring. Unit terminals are not designed to accept other types of conductors. Table 4a: Tranquility 20 (TS) Series Electrical Data - (PSC Motor & ClimaDry ) Model Voltage Code All TS Units with Standard PSC Motor Rated Voltage Voltage Min/Max Compressor Fan Motor FLA Total Unit FLA TS Units (PSC) Min Circuit Amp Max Fuse/ HACR TS Units with PSC Fan Motor and ClimaDry Reheat Pump FLA Total Unit FLA Min Circuit Amp QTY RLA LRA G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A Max Fuse/ HACR * NEUTRAL CONNECTION REQUIRED! All F Voltage (460 vac) units with ClimaDry require a four wire power supply with neutral. Reheat pump is rated 265 vac and is wired between one hot leg and neutral. 20 ClimateMaster Water-Source Heat Pumps

57 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 21 of 64 Created: 01 August, 2011 Electrical - Line Voltage Table 4b: Tranquility 20 (TS) Series Electrical Data - (PSC High Static Motor & ClimaDry ) Model All TS Units with High Static PSC Fan Motor Voltage Code Rated Voltage Voltage Min/Max Compressor QTY RLA LRA Fan Motor FLA TS (H.S. PSC) Units Total Unit FLA Min Circuit Amp Max Fuse/ HACR TS Units with H.S. PSC Fan Motor and ClimaDry Reheat Pump FLA Total Unit FLA Min Circuit Amp G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A Max Fuse/ HACR * NEUTRAL CONNECTION REQUIRED! All F Voltage (460 vac) units with ClimaDry require a four wire power supply with neutral. Reheat pump is rated 265 vac and is wired between one hot leg and neutral. climatemaster.com 21

58 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Electrical - Line Voltage Exhibit B Page 22 of 64 Table 4c: Tranquility 20 (TS) Series Electrical Data - (ECM Motor & ClimaDry ) Model Voltage Code All TS Units with ECM Fan Motor TS Units (ECM) TS Units with ECM Fan Motor and ClimaDry Compressor Fan Total Min Max Reheat Total Min Rated Voltage Motor Unit Circuit Fuse/ Pump Unit Circuit Voltage Min/Max QTY RLA LRA FLA FLA Amp HACR FLA FLA Amp G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ Max Fuse/ HACR * NEUTRAL CONNECTION REQUIRED! All F Voltage (460 vac) units with ECM motors/climadry require a four wire power supply with neutral. ECM motors/reheat pumps are rated 265 vac and are wired between one hot leg and neutral. 22 ClimateMaster Water-Source Heat Pumps

59 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 23 of 64 Created: 01 August, 2011 Electrical - Line Voltage Table 4d: Tranquility 20 (TS) Series Electrical Data - (PSC Motor & Secondary Pump) Model Voltage Code All TS Units with Standard PSC Motor Rated Voltage Voltage Min/ Max Compressor QTY RLA LRA Fan Motor FLA Total Unit FLA TS Units (PSC) Min Circuit Amp Max Fuse/ HACR TS Units with PSC Fan Motor and Secondary Pump Pump FLA Total Unit FLA Min Circuit Amp G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ N/A N/A N/A N/A G /60/1 197/ E 265/60/1 239/ N/A N/A N/A N/A G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A Max Fuse/ HACR * NEUTRAL CONNECTION REQUIRED! All F Voltage (460 vac) units with internal secondary circulators require a four wire power supply with neutral. Internal secondary circulators are rated 265 vac and are wired between one hot leg and neutral. climatemaster.com 23

60 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Electrical - Line Voltage Exhibit B Page 24 of 64 Table 4e: Tranquility 20 (TS) Series Electrical Data - (PSC High Static Motor & Secondary Pump) Model All TS Units with High Static PSC Fan Motor TS (H.S. PSC) Units TS Units with H.S. PSC Fan Motor and Secondary Pump Voltage Compressor Fan Total Min Max Total Min Max Voltage Rated Pump Min/ Motor Unit Circuit Fuse/ Unit Circuit Fuse/ Code Voltage FLA Max QTY RLA LRA FLA FLA Amp HACR FLA Amp HACR G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ N 575/60/3 518/ N/A N/A N/A N/A * NEUTRAL CONNECTION REQUIRED! All F Voltage (460 vac) units with internal secondary circulators require a four wire power supply with neutral. Internal secondary circulators are rated 265 vac and are wired between one hot leg and neutral. 24 ClimateMaster Water-Source Heat Pumps

61 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 25 of 64 Created: 01 August, 2011 Electrical - Line Voltage Table 4f: Tranquility 20 (TS) Series Electrical Data - (ECM Motor & Secondary Pump) Model Voltage Code All TS Units with ECM Fan Motor Rated Voltage Voltage Min/Max Compressor QTY RLA LRA Fan Motor FLA Total Unit FLA TS Units (ECM) Min Circuit Amp Max Fuse/ HACR TS Units with ECM Fan Motor and Secondary Pump Pump FLA Total Unit FLA Min Circuit Amp G /60/1 197/ E 265/60/1 239/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ E 265/60/1 239/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ G /60/1 197/ H /60/3 197/ F* 460/60/3* 414/ Max Fuse/ HACR * NEUTRAL CONNECTION REQUIRED! All F Voltage (460 vac) units with ECM motors/internal secondary circulators require a four wire power supply with neutral. ECM motors/internal secondary circulators are rated 265 vac and are wired between one hot leg and neutral. climatemaster.com 25

62 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Electrical - Power Wiring Exhibit B Page 26 of 64 WARNING! WARNING! Disconnect electrical power source to prevent injury or death from electrical shock. CAUTION! CAUTION! Use only copper conductors for field installed electrical wiring. Unit terminals are not designed to accept other types of conductors. Electrical - Line Voltage - All field installed wiring, including electrical ground, must comply with the National Electrical Code as well as all applicable local codes. Refer to the unit electrical data for fuse sizes. Consult wiring diagram for field connections that must be made by the installing (or electrical) contractor. All final electrical connections must be made with a length of flexible conduit to minimize vibration and sound transmission to the building. General Line Voltage Wiring - Be sure the available power is the same voltage and phase shown on the unit serial plate. Line and low voltage wiring must be done in accordance with local codes or the National Electric Code, whichever is applicable. Figure 15: Single Phase Line Voltage Field Wiring. Three phase wiring is similar except that all three power wires are directly connected to the contactor. Power Connection - Line voltage connection is made by connecting the incoming line voltage wires to the L side of the contractor as shown in Figure 15 or to the optional service disconnect when provided. Consult electrical data tables for correct fuse size. Transformer - All 208/230 voltage units are factory wired for 208 volt. If supply voltage is 230 volt, installer must rewire transformer. See wire diagram for connections. Blower Speed Selection Units with PSC Motor - PSC (Permanent Split Capacitor) blower fan speed can be changed by moving the blue wire on the fan motor terminal block to the desired speed as shown in Figure 16. Most ClimateMaster units are shipped on the medium speed tap. Consult submittal data or engineering design guide for specific unit airflow tables. Typical unit design delivers rated airflow at nominal static (0.15 in. w.g. [37Pa]) on medium speed and rated airflow at a higher static (0.4 to 0.5 in. w.g. [100 to 125 Pa]) on high speed for applications where higher static is required. Low speed will deliver approximately 85% of rated airflow at 0.10 in. w.g. [25 Pa]. An optional high static blower is available on some models. Special Note for AHRI Testing: To achieve rated airflow for AHRI testing purposes on all PSC products, it is necessary to change the fan speed to HI speed. When the heat pump has experienced less than 100 operational hours and the coil has not had sufficient time to be seasoned, it is necessary to clean the coil with a mild surfactant such as Calgon to remove the oils left by manufacturing processes and enable the condensate to properly sheet off of the coil. Figure 16: PSC Motor Speed Selection Connect the blue wire to: H for High speed fan M for Medium speed fan L for Low speed fan Medium is factory setting Unit Power Supply (see electrical table for wire and breaker size) Note: 460V units with ECM motor require a neutral wire. Fan Motor 26 ClimateMaster Water-Source Heat Pumps

63 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 27 of 64 Created: 01 August, 2011 Electrical - Power & Low Voltage Wiring Thermostat Connections - The thermostat should be wired directly to the CXM or DXM board (units with PSC fan). Units with optional ECM motor include factory wiring from the CXM or DXM board to the ECM interface board. Thermostat wiring for these units should be connected to the ECM interface board. Figure 17 shows wiring for units with PSC or ECM motor. See Electrical Thermostat for specific terminal connections. Review the appropriate AOM (Application, Operation and Maintenance) manual for units with DDC controls. Figure 17: TT/TS Low Voltage Field Wiring Low voltage field wiring for units with PSC FAN (ECM board will not be present) Low Water Temperature Cutout Selection - The CXM/ DXM control allows the field selection of low water (or water-antifreeze solution) temperature limit by clipping jumper JW3, which changes the sensing temperature associated with thermistor FP1. Note that the FP1 thermistor is located on the refrigerant line between the coaxial heat exchanger and expansion device (TXV). Therefore, FP1 is sensing refrigerant temperature, not water temperature, which is a better indication of how water flow rate/temperature is affecting the refrigeration circuit. The factory setting for FP1 is for systems using water (30 F [-1.1 C] refrigerant temperature). In low water temperature (extended range) applications with antifreeze (most ground loops), jumper JW3 should be clipped as shown in Figure 18 to change the setting to 10 F [-12.2 C] refrigerant temperature, a more suitable temperature when using an antifreeze solution. All ClimateMaster units operating with entering water temperatures below 60 F [15.6 C] must include the optional water/refrigerant circuit insulation package to prevent internal condensation. Low voltage field wiring for units with ECM fan climatemaster.com 27

64 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Electrical - Low Voltage Wiring Exhibit B Page 28 of 64 Figure 18: FP1 Limit Setting CXM PCB JW3-FP1 jumper should be clipped for low temperature operation Accessory Connections A terminal paralleling the compressor contactor coil has been provided on the CXM/DXM control. Terminal A is designed to control accessory devices, such as water valves. Note: This terminal should be used only with 24 Volt signals and not line voltage. Terminal A is energized with the compressor contactor. See Figure 19 or the specific unit wiring diagram for details. Low Voltage VA Ratings Component VA Typical Blower Relay 6-7 Typical Reversing Valve Solenoid A Compressor Contactor 6-9 Subtotal CXM board (5-9 VA)* Remaing VA for Accessories Water Solenoid Valves - An external solenoid valve(s) should be used on ground water installations to shut off flow to the unit when the compressor is not operating. A slow closing valve may be required to help reduce water hammer. Figure 19 shows typical wiring for a 24VAC external solenoid valve. Figures 20 and 21 illustrate typical slow closing water control valve wiring for Taco 500 series (ClimateMaster P/N AVM) and Taco SBV series valves. Slow closing valves take approximately 60 seconds to open (very little water will flow before 45 seconds). Once fully open, an end switch allows the compressor to be energized. Only relay or triac based electronic thermostats should be used with slow closing valves. When wired as shown, the slow closing valve will operate properly with the following notations: 1. The valve will remain open during a unit lockout. 2. The valve will draw approximately VA through the Y signal of the thermostat. Note: This valve can overheat the anticipator of an electromechanical thermostat. Therefore, only relay or triac based thermostats should be used. Figure 20: AVM Valve Wiring C 1 Y1 2 3 Heater Switch AVM Taco Valve + DXM board (8-12 VA)* Remaing VA for Accessories *Standard transformer for CXM board is 50VA. Optional DXM board and/or DDC controls include 75VA transformer. C Y1 Thermostat Figure 21: Taco SBV Valve Wiring Figure 19: Accessory Wiring 28 ClimateMaster Water-Source Heat Pumps

65 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 29 of 64 Created: 01 August, 2011 Electrical - Thermostat Wiring Thermostat Installation - The thermostat should be located on an interior wall in a larger room, away from supply duct drafts. DO NOT locate the thermostat in areas subject to sunlight, drafts or on external walls. The wire access hole behind the thermostat may in certain cases need to be sealed to prevent erroneous temperature measurement. Position the thermostat back plate against the wall so that it appears level and so the thermostat wires protrude through the middle of the back plate. Mark the position of the back plate mounting holes and drill holes with a 3/16 (5mm) bit. Install supplied anchors and secure plate to the wall. Thermostat wire must be 18 AWG wire. Representative thermostat wiring is shown in Figures 22a-c however, actual wiring connections should be determined from the thermostat IOM and or unit wiring diagram. Practically any heat pump thermostat will work with ClimateMaster units, provided it has the correct number of heating and cooling stages. Figure 22a: Units With PSC Fan Connection to CXM Control ATM11C11 Thermostat Compressor Y W Reversing Valve O Fan G 24Vac Hot R Connection to DXM Control ATM11C11 Thermostat CXM Y O G R DXM Figure 22b: Units With ECM Fan. Connection to ECM Control ATP32U03 Thermostat Compressor Heating Stage 2 Reversing Valve Fan 24Vac Hot 24Vac Common Fault LED Y1 Y2 O G R C L ECM Interface Board Y Y2 O G R C AL1 Compressor Reversing Valve Fan 24Vac Hot Y W O G R Y1 O/W2 G R Figure 22c: Units with ClimaDry Reheat Connection to DXM Control (PSC Fan) ATP32U04 Thermostat DXM Field Wiring Factory Wiring Compressor Dehumidification Reversing Valve Fan 24Vac Hot 24Vac Common Fault LED Electric Heat Y1 DH O G R C L W1 Y1 H O/W2 G R C AL1 W Single stage unit with ClimaDry Modulating Reheat Option and PSC fan climatemaster.com 29

66 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 TS Blower Performance Data - (ECM Motor) - Standard Unit - No Reheat Exhibit B Page 30 of 64 Residential Airflow in CFM with wet coil and clean air filter Units Only Model Max Fan Cooling Mode Dehumid Mode Heating Mode Aux/ Tap AUX ESP Motor Emerg Setting CFM (in. wg) (hp) Stg 1 Stg 2 Fan Stg 1 Stg 2 Fan Stg 1 Stg 2 Fan Mode / / / / / See ECM control section for details on setting taps. Bold numbers indicate factory settings. During Auxiliary operation the CFM will run at the higher of the Heating (Delay jumper) or AUX settings. Airflow is controlled within 5% up to the Max ESP shown with wet coil. Do not select Dehumidification mode if HP CFM is on setting 1. All units AHRI/ISO/ASHRAE rated HP CFM Setting 3. Tranquility 20 (TS) Series with ClimaDry Reheat Option (ECM Motor) - All Tranquility 20 (TS) units with optional ECM fan motor automatically adjusts for the reheat coil. The small additional pressure drop of the reheat coil causes the ECM motor to slightly increase RPM to overcome the added pressure drop, and maintain selected CFM up to the maximum ESP. 30 ClimateMaster Water-Source Heat Pumps

67 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 31 of 64 Created: 01 August, 2011 TS Blower Performance Data - Standard Unit - No Reheat (PSC Motor) Model Airflow in CFM with wet coil and clean air filter Fan Speed Rated Airflow Min CFM Airflow (cfm) at External Static Pressure (in. wg) HI MED LO HI MED LO HI MED LO HI MED LO HS HI HS MED HS LO HI MED LO HS HI HS MED HS LO HI MED LO HS HI HS MED HS LO HI MED LO HS HI HS MED HS LO HI MED LO HS HI HS MED HS LO HI MED LO HS HI HS MED HS LO HI MED LO HS HI HS MED HS LO HI MED LO Black areas denote ESP where operation is not recommended. Units factory shipped on medium speed. Other speeds require field selection. All airflow is rated and shown above at the lower voltage if unit is dual voltage rated, e.g. 208V for V units. Only two speed fan (H & M) available on 575V units. Performance stated is at the rated power supply, performance may vary as the power supply varies from the rated. HS = High static fan option climatemaster.com 31

68 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 TS Blower Performance Data - Units with ClimaDry (PSC Motor) Exhibit B Page 32 of 64 Coil Face Velocity FPM TSH/V/D 018 In. of Water TSH/V/D 024, 030 In. of Water TSH/V/D with Reheat ESP Loss TSH/V/D 036 In. of Water TSH/V/D 042, 048 In. of Water TSH/V/D 060, 070 In. of Water For TS units with ClimaDry Reheat coil applications, calculate face velocity of the entering air. From the table above, find ESP for Reheat application. The loss includes wet coil loss. Example: Reheat coil loss can be determined from the above table. Coil velocity (FPM) = Airflow (CFM) / Face Area (sq. ft.) 1. TSH036 has a face area of 4.86 sq. ft. (see physical data table). 2. At 1,100 cfm, coil velocity (FPM) = 1,100 / 4.86 = 226 FPM 3. From above table, it will be necessary to subtract from the blower performance ESP. 4. On medium speed, the TSH036 (without reheat - see blower table) can deliver 1,100 CFM at 0.28 in. wg. with the standard PSC motor; with the reheat coil, it now delivers 1,085 CFM at 0.28 in. wg. or 1,100 CFM at 0.24 in. wg. 5. If the decrease in airflow is acceptable, no changes are necessary. Otherwise, high speed fan should be used to overcome the pressure drop of the reheat coil. 32 ClimateMaster Water-Source Heat Pumps

69 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 33 of 64 Created: 01 August, 2011 ECM Blower Control The ECM fan is controlled by an interface board that converts thermostat inputs and field selectable CFM settings to signals used by the ECM motor controller. Units manufactured before July 2005 have version I (P/N ). Units manufactured after July 2005 have version II (P/N 17B0019N01). Fan speeds are selected with jumpers for version I or via a nine position DIP switch for version II. To take full advantage of the ECM motor features, a multi-stage thermostat should be used (2-stage heat/2-stage cool or 3-stage heat/2-stage cool). Note: Power must be off to the unit for at least three seconds before the ECM motor will recognize a speed change. The motor will recognize a change in the CFM Adjust or dehumidification mode settings while the unit is powered. There are four different airflow settings from lowest airflow rate (speed tap 1) to the highest airflow rate (speed tap 4). The charts below indicate settings for Version II of the ECM interface board, followed by detailed information for each setting. Figure 23: ECM Version II Interface Layout 1/4" Spade Connections to CXM or DXM Board Thermostat Connections Dehumidification LED R C Y2 Y1 G O W C R DH AL1 A A AL1 TB1 G Y1 Y2 G G G G R G DEHUM freeze-up, tap 1 may not be used if the dehumidification mode is selected. Consult submittal data or specifications catalog for the specific unit series and model to correlate speed tap setting to airflow in CFM. Heating Settings: The heating setting determines the heating CFM. Tap 1 is the lowest CFM setting, while tap 4 is the highest CFM setting. Consult submittal data or specifications catalog for the specific unit series and model to correlate speed tap setting to airflow in CFM. O SW1 SW2 SW3 SW4 SW5 SW6 SW7 SW8 SW9 OFF ON Fan Speed Selection DIP Switch W CFM S1 Y J1 Thermostat Input LEDs CFM Counter 1 flash per 100 CFM ECM Motor Low Voltage Connector Auxiliary/Emergency Heat Settings: The auxiliary/ emergency heat setting determines the CFM when the unit is in auxiliary heat or emergency heat mode. This setting is used for residential units with internal electric heat. When auxiliary electric heat is energized (i.e. compressor and electric heat), the greater of the auxiliary/emergency or heating setting will be used. A G (fan) signal must be present from the thermostat for electric heat to operate. Consult the submittal data or specifications catalog for the specific unit series and model to correlate speed tap setting to airflow in CFM. Cooling Settings: The cooling setting determines the cooling (normal) CFM for all units with ECM motor. Cooling (normal) setting is used when the unit is not in dehumidification mode. Tap 1 is the lowest CFM setting, while tap 4 is the highest CFM setting. To avoid air coil CFM Adjust Settings: The CFM adjust setting allows four selections. The NORM setting is the factory default position. The + or settings adjust the airflow by +/- 5%. The +/- settings are used to fine tune airflow adjustments. The TEST setting runs the ECM motor at 400 CFM/ton, example 2-ton = 800 CFM. Dehumidification Mode Settings: The dehumidification mode setting provides field selection of humidity control. When operating in the normal mode, the cooling airflow settings are determined by the cooling tap setting above. climatemaster.com 33

70 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 ECM Blower Control Exhibit B Page 34 of 64 When dehumidification is enabled there is a reduction in airflow in cooling to increase the moisture removal of the heat pump. Consult submittal data or specifications catalog for the specific unit series and model to correlate speed tap to airflow in CFM. The dehumidification mode can be enabled in two ways. 1. Constant Dehumidification Mode: When the dehumidification mode is selected (via DIP switch or jumper setting), the ECM motor will operatewith a multiplier applied to the cooling CFM settings (approx % lower airflow). Any time the unit is running in the cooling mode, it will operate at the lower airflow to improve latent capacity. The DEHUM LED will be illuminated at all times. Heating airflow is not affected Note: Do not select dehumidification mode if cooling setting is tap Automatic (Humidistat-controlled) Dehumidification Mode: When the dehumidification mode is selected (via DIP switch or jumper setting AND a humidistat is connected to terminal DH(version II) or HUM (version I), the cooling airflow will only be reduced when the humidistat senses that additional dehumidification is required. The DH (or HUM) terminal is reverse logic. Therefore, a humidistat (not dehumidistat) is required. The DEHUM LED will be illuminated only when the humidistat is calling for dehumidification mode. Heating airflow is not affected. Note: Do not select dehumidification mode if cooling setting is tap 1. The ECM motor includes soft start and ramp down features. The soft start feature is a gentle increase of motor rpm at blower start up. This creates a much quieter blower start cycle. The ramp down feature allows the blower to slowly decrease rpm to a full stop at the end of each blower cycle. This creates a much quieter end to each blower cycle and adds overall unit efficiency. The ramp down feature may be eliminated during an ESD (Emergency Shut Down) situation when using a DXM unit controller. A DPDT relay is required to break the line voltage to the ECM motor during ESD. This relay can be wired as shown below to eliminate the ramp down (and operation) of the ECM blower motor. To ESD on DXM To R on DXM ESD Signal (field input) 34 ClimateMaster Water-Source Heat Pumps

71 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 35 of 64 Created: 01 August, 2011 Typical Wiring Diagram - Units with CXM Board and ECM Fan Motor (Single Phase) climatemaster.com 35

72 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Exhibit B Page 36 of 64 Typical Wiring Diagram - Units with CXM Board and PSC Fan Motor (Single Phase) 36 ClimateMaster Water-Source Heat Pumps

73 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 37 of 64 Created: 01 August, 2011 Typical Wiring Diagram - Units with DXM Board and PSC Fan Motor (Three Phase) climatemaster.com 37

74 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Typical Wiring Diagram - Units with CXM Board, ECM Fan Motor, and MPC (DDC) CONTROLS (SINGLE PHASE) Exhibit B Page 38 of ClimateMaster Water-Source Heat Pumps

75 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 39 of 64 Created: 01 August, 2011 CXM Controls CXM Control - For detailed control information, see CXM or DXM Application, Operation and Maintenance (AOM) manual (part # 97B0003N12 or part #97B0003N13). Field Selectable Inputs - Test mode: Test mode allows the service technician to check the operation of the control in a timely manner. By momentarily shorting the test terminals, the CXM control enters a 20 minute test mode period in which all time delays are sped up 15 times. Upon entering test mode, the status LED will flash a code representing the last fault. For diagnostic ease at the thermostat, the alarm relay will also cycle during test mode. The alarm relay will cycle on and off similar to the status LED to indicate a code representing the last fault, at the thermostat. Test mode can be exited by shorting the test terminals for 3 seconds. Retry Mode: If the control is attempting a retry of a fault, the status LED will slow flash (slow flash = one flash every 2 seconds) to indicate the control is in the process of retrying. Field Configuration Options - Note: In the following field configuration options, jumper wires should be clipped ONLY when power is removed from the CXM control. Water coil low temperature limit setting: Jumper 3 (JW3- FP1 Low Temp) provides field selection of temperature limit setting for FP1 of 30 F or 10 F [-1 F or -12 C] (refrigerant temperature). Not Clipped = 30 F [-1 C]. Clipped = 10 F [-12 C]. Air coil low temperature limit setting: Jumper 2 (JW2- FP2 Low Temp) provides field selection of temperature limit setting for FP2 of 30 F or 10 F [-1 F or -12 C] (refrigerant temperature). Note: This jumper should only be clipped under extenuating circumstances, as recommended by the factory. Not Clipped = 30 F [-1 C]. Clipped = 10 F [-12 C]. Alarm relay setting: Jumper 1 (JW1-AL2 Dry) provides field selection of the alarm relay terminal AL2 to be jumpered to 24VAC or to be a dry contact (no connection). Not Clipped = AL2 connected to R. Clipped = AL2 dry contact (no connection). DIP Switches - Note: In the following field configuration options, DIP switches should only be changed when power is removed from the CXM control. DIP switch 1: Unit Performance Sentinel Disable - provides field selection to disable the UPS feature. On = Enabled. Off = Disabled. DIP switch 2: Stage 2 Selection - provides selection of whether compressor has an on delay. If set to stage 2, the compressor will have a 3 second delay before energizing. Also, if set for stage 2, the alarm relay will NOT cycle during test mode. On = Stage 1. Off = Stage 2 DIP switch 3: Not Used. DIP switch 4: DDC Output at EH2 - provides selection for DDC operation. If set to DDC Output at EH2, the EH2 terminal will continuously output the last fault code of the controller. If set to EH2 normal, EH2 will operate as standard electric heat output. On = EH2 Normal. Off = DDC Output at EH2. Note: Some CXM controls only have a 2 position DIP switch package. If this is the case, this option can be selected by clipping the jumper which is in position 4 of SW1. Jumper not clipped = EH2 Normal. Jumper clipped = DDC Output at EH2. DIP switch 5: Factory Setting - Normal position is On. Do not change selection unless instructed to do so by the factory. Table 5a: CXM/DXM LED And Alarm Relay Operations Description of Operation LED Alarm Relay Normal Mode On Open Normal Mode with UPS Warning On Cycle (closed 5 sec., Open 25 sec.) CXM is non-functional Off Open Fault Retry Slow Flash Open Lockout Fast Flash Closed Over/Under Voltage Shutdown Slow Flash Open (Closed after 15 minutes) Test Mode - No fault in memory Flashing Code 1 Cycling Code 1 Test Mode - HP Fault in memory Flashing Code 2 Cycling Code 2 Test Mode - LP Fault in memory Flashing Code 3 Cycling Code 3 Test Mode - FP1 Fault in memory Flashing Code 4 Cycling Code 4 Test Mode - FP2 Fault in memory Flashing Code 5 Cycling Code 5 Test Mode - CO Fault in memory Flashing Code 6 Cycling Code 6 Test Mode - Over/Under shutdown in memory Flashing Code 7 Cycling Code 7 Test Mode - UPS in memory Flashing Code 8 Cycling Code 8 Test Mode - Swapped Thermistor Flashing Code 9 Cycling Code 9 -Slow Flash = 1 flash every 2 seconds -Fast Flash = 2 flashes every 1 second -Flash code 2 = 2 quick flashes, 10 second pause, 2 quick flashes, 10 second pause, etc. -On pulse 1/3 second; off pulse 1/3 second CAUTION! CAUTION! Do not restart units without inspection and remedy of faulting condition. Equipment damage may occur. climatemaster.com 39

76 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 DXM Controls Exhibit B Page 40 of 64 DXM Control - For detailed control information, see CXM AOM (part # 97B0003N12), DXM AOM (part #97B0003N13), Lon controller AOM (part #97B0013N01) or MPC AOM (part # 97B0031N01). Table 5b: DXM LED And Alarm Relay Operations Description of Operation Status LED (green) Test LED (yellow) Fault LED (red) Alarm Relay Normal mode On - Off Open Normal mode with UPS On - Flashing Code 8 Cycle (closed 5 sec, open 25 sec) DXM is non-functional Off Off Off Open Fault Retry Slow Flash - Flashing fault code Open Lockout Fast Flash - Flashing fault code Closed Test Mode - On - - Night Setback Flashing Code ESD Flashing Code Invalid T-stat Inputs Flashing Code HP Fault Slow Flash - Flashing Code 2 Open LP Fault Slow Flash - Flashing Code 3 Open FP1 Fault Slow Flash - Flashing Code 4 Open FP2 Fault Slow Flash - Flashing Code 5 Open CO Fault Slow Flash - Flashing Code 6 Open Over/Under Voltages Slow Flash - Flashing Code 7 -Slow Flash = 1 flash every 2 seconds -Fast Flash = 2 flashes every 1 second -Flash code 2 = 2 quick flashes, 10 second pause, 2 quick flashes, 10 second pause, etc. -On pulse 1/3 second; off pulse 1/3 second Water coil low temperature limit setting: Jumper 3 (JW3- FP1 Low Temp) provides field selection of temperature limit setting for FP1 of 30 F or 10 F [-1 F or -12 C] (refrigerant temperature). Not Clipped = 30 F [-1 C]. Clipped = 10 F [-12 C]. Air coil low temperature limit setting: Jumper 2 (JW2-FP2 Low Temp) provides field selection of temperature limit setting for FP2 of 30 F or 10 F [-1 F or -12 C] (refrigerant temperature). Note: This jumper should only be clipped under extenuating circumstances, as recommended by ClimateMaster technical services. Not Clipped = 30 F [-1 C]. Clipped = 10 F [-12 C]. Alarm relay setting: Jumper 4 (JW4-AL2 Dry) provides field selection of the alarm relay terminal AL2 to be jumpered to 24VAC or to be a dry contact (no connection). Not Clipped = AL2 connected to R. Clipped = AL2 dry contact (no connection). Low pressure normally open: Jumper 1 (JW1-LP norm open) provides field selection for low pressure input to be normally closed or normally open. Not Clipped = LP normally closed. Clipped = LP normally open. Open (closed after 15 minutes) Field Selectable Inputs - Test mode: Test mode allows the service technician to check the operation of the control in a timely manner. By momentarily shorting the test terminals, the DXM control enters a 20 minute test mode period in which all time delays are sped up 15 times. Upon entering test mode, the status LED will flash a code representing the last fault. For diagnostic ease at the thermostat, the alarm relay will also cycle during test mode. The alarm relay will cycle on and off similar to the status LED to indicate a code representing the last fault, at the thermostat. Test mode can be exited by shorting the test terminals for 3 seconds. Retry mode: If the control is attempting a retry of a fault, the status LED will slow flash (slow flash = one flash every 2 seconds) to indicate the control is in the process of retrying. Field Configuration Options - Note: In the following field configuration options, jumper wires should be clipped ONLY when power is removed from the DXM control. DIP Switches - Note: In the following field configuration options, DIP switches should only be changed when power is removed from the DXM control. DIP Package #1 (S1) - DIP Package #1 has 8 switches and provides the following setup selections: Unit Performance Sentinel (UPS) disable: DIP Switch 1.1 provides field selection to disable the UPS feature. On = Enabled. Off = Disabled Compressor relay staging operation: DIP 1.2 provides selection of compressor relay staging operation. The compressor relay can be selected to turn on with a stage 1 or stage 2 call from the thermostat. This is used with dual stage units (2 compressors where 2 DXM controls are being used) or with master/ slave applications. In master/slave applications, each compressor and fan will stage according to its appropriate DIP 1.2 setting. If set to stage 2, the compressor will have a 3 second on-delay before energizing during a Stage 2 demand. Also, if set for stage 2, the alarm relay will NOT cycle during test mode. On = Stage 1. Off = Stage ClimateMaster Water-Source Heat Pumps

77 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 41 of 64 Created: 01 August, 2011 DXM Controls Thermostat type (heat pump or heat/cool): DIP 1.3 provides selection of thermostat type. Heat pump or heat/cool thermostats can be selected. When in heat/ cool mode, Y1 is the input call for cooling stage 1; Y2 is the input call for cooling stage 2; W1 is the input call for heating stage 1; and O/W2 is the input call for heating stage 2. In heat pump mode, Y1 is the input call for compressor stage 1; Y2 is the input call for compressor stage 2; W1 is the input call for heating stage 3 or emergency heat; and O/W2 is the input call for reversing valve (heating or cooling, depending upon DIP 1.4). On = Heat Pump. Off = Heat/Cool Thermostat type (O/B): DIP 1.4 provides selection of thermostat type for reversing valve activation. Heat pump thermostats with O output (reversing valve energized for cooling) or B output (reversing valve energized for heating) can be selected with DIP 1.4. On = HP stat with O output for cooling. Off = HP stat with B output for heating Dehumidification mode: DIP 1.5 provides selection of normal or dehumidification fan mode. In dehumidification mode, the fan speed relay will remain off during cooling stage 2. In normal mode, the fan speed relay will turn on during cooling stage 2. On = Normal fan mode. Off = Dehumidification mode DDC output at EH2: DIP 1.6 provides selection for DDC operation. If set to DDC Output at EH2, the EH2 terminal will continuously output the last fault code of the controller. If set to EH2 normal, EH2 will operate as standard electric heat output. On = EH2 Normal. Off = DDC Output at EH Boilerless operation: DIP 1.7 provides selection of boilerless operation. In boilerless mode, the compressor is only used for heating when FP1 is above the temperature specified by the setting of DIP 1.8. Below DIP 1.8 setting, the compressor is not used and the control goes into emergency heat mode, staging on EH1 and EH2 to provide heating. On = normal. Off = Boilerless operation Boilerless changeover temperature: DIP 1.8 provides selection of boilerless changeover temperature setpoint. Note that the FP1 thermistor is sensing refrigerant temperature between the coaxial heat exchanger and the expansion device (TXV). Therefore, the 50 F [10 C] setting is not 50 F [10 C] water, but approximately 60 F [16 C] EWT. On = 50 F [10 C]. Off = 40 F [16 C]. DIP Package #2 (S2) - DIP Package #2 has 8 switches and provides the following setup selections: Accessory1 relay personality: DIP 2.1 provides selection of ACC1 relay personality (relay operation/ characteristics). See table 5c for description of functionality Accessory1 relay personality: DIP 2.2 provides selection of ACC 1 relay personality (relay operation/ characteristics). See table 5c for description of functionality Accessory1 relay personality: DIP 2.3 provides selection of ACC 1 relay options. See table 5c for description of functionality Accessory2 relay personality: DIP 2.4 provides selection of ACC 2 relay personality (relay operation/ characteristics). See table5c for description of functionality Accessory2 relay personality: DIP 2.5 provides selection of ACC 2 relay personality (relay operation/ characteristics). See table 5c for description of functionality Accessory2 relay personality: DIP 2.6 provides selection of ACC 2 relay options. See table 5c for description of functionality Auto dehumidification fan mode or high fan mode: DIP 2.7 provides selection of auto dehumidification fan mode or high fan mode. In auto dehumidification mode, the fan speed relay will remain off during cooling stage 2 IF the H input is active. In high fan mode, the fan enable and fan speed relays will turn on when the H input is active. On = Auto dehumidification mode. Off = High fan mode Special factory selection: DIP 2.8 provides special factory selection. Normal position is On. Do not change selection unless instructed to do so by the factory. Table 5c: Accessory DIP Switch Settings DIP 2.1 DIP 2.2 DIP 2.3 ACC1 Relay Option On On On Cycle with fan Off On On Digital NSB On Off On Water Valve - slow opening On On Off OAD Off Off Off Reheat Option - Humidistat Off On Off Reheat Option - Dehumidistat DIP 2.4 DIP 2.5 DIP 2.6 ACC2 Relay Option On On On Cycle with compressor Off On On Digital NSB On Off On Water Valve - slow opening On On Off OAD All other DIP combinations are invalid climatemaster.com 41

78 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Safety Features - CXM and DXM Controls Exhibit B Page 42 of 64 Safety Features CXM/DXM Control The safety features below are provided to protect the compressor, heat exchangers, wiring, and other components from damage caused by operation outside of design conditions. Anti-short cycle protection: The control features a 5 minute anti-short cycle protection for the compressor. Note: The 5 minute anti-short cycle also occurs at power up. Random start: The control features a random start upon power up of 5-80 seconds. Fault Retry: In Fault Retry mode, the Status LED begins slowly flashing to signal that the control is trying to recover from a fault input. The control will stage off the outputs and then try again to satisfy the thermostat input call. Once the thermostat input call is satisfied, the control will continue on as if no fault occurred. If 3 consecutive faults occur without satisfying the thermostat input call, the control will go into lockout mode. The last fault causing the lockout will be stored in memory and can be viewed at the fault LED (DXM board) or by going into test mode (CXM board). Note: LT1/LT2 faults are factory set at only one try. Lockout: In lockout mode, the status LED will begin fast flashing. The compressor relay is turned off immediately. Lockout mode can be soft reset by turning off the thermostat (or satisfying the call). A soft reset keeps the fault in memory but resets the control. A hard reset (disconnecting power to the control) resets the control and erases fault memory. Lockout with emergency heat: While in lockout mode, if W becomes active (CXM), emergency heat mode will occur. If DXM is configured for heat pump thermostat type (DIP 1.3), emergency heat will become active if O/ W2 is energized. High pressure switch: When the high pressure switch opens due to high refrigerant pressures, the compressor relay is de-energized immediately since the high pressure switch is in series with the compressor contactor coil. The high pressure fault recognition is immediate (does not delay for 30 continuous seconds before de-energizing the compressor). High pressure lockout code = 2 Example: 2 quick flashes, 10 sec pause, 2 quick flashes, 10 sec. pause, etc. Low pressure switch: The low pressure switch must be open and remain open for 30 continuous seconds during on cycle to be recognized as a low pressure fault. If the low pressure switch is open for 30 seconds prior to compressor power up it will be considered a low pressure (loss of charge) fault. The low pressure switch input is bypassed for the initial 120 seconds of a compressor run cycle. Low pressure lockout code = 3 Water coil low temperature (LT1): The LT1 thermistor temperature must be below the selected low temperature limit setting for 30 continuous seconds during a compressor run cycle to be recognized as a LT1 fault. The LT1 input is bypassed for the initial 120 seconds of a compressor run cycle. LT1 is set at the factory for one try. Therefore, the control will go into lockout mode once the LT1 fault has occurred. LT1 lockout code = 4 Air coil low temperature (LT2): The LT2 thermistor temperature must be below the selected low temperature limit setting for 30 continuous seconds during a compressor run cycle to be recognized as a LT2 fault. The LT2 input is bypassed for the initial 60 seconds of a compressor run cycle. LT2 is set at the factory for one try. Therefore, the control will go into lockout mode once the LT2 fault has occurred. LT2 lockout code = 5 Condensate overflow: The condensate overflow sensor must sense overflow level for 30 continuous seconds to be recognized as a CO fault. Condensate overflow will be monitored at all times. CO lockout code = 6 Over/under voltage shutdown: An over/under voltage condition exists when the control voltage is outside the range of 19VAC to 30VAC. Over/under voltage shut down is a self-resetting safety. If the voltage comes back within range for at least 0.5 seconds, normal operation is restored. This is not considered a fault or lockout. If the CXM/DXM is in over/under voltage shutdown for 15 minutes, the alarm relay will close. Over/under voltage shut down code = 7 Unit Performance Sentinel-UPS (patent pending): The UPS feature indicates when the heat pump is operating inefficiently. A UPS condition exists when: a. In heating mode with compressor energized, LT2 is greater than 125 F [52 C] for 30 continuous seconds, or: b. In cooling mode with compressor energized, LT1 is greater than 125 F [52 C] for 30 continuous seconds, or: c. In cooling mode with compressor energized, LT2 is less than 40 F [4.5 C] for 30 continuous seconds. 42 ClimateMaster Water-Source Heat Pumps

79 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 43 of 64 Created: 01 August, 2011 Safety Features - CXM and DXM Controls If a UPS condition occurs, the control will immediately go to UPS warning. The status LED will remain on as if the control is in normal mode. Outputs of the control, excluding LED and alarm relay, will NOT be affected by UPS. The UPS condition cannot occur during a compressor off cycle. During UPS warning, the alarm relay will cycle on and off. The cycle rate will be on for 5 seconds, off for 25 seconds, on for 5 seconds, off for 25 seconds, etc. UPS warning code = 8 Swapped LT1/LT2 thermistors: During test mode, the control monitors to see if the FP1 and FP2 thermistors are in the appropriate places. If the control is in test mode, the control will lockout with code 9 after 30 seconds if: a. The compressor is on in the cooling mode and the LT1 sensor is colder than the LT2 sensor, or: b. The compressor is on in the heating mode and the LT2 sensor is colder than the LT1 sensor. Swapped LT1/LT2 thermistor code = 9. ESD (DXM only): The ESD (Emergency Shut Down) mode can be enabled from an external common signal to terminal ESD to shut down the unit. The green status light will flash code 3 when the unit is in ESD mode. ESD mode = code 3 (green status LED) CXM/DXM Control Start-up Operation The control will not operate until all inputs and safety controls are checked for normal conditions. The compressor will have a 5 minute anti-short cycle delay at power-up. The first time after power-up that there is a call for compressor, the compressor will follow a 5 to 80 second random start delay. After the random start delay and anti-short cycle delay, the compressor relay will be energized. On all subsequent compressor calls, the random start delay is omitted. Diagnostic Features The LED on the CXM board advises the technician of the current status of the CXM control. The LED can display either the current CXM mode or the last fault in memory if in test mode. If there is no fault in memory, the LED will flash Code 1 (when in test mode). The green status LED and red fault LED on the DXM board advise the technician of the current status of the DXM control. The status LED will indicate the current mode that the DXM control is in. The fault LED will ALWAYS flash a code representing the LAST fault in memory. If there is no fault in memory, the fault LED will flash Code 1. The yellow test LED will turn on when in test mode. CAUTION: Do not restart units without inspection and remedy of faulting condition. Damage may occur. climatemaster.com 43

80 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 ClimaDry Modulating Reheat Option Exhibit B Page 44 of 64 ClimaDry Sequence Of Operation A heat pump equipped with ClimaDry can operate in three modes, cooling, cooling with reheat, and heating. The cooling/heating modes are like any other ClimateMaster WSHP. The reversing valve ( O signal) is energized in cooling, along with the compressor contactor(s) and blower relay. In the heating mode the reversing valve is de-energized. Almost any thermostat will activate the heat pump in heating or cooling modes. The DXM microprocessor board, which is standard with the ClimaDry option, will accept either heat pump (Y,O) thermostats or non-heat pump (Y,W) thermostats. The reheat mode requires either a separate humidistat/ dehumidistat or a thermostat that has an integrated dehumidification function for activation. The DXM board is configured to work with either a humidistat or dehumidistat input to terminal H (DIP switch settings for the DXM board are shown in table 6). Upon receiving an H input, the DXM board will activate the cooling mode and engage reheat. Table 7 shows the relationship between thermostat input signals and unit operation. There are four operational inputs for single stage units and six operational inputs for dual stage units: -Fan Only -1st Stage Cooling -2nd Stage Cooling -1st Stage Heating -2nd Stage Heating -Reheat Mode Fan Only: A (G) call from the thermostat to the (G terminal of the DXM control board will bring the unit on in fan only mode. 1st Stage Cooling: A simultaneous call from (G), (Y1), and (O) to the (G), (Y1), (O/W2) terminals of the DXM control board will bring the unit on in 1st Stage Cooling. 2nd Stage Cooling: A simultaneous call from (G), (Y1), (Y2), and (O) to the (G), (Y1), (Y2), and (O/W2) terminals of the DXM control board will bring the unit on in 2nd Stage Cooling. When the call is satisfied at the thermostat the unit will continue to run in 1st Stage Cooling until the 1st Stage Cooling call is removed or satisfied, shutting down the unit. Note: Not all units have two-stage cooling functionality (e.g. GC series units). 1st Stage Heating: A simultaneous call from (G) and (Y1) to the (G) and (Y1) terminals of the DXM control board will bring the unit on in 1st Stage Heating. 2nd Stage Heating: A simultaneous call from (G), (Y1), and (Y2) to the (G), (Y1), and (Y2) terminals of the DXM control board will bring the unit on in 2nd Stage Heating. When the call is satisfied at the thermostat the unit will continue to run in 1st Stage Heating until the call is removed or satisfied, shutting down the unit. NOTE: Not all units have two-stage heating functionality. Reheat Mode: A call from the Humidistat/ Dehumidistat to the (H) terminal of the DXM control board will bring the unit on in Reheat Mode if there is no call for cooling at the thermostat. When the Humidistat Dehumidification call is removed or satisfied the unit will shut down. Note: Cooling always overrides Reheat Mode. In the Cooling mode, the unit cools and dehumidifies. If the cooling thermostat is satisfied but there is still a call for dehumidification, the unit will continue to operate in Reheat Mode. ClimaDry Component Functions The ClimaDry option consists of the following components: Proportional Controller Supply Air Sensor Motorized Valve Loop Pump Hydronic Coil The Proportional Controller operates on 24 VAC power supply and automatically adjusts the water valve based upon the Supply Air Sensor. The Supply Air Sensor senses supply air temperature at the blower inlet providing the input signal necessary for the proportional control to drive the motorized valve during the reheat mode of operation. The Motorized Valve is a proportional actuator/three-way valve combination used to divert the condenser water from the coax to the hydronic reheat coil during the reheat mode of operation. The proportional controller sends a signal to the motorized valve based on the supply air temperature of the supply air sensor. The Loop Pump circulates condenser water through the hydronic reheat coil during the reheat mode of operation. In this application, the loop pump is only energized during the reheat mode of operation. The Hydronic Coil is utilized during the reheat mode of operation to reheat the air to the setpoint of the proportional controller. Condenser water is diverted by the motorized valve and pumped through the hydronic coil by the loop pump in proportion to the control setpoint. The amount of reheating is dependent on the setpoint and how far from setpoint the supply air temperature is. The factory setpoint is 72 F [22.2 C], generally considered neutral air. 44 ClimateMaster Water-Source Heat Pumps

81 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 45 of 64 Created: 01 August, 2011 ClimaDry Modulating Reheat Option ClimaDry Application Considerations Unlike most hot gas reheat options, the ClimaDry option will operate over a wide range of EWTs. Special flow regulation (water regulating valve) is not required for low EWT conditions. However, below 55 F [13 C], supply air temperatures may not be maintained at 72 F [22 C] because the cooling capacity exceeds the reheat coil capacity at low water temperatures. Below 55 F [13 C], essentially all water is diverted to the reheat coil (no heat of rejection to the building loop). Although the ClimaDry option will work fine with low EWTs, overcooling of the space may result with well water systems or on rare occasions with ground loop (geothermal) systems (Note: Extended range units are required for well water and ground loop systems). Since dehumidification is generally only required in cooling, most ground loop systems will not experience overcooling of the supply air temperature. If overcooling of the space is a concern (e.g. computer room well water application), auxiliary heating may be required to maintain space temperature when the unit is operating in the dehumidification mode. Water-source heat pumps with ClimaDry should not be used as make-up air units. These applications should use equipment specifically designed for makeup air. For additional information, download the ClimaDry II IOM and Submittal set at climatemaster.com. Figure 24: ClimaDry Schematic WATER OUT (TO WATER LOOP) WATER IN (FROM WATER LOOP) MODULATING MIXING VALVE INTERNAL PUMP REFRIGERANT IN (COOLING) COAX REFRIGERANT OUT (COOLING) ENTERING AIR LEAVING AIR Note: All components shown are internal to the heat pump unit. EVAPORATOR COIL REHEAT COIL climatemaster.com 45

82 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 ClimaDry Modulating Reheat Option Table 6: Humidistat/Dehumidistat Logic & DXM (2.1, 2.2., 2.3) DIP Settings Sensor Logic Reheat (ON) - H Reheat (OFF) - H Humidistat OFF OFF OFF Reverse 0 VAC 24 VAC Dehumidistat OFF ON OFF Standard 24 VAC 0 VAC Exhibit B Page 46 of 64 Table 7: ClimaDry Operating Modes Mode Input Output O G Y1 Y2 3 H O G Y1 Y2 3 Reheat No Demand ON/OFF OFF OFF OFF OFF ON/OFF OFF OFF OFF OFF Fan Only ON/OFF ON OFF OFF OFF ON/OFF ON OFF OFF OFF Cooling 1st Stage ON ON ON OFF OFF ON ON ON OFF OFF Cooling 2nd Stage ON ON ON ON OFF ON ON ON ON OFF Cooling & Dehumidistat 1 ON ON ON ON/OFF ON ON ON ON ON/OFF OFF Dehumidistat Only ON/OFF OFF OFF OFF ON ON ON ON ON ON Heating 1st Stage OFF ON ON OFF OFF OFF ON ON OFF OFF Heating 2nd Stage OFF ON ON ON OFF OFF ON ON ON OFF Heating & Dehumidistat 2 OFF ON ON ON/OFF ON OFF ON ON ON/OFF OFF 1 Cooling input takes priority over dehumidify input. 2 DXM is programmed to ignore the H demand when the unit is in heating mode. 3 N/A for single stage units; Full load operation for dual capacity units. 4 ON/OFF = Either ON or OFF. UNIT STARTING AND OPERATING CONDITIONS Operating Limits Environment Units are designed for indoor installation only. Never install units in areas subject to freezing or where humidity levels could cause cabinet condensation (such as unconditioned spaces subject to 100% outside air). Power Supply A voltage variation of +/ 10% of nameplate utilization voltage is acceptable. Determination of operating limits is dependent primarily upon three factors: 1) return air temperature. 2) water temperature, and 3) ambient temperature. When any one of these factors is at minimum or maximum levels, the other two factors should be at normal levels to ensure proper unit operation. Extreme variations in temperature and humidity and/or corrosive water or air will adversely affect unit performance, reliability, and service life. Consult Table 8a for operating limits. Table 8a: Operating Limits Operating Limits Air Limits Min. ambient air, DB Rated ambient air, DB Max. ambient air, DB Min. entering air, DB/WB Rated entering air, DB/WB Max. entering air, DB/WB Water Limits Min. entering water Normal entering water Max. entering water Normal Water Flow Cooling Heating 45ºF [7ºC] 39ºF [4ºC] 80.6ºF [27ºC] 68ºF [20ºC] 130ºF [54.4ºC] 85ºF [29ºC] *60/50ºF [16/10ºC] 45ºF [7ºC] 80.6/66.2ºF [27/19ºC] 68ºF [20ºC] 95/75ºF [35/24ºC] 80ºF [27ºC] 30ºF [-1ºC] 20ºF [-6.7ºC] ºF [10-43ºC] 30-70ºF [-1 to 21ºC] 120ºF [49ºC] 90ºF [32ºC] 1.5 to 3.0 gpm / ton [1.6 to 3.2 l/m per kw] 1. *If with ClimaDry 70/61 F (21/16ºC). TS 46 ClimateMaster Water-Source Heat Pumps

83 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 47 of 64 Created: 01 August, 2011 Unit Starting and Operating Conditions Commissioning Conditions Consult Table 8b for the particular model. Starting conditions vary depending upon model and are based upon the following notes: Notes: 1. Conditions in Table 8b are not normal or continuous operating conditions. Minimum/maximum limits are start-up conditions to bring the building space up to occupancy temperatures. Units are not designed to operate under these conditions on a regular basis. 2. Voltage utilization range complies with AHRI Standard 110. Table 8b: Starting Limits Commissioning Limits Cooling Heating Air Limits Min. ambient air, DB 45ºF [7ºC] 39ºF [4ºC] Rated ambient air, DB 80.6ºF [27ºC] 68ºF [20ºC] Max. ambient air, DB 130ºF [54.4ºC] 85ºF [29ºC] Min. entering air, DB/WB *50/45ºF [10/7ºC] 40ºF [4.5ºC] Rated entering air, DB/WB 80.6/66.2ºF [27/19ºC] 68ºF [20ºC] Max. entering air, DB/WB 110/83ºF [43/28ºC] 80ºF [27ºC] Water Limits Min. entering water 30ºF [-1ºC] 20ºF [-6.7ºC] Normal entering water ºF [10-43ºC] 30-70ºF [-1 to 21ºC] Max. entering water 120ºF [49ºC] 90ºF [32ºC] Normal Water Flow 1.5 to 3.0 gpm / ton [1.6 to 3.2 l/m per kw] *If with ClimaDry 70/61ºF (21/16ºC) climatemaster.com 47

84 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Piping System Cleaning and Flushing Exhibit B Page 48 of 64 Piping System Cleaning and Flushing - Cleaning and flushing the WLHP piping system is the single most important step to ensure proper start-up and continued efficient operation of the system. Follow the instructions below to properly clean and flush the system: 1. Ensure that electrical power to the unit is disconnected. 2. Install the system with the supply hose connected directly to the return riser valve. Use a single length of flexible hose. 3. Open all air vents. Fill the system with water. DO NOT allow system to overflow. Bleed all air from the system. Pressurize and check the system for leaks and repair as appropriate. ClimaDry -equipped units have a manual air bleed valve at the top of the reheat coil. This valve must be used to bleed the air from the reheat coil after filling the system, for ClimaDry to operate properly. 4. Verify that all strainers are in place (ClimateMaster recommends a strainer with a #20 stainless steel wire mesh). Start the pumps, and systematically check each vent to ensure that all air is bled from the system. 5. Verify that make-up water is available. Adjust make-up water as required to replace the air which was bled from the system. Check and adjust the water/air level in the expansion tank. 6. Set the boiler to raise the loop temperature to approximately 85 F [29 C]. Open a drain at the lowest point in the system. Adjust the make-up water replacement rate to equal the rate of bleed. 7. Refill the system and add trisodium phosphate in a proportion of approximately one pound per 150 gallons (.8 kg per 1000 l ) of water (or other equivalent approved cleaning agent). Reset the boiler to raise the loop temperature to 100 F [38 C]. Circulate the solution for a minimum of 8 to 24 hours. At the end of this period, shut off the circulating pump and drain the solution. Repeat system cleaning if desired. 8. When the cleaning process is complete, remove the short-circuited hoses. Reconnect the hoses to the proper supply, and return the connections to each of the units. Refill the system and bleed off all air. 9. Test the system ph with litmus paper. The system water should be in the range of ph (see table 3). Add chemicals, as appropriate to maintain neutral ph levels. 10. When the system is successfully cleaned, flushed, refilled and bled, check the main system panels, safety cutouts and alarms. Set the controls to properly maintain loop temperatures. CAUTION! CAUTION! DO NOT use Stop Leak or similar chemical agent in this system. Addition of chemicals of this type to the loop water will foul the heat exchanger and inhibit unit operation. Note: The manufacturer strongly recommends all piping connections, both internal and external to the unit, be pressure tested by an appropriate method prior to any finishing of the interior space or before access to all connections is limited. Test pressure may not exceed the maximum allowable pressure for the unit and all components within the water system. The manufacturer will not be responsible or liable for damages from water leaks due to inadequate or lack of a pressurized leak test, or damages caused by exceeding the maximum pressure rating during installation. 48 ClimateMaster Water-Source Heat Pumps

85 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 49 of 64 Created: 01 August, 2011 Unit and System Checkout CAUTION! CAUTION! To avoid possible damage to a plastic (PVC) piping system, do not allow temperatures to exceed 110ºF (43ºC). Unit and System Checkout BEFORE POWERING SYSTEM, please check the following: UNIT CHECKOUT Balancing/shutoff valves: Ensure that all isolation valves are open and water control valves are wired. Line voltage and wiring: Verify that voltage is within an acceptable range for the unit and wiring and fuses/breakers are properly sized. Verify that low voltage wiring is complete. Unit control transformer: Ensure that transformer has the properly selected voltage tap. Entering water and air: Ensure that entering water and air temperatures are within operating limits of Table 8a-b. Low water temperature cutout: Verify that low water temperature cut-out on the CXM/DXM control is properly set. Unit fan: Manually rotate fan to verify free rotation and ensure that blower wheel is secured to the motor shaft. Be sure to remove any shipping supports if needed. DO NOT oil motors upon startup. Fan motors are pre-oiled at the factory. Check unit fan speed selection and compare to design requirements. Condensate line: Verify that condensate line is open and properly pitched toward drain. Water flow balancing: Record inlet and outlet water temperatures for each heat pump upon startup. This check can eliminate nuisance trip outs and high velocity water flow that could erode heat exchangers. Unit air coil and filters: Ensure that filter is clean and accessible. Clean air coil of all manufacturing oils. Unit controls: Verify that CXM or DXM field selection options are properly set. SYSTEM CHECKOUT System water temperature: Check water temperature for proper range and also verify heating and cooling set points for proper operation. System ph: Check and adjust water ph if necessary to maintain a level between 6 and 8.5. Proper ph promotes longevity of hoses and fittings (see table 3). System flushing: Verify that all hoses are connected end to end when flushing to ensure that debris bypasses the unit heat exchanger, water valves and other components. Water used in the system must be potable quality initially and clean of dirt, piping slag, and strong chemical cleaning agents. Verify that all air is purged from the system. Air in the system can cause poor operation or system corrosion. Cooling tower/boiler: Check equipment for proper setpoints and operation. Standby pumps: Verify that the standby pump is properly installed and in operating condition. System controls: Verify that system controls function and operate in the proper sequence. Low water temperature cutout: Verify that low water temperature cut-out controls are provided for the outdoor portion of the loop. Otherwise, operating problems may occur. System control center: Verify that the control center and alarm panel have appropriate setpoints and are operating as designed. Miscellaneous: Note any questionable aspects of the installation. CAUTION! CAUTION! Verify that ALL water control valves are open and allow water flow prior to engaging the compressor. Freezing of the coax or water lines can permanently damage the heat pump. CAUTION! CAUTION! To avoid equipment damage, DO NOT leave system filled in a building without heat during the winter unless antifreeze is added to the water loop. Heat exchangers never fully drain by themselves and will freeze unless winterized with antifreeze. NOTICE! Failure to remove shipping brackets from spring-mounted compressors will cause excessive noise, and could cause component failure due to added vibration. climatemaster.com 49

86 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Unit Start-Up Procedure Exhibit B Page 50 of 64 Unit Start-up Procedure 1. Turn the thermostat fan position to ON. Blower should start. 2. Balance air flow at registers. 3. Adjust all valves to their full open positions. Turn on the line power to all heat pumps. 4. Room temperature should be within the minimummaximum ranges of table 8a-b. During start-up checks, loop water temperature entering the heat pump should be between 60 F [16 C] and 95 F [35 C]. 5. Two factors determine the operating limits of ClimateMaster heat pumps, (a) return air temperature, and (b) water temperature. When any one of these factors is at a minimum or maximum level, the other factor must be at normal level to ensure proper unit operation. a. Adjust the unit thermostat to the warmest setting. Place the thermostat mode switch in the COOL position. Slowly reduce thermostat setting until the compressor activates. b. Check for cool air delivery at the unit grille within a few minutes after the unit has begun to operate. Note: Units have a five minute time delay in the control circuit that can be eliminated on the CXM/DXM control board as shown in Figure 25. See controls description for details. c. Verify that the compressor is on and that the water flow rate is correct by measuring pressure drop through the heat exchanger using the P/T plugs and comparing to table 9. d. Check the elevation and cleanliness of the condensate lines. Dripping may be a sign of a blocked line. Check that the condensate trap is filled to provide a water seal. e. Refer to table 12. Check the temperature of both entering and leaving water. If temperature is within range, proceed with the test. Verify correct water flow by comparing unit pressure drop across the heat exchanger versus the data in table 9. Heat of rejection (HR) can be calculated and compared to submittal data capacity pages. The formula for HR for systems with water is as follows: HR (Btuh) = TD x GPM x 500,where TD is the temperature difference between the entering and leaving water, and GPM is the flow rate in U.S. GPM, determined by comparing the pressure drop across the heat exchanger to table 9. In S-I units, the formula is as follows: HR (kw) = TD x l/s x f. Check air temperature drop across the air coil when compressor is operating. Air temperature drop should be between 15 F and 25 F [8 C and 14 C]. g. Turn thermostat to OFF position. A hissing noise indicates proper functioning of the reversing valve. 6. Allow five (5) minutes between tests for pressure to equalize before beginning heating test. a. Adjust the thermostat to the lowest setting. Place the thermostat mode switch in the HEAT position. b. Slowly raise the thermostat to a higher temperature until the compressor activates. c. Check for warm air delivery within a few minutes after the unit has begun to operate. d. Refer to table 12. Check the temperature of both entering and leaving water. If temperature is within range, proceed with the test. If temperature is outside of the operating range, check refrigerant pressures and compare to table 11. Verify correct water flow by comparing unit pressure drop across the heat exchanger versus the data in table 9. Heat of extraction (HE) can be calculated and compared to submittal data capacity pages. The formula for HE for systems with water is as follows: HE (kw) = TD xgpm x 500, where TD is the temperature difference between the entering and leaving water, and l/s is the flow rate in U.S. GPM, determined by comparing the pressure drop across the heat exchanger to table 9. In S-I units, the formula is as follows: HE (kw) = TD x l/s x e. Check air temperature rise across the air coil when compressor is operating. Air temperature rise should be between 20 F and 30 F [11 C and 17 C]. f. Check for vibration, noise, and water leaks. 7. If unit fails to operate, perform troubleshooting analysis (see troubleshooting section). If the check described fails to reveal the problem and the unit still does not operate, contact a trained service technician to ensure proper diagnosis and repair of the equipment. 8. When testing is complete, set system to maintain desired comfort level. Note: If performance during any mode appears abnormal, refer to the CXM/DXM section or troubleshooting section of this manual. To obtain maximum performance, the air coil should be cleaned before start-up. A 10% solution of dishwasher detergent and water is recommended. 50 ClimateMaster Water-Source Heat Pumps

87 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 51 of 64 Created: 01 August, 2011 Unit Start-Up Procedure Figure 25: Test Mode Pins Short test pins together to enter Test Mode and speed-up timing and delays for 20 minutes. WARNING! WARNING! When the disconnect switch is closed, high voltage is present in some areas of the electrical panel. Exercise caution when working with energized equipment. CAUTION! CAUTION! Verify that ALL water control valves are open and allow water flow prior to engaging the compressor. Freezing of the coax or water lines can permanently damage the heat pump. climatemaster.com 51

88 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Unit Operating Conditions Exhibit B Page 52 of 64 Table 9: TS Coax Water Pressure Drop Model U.S. Pressure Drop, psi [kpa]* l/s l/m GPM 30 F [-1 C] 50 F [10 C] 70 F [21 C] 90 F [32 C] [2.1] 0.3 [2.1] 0.2 [1.4] 0.2 [1.4] [11.0] 1.4 [11.0] 1.2 [11.0] 1.0 [11.0] [20.7] 2.6 [17.9] 2.2 [15.2] 1.8 [12.4] [5.5] 0.7 [4.8] 0.6 [4.1] 0.6 [4.1] [10.3] 1.4 [9.7] 1.2 [8.3] 1.1 [7.6] [18.6] 2.4 [16.5] 2.2 [15.2] 1.9 [13.1] [4.1] 0.5 [3.4] 0.4 [2.8] 0.3 [2.1] [14.5] 1.9 [13.1] 1.6 [11.0] 1.4 [9.7] [26.2] 3.4 [23.4] 3.0 [20.7] 2.6 [17.9] [4.8] 0.5 [3.4] 0.3 [2.1] 0.2[1.4] [14.5] 1.7 [11.7] 1.4 [9.7] 1.1 [7.6] [24.1] 2.8 [19.3] 2.4 [16.6] 2.0 [13.8] [10.3] 1.3 [9.0] 1.1 [7.6] 1.0 [6.9] [21.4] 2.6 [17.9] 2.3 [15.9] 2.1 [14.5] [35.2] 4.3 [29.7] 3.8 [26.2] 3.4 [23.4] [10.3] 1.3 [9.0] 1.1 [7.6] 1.0 [6.9] [21.4] 2.6 [17.9] 2.3 [15.9] 2.1 [14.5] [35.2] 4.3 [29.7] 3.8 [26.2] 3.4 [23.4] [11.7] 1.3 [9.0] 1.1 [7.6] 0.9 [6.2] [22.8] 3.1 [21.4] 2.9 [20.0] 2.6 [17.9] [39.3] 5.2 [35.9] 4.8 [33.1] 4.4 [30.3] [7.6] 0.9 [6.2] 0.8 [5.5] 0.7 [4.8] [15.2] 2.1 [14.5] 2.0 [13.8] 1.8 [12.4] [26.9] 3.6 [24.8] 3.2 [22.1] 3.1 [21.4] [9.0] 1.1 [7.6] 1.0 [6.9] 0.9 [6.2] [17.9] 2.5 [17.2] 2.3 [15.9] 2.2 [15.2] [31.0] 4.2 [29.0] 3.8 [26.2] 3.5 [24.1] [4.1] 0.4 [2.8] 0.3 [2.1] 0.2 [1.4] [15.9] 2.1 [14.5] 2.0 [13.8] 1.8 [12.4] [33.1] 4.3 [29.7] 3.9 [26.9] 3.5 [24.1] [16.6] 2.0 [13.8] 1.7 [11.7] 1.6 [11.0] [35.9] 4.5 [31.0] 4.0 [27.6] 3.8 [26.2] [55.2] 7.0 [48.3] 6.3 [43.4] 6.0 [41.4] *Note: To convert kpa to millibars, multiply by ClimateMaster Water-Source Heat Pumps

89 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 53 of 64 Created: 01 August, 2011 Unit Operating Conditions Table 11: TS Series Typical Unit Operating Pressures and Temperatures (60Hz - I-P Units) 006 Full Load Cooling Full Load Heating Entering Water Temp F 30* Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Superheat Subcooling Water Temp Drop F Air Temp Rise F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Sub cooling Water Temp Drop F Air Temp Rise F DB Full Load Cooling Full Load Heating Entering Water Temp F Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Air Temp Rise F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Sub cooling Water Temp Drop F Air Temp Rise F DB 30* *Based on 15% Methanol antifreeze solution Entering Water Temp F 30* Full Load Cooling Full Load Heating Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Superheat Subcooling Water Temp Drop F Air Temp Rise F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Sub cooling Water Temp Drop F Air Temp Rise F DB climatemaster.com 53

90 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Unit Operating Conditions Exhibit B Page 54 of 64 Table 11: TS Series Typical Unit Operating Pressures and Temperatures: Continued 018 Full Load Cooling - without HWG active Full Load Heating - without HWG active Entering Water Temp F 30* Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Entering Water Temp F 30* Superheat Subcooling Water Temp Rise F Air Temp Drop F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Entering Water Temp F 30* Superheat Subcooling Water Temp Rise F Air Temp Drop F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Superheat Subcooling Water Temp Rise F Air Temp Drop F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Air Temp Rise F DB Air Temp Rise F DB Air Temp Rise F DB ClimateMaster Water-Source Heat Pumps

91 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 55 of 64 Created: 01 August, 2011 Unit Operating Conditions Table 11: TS Series Typical Unit Operating Pressures and Temperatures: Continued Entering Water Temp F 30* Entering Water Temp F 30* Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Suction Pressure PSIG Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Superheat Superheat Subcooling Subcooling Water Temp Rise F Water Temp Rise F Air Temp Drop F DB Air Temp Drop F DB Suction Pressure PSIG Suction Pressure PSIG Discharge Pressure PSIG Discharge Pressure PSIG Superheat Superheat Subcooling Subcooling Water Temp Drop F Water Temp Drop F Air Temp Rise F DB Air Temp Rise F DB Entering Water Temp F 30* Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Superheat Subcooling Water Temp Rise F Air Temp Drop F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Air Temp Rise F DB climatemaster.com 55

92 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Unit Operating Conditions Exhibit B Page 56 of 64 Table 11: TS Series Typical Unit Operating Pressures and Temperatures: Continued Entering Water Temp F 30* Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Entering Water Temp F 30* Superheat Subcooling Water Temp Rise F Air Temp Drop F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Full Load Cooling - without HWG active Full Load Heating - without HWG active Water Flow GPM/ton Suction Pressure PSIG Discharge Pressure PSIG *Based on 15% Methanol antifreeze solution Superheat Subcooling Water Temp Rise F Air Temp Drop F DB Suction Pressure PSIG Discharge Pressure PSIG Superheat Subcooling Water Temp Drop F Air Temp Rise F DB Air Temp Rise F DB Table 12: Water Temperature Change Through Heat Exchanger Water Flow, gpm [l/m] For Closed Loop: Ground Source or Closed Loop Systems at 3 gpm per ton [3.2 l/m per kw] For Open Loop: Ground Water Systems at 1.5 gpm per ton [1.6 l/m per kw] Rise, Cooling F, [ C] 9-12 [5-6.7] [ ] Drop, Heating F, [ C] 4-8 [ ] [ ] 56 ClimateMaster Water-Source Heat Pumps

93 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 57 of 64 Created: 01 August, 2011 Preventive Maintenance Water Coil Maintenance - (Direct ground water applications only) If the system is installed in an area with a known high mineral content (125 P.P.M. or greater) in the water, it is best to establish a periodic maintenance schedule with the owner so the coil can be checked regularly. Consult the well water applications section of this manual for a more detailed water coil material selection. Should periodic coil cleaning be necessary, use standard coil cleaning procedures, which are compatible with the heat exchanger material and copper water lines. Generally, the more water flowing through the unit, the less chance for scaling. Therefore, 1.5 gpm per ton [1.6 l/m per kw] is recommended as a minimum flow. Minimum flow rate for entering water temperatures below 50 F [10 C] is 2.0 gpm per ton [2.2 l/m per kw]. Water Coil Maintenance - (All other water loop applications) Generally water coil maintenance is not needed for closed loop systems. However, if the piping is known to have high dirt or debris content, it is best to establish a periodic maintenance schedule with the owner so the water coil can be checked regularly. Dirty installations are typically the result of deterioration of iron or galvanized piping or components in the system. Open cooling towers requiring heavy chemical treatment and mineral buildup through water use can also contribute to higher maintenance. Should periodic coil cleaning be necessary, use standard coil cleaning procedures, which are compatible with both the heat exchanger material and copper water lines. Generally, the more water flowing through the unit, the less chance for scaling. However, flow rates over 3 gpm per ton (3.9 l/m per kw) can produce water (or debris) velocities that can erode the heat exchanger wall and ultimately produce leaks. Hot Water Generator Coils - See water coil maintenance for ground water units. If the potable water is hard or not chemically softened, the high temperatures of the desuperheater will tend to scale even quicker than the water coil and may need more frequent inspections. In areas with extremely hard water, a HWG is not recommended. Filters - Filters must be clean to obtain maximum performance. Filters should be inspected every month under normal operating conditions and be replaced when necessary. Units should never be operated without a filter. Washable, high efficiency, electrostatic filters, when dirty, can exhibit a very high pressure drop for the fan motor and reduce air flow, resulting in poor performance. It is especially important to provide consistent washing of these filters (in the opposite direction of the normal air flow) once per month using a high pressure wash similar to those found at self-serve car washes. Condensate Drain - In areas where airborne bacteria may produce a slimy substance in the drain pan, it may be necessary to treat the drain pan chemically with an algaecide approximately every three months to minimize the problem. The condensate pan may also need to be cleaned periodically to ensure indoor air quality. The condensate drain can pick up lint and dirt, especially with dirty filters. Inspect the drain twice a year to avoid the possibility of plugging and eventual overflow. Compressor - Conduct annual amperage checks to ensure that amp draw is no more than 10% greater than indicated on the serial plate data. Fan Motors - All units have lubricated fan motors. Fan motors should never be lubricated unless obvious, dry operation is suspected. Periodic maintenance oiling is not recommended, as it will result in dirt accumulating in the excess oil and cause eventual motor failure. Conduct annual dry operation check and amperage check to ensure amp draw is no more than 10% greater than indicated on serial plate data. Air Coil - The air coil must be cleaned to obtain maximum performance. Check once a year under normal operating conditions and, if dirty, brush or vacuum clean. Care must be taken not to damage the aluminum fins while cleaning. CAUTION: Fin edges are sharp. Cabinet - Do not allow water to stay in contact with the cabinet for long periods of time to prevent corrosion of the cabinet sheet metal. Generally, vertical cabinets are set up from the floor a few inches [7-8 cm] to prevent water from entering the cabinet. The cabinet can be cleaned using a mild detergent. Refrigerant System - To maintain sealed circuit integrity, do not install service gauges unless unit operation appears abnormal. Reference the operating charts for pressures and temperatures. Verify that air and water flow rates are at proper levels before servicing the refrigerant circuit. climatemaster.com 57

94 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Functional Troubleshooting Exhibit B Page 58 of 64 Fault Htg Clg Possible Cause Solution Main power problems X X Green Status LED Off Check line voltage circuit breaker and disconnect. Check for line voltage between L1 and L2 on the contactor. Check for 24VAC between R and C on CXM/DXM' Check primary/secondary voltage on transformer. X Reduced or no water flow in cooling Check pump operation or valve operation/setting. Check water flow adjust to proper flow rate. X Water Temperature out of range in cooling Bring water temp within design parameters. HP Fault Check for dirty air filter and clean or replace. Code 2 Check fan motor operation and airflow restrictions. X Reduced or no air flow in heating Dirty Air Coil- construction dust etc. High Pressure Too high of external static. Check static vs blower table. X Air temperature out of range in heating Bring return air temp within design parameters. X X Overcharged with refrigerant Check superheat/subcooling vs typical operating condition table. X X Bad HP Switch Check switch continuity and operation. Replace. LP/LOC Fault X X Insufficient charge Check for refrigerant leaks Code 3 X Compressor pump down at start-up Check charge and start-up water flow. Low Pressure / Loss of Charge LT1 Fault Code 4 Water coil low temperature limit LT2 Fault Code 5 Air coil low temperature limit Condensate Fault Code 6 Over/Under Voltage Code 7 (Auto resetting) Unit Performance Sentinel Code 8 No Fault Code Shown Unit Short Cycles Only Fan Runs X Reduced or no water flow in heating Check pump operation or water valve operation/setting. Plugged strainer or filter. Clean or replace.. Check water flow adjust to proper flow rate. X Inadequate antifreeze level Check antifreeze density with hydrometer. X Improper temperature limit setting (30 F vs 10 F [-1 C vs -2 C]) Clip JW3 jumper for antifreeze (10 F [-12 C]) use. X Water Temperature out of range Bring water temp within design parameters. X X Bad thermistor Check temp and impedance correlation per chart Check for dirty air filter and clean or replace. X Reduced or no air flow in cooling Check fan motor operation and airflow restrictions. Too high of external static. Check static vs blower table. X Air Temperature out of range Too much cold vent air? Bring entering air temp within design parameters. X Improper temperature limit setting (30 F vs 10 F [-1 C vs -12 C]) Normal airside applications will require 30 F [-1 C] only. X X Bad thermistor Check temp and impedance correlation per chart. X X Blocked drain Check for blockage and clean drain. X X Improper trap Check trap dimensions and location ahead of vent. Check for piping slope away from unit. X Poor drainage Check slope of unit toward outlet. Poor venting. Check vent location. X Moisture on sensor Check for moisture shorting to air coil. X X Plugged air filter Replace air filter. x X Restricted Return Air Flow Find and eliminate restriction. Increase return duct and/or grille size. Check power supply and 24VAC voltage before and during operation. X X Under Voltage Check power supply wire size. Check compressor starting. Need hard start kit? Check 24VAC and unit transformer tap for correct power supply voltage. X X Over Voltage Check power supply voltage and 24VAC before and during operation. Check 24VAC and unit transformer tap for correct power supply voltage. X Heating mode FP2>125 F [52 C] Check for poor air flow or overcharged unit. X Cooling Mode FP1>125 F [52 C] OR FP2< 40ºF [4ºC]) Check for poor water flow, or air flow. X X No compressor operation See "Only Fan Operates". X X Compressor overload Check and replace if necessary. X X Control board Reset power and check operation. X X Dirty air filter Check and clean air filter. X X Unit in "test mode" Reset power or wait 20 minutes for auto exit. X X Unit selection Unit may be oversized for space. Check sizing for actual load of space. X X Compressor overload Check and replace if necessary X X Thermostat position Ensure thermostat set for heating or cooling operation. X X Unit locked out Check for lockout codes. Reset power. X X Compressor Overload Check compressor overload. Replace if necessary. X X Thermostat wiring Check thermostat wiring at heat pump. Jumper Y and R for compressor operation in test mode. X X Thermostat wiring Check G wiring at heat pump. Jumper G and R for fan operation Only Compressor Runs Unit Doesn t Operate in Cooling X X Fan motor relay Jumper G and R for fan operation. Check for Line voltage across BR contacts. X X Check fan power enable relay operation (if present). X X Fan motor Check for line voltage at motor. Check capacitor. X X Thermostat wiring Check thermostat wiring at heat pump. Jumper Y and R for compressor operation in test mode Set for cooling demand and check 24VAC on RV coil and at CXM/DXM board. X Reversing valve If RV is stuck, run high pressure up by reducing water flow and while operating engage and disengage RV coil voltage to push valve. X Thermostat setup Check for O RV setup not B. X Thermostat wiring Check O wiring at heat pump. Jumper O and R for RV coil click. Put thermostat in cooling mode. Check 24 VAC on O (check between C and X Thermostat wiring O); check for 24 VAC on W (check between W and C). There should be voltage on O, but not on W. If voltage is present on W, thermostat may be bad or wired incorrectly. 58 ClimateMaster Water-Source Heat Pumps

95 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 59 of 64 Created: 01 August, 2011 Performance Troubleshooting Performance Troubleshooting Htg Clg Possible Cause Solution X X Dirty filter Replace or clean. Check for dirty air filter and clean or replace. X Reduced or no air flow in heating Check fan motor operation and airflow restrictions. Too high of external static. Check static vs. blower table. Check for dirty air filter and clean or replace. X Reduced or no air flow in cooling Check fan motor operation and airflow restrictions. Too high of external static. Check static vs. blower table. Insufficient capacity/ Not cooling or heating High Head Pressure Low Suction Pressure Low Discharge Air Temperature in Heating High humidity X X Leaky duct work Check supply and return air temperatures at the unit and at distant duct registers if significantly different, duct leaks are present. X X Low refrigerant charge Check superheat and subcooling per chart. X X Restricted metering device Check superheat and subcooling per chart. Replace. X Defective reversing valve Perform RV touch test. X X Thermostat improperly located Check location and for air drafts behind stat. X X Unit undersized Recheck loads & sizing. Check sensible clg. load and heat pump capacity. X X Scaling in water heat exchanger Perform scaling check and clean if necessary. X X Inlet water too hot or too cold Check load, loop sizing, loop backfill, ground moisture. Check for dirty air filter and clean or replace. X Reduced or no air flow in heating Check fan motor operation and air flow restrictions. Too high of external static. Check static vs. blower table. Check pump operation or valve operation/setting. X Reduced or no water flow in cooling Check water flow. Adjust to proper flow rate. X Inlet water too hot Check load, loop sizing, loop backfill, ground moisture. X Air temperature out of range in heating Bring return air temperature within design parameters. X Scaling in water heat exchanger Perform scaling check and clean if necessary. X X Unit overcharged Check superheat and subcooling. Re-weigh in charge. X X Non-condensables in system Vacuum system and re-weigh in charge. X X Restricted metering device. Check superheat and subcooling per chart. Replace. Check pump operation or water valve operation/setting. X Reduced water flow in heating. Plugged strainer or filter. Clean or replace. Check water flow. Adjust to proper flow rate. X Water temperature out of range. Bring water temperature within design parameters. Check for dirty air filter and clean or replace. X Reduced air flow in cooling. Check fan motor operation and air flow restrictions. Too high of external static. Check static vs. blower table. X Air temperature out of range Too much cold vent air? Bring entering air temperature within design parameters. X X Insufficient charge Check for refrigerant leaks. X Too high of air flow Check fan motor speed selection and air flow chart. X Poor performance See Insufficient Capacity X Too high of air flow Check fan motor speed selection and airflow chart. X Unit oversized Recheck loads & sizing. Check sensible clg load and heat pump capacity. climatemaster.com 59

96 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Start-Up Log Sheet Exhibit B Page 60 of 64 Installer: Complete unit and system checkout and follow unit start-up procedures in the IOM. Use this form to record unit information, temperatures and pressures during start-up. Keep this form for future reference. Job Name: Street Address: Model Number: Serial Number: Unit Location in Building: Date: Sales Order No: In order to minimize troubleshooting and costly system failures, complete the following checks and data entries before the system is put into full operation. Fan Motor: Speed Tap (PSC) or CFM Settings (ECM) Temperatures: F or C Antifreeze: % Pressures: PSIG or kpa Cooling Mode Type Heating Mode Entering Fluid Temperature Leaving Fluid Temperature Temperature Differential Return-Air Temperature DB WB DB Supply-Air Temperature DB WB DB Temperature Differential Water Coil Heat Exchanger (Water Pressure IN) Water Coil Heat Exchanger (Water Pressure OUT) Pressure Differential Water Flow GPM Compressor Amps Volts Discharge Line Temperature Motor Amps Volts Allow unit to run 15 minutes in each mode before taking data. Do not connect gauge lines 60 ClimateMaster Water-Source Heat Pumps

97 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 61 of 64 Created: 01 August, 2011 Functional Troubleshooting Refrigerant Circuit Diagrams HEATING CYCLE ANALYSIS - PSI SAT F AIR F COIL F SUCTION EXPANSION VALVE FILTER DRIER* COAX COMPRESSOR DISCHARGE HWG F FP2: HEATING LIQUID LINE F FLASH GAS LINE COOLING CYCLE ANALYSIS - F FP1 SENSOR F F PSI PSI WATER IN WATER OUT PSI F PSI SAT SAT Look up pressure drop in I.O.M. or spec. catalog to determine flow rate. Refrigerant Type: HFC-410A AIR F COIL F F SUCTION COMPRESSOR Voltage: EXPANSION VALVE FILTER DRIER* COAX HWG DISCHARGE Comp Amps: Total Amps: F FP2: FLASH GAS LINE F OTHER SIDE OF FILTR DR F FP1: CLG F F LIQ LINE PSI PSI WATER IN WATER OUT Heat of Extraction (Absorption) or Heat of Rejection = flow rate ( gpm) x temp. diff. ( deg. F) x fluid factor = (Btu/hr) Superheat = Suction temperature - suction saturation temp. = (deg F) Subcooling = Discharge saturation temp. -liquid line temp. = (deg F) F PSI SAT Look up pressure drop in I.O.M. or spec. catalog to determine flow rate. Use 500 for water, 485 for antifreeze. Rev. 12/08 Note: Never connect refrigerant gauges during startup procedures. Conduct water-side analysis using P/T ports to determine water flow and temperature difference. If water-side analysis shows poor performance, refrigerant troubleshooting may be required. Connect refrigerant gauges as a last resort. climatemaster.com 61

98 CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Warranty (U.S. & Canada) Exhibit B Page 62 of 64 CLIMATE MASTER, INC. LIMITED EXPRESS WARRANTY/ LIMITATION OF REMEDIES AND LIABILITY It is expressly understood that unless a statement is speci cally identi ed as a warranty, statements made by Climate Master, Inc., a Delaware corporation, ( CM ) or its representatives, relating to CM s products, whether oral, written or contained in any sales literature, catalog or any other agreement, are not express warranties and do not form a part of the basis of the bargain, but are merely CM s opinion or commendation of CM s products. EXCEPT AS SPECIFICALLY SET FORTH HEREIN, THERE IS NO EXPRESS WARRANTY AS TO ANY OF CM S PRODUCTS. CM MAKES NO WARRANTY AGAINST LATENT DEFECTS. CM MAKES NO WARRANTY OF MERCHANTABILITY OF THE GOODS OR OF THE FITNESS OF THE GOODS FOR ANY PARTICULAR PURPOSE. GRANT OF LIMITED EXPRESS WARRANTY CM warrants CM products purchased and retained in the United States of America and Canada to be free from defects in material and workmanship under normal use and maintenance as follows: (1) All complete air conditioning, heating and/or heat pump units built or sold by CM for twelve (12) months from date of unit start up or eighteen (18) months from date of shipment (from factory), whichever comes rst; (2) Repair and replacement parts, which are not supplied under warranty, for nintey (90) days from date of shipment (from factory). All parts must be returned to CM s factory in Oklahoma City, Oklahoma, freight prepaid, no later than sixty (60) days after the date of the failure of the part; if CM determines the part to be defective and within CM s Limited Express Warranty, CM shall, when such part has been either replaced or repaired, return such to a factory recognized dealer, contractor or service organization, F.O.B. CM s factory, Oklahoma City, Oklahoma, freight prepaid. The warranty on any parts repaired or replaced under warranty expires at the end of the original warranty period. This warranty does not cover and does not apply to: (1) Air lters, fuses, refrigerant, uids, oil; (2) Products relocated after initial installation; (3) Any portion or component of any system that is not supplied by CM, regardless of the cause of the failure of such portion or component; (4) Products on which the unit identi cation tags or labels have been removed or defaced; (5) Products on which payment to CM is or has been in default; (6) Products which have defects or damage which result from improper installation, wiring, electrical imbalance characteristics or maintenance; or are caused by accident, misuse or abuse, re, ood, alteration or misapplication of the product; (7) Products which have defects or damage which result from a contaminated or corrosive air or liquid supply, operation at abnormal temperatures, or unauthorized opening of refrigerant circuit; (8) Mold, fungus or bacteria damages; (9) Products subjected to corrosion or abrasion; (10) Products manufactured or supplied by others; (11) Products which have been subjected to misuse, negligence or accidents; (12) Products which have been operated in a manner contrary to CM s printed instructions; or (13) Products which have defects, damage or insuf cient performance as a result of insuf cient or incorrect system design or the improper application of CM s products. CM is not responsible for: (1) The costs of any uids, refrigerant or other system components, or associated labor to repair or replace the same, which is incurred as a result of a defective part covered by CM s Limited Express Warranty; (2) The costs of labor, refrigerant, materials or service incurred in removal of the defective part, or in obtaining and replacing the new or repaired part; or, (3) Transportation costs of the defective part from the installation site to CM or of the return of any part not covered by CM s Limited Express Warranty. Limitation: This Limited Express Warranty is given in lieu of all other warranties. If, notwithstanding the disclaimers contained herein, it is determined that other warranties exist, any such warranties, including without limitation any express warranties or any implied warranties of tness for particular purpose and merchantability, shall be limited to the duration of the Limited Express Warranty. LIMITATION OF REMEDIES In the event of a breach of the Limited Express Warranty, CM will only be obligated at CM s option to repair the failed part or unit or to furnish a new or rebuilt part or unit in exchange for the part or unit which has failed. If after written notice to CM s factory in Oklahoma City, Oklahoma of each defect, malfunction or other failure and a reasonable number of attempts by CM to correct the defect, malfunction or other failure and the remedy fails of its essential purpose, CM shall refund the purchase price paid to CM in exchange for the return of the sold good(s). Said refund shall be the maximum liability of CM. THIS REMEDY IS THE SOLE AND EXCLUSIVE REMEDY OF THE BUYER OR THEIR PURCHASER AGAINST CM FOR BREACH OF CONTRACT, FOR THE BREACH OF ANY WARRANTY OR FOR CM S NEGLIGENCE OR IN STRICT LIABILITY. LIMITATION OF LIABILITY CM shall have no liability for any damages if CM s performance is delayed for any reason or is prevented to any extent by any event such as, but not limited to: any war, civil unrest, government restrictions or restraints, strikes or work stoppages, re, ood, accident, shortages of transportation, fuel, material, or labor, acts of God or any other reason beyond the sole control of CM. CM EXPRESSLY DISCLAIMS AND EXCLUDES ANY LIABIL- ITY FOR CONSEQUENTIAL OR INCIDENTAL DAMAGE IN CONTRACT, FOR BREACH OF ANY EXPRESS OR IMPLIED WARRANTY, OR IN TORT, WHETHER FOR CM s NEGLIGENCE OR AS STRICT LIABILITY. OBTAINING WARRANTY PERFORMANCE Normally, the contractor or service organization who installed the products will provide warranty performance for the owner. Should the installer be unavailable, contact any CM recognized dealer, contractor or service organization. If assistance is required in obtaining warranty performance, write or call: Climate Master, Inc. Customer Service 7300 S.W. 44th Street Oklahoma City, Oklahoma (405) NOTE: Some states or Canadian provinces do not allow limitations on how long an implied warranty lasts, or the limitation or exclusions of consequential or incidental damages, so the foregoing exclusions and limitations may not apply to you. This warranty gives you speci c legal rights, and you may also have other rights which vary from state to state and from Canadian province to Canadian province. Please refer to the CM Installation, Operation and Maintenance Manual for operating and maintenance instructions. *LC083* Rev.: 11/09 LC ClimateMaster Water-Source Heat Pumps

99 THE SMART SOLUTION FOR ENERGY EFFICIENCY Exhibit B Tranquility 20 (TS) Page Series 63 of 64 Created: 01 August, 2011 Warranty (International) CLIMATE MASTER, INC. LIMITED EXPRESS WARRANTY /LIMITATION OF REMEDIES AND LIABILITY (FOR INTERNATIONAL CLASS PRODUCTS) Disclaimer: It is expressly understood that unless a statement is specifically identified as a warranty, statements made by Climate Master, Inc., a Delaware corporation, U. S. A. ( CM ) or its representatives, relating to CM s products, whether oral, written or contained in any sales literature, catalog, this or any other agreement or other materials, are not express warranties and do not form a part of the basis of the bargain, but are merely CM s opinion or commendation of CM s products. EXCEPT AS SPECIFICALLY SET FORTH HEREIN AND TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, CM MAKES NO WARRANTY AS TO ANY OF CM S PRODUCTS, AND CM MAKES NO WARRANTY AGAINST LATENT DEFECTS OR ANY WARRANTY OF MERCHANTABILITY OF THE GOODS OR OF THE FITNESS OF THE GOODS FOR ANY PARTICULAR PURPOSE. GRANT OF LIMITED EXPRESS WARRANTY CM warrants CM products purchased and installed outside the United States of America ( U.S.A. ) and Canada to be free from material defects in materials and workmanship under normal use and maintenance as follows: (1) All complete air conditioning, heating or heat pump units built or sold by CM for twelve (12) months from date of unit start-up or eighteen (18) months from date of shipment (from CM s factory), whichever comes first; and, (2) Repair and replacement parts, which are not supplied under warranty, for ninety (90) days from date of shipment (from factory). Warranty parts shall be furnished by CM if ordered through an authorized sales representative of CM ( Representative ) within sixty (60) days after the failure of the part. If CM determines that a parts order qualifies for replacement under CM s warranty, such parts shall be shipped freight prepaid to the Representative or the ultimate user, as requested by Representative. All duties, taxes and other fees shall be paid by the ultimate user through the Representative. If requested by CM, all defective parts shall be returned to CM s factory in Oklahoma City, Oklahoma, U.S.A, freight and duty prepaid, not later than sixty (60) days after the date of the request. If the defective part is not timely returned or if CM determines the part to not be defective or otherwise not to qualify under CM s Limited Express Warranty, CM shall invoice Customer the costs for the parts furnished, including freight. The warranty on any part repaired or replaced under warranty expires at the end of the original warranty period. This warranty does not cover and does not apply to: (1) Air filters, fuses, refrigerant, fluids, oil; (2) Products relocated after initial installation; (3) Any portion or component of any system that is not supplied by CM, regardless of the cause of the failure of such portion or component; (4) Products on which the unit identification tags or labels have been removed or defaced; (5) Products on which payment by Customer to CM or its distributors or Representatives, or the Customer s seller is in default; (6) Products which have defects or damage which result from improper installation, wiring, electrical imbalance characteristics or maintenance; or from parts or components manufactured by others; or are caused by accident, misuse, negligence, abuse, fire, flood, lightning, alteration or misapplication of the product; (7) Products which have defects or damage which result from a contaminated or corrosive air or liquid supply, operation at abnormal temperatures or flow rates, or unauthorized opening of the refrigerant circuit; (8) Mold, fungus or bacteria damages; (9) Products subjected to corrosion or abrasion; (10) Products, parts or components manufactured or supplied by others; (11) Products which have been subjected to misuse, negligence or accidents; (12) Products which have been operated in a manner contrary to CM s printed instructions; (13) Products which have defects, damage or insufficient performance as a result of insufficient or incorrect system design or the improper application, installation, or use of CM s products; or (14) Electricity or fuel costs, or any increases or unrealized savings in same, for any reason. CM is not responsible for: (1) The cost of any fluids, refrigerant or other system components, or the associated labor to repair or replace the same, which is incurred as a result of a defective part covered by CM s Limited Express Warranty; (2) The cost of labor, refrigerant, materials or service incurred in diagnosis and removal of the defective part, or in obtaining and replacing the new or repaired part; (3) Transportation costs of the defective part from the installation site to CM or of the return of any part not covered by CM s Limited Express Warranty; or (4) The costs of normal maintenance. Limitation: This Limited Express Warranty is given in lieu of all other warranties. If, notwithstanding the disclaimers contained herein, it is determined by a court or other qualified judicial body that other warranties exist, any such warranty, including without limitation any express warranty or any implied warranty of fitness for particular purpose and merchantability, shall be limited to the duration of the Limited Express Warranty. This Limited Express Warranty does not exclude any warranty that is mandatory and that may not be excluded under applicable imperative law. LIMITATION OF REMEDIES In the event of a breach of this Limited Express Warranty or any warranty that is mandatory under applicable imperative law, CM will only be obligated at CM s option to either repair the failed part or unit or to furnish a new or rebuilt part or unit in exchange for the part or unit which has failed. If after written notice to CM s factory in Oklahoma City, Oklahoma, U.S.A. of each defect, malfunction or other failure and a reasonable number of attempts by CM to correct the defect, malfunction or other failure and the remedy fails of its essential purpose, CM shall refund the purchase price paid to CM in exchange for the return of the sold good(s). Said refund shall be the maximum liability of CM. TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, THIS REMEDY IS THE SOLE AND EXCLUSIVE REMEDY OF THE CUSTOMER AGAINST CM FOR BREACH OF CONTRACT, FOR THE BREACH OF ANY WARRANTY OR FOR CM S NEGLIGENCE OR IN STRICT LIABILITY. LIMITATION OF LIABILITY CM shall have no liability for any damages if CM s performance is delayed for any reason or is prevented to any extent by any event such as, but not limited to: any war, civil unrest, government restrictions or restraints, strikes, or work stoppages, fire, flood, accident, allocation, shortages of transportation, fuel, materials, or labor, acts of God or any other reason beyond the sole control of CM. TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW AND SUBJECT TO THE NEXT SENTENCE, CM EXPRESSLY DISCLAIMS AND EXCLUDES ANY LIABILITY FOR LOSS OF PROFITS, LOSS OF BUSINESS OR GOODWILL, CONSEQUENTIAL, INCIDENTAL, SPECIAL, LIQUIDATED, OR PUNITIVE DAMAGE IN CONTRACT, FOR BREACH OF ANY EXPRESS OR IMPLIED WARRANTY, OR IN TORT, WHETHER FOR CM s NEGLIGENCE OR AS STRICT LIABILITY. Nothing in this Agreement is intended to exclude CM s liability for death, personal injury or fraud. OBTAINING WARRANTY PERFORMANCE Normally, the contractor or service organization who installed the products will provide warranty performance for the owner. Should the installer be unavailable, contact any CM recognized Representative. If assistance is required in obtaining warranty performance, write or call: Climate Master, Inc. Customer Service 7300 S.W. 44th Street Oklahoma City, Oklahoma, U.S.A (405) FAX (405) NOTE: Some countries do not allow limitations on how long an implied warranty lasts, or the limitation or exclusions of consequential or incidental damages, so the foregoing exclusions and limitations may not apply to you. This warranty gives you specific legal rights, and you may also have other rights which vary from state to state and country to country. Please refer to the CM Installation, Operation and Maintenance Manual for operating and maintenance instructions. Rev.: 10/09 *LC079* LC079 climatemaster.com 63

100 MANUFACTURER CERTIFIED TO ARI AS COMPLYING WITH CLIMATEMASTER WATER-SOURCE HEAT PUMPS Tranquility 20 (TS) Series Created: 01 August, 2011 Revision History Exhibit B Page 64 of 64 Date: Item: Action: 08/01/11 First Published ISO 9001:2000 Certified Quality: First & Always WATER TO AIR BRINE TO AIR ISO HEAT R PUMPS STANDARD *97B0075N06* 97B0075N S.W. 44th Street Oklahoma City, OK Phone: Fax: climatemaster.com ClimateMaster works continually to improve its products. As a result, the design and specifications of each product at the time for order may be changed without notice and may not be as described herein. Please contact ClimateMaster s Customer Service Department at for specific information on the current design and specifications. Statements and other information contained herein are not express warranties and do not form the basis of any bargain between the parties, but are merely ClimateMaster s opinion or commendation of its products. The management system governing the manufacture of ClimateMaster s products is ISO 9001:2000 certified. ClimateMaster is a proud supporter of the Geothermal Exchange Organization - GEO. For more information visit geoexchange.org. ClimateMaster, Inc ClimateMaster Water-Source Heat Pumps

101 Climate Master Heat Pump Preventive Maintenance Glendale Exhibit C Page 1 of 5 BID SHEET Please base your costs on the information provided in Exhibit A, Scope of Work I. Years One (1) through Three (3) A.1 Quarterly Maintenance/Inspection Services Partial Year One (1) The hourly rates for quarterly maintenance/inspection services for partial year one (1) must be constant; no fluctuations will be allowed. Hourly Rate # of Hours Partial (1) Year 3 rd Quarterly Service $ X X 1 = $ Annual Service (Inclusive of 4 th Quarterly Service) $ X X 1 = $ TOTAL FOR ITEM A.1 $ = Total A.2 Quarterly Maintenance/Inspection Services Years Two (2) through Three (3) The hourly rates for quarterly maintenance/inspection services for years two (2) through three (3) must be constant; no fluctuations will be allowed. Hourly Rate # of Hours Two (2) Years 1 st Quarterly Service $ X X 2 = $ 2 nd Quarterly Service $ X X 2 = $ 3 rd Quarterly Service $ X X 2 = $ Annual Service (Inclusive of 4 th Quarterly Service) Hourly Rate B. Repair Service Hourly Rate $ X X 2 = $ TOTAL FOR ITEM A.2 $ = Total The hourly rates for repair services for years one (1) through three (3) must be constant; no fluctuations will be allowed. Minimum # of Hours Per Incident Est. # of Incidents Two and a half (2.5) Years = Total $ X X 4 X 2.5 = $ TOTAL FOR ITEM B $

102 Climate Master Heat Pump Preventive Maintenance Glendale Exhibit C Page 2 of 5 Hourly Rate C. Emergency Call Hourly Rate The hourly rates for emergency call services for years one (1) through three (3) must be constant; no fluctuations will be allowed. Minimum # of Hours Per Incident Est. # of Incidents Two and a half (2.5) Years = Total $ X X 4 X 2.5 = $ TOTAL FOR ITEM C $ I. YEARS 1-3 TOTAL (A.1 + A.2 + B + C) $ II. Years Four (4) through Five (5) A. Quarterly Maintenance/Inspection Services The hourly rates for quarterly maintenance/inspection services for years four (4) through five (5) may increase/decrease from rates in Item I based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate # of Hours Two (2) Years = Total 1 st Quarterly Service $ X X 2 = $ 2 nd Quarterly Service $ X X 2 = $ 3 rd Quarterly Service $ X X 2 = $ Annual Service (Inclusive of 4 th Quarterly Service) B. Repair Service Hourly Rate $ X X 2 = $ TOTAL FOR ITEM A $ The hourly rates for quarterly maintenance/inspection services for years four (4) through five (5) may increase/decrease from rates in Item I based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate Minimum # of Hours Per Incident Est. # of Incidents Two (2) Years = Total $ X X 4 X 2 = $ TOTAL FOR ITEM B $

103 Climate Master Heat Pump Preventive Maintenance Glendale Exhibit C Page 3 of 5 C. Emergency Call Hourly Rate The hourly rates for quarterly maintenance/inspection services for years four (4) through five (5) may increase/decrease from rates in Item I based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate Minimum # of Hours Per Incident Est. # of Incidents Two (2) Years = Total $ X X 4 X 2 = $ TOTAL FOR ITEM C $ II. YEARS 4-5 TOTAL (A + B + C) $ III. Years Six (6) through Eight (8) A. Quarterly Maintenance/Inspection Services The hourly rates for quarterly maintenance/inspection services for years six (6) through eight (8) may increase/decrease from rates in Item II based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate # of Hours Three (3) Years 1 st Quarterly Service $ X X 3 = $ 2 nd Quarterly Service $ X X 3 = $ 3 rd Quarterly Service $ X X 3 = $ Annual Service (Inclusive of 4 th Quarterly Service) Hourly Rate B. Repair Service Hourly Rate $ X X 3 = $ TOTAL FOR ITEM A $ = Total The hourly rates for quarterly maintenance/inspection services for years six (6) through eight (8) may increase/decrease from rates in Item II based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Minimum # of Hours Per Incident Est. # of Incidents Three (3) Years = Total $ X X 4 X 3 = $ TOTAL FOR ITEM B $

104 Climate Master Heat Pump Preventive Maintenance Glendale Exhibit C Page 4 of 5 Hourly Rate C. Emergency Call Hourly Rate The hourly rates for quarterly maintenance/inspection services for years six (6) through eight (8) may increase/decrease from rates in Item II based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Minimum # of Hours Per Incident Est. # of Incidents Three (3) Years = Total $ X X 4 X 3 = $ TOTAL FOR ITEM C $ III. YEARS 6-8 TOTAL (A + B + C) $ IV. Years Nine (9) through Ten (10) A. Quarterly Maintenance/Inspection Services The hourly rates for quarterly maintenance/inspection services for years nine (9) through ten (10) may increase/decrease from rates in Item III based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate # of Hours Two (2) Years 1 st Quarterly Service $ X X 2 = $ 2 nd Quarterly Service $ X X 2 = $ 3 rd Quarterly Service $ X X 2 = $ Annual Service (Inclusive of 4 th Quarterly Service) B. Repair Service Hourly Rate $ X X 2 = $ TOTAL FOR ITEM A $ = Total The hourly rates for quarterly maintenance/inspection services for years nine (9) through ten (10) may increase/decrease from rates in Item III based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate Minimum # of Hours Per Incident Est. # of Incidents Two (2) Years = Total $ X X 4 X 2 = $ TOTAL FOR ITEM B $

105 Climate Master Heat Pump Preventive Maintenance Glendale Exhibit C Page 5 of 5 C. Emergency Call Hourly Rate The hourly rates for quarterly maintenance/inspection services for years nine (9) through ten (10) may increase/decrease from rates in Item III based on anticipated cost increases/decreases. Your hourly rate should reflect those fluctuations. Hourly Rate Minimum # of Hours Per Incident Est. # of Incidents Two (2) Years = Total $ X X 4 X 2 = $ TOTAL FOR ITEM C $ IV. YEARS 9-10 TOTAL (A + B + C) $ V. PARTS Parts for entire contract term $10, TOTAL BID AMOUNT (I+II+III+IV+V) $

106 Exhibit D Page 1 of 23 STATE OF CALIFORNIA STANDARD AGREEMENT STD 213 (Rev 06/03) AGREEMENT NUMBER 1. This Agreement is entered into between the State Agency and the Contractor named below: STATE AGENCY'S NAME California State Teachers Retirement System (CalSTRS) CONTRACTOR'S NAME REGISTRATION NUMBER The term of this Agreement is: 3. The maximum amount of this Agreement is: $XX US Dollars through 4. The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. Exhibit A Scope of Work Exhibit B Contractor Background Investigation Policy Exhibit C Certification of Contractor s Employee Background Investigation Form Exhibit D Personal History Statement Exhibit E Contractor s Authorized/Key Personnel Exhibit F Teachers Retirement Board Policy Manual Section 600H Exhibit G Form 600-H Disclosure of Contributions and Gifts X page(s) 4 pages 1 page 1 page 1 page 3 pages 2 pages IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CONTRACTOR CONTRACTOR S NAME (if other than an individual, state whether a corporation, partnership, etc.) California Department of General Services Use Only BY (Authorized Signature) PRINTED NAME AND TITLE OF PERSON SIGNING DATE SIGNED(Do not type) ADDRESS APPROVED AS TO FORM AGENCY NAME CalSTRS BY (Authorized Signature) PRINTED NAME AND TITLE OF PERSON SIGNING Robin Madsen, Chief Financial Officer STATE OF CALIFORNIA ADDRESS 100 Waterfront Place, West Sacramento, CA DATE SIGNED(Do not type) CalSTRS LEGAL COUNSEL Exempt per:

107 Exhibit D Page 2 of 23 A. INTRODUCTION The California State Teachers Retirement System (CalSTRS) and Contractor Name (Contractor) enter into this Agreement to provide maintenance and repair coverage for document scanners as more fully described in Exhibit A Scope of Work. B. GENERAL RESPONSIBILITIES 1. Contractor a) Contractor shall [Define specific Contractor work/services to be performed. If applicable, include Attachment/Exhibit.] b) Define schedule of deliverables and due dates 2. CalSTRS a) CalSTRS shall provide [Define CalSTRS responsibilities. If applicable, include Attachment/Exhibit.] b) Define schedule of deliverables and due dates C. AGREEMENT LIAISONS 1. Contractor a) Contractor liaison for services shall be Name, Title, Telephone number, and E- mail address. b) Correspondence may be addressed to mail address. 2. CalSTRS a) CalSTRS liaison for services shall be Name, Title, Telephone number, address and Mail Stop ##. b) Procurement, (916) , address contractservices@calstrs.com, and Mail Stop 30, for questions related to the Agreement. c) Accounting, (916) , address saccounting@calstrs.com, and Mail Stop 29, for questions related to invoices/payments. d) Correspondence may be addressed to the California State Teachers Retirement System, 100 Waterfront Place, Mail Stop (number above), West Sacramento, CA or PO Box 15275, Sacramento, CA e) Any notices to be given shall be in writing and served to CalSTRS either personally or delivered by mail to the address listed above, including:

108 Exhibit D Page 3 of 23 Branch Name Name, Deputy Chief Executive Officer Mail Stop ## D. TERM E. FEES The term of this Agreement shall be from (start date) or upon final authorized signature of both parties, whichever occurs later, through (end date). 1. The total amount of this Agreement shall not exceed $ (US dollars), unless amended in writing and signed by the CalSTRS Accounting Officer. 2. Fees shall be calculated as. F. BUDGET DETAIL AND PAYMENT PROVISIONS 1. Invoicing and Payment a) For services satisfactorily rendered, and upon receipt and approval of the invoices, CalSTRS agrees to compensate the Contractor for actual expenditures incurred in accordance with the rates specified herein, which is attached hereto and made a part of this Agreement. b) Invoices shall be submitted in triplicate not more frequently than monthly in arrears to: Accounting (MS 29) California State Teachers Retirement System PO Box Sacramento, CA c) Invoice(s) must include: 1) CalSTRS Agreement Number; 2) Contractor s name, address and telephone number; 3) itemized description of services including detailed cost and date(s) of services; 4) fiscal year in which services were rendered; and 5) total amount of invoice in US dollars. 2. Budget Contingency Clause a) It is mutually agreed that if the Budget Act of the current year and/or any subsequent years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no further force and effect. In this event, CalSTRS shall have no liability to pay any funds whatsoever to Contractor or to furnish any other considerations under this Agreement and Contractor shall not be obligated to perform any provisions of this Agreement.

109 Exhibit D Page 4 of 23 b) If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this program, CalSTRS shall have the option to either cancel this Agreement with no liability occurring to CalSTRS, or offer an Agreement amendment to Contractor to reflect the reduced amount. 3. Prompt Payment Clause Payment will be made in accordance with, and within the time specified in, Government Code Chapter 4.5, commencing with Section 927. G. GENERAL TERMS AND CONDITIONS 1. Timeliness Time is of the essence in this Agreement. 2. Approval This Agreement is of no force or effect until signed by both parties. Contractor may not commence performance until approval has been obtained. 3. Amendment 4. Taxes No amendment or variation of the terms of this Agreement shall be valid unless made in writing and signed by the parties. No oral understanding or agreement not incorporated in the Agreement is binding on any of the parties. Unless otherwise required by law, CalSTRS is exempt from Federal excise taxes. CalSTRS will only pay for any state or local sales or use taxes on the services rendered or goods supplied to CalSTRS pursuant to this Agreement. These payments are included in the monetary value of the Agreement. 5. Severability Should any provision(s) of this Agreement be declared or found to be illegal, unenforceable, ineffective or void, then each party shall be relieved of any obligations arising in such provision(s); the balance of this Agreement, if capable of performance, shall remain and continue in full force and effect. 6. Force Majeure Neither party shall be liable to the other for delay in or failure of performance, nor shall any such delay in or failure of performance constitute default, if such delay or failure is caused by Force Majeure. Such causes may include, but are not restricted to, Acts of God or of the public enemy, acts of the State in its sovereign capacity, fires, floods,

110 Exhibit D Page 5 of 23 power failure, disabling strikes, epidemics, quarantine restrictions, and freight embargoes. 7. Nondiscrimination During the performance of this Agreement, Contractor and its subcontractors, as well as their agents and employees, shall not unlawfully discriminate, harass or allow harassment, against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (including health impairments related to or associated with a diagnosis of cancer for which a person has been rehabilitated or cured), age (40 or over), marital status, and use of family and medical care leave pursuant to federal law. Contractors and subcontractors, as well as their agents and employees, shall ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Contractor and subcontractors, as well as their agents and employees, shall comply with the provisions of the Fair Employment and Housing Act (Government Code, section et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code, section (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this Agreement. 8. Assignment This Agreement is not assignable by the Contractor, either in whole or in part, without the consent of CalSTRS in the form of a formal written agreement. 9. Disputes Any dispute concerning a question of fact arising under the terms of this Agreement which is not disposed of within a reasonable period of time by Contractor and CalSTRS employees normally responsible for the administration of this Agreement shall be brought to the attention of the Executive Officer (or designated representative) of each organization for joint resolution. At the request of either party, CalSTRS shall provide a forum for the discussion of the disputed item(s), at which time a third party, mutually agreed upon by the parties to this Agreement, shall be requested to assist in the resolution of the dispute. If agreement cannot be reached through the application of high level management attention, either party may assert its other rights and remedies within this Agreement or within a court of competent jurisdiction.

111 Exhibit D Page 6 of 23 CalSTRS and Contractor agree that, the existence of a dispute notwithstanding, they will continue without delay to carry out all their responsibilities under this Agreement which are not affected by the dispute. 10. Confidentiality Contractor, in the course of its duties, may handle investment, financial, accounting, statistical, personal, technical and other data and information relating to CalSTRS and its members. All such information is confidential, and, unless permitted by CalSTRS in writing, Contractor shall not disclose such information, directly or indirectly, or use it in any way, either during the term of the Agreement or any time thereafter, except as required to perform its duties under this Agreement. Any disclosure of information contrary to this provision shall be considered a material breach of this Agreement. Contractor warrants that only those who are authorized and required to such materials will have access to them. Failure to comply with this provision will subject Contractor to liability, including all damages to CalSTRS and third parties. Contractors who may, in the course of their duties, have access to any CalSTRS information and/or assets, must individually sign a CalSTRS Information Security Confidentiality and Non-Disclosure and Acceptable Use Agreement prior to engaging work with CalSTRS. 11. Contractor Employee Relationship Contractor understands and acknowledges that the personnel provided to CalSTRS under this Agreement are the employees of the Contractor or Independent Contractors who have a contractual relationship with the Contractor. Contractor agrees to indemnify, defend and hold harmless CalSTRS from any and all claims made against it including, but not limited to, claims for salaries, liability for tax withholding, workers compensation, disability or miscellaneous employment benefits, whether based on tort, contract or other theories of recovery arising out of injury, disability, or death of Contractors employees or Independent Contractors. Contractor shall perform a background investigation on all contract employees working for CalSTRS under this Agreement. Contractor s background investigation shall consist of the components prescribed in CalSTRS Contractor Background Investigation Policy (Exhibit #). Compliance with CalSTRS Contractor Background Investigation Policy must be affirmed with submission of Certification of Contractor s Employee Background Investigation Form (Attachment #) for each contract employee providing services to CalSTRS under this Agreement. Further, all contract employees must submit to CalSTRS the Personal History Statement (Attachment #) identifying any relatives of the contract employee that are CalSTRS members, beneficiaries, or employees. 12. Titles/Section Headings Titles or headings are not part of this Agreement, are for convenience of reference only, and shall have no effect on the construction or legal effect of this Agreement.

112 Exhibit D Page 7 of Choice of Law This Agreement shall be administered, construed, governed and enforced according to the laws of the State of California (without regard to any conflict of laws provisions) to the extent such laws have not been preempted by applicable federal law. Any suit brought hereunder (including any action to compel arbitration or to enforce any award or judgment rendered thereby) shall be brought in the state or federal courts sitting in Sacramento, California, the parties hereby waiving any claim or defense that such forum is not convenient or proper. Each party agrees that any such court shall have in personam jurisdiction over it and consents to service of process in any manner authorized by California law. 14. Independent Contractor Contractor, and the agents and employees of Contractor, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees or agents of CalSTRS or the State of California. 15. Counterparts This Agreement may be executed in one or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 16. Unenforceable Provision In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have full force and effect and shall not be affected thereby. 17. Entire Agreement This Agreement contains all representations and the entire understanding between the parties with respect to the subject matter herein. If applicable, the competitive process as it may have been amended and clarified by CalSTRS prior to the award of this Agreement as well as the Contractor s proposal/bid shall be considered part of this Agreement. However, in the event a conflict in interpretation arises, the agreement document shall prevail. Any correspondence, memoranda or agreements shall be replaced in total by this Agreement. 18. Compensation The consideration to be paid Contractor, as provided herein, shall be as compensation for all of Contractor's expenses incurred in the performance hereof, including travel, per diem, and state and local sales and use taxes, unless otherwise expressly so provided.

113 Exhibit D Page 8 of Knowledge Transfer Where appropriate, Contractor s obligations under the terms of this Agreement include a knowledge transfer to CalSTRS. Knowledge transfer is defined as that personal and/or technical knowledge or information which will enable, or enhance the ability of, CalSTRS staff to maintain and operate contracted-for programs, equipment and facilities. If the Agreement includes the purchase of equipment, knowledge transfer shall also include education and training, including all relevant documentation, to enable CalSTRS to maintain the equipment based on Contractor s methodology. The Contractor agrees that CalSTRS may reproduce such documentation for its own use in maintaining the equipment. Any additional training or instruction necessary to realize the knowledge transfer shall be provided at no additional cost to CalSTRS. H. AFFIRMATIVE COVENANTS 1. Permits and Licenses Contractor shall carry out its duties and responsibilities herein in accordance with, be limited in the exercise of its rights by, and observe and comply with, all federal, state, city and county laws, rules or regulations affecting services under this Agreement. Contractor shall procure and keep in full force and effect during the term of this Agreement all permits and licenses necessary to accomplish the work contemplated in this Agreement. 2. Reports and/or Meetings 3. Audit a) Contractor shall provide oral or written progress reports as requested by CalSTRS to determine if Contractor is performing to expectations or is on schedule, to provide communication of interim findings, and to afford occasions for discussing and resolving problems encountered. b) Contractor shall meet with CalSTRS staff and/or the Board upon request to discuss progress on the Agreement or to present findings, conclusions and recommendations. a) During and for three (3) years after the term of this Agreement, Contractor shall permit the Bureau of State Audits, CalSTRS, and its authorized representatives, and such consultants and specialists as needed, at all reasonable times during normal business hours to inspect and copy, at the expense of CalSTRS, books and records of Contractor relating to its performance of this Agreement.

114 Exhibit D Page 9 of 23 b) Contractor shall be subject to examination and audit by the Bureau of State Audits, CalSTRS, and CalSTRS representatives during the term of this Agreement and for three (3) years after final payment under this Agreement. Any examination or audit shall be confined to those matters connected with the performance of this Agreement, including, but not limited to, the costs of administering this Agreement. Contractor shall cooperate fully with the Bureau of State Audits, CalSTRS, and/or CalSTRS authorized representatives in connection with any examination or audit. All adjustments, payments, and/or reimbursements determined to be necessary by any examination or audit shall be made promptly by the appropriate party. 4. Additional Documents Contractor and CalSTRS agree to execute such additional documents, and perform such further acts, as may be reasonable and necessary to carry out the provisions of this Agreement. 5. Disabled Veteran Business Enterprise (DVBE) Participation Requirements The California Public Contract Code (PCC) Section et seq. requires a participation goal of three percent (3%) DVBE for contracts awarded by CalSTRS. This goal applies to the total contract dollars expended by CalSTRS annually. The Teachers Retirement Board (Board) has adopted a policy that directs staff to encourage, promote, and facilitate the fullest possible participation by DVBE s in contracts awarded by CalSTRS. In compliance with the statutory requirements and with respect to the execution of this Agreement: a) Contractor agrees that, as a Contractor of CalSTRS, it will meet the requirements of the Board's policy regarding the three percent (3%) DVBE participation goal. b) Contractor, in contracting for goods and services pursuant to this Agreement, shall comply with the Board's objectives and policy regarding DVBE participation. c) Nothing shall be construed to authorize any contractor to discriminate in the solicitation or acceptance of bids for subcontracting, or for materials or equipment, on the basis of race, color, sex, ethnic origin or ancestry. d) Contractor agrees to provide CalSTRS or its delegate with any information reasonably necessary to comply with the obligations set forth in the applicable provisions of PCC sections 10115, et seq. Upon reasonable notice, Contractor shall permit CalSTRS or its delegate access to its premises during normal business hours to interview employees and to inspect and copy books, records, accounts, and other materials for the purpose of determining compliance with the

115 6. Reportable Interests Exhibit D Page 10 of 23 applicable provisions of PCC sections 10115, et seq. and Title 2, California Code of Regulations, sections , et seq. Contractor agrees to maintain such records for a period of three (3) years after final payment under this Agreement. Contractor further agrees to make this paragraph applicable to all subcontracts entered into hereunder. Contractor shall not directly or indirectly receive any benefit from recommendations made to CalSTRS and shall disclose to CalSTRS any personal investment or economic interest of Contractor which may be enhanced by the recommendations made to CalSTRS. Contractor acknowledges that CalSTRS is subject to the provisions of the Fair Political Practices laws of California (Government Code section 81000, et seq., and all regulations adopted thereunder, including, but not limited to, Title 2, California Code of Regulations, section 18700) and Contractor shall comply promptly with any requirement thereunder. If required by law, Contractor shall require its Authorized/Key personnel named and all later substitutions therefore to file Statements of Economic Interests in compliance with CalSTRS Conflict of Interest Code (Title 5, California Code of Regulations, section et seq.). All such reports shall be filed simultaneously with CalSTRS. 7. Authorized/Key Personnel a) Exhibit X, Company Name s Authorized/Key Personnel, names certain members (authorized/key individuals who perform scope services under this Agreement) of Contractor's staff who will exercise a significant role under this Agreement. These personnel shall be hereafter referred to (both individually and collectively) as "Authorized/Key Personnel." b) Contractor shall not substitute, replace or reassign Authorized/Key Personnel without CalSTRS prior approval. However, with CalSTRS prior approval, the parties may agree in writing to a change in these Authorized/Key Personnel, which writing shall become a part of this Agreement. c) This Agreement may be terminated immediately, in CalSTRS sole discretion and upon written notice from CalSTRS to Contractor, because of any change in or departure of Contractor's Authorized/Key Personnel. 8. Changes in Control, Organization or Authorized/Key Personnel Contractor shall promptly, and in any case within five (5) calendar days, notify CalSTRS in writing: 1) if any of Contractor's representations and warranties, as set forth in this Agreement, cease to be true at any time during the term of this Agreement; 2) of any change in Contractor's staff who exercise a significant administrative, policy, or consulting role under this Agreement, including without limitation the Authorized/Key Personnel; 3) of any change in the majority ownership, control, or business structure of Contractor; or 4) of any other material change in Contractor's business, partnership or

116 Exhibit D Page 11 of 23 corporate organization. All written notices from Contractor under this provision shall contain sufficient information to permit CalSTRS to evaluate the changes within Contractor's personnel or organization under the same criteria as was used by CalSTRS in its award of this Agreement to Contractor. Contractor agrees to provide CalSTRS with such additional information as CalSTRS may request. 9. Indemnification Contractor agrees to indemnify, defend and hold harmless the State of California, CalSTRS, the Board, the California State Teachers Retirement Fund, and all of the officers, trustees, agents and employees of the foregoing, from and against any and all losses, costs, liabilities, damages or deficiencies, including interest, penalties and attorneys fees, which 1) arise out of or are due to a breach by Contractor of any of its representations, warranties, covenants or other obligations contained in this Agreement, or 2) are caused by or resulting from Contractor s acts or omissions constituting bad faith, willful misfeasance, negligence or reckless disregard of its duties under this Agreement, or 3) accrue or result to any of Contractor s subcontractors, materialmen, laborers or any other person, firm or corporation furnishing or supplying services, material or supplies in connection with the performance of this Agreement. 10. Compliance with Statutes and Regulations Contractor warrants and certifies that in the performance of this Agreement, it will comply with all applicable statutes, rules, regulations and orders of the United States and the State of California and agrees to indemnify CalSTRS against any loss, cost, damage or liability by reason of Contractor s violation of this provision. 11. Subcontractors a) Contractor shall perform the work contemplated with resources available within its own organization. No other portion of the work pertinent to this Agreement shall be subcontracted without written authorization by CalSTRS. The subcontractor must be mutually agreed upon in advance by both parties. b) Contractor shall require any subcontractor to agree to be bound by all provisions of this Agreement as applicable. 12. Notice of Proceedings Contractor shall promptly notify CalSTRS in writing of any investigation, examination or other proceeding involving Contractor, or any Authorized/Key Personnel, commenced by any regulatory agency which proceeding is not conducted in the ordinary course of Contractor's business.

117 Exhibit D Page 12 of 23 I. NEGATIVE COVENANTS 1. Publicity No publicity release or announcement concerning this Agreement or the transactions contemplated herein shall be issued by Contractor without advance written approval by CalSTRS. 2. Services or Procurement Resulting from Agreement Neither Contractor, nor any of its subsidiaries, officers or directors, may submit a bid for or be awarded a contract for the provision of services, procurement of goods or supplies, or any other related action which is required, suggested, or otherwise deemed appropriate on the advice or recommendations that Contractor provides under this Agreement. J. CONTRACTOR CERTIFICATION CLAUSES 1. Statement of Compliance Nondiscrimination Contractor's signature affixed hereon and dated shall constitute a certification under the penalty of perjury under the laws of the State of California that Contractor has, unless exempted, complied with the nondiscrimination program requirements of Government Code section (a-f) and Title 2, California Code of Regulations, section 8103 et seq. 2. Americans with Disabilities Act By signing this Agreement, Contractor assures CalSTRS that it complies with the Americans with Disabilities Act (ADA) of 1990, (42 U.S.C et seq.), which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. 3. National Labor Relations Board Certification Contractor, by signature hereto, does swear under penalty of perjury that no more than one (1) final unappealable finding of contempt of court by a Federal court has been issued against Contractor within the immediately preceding two (2)-year period because of Contractor's failure to comply with an order of a Federal court which orders Contractor to comply with an order of the National Labor Relations Board. 4. Labor Code/Workers Compensation Contractor needs to be aware of the provisions which require every employer to be insured against liability for Worker s Compensation or to undertake self-insurance in accordance with the provisions within the Labor Code Section 3700, and Contractor affirms to comply with such provisions, before commencing the performance of work under this Agreement.

118 Exhibit D Page 13 of Illegal Alien Contractor will comply with 8 USC 1621 et seq. and shall not knowingly employ or contract with an illegal alien to perform work. 6. Drug-Free Workplace Contractor will comply with the requirements of Drug-Free Workplace Act of 1990 and will provide a drug-free workplace by taking the following actions: a) Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations. b) Establish a Drug-Free Awareness Program to inform employees about: 1) The dangers of drug abuse in the workplace; 2) The person's or organization's policy of maintaining a drug-free workplace; 3) Any available counseling, rehabilitation and employee assistance programs; and, 4) Penalties that may be imposed upon employees for drug abuse violations. c) Every employee who works on the proposed Agreement will: 1) Receive a copy of the company's drug-free policy statement; and, 2) Agree to abide by the terms of the company's statements as a condition of employment on the Agreement. Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and Contractor may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: 1) the Contractor has made false certification, or 2) violated the certification by failing to carry out the requirements as noted above. (Government Code Section 8350 et seq.) 7. Contractor Name Change An amendment is required to change the Contractor s name as listed on this Agreement. Upon receipt of legal documentation of the name change CalSTRS will process the amendment. Payment of invoices presented with a new name cannot be paid prior to approval of said amendment.

119 8. Corporate Qualifications To Do Business in California Exhibit D Page 14 of 23 a) When agreements are to be performed in the state by corporations, CalSTRS will verify that the Contractor is currently qualified to do business in California in order to ensure that all obligations due to the state are fulfilled. b) Doing Business is defined in the California Revenue & Taxation Code Section as actively engaging in any transaction for the purpose of financial or pecuniary gain or profit. Although there are some statutory exceptions to taxation, rarely will a corporate contractor performing within the state not be subject to the franchise tax. c) Both domestic and foreign corporations (those incorporated outside of California) must be in good standing in order to be qualified to do business in California. CalSTRS will determine whether a corporation is in good standing by calling the Office of the Secretary of State. 9. Resolution A county, city, district, or other local public body must provide the State with a copy of a resolution, order, motion, or ordinance of the local government body which by law has authority to enter into an agreement, authorizing execution of this Agreement. 10. Payee Data Record Standard Form 204 This form must be completed by all contractors that are not another state agency or other governmental entity. 11. Conflict of Interest Contractor needs to be aware of the following provisions regarding current or former state employees. If Contractor has questions on the status of any person rendering services or involved with the Agreement, CalSTRS must be contacted immediately for clarification. Current State Employees (PCC 10410): a) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. b) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services.

120 Exhibit D Page 15 of 23 Former State Employees (PCC 10411): a) For the two (2)-year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the contract while employed in any capacity by any state agency. b) For the twelve (12)-month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy-making position in the same general area as the proposed contract within the twelve (12)- month period prior to his or her leaving state service. If Contractor violates any provisions of above paragraphs, such action by Contractor shall render this Agreement void. (PCC 10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (PCC (e)) 12. Recycling The Contractor shall certify in writing under penalty of perjury, the minimum, if not exact, percentage of post consumer material as defined in the Public Contract Code Section 12200, in products, materials, goods, or supplies offered or sold to the State regardless of whether the product meets the requirements of Public Contract Code Section With respect to printer or duplication cartridges that comply with the requirements of section 12156(e), the certification required by this subdivision shall specify that the cartridges so comply (Pub. Contract Code 12205). 13. Air or Water Pollution Violation Under the State laws, the Contractor shall not be: 1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; 2) subject to cease and desist order not subject to review issued pursuant to Section of the Water Code for violation of waste discharge requirements or discharge prohibitions; or 3) finally determined to be in violation of provisions of federal law relating to air or water pollution. 14. Expatriate Corporations Contractor hereby declares that it is not an expatriate corporation or subsidiary of an expatriate corporation within the meaning of Public Contract Code Sections and , and is eligible to contract with the State of California.

121 Exhibit D Page 16 of Sweatfree Code of Conduct a) All Contractors contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnished to the state pursuant to the contract have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The contractor further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at and Public Contract Code Section b) The Contractor agrees to cooperate fully in providing reasonable access to the Contractor s records, documents, agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the Department of Industrial Relations, or the Department of Justice to determine the Contractor s compliance with the requirements under paragraph (a). 16. Domestic Partners For Agreements executed or amended after January 1, 2007, the Contractor certifies that Contractor is in compliance with Public Contract Code section K. SPECIAL TERMS AND CONDITIONS 1. Evaluation of Contractor Pursuant to Public Contract Code section 10369, CalSTRS shall evaluate Contractor's performance under the terms and conditions of this Agreement within sixty (60) days after the completion of Contractor's performance under this Agreement. If the evaluation indicates unsatisfactory performance, a copy will be sent to the Department of General Services, the Office of Legal Services and to Contractor who may file a response to the evaluation. The evaluation and response shall remain on file for thirty-six (36) months and shall not be public records. 2. Disclosure of Campaign Contributions, Disclosure and Limits on Charitable Contributions, and Gifts a) Policy Section 600 H of the Teachers Retirement Board Policy Manual set forth policies requiring entities engaging in business with CalSTRS to disclose campaign contributions in excess of $250, prohibits providing charitable contributions in

122 Exhibit D Page 17 of 23 excess of $250, and gifts in excess of $390, as well as requiring the periodic disclosure of campaign contributions, charitable contributions, and gifts. A copy of the current policy is attached as Exhibit X and Contractor is required to comply with its provisions. b) Submission of Disclosures Contractor and each of its Authorized/Key Personnel shall, with the signing of this Agreement and annually thereafter, submit disclosures of contributions and gifts described in this section on a form prescribed by CalSTRS. The current disclosure form required to be submitted is Attachment X, Form 600-H Disclosure of Contributions and Gifts. Attachment X must be submitted on behalf of the Contractor (Entity) and each of its Authorized/Key Personnel (those who signed Attachment X). No other version of this form will be accepted (e.g., annual submittal or generic form downloaded from CalSTRS.com). Annual disclosures shall be due by April 1 st of each year and forms will be provided to Contractor and its personnel by CalSTRS. c) Changes in Laws or Policy CalSTRS reserves the right to amend, upon prior written notice, the above provisions to conform with any subsequent amendments to the political reform laws and CalSTRS policies. Contractor shall have the right to terminate the Agreement upon thirty (30) days written notice should it deem any such amendment unacceptable. 3. Child Support Compliance Act For any Agreement in excess of $100,000, the Contractor acknowledges in accordance therewith, that: a) The Contractor recognizes the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and b) The Contractor, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department.

123 Exhibit D Page 18 of Priority Hiring Considerations If this Agreement is for services in excess of $200,000, the Contractor shall give priority consideration in filling vacancies in positions funded by the Agreement to qualified recipients of aid under Welfare and Institutions Code Section in accordance with PCC Section Liability for Injury to Persons or Damage to Property a) The Contractor shall be liable for damages arising out of injury to the person and/or damage to the property of CalSTRS, employees of CalSTRS, or any other person(s) other than agents or employees of the Contractor, designated by CalSTRS for any purpose, prior to, during, or subsequent to delivery, installation, acceptance, and use of the goods and/or services either at the Contractor s site or at CalSTRS place of business, provided that the injury or damage was caused by the fault or negligence of the Contractor. b) Contractor shall not be liable for damages arising out of or caused by an alteration or an attachment not made or installed by the Contractor, or for damage to alterations or attachments that may result from the normal operation and maintenance of the Contractor s equipment. 6. Limitation of Actions No action, regardless of form, arising out of this Agreement may be brought by either party more than two (2) years after the cause of action has arisen, or in the case of nonpayment, more than two (2) years from the date of the last payment, except where either party, within two (2) years after a cause of action has arisen, provides the other party in writing a notice of a potential cause of action, disclosing all material facts then known by the notifying party concerning such cause of action, then the notifying party may bring an action based on the matter so disclosed at any time prior to the expiration of four (4) years from the time the cause of action arose. 7. Written Commitments Any written commitment by the Contractor relative to the services herein shall be binding upon the Contractor. Failure of the Contractor to fulfill any such commitment shall render the Contractor liable for damages due to CalSTRS. Such written commitments include, but are not limited to: 1) any warranty or representation made by the Contractor in any publication, drawings, or specifications accompanying or referred to in the proposal which pertains to the responsiveness of the proposal to the Request for Proposal, and 2) any written notification of or affirmation or representation as to the above which is made by the Contractor in or during the course of negotiations and which is incorporated into a formal amendment to the proposal.

124 Exhibit D Page 19 of Antitrust Claims The Contractor by signing this Agreement hereby certifies that if these services or goods are obtained by means of a competitive bid, the Contractor shall comply with the requirements of the Government Codes Sections set out below. a) The Government Code Chapter on Antitrust claims contains the following definitions: 1) Public purchase means a purchase by means of competitive bids of goods, services, or materials by the State or any of its political subdivisions or public agencies on whose behalf the Attorney General may bring an action pursuant to subdivision (c) of Section of the Business and Professions Code. 2) Public Purchasing body means the State or the subdivision or agency making a public purchase. Government Code Section b) In submitting a bid to a public purchasing body, the bidder offers and agrees that if the bid is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the bidder for sale to the purchasing body pursuant to the bid. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the bidder. Government Code Section c) If an awarding body or public purchasing body receives, either through judgment or settlement, a monetary recovery for a cause of action assigned under this chapter, the assignor shall be entitled to receive reimbursement for actual legal costs incurred and may, upon demand, recover from the public body any portion of the recovery, including treble damages, attributable to overcharges that were paid by the assignor but were not paid by the public body as part of the bid price, less the expenses incurred in obtaining that portion of the recovery. Government Code Section d) Upon demand in writing by the assignor, the assignee shall, within one (1) year from such demand, reassign the cause of action assigned under this part if the assignor has been or may have been injured by the violation of law for which the cause of action arose and 1) the assignee has not been injured thereby, or 2) the assignee declines to file a court action for the cause of action. Government Code Section Prevailing Wage a) Contractor/General Requirements:

125 Exhibit D Page 20 of 23 1) Contractor shall comply with state prevailing wage law, Chapter 1 of Part 7 of Division 2 of the Labor Code, commencing with Section 1720 and Title 8, California Code of Regulations, Chapter 8, Subchapter 3, commencing with Section 16000, for any public works (as that term is defined in the statutes) services performed under this Agreement. For purpose of compliance with prevailing wage law, the Contractor shall comply with provisions applicable to an awarding body. Compliance with state prevailing law includes without limitation: payment of at least prevailing wage as applicable, overtime and working hour requirements; apprenticeship obligations; payroll recordkeeping requirements; and other obligations as required by law. Contractor shall ensure that its subcontractors are bound by the prevailing wage requirements. 2) Pursuant to Labor Code Section 1770, the Director of the Department of Industrial Relations has ascertained the general prevailing rate of per diem wages and a general prevailing rate for legal holiday and overtime work for each craft needed in execution of the Agreement. The Contractor shall obtain from the State a copy of such prevailing wage rates, which the Contractor shall post at the Project site. 3) Wages set forth are the minimum that may be paid by the Contractor. Nothing herein shall be construed as preventing the Contractor from paying more than the minimum rates set. No extra compensation whatsoever will be allowed by CalSTRS due to the inability of the Contractor to hire labor at minimum rates, nor for necessity of payment by the Contractor for subsistence, travel time, overtime, or other added compensations, all of which possibilities are elements to be considered and ascertained to the Contractor s own satisfaction in preparing the Bid Form. 4) If it becomes necessary to employ crafts other than those listed in the bidding requirements, the Contractor shall notify CalSTRS immediately, and CalSTRS will ascertain additional prevailing wage rates. The rate thus determined shall be applicable as minimum from the time of initial employment. 5) The Contractor and each Subcontractor shall keep an accurate payroll record showing the names, addresses, social security numbers, work classifications, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by the Contractor and/or Subcontractor in connection with the work. Payroll records shall be certified and shall be on forms provided by the Division of Labor Standards Enforcement (forms can be found at: or shall contain the same information as those forms. Upon written request by CalSTRS, the

126 Exhibit D Page 21 of 23 Contractor s and Subcontractor s certified payroll records shall be furnished within 10 days. The Contractor s and Subcontractor s certified payroll records shall be available for inspection at the principal office of the Contractor. L. TERMINATION 1. Termination at Option of CalSTRS This Agreement may be terminated in whole or in part at any time upon thirty (30) calendar days' written notice by CalSTRS, for any reason. Upon receipt of a termination notice, Contractor shall promptly discontinue all services affected unless the notice specifies otherwise. In the event CalSTRS terminates all or a portion of this Agreement for any reason, it is understood that CalSTRS will provide payment to Contractor for satisfactory services rendered prior to the termination, but not in excess of the maximum Agreement amount. 2. Termination for Default CalSTRS by two (2) calendar days written notice to Contractor, and without prejudice to any of its remedies, terminate the Agreement because of: a) The failure of Contractor to fulfill its obligations under this Agreement (including, but not limited to any warranties made, and any attachments to this Agreement), b) The Contractor provides inaccurate or omission of information that the Contractor knew or should have known existed. In the event of termination for default, CalSTRS shall pay Contractor only the reasonable value of the services rendered. At CalSTRS sole discretion, CalSTRS may offer an opportunity to cure any breach(es) prior to terminating for default. 3. Termination for Insolvency Contractor shall notify CalSTRS immediately in writing in the event that Contractor files any federal bankruptcy action or state receivership action, any federal bankruptcy or state receivership action is commenced against Contractor, Contractor is adjudged bankrupt, or a receiver is appointed and qualifies. In the event of any of the foregoing events, or if CalSTRS determines, based on reliable information, that there is a substantial probability that Contractor will be financially unable to continue performance under this Agreement, CalSTRS may terminate this Agreement and all further rights and obligations immediately by giving five (5) days' notice in writing in the manner specified herein.

127 Exhibit D Page 22 of Convenience If after notice of termination for failure to fulfill Agreement obligations, it is determined that Contractor had not so failed, the termination shall be deemed to have been effected for the convenience of CalSTRS.

128 Exhibit D Page 23 of Completion In the event of termination for default, CalSTRS reserves the right to take over and complete the work by agreement or other means. In such case, Contractor will be liable to CalSTRS for any additional cost incurred by CalSTRS to complete the work whether reimbursed or not. 6. Effect of Termination All duties and obligations of CalSTRS and Contractor shall cease upon termination of this Agreement, except that: a) Each party shall remain liable for any rights, obligations, or liabilities arising from activities carried on by it under this Agreement prior to the effective date of termination. b) Contractor shall provide for the return of all records of CalSTRS to CalSTRS or its designee and shall cooperate fully to affect an orderly transfer of services.

129 Confidentiality, Non-Disclosure and Acceptable Use Agreement Exhibit E Page 1 of 2 EMPLOYEE/CONTRACTOR: Existing New EMPLOYER: CalSTRS Other (specify) BUSINESS PHONE NUMBER (including area code) I,, PRINT YOUR NAME hereby acknowledge that confidential, sensitive, and personal information is protected from disclosure by law, regulation and policy. I further acknowledge that protecting this information is in the member s interest, the State s interest and my own personal interest. I also acknowledge that CalSTRS strictly enforces information security. I understand that accessing member accounts of family, friends and acquaintances is strictly forbidden and may result in consequences including termination. I, agree to protect from disclosure all confidential, sensitive, and personal information including, but not limited to: Member account information. Claimant and employer information. Information about individuals that relates to their personal life or identifies or describes an individual. Other agencies confidential and proprietary information. Employee personnel, medical, or other personally identifiable information. Methods agencies use to safeguard information, including systems, networks and server configurations, etc. All security-related devices or information, such as tokens, access cards, User IDs, or related passwords. I, agree to protect the foregoing information in the following ways: Access, inspect, use, disclose, or modify information only to perform official duties. Never access, attempt to access, inspect, use, disclose, or modify information, including my own, for curiosity, personal gain, or any non-business related reason. Never remove or transport documents containing confidential, sensitive or personal information from CalSTRS or an approved CalSTRS facility without express written permission. Never take video or photographs of non public areas of CalSTRS without express written permission. Never make audio recordings of CalSTRS employees or non public activities without express written permission. Secure confidential, sensitive, and personal information in approved locations. Comply with all policies, standards and procedures for secure transportation, handling and destruction of all data. Return all security devices and immediately cease using User ID and password upon separation from CalSTRS. I, acknowledge that unauthorized access, inspection, use, disclosure, or modification of confidential, sensitive, or personal information, including my own, or any attempt to engage in such acts may result in: Administrative discipline, including but not limited to: reprimand, suspension without pay, salary reduction, demotion, and/or dismissal from state service. Criminal prosecution. Civil lawsuit. Termination of contract. I, acknowledge that unauthorized access, inspection, use, or disclosure of confidential, sensitive, or personal information may be a crime under the law. I, acknowledge acceptable activities are those in accordance with the laws and policies of the United States Government and the State of California, and consistent with the purpose, goals, and mission of CalSTRS; as appropriate to my assigned job duties and responsibilities. I, expressly consent to CalSTRS monitoring of my activities on all devices including, but not limited to: access, phone, , systems, network, and server information. I also have no expectation of privacy regarding information created, used, and stored using CalSTRS resources. REFERENCE CalSTRS Information Security Policy; Civil Code section 1798 et seq; Education Code section 22306, Government Code section ; and State Administrative Manual section CERTIFICATION I certify that I have read this document and understand information security is strictly enforced. Wrongful access, inspection, use, modification, disclosure, or mishandling of confidential, sensitive, and personal information, or attempts to engage in such acts, is inappropriate and may result in disciplinary and/or legal action taken against me. Employee/Contractor Name (print) Signature Date Supervisor Name (print) Signature Date ROUTE or MAIL to: CalSTRS Information Security Office, MS-3, PO Box 15275, Sacramento, CA ISO 1949 (Rev. May 2010)

130 Confidentiality, Non-Disclosure and Acceptable Use Agreement Exhibit E Page 2 of 2 REQUIREMENT All CalSTRS employees, contractors, and business partners are required to read and sign the CalSTRS Confidentiality, Non-Disclosure, and Acceptable Use Agreement (ISO 1949) when they start work with CalSTRS and annually there after. SCHEDULE New employees, contractors, and business partners must have a completed form (ISO 1949) on file with the Information Security Office (ISO) prior to being granted access to any CalSTRS systems or engaging in any work involving confidential, sensitive, or personal information. Annually, a pre-filing announcement will go out from the ISO in March. Completed forms are due 30 days from the pre-filing announcement date; Non-filer reporting to executive management one week following the due date; Non-filers will have access and services disabled 30 days from the due date. INSTRUCTIONS 1. Print and read the Confidentiality, Non-Disclosure and Acceptable Use Agreement (ISO 1949) 2. Complete all sections on the agreement: Identify if you are an existing or new employee/contractor Print your full name, your phone number, and your employers name; Initial on the designated space next each paragraph to signify that you have read and understand the information and requirements; Employee/Contractor full name, signature, and date of signature; Supervisor full name, signature, and date of signature. Incomplete or unsigned forms will be returned. WHERE TO FILE Route or mail completed forms to: CalSTRS Information Security Office, MS-3 PO Box Sacramento, CA ASSISTANCE Contact the Information Security Office at (916) if you have questions or need assistance completing the form. ISO 1949 (Rev. May 2010)

131 Exhibit F Page 1 of 3 TEACHERS RETIREMENT BOARD POLICY MANUAL SECTION 600H H. Disclosure of Campaign Contributions, Charitable Contributions, and Gifts; Recusal Requirement; and Ban on Specified Gifts 1. Campaign Contributions 1 Any party who engages in business with CalSTRS for gain shall disclose campaign contributions, as defined under the California Political Reform Act, valued in excess of $250, made to or on behalf of any existing CalSTRS Board member, candidates for Board member, Controller, Treasurer, Superintendent of Public Instruction, CalSTRS officer or employee. 2. Charitable Contributions 3. Gifts No party who engages in business with CalSTRS for gain shall provide any charitable contribution to a charitable entity, valued in excess of $250 individually or in the aggregate in any calendar year, made at the request of any Board member, or CalSTRS officer or employee. A. No party who engages in business with CalSTRS for gain shall provide gifts to Board members or to CalSTRS officers or employees exceeding the following limits: i. Gifts, including meals or entertainment, with a cumulative value exceeding $390 individually or in the aggregate in any calendar year, given to any Board member or CalSTRS officer or employee. The dollar amount of this limit shall be adjusted biennially in each odd numbered year to reflect the cost of living adjustments made by the Fair Political Practices Commission to the gift limit contained in Government Code section ii. This gift prohibition shall not extend to meals or related expenses provided under the following circumstances: 1 Additional provisions governing investment relationships can be found in regulations at Title 5, California Code of Regulations sections through 24013, effective November 28, The regulations may also be found at

132 Exhibit F Page 2 of 3 a. Food, beverages and registration at group events to which substantial numbers of employees of an institution are invited; b. Actual and reasonable expenses for food, beverages, travel, lodging and/or registration provided to permit participation in a meeting directly tied to official or professional duties if participation has been approved in writing by the Chief Executive Officer (for CalSTRS staff) or by the CalSTRS Board (for Board members). B. Any party who engages in business with CalSTRS for gain shall disclose gifts aggregating more than $50 in value made to Board members, or to CalSTRS officers or employees. 4. Recusal A. Any Board member who receives campaign contributions, charitable contributions, or gifts that individually or in the aggregate exceed the amount of $250 in a calendar year shall recuse himself/herself from any involvement in a matter involving the maker of the contributions or gifts for a period of 12 months following the date of the most recent contribution or gift. B. Any Board member who returns, donates, or reimburses the donor for gifts subject to these restrictions within 30 calendar days of receipt of the gift shall not be subject to the recusal requirement. Gifts may be returned, donated or reimbursed as specified in California Code of Regulations, Title 2, Division 6, Chapter 9.5, section Time and Coverage of Disclosures Disclosure of campaign contributions, charitable contributions, and gifts shall be required as follows: A. Upon submission of an initial application or proposal to do business with the System (for the preceding 12-month period). B. At the time the final decision is to be made regarding the business proposal (to cover the interim period following the initial application). C. Annually, for the previous calendar year. (CalSTRS will use FPPC guidelines to determine which officials in a specific firm must file disclosure statements.)

133 Exhibit F Page 3 of 3 6. Sanctions for Violation of Policy Any violation of this policy may lead to disqualification from future business with the System for a period of two years following a determination by the Board that a violation has occurred. The General Counsel is responsible for causing an investigation of any reported violation to be made and shall report any documented violation to the Board for action. 7. Application of Policy Nothing in this policy supersedes any provision of State law. Those entities engaged in business with the System may also have reporting requirements under the Political Reform Act, California Government Code section et seq. Also, Board members who are either elected to the Board by a CalSTRS constituency or who are appointed to the Board but also serve as an elected official of a local body are subject to Government Code section 84308, which prohibits the receipt, solicitation or direction of a campaign contribution of more than $250 while a matter affecting a financial interest of the maker of the contribution is pending, and for three months following the date a decision is rendered on the matter. Section also requires recusal of the Board member from any involvement in the matter if a contribution over $250 has been received within the preceding 12 months, unless the contribution was returned no later than 30 days from the time the Board member knew or should have known about the contribution and the matter involving the maker of the contribution. Reference: Education Code Section Amended December 7, 2006 Amended June 6, 2007 Amended February 7, 2008

134 Exhibit G Page 1 of 3 CONTRACTOR BACKGROUND INVESTIGATION POLICY BACKGROUND: It is the policy of the California State Teachers Retirement System (CalSTRS) to require all Contractors who contract with CalSTRS to gather and consider background history information in determining if contracted employees who provide services for CalSTRS meet the general standards for employment. In evaluating contract employees under these provisions, Contractor must give particular emphasis to the business needs arising from CalSTRS fiduciary responsibility for CalSTRS funds, its obligation to protect the personal data it holds and maintain the integrity of the retirement system, and its policy to provide a safe and secure workplace. This includes, but is not limited to preventing contractors or their employees from using their employment or access to CalSTRS systems and data to: Carry out identity theft or related activities; Inappropriately alter member retirement benefits; Embezzle funds from CalSTRS; Engage in any activity that would damage CalSTRS reputation or member trust; Initiate any act of workplace violence, discrimination, or sexual harassment. CalSTRS contractor background investigation requirements consist of criminal record checks, civil check, reference checks, and verification of education and previous employment. In addition, CalSTRS contractors will check the driving records of their employees being considered for positions in which driving is a regularly assigned duty. The information gathered in this process is subject to strict confidentiality provisions in order to protect the privacy of those persons whose backgrounds are reviewed under this policy. STANDARDS AND GUIDELINES: The following outlines the standards and guidelines for considering information obtained through the various components of the background investigation process. When the information gathered through the individual parts of the process does not provide definitive conclusions as to the contracted personnel s suitability for employment, the background investigation results shall be considered collectively in reaching this determination. While these decisions must be reached through case-by-case review, Contractor must apply these standards and guidelines as consistently as possible. Contracted personnel will be deemed unsuitable for CalSTRS employment if the background investigation process results in findings that meet any of the criteria identified as follows: Criminal Record Checks 1. Any conviction at any time, or currently has any charges pending, for any of the following offenses: Any form of fraud, deceit or misrepresentation Embezzlement Forgery

135 Exhibit G Page 2 of 3 Identity theft/stolen credit card use Any other offense involving misappropriation of funds, abuse of access to financial or personal records, unauthorized access to financial or personal records, falsification of documents or records, or other crimes of moral turpitude. 2. Any conviction or current charges pending for offenses such as the following: Theft, burglary, car jacking or home invasion crimes. Shoplifting Receiving stolen property Bad checks 3. Any conviction for any violent crime or currently has charges pending for such an offense. 4. Convictions other than those specified above will be deemed unsuitable for employment as a contractor with CalSTRS when their record of convictions indicates or suggests a continuing pattern of behavior that is inconsistent with any of the general qualifications for employment or the CalSTRS business concerns specified in the Background section, above. Civil Checks Civil history reveals a continuing pattern of credit abuse that supports the conclusion that he or she lacks one or more of the general qualifications for employment, such as honesty, integrity, and/or good judgment. These determinations require careful case-by-case review of any credit problems, with particular emphasis on the following questions: Are the credit problems isolated to a particular point in time, or to a particular vendor with whom the individual may be having a dispute, or do they constitute a general pattern? Are there specific mitigating factors that explain the credit problems, such as illness or divorce? What effort has the individual made to correct the credit problems? How recent are the problems, and what has the credit record been since they occurred? Reference Checks Reference check information may disqualify contracted personnel from consideration for any CalSTRS employment when it reveals or confirms that the contracted personnel lack one or more of the general qualifications for employment such as honesty, integrity, and/or good judgment. Fraud in Securing Appointment Any information contracted personnel provided for employment with Contractor (on applications, resumes, background questionnaires, etc.) is substantively untruthful. Contractor will verify that information provided by prospective contracted personnel (including education and past work experience) is credible. Contractor will conduct a Social Security trace to aid in this verification.

136 Exhibit G Page 3 of 3 Driving Record Checks A serious driving violation, such as driving under the influence of alcohol or drugs, or reckless driving, within the past three years. Driving record checks are only applicable when driving a motor vehicle is a regularly assigned duty. REQUIREMENTS: Contractor shall certify that it has performed its background investigation of the contracted employee, reviewed and verified the background information in a manner consistent with CalSTRS Contractor Background Investigation Policy, and determined that said employee is qualified to perform services for CalSTRS. Such certification will be made with submission of the Certification of Contractor s Employee Background Investigation form, provided to Contractor by CalSTRS, prior to full execution of agreement. Contractor shall provide CalSTRS with the contracted employee s completed Personal History Statement, provided to Contractor by CalSTRS. Information the contracted employee provides concerning relatives who are CalSTRS members or beneficiaries and/or CalSTRS employees will be used to implement safeguards to prevent the contracted employee from working on or accessing the records/accounts of his or her relatives. CalSTRS Human Resources Office shall conduct background investigations for contracted employees that provide the following services at CalSTRS facility: Information technology contractors who will have access to confidential information Student assistants Benefits counselors EXCEPTIONS: Any request for a waiver of the policy provisions should be directed to the manager of the Contract Services Unit, who will thereafter forward the request to the CalSTRS CEO for consideration and approval, on a case-by-case basis. Exceptions to the Contractor Background Investigation Policy may include but are not limited to the following circumstances: Contracted personnel will not have access to restricted areas of CalSTRS (e.g., printers providing services off-site and delivering product) Contracted personnel will not have access to confidential/sensitive data (e.g., lecture style training) State or local governmental entities are unable to comply (in these circumstances, CalSTRS will conduct the background investigation process for potential contracted personnel).

137 Contractor Name: Exhibit H Page 1 of 1 Certification of Contractor s Employee Background Investigation Form Agreement Number: Contractor s Employee Name: Contractor, in anticipation of providing their employees to CalSTRS to provide services as set forth in the above-referenced Agreement, certify the following: 1. The Contractor has received and understands CalSTRS Contractor Background Investigation Policy which was provided to Contractor by CalSTRS; 2. The Contractor has performed its background investigation of the above named employee, reviewed and verified the background information in a manner consistent with CalSTRS Contractor Background Investigation Policy, and determined that said employee is qualified to perform services for CalSTRS; 3. The Contractor understands that the Contractor shall have an obligation to review and investigate any relevant information it receives or becomes aware of subsequent to the date the Contractor s employee provides services for CalSTRS and shall immediately notify the Human Resources Division of CalSTRS of any information which might lead the Contractor to believe the Contractor may not be in compliance with CalSTRS Contractor Background Investigation Policy; 4. The Contractor understands that he, she, or it shall annually perform its background investigation of the above named employee and provide CalSTRS with a Certification of Contractor s Employee Background Investigation for the term of the contracted employee s engagement under contract to provide services to CalSTRS. 5. The Contractor shall retain the personal information received in the employee background investigation throughout the term of the Agreement and shall provide reasonable safeguards to ensure security and confidentiality of such personal information; and 6. The Contractor has been informed and understands that any breach or violation of this certification shall result in the termination or annulment of this Agreement. The termination of the Agreement shall not be construed to limit any remedy CalSTRS might have under applicable law. I, (printed name), declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed in (city), (state) on this day of in the year of 20. Authorized Signature Title Revision #3 10/4/11

138 Exhibit I Page 1 of 1 Personal History Statement for Contracted Employee Name It is CalSTRS policy to prevent the conflicts of interest that could arise from having its contract employees work on, or have access to, the records and accounts of CalSTRS members, beneficiaries, or employees to whom they are related. Therefore, in the space below, please provide the name and relationship of any relatives you have who are CalSTRS members, beneficiaries, or employees. In general, a member or beneficiary would be any relative who is a teacher or other certificated staff member in a California school district, who is retired from such a position, or who is a survivor of someone who retired from such a position. For the purposes of this question, the term relative includes, but is not limited to blood, marriage or adoption, to the following: Husband/Wife/Ex-Husband/Wife/Domestic Partner Son/Daughter/Step Son/Daughter Parents/Step-parents Grandparents/Step-grand parents Brothers/Sisters/Step Brothers/Sisters Uncles, Aunts, Cousins, Nieces, and Nephews Persons having any of the above relationships to your spouse/domestic partner Persons residing in the immediate household Legal Guardian Please note that reporting these relatives will not affect your CalSTRS contract employment. This information will be used with respect to your CalSTRS contractor status, and then only to prevent you from accessing or working on the accounts or records of your relatives. Relative s Name Relationship to You Signature (Please sign in ink) Date Print name here Agreement Number

139 C O M M E R CIAL REAL E S TATE S E RVICES Exhibit J INSURANCE REQUIREMENTS Page 1 of 5 VENDOR/CONTRACTOR CERTIFICATE OF INSURANCE REQUIREMENTS 505 North Brand Blvd., Glendale, CA Lis ted on a Separate Endors ement and Named as Additional Ins ureds are (names mus t be indicated as they appear below): 1. NAPI Glendale I, LP 2. LaSalle Investment Management 3. CB Richard Ellis, Inc. 4. California State Teachers Retirement System (CalSTRS) Commercial General Liability $1,000,000 each occurrence, $3,000,000 general aggregate, $3,000,000 products/completed operations aggregate Employer s Liability $500,000 per accident, $500,000 disease-policy limit, $500,000 disease-per employee Automobile Liability $1,000,000 each accident Workman s Compensation Statutory Limits Umbrella Liability $5,000,000 each occurrence, $5,000,000 aggregate All-Risk Property Insurance Replacement Cost Certificate Holder: NAPI Glendale I, LP CB Richard Ellis, Inc. 505 N. Brand Blvd., Suite 1480 Glendale, CA Please submit original insurance certificate to the address above via or fax.

140 Exhibit J Page 2 of 5 Vendor Access Request Form Today s Date: Building Address: 505 North Brand Tenant Name & Suite Number: After Hours Telephone Number: Company and Person (s) to be admitted: Date to be admitted: Time to be admitted: Authorized Area/Floors: On-Site Contact: Freight Elevator / Loading Dock Required: Purpose of visit/special Instructions: Tenant Authorized Signature: Print Name: Signature: CBRE Approval: Print Name: Signature: NOTE: Tenant must coordinate suite access to all contractors/vendors unless prior arrangements are made with Building Management.

141 Exhibit J Page 3 of 5 Building Rules & Regulations for Contractors 505 N. Brand Blvd Pursuant to the terms of the written lease agreement (the Lease ) pertaining to your premises at the Building (the Premises ), Landlord hereby produces the Rules and Regulations set forth hereinbelow. These Rules and Regulations are made with respect the Building and all capitalized terms used but not defined herein shall have the same meanings given to such terms in the Lease. If any of the following Rules and Regulations state, mention or require Landlord s consent, then, unless specifically stated otherwise in the applicable rule or regulation, all such consents shall be subject to Landlord s prior written consent which consent shall be in Landlord s sole and absolute discretion which requirement is hereby incorporated into any and all of the following Rules and Regulations by this reference. The process for requesting Landlord s consent and for delivering such consent by Landlord shall be as prescribed in the Lease. For purposes of these Rules and Regulations only, Landlord shall be defined as including Landlord s authorized employees, agents, representatives and personnel. To the extent of any conflict between the following Rules and Regulations and provisions of the Lease, the provisions of the Lease shall govern and control. The following Building Rules and Regulations should be strictly followed by all contractors working at 505 N. Brand 1. A copy of these rules must be posted on the job site at all times. 2. Building permits must be posted on the job site at all times. 3. All work by mechanical, electrical, plumbing and carpentry trades must be completed by Journeyman union certified technicians. 4. General contractor and all subcontractors must provide evidence of insurance in compliance with Landlord s insurance requirements (to be provided separately). 5. All workers must be properly, permanently, and visually identified. The identification system must be approved Management. 6. All companies will maintain an updated list of authorized workers with the management office and will notify of each change in writing. 7. General contractors and all subcontractors must meet the building s insurance requirements. 8. No building tools will be loaned out or borrowed including ladders. 9. All workers shall act in a professional manner: No abusive language No smoking or drinking alcoholic beverages No physical violence 10. Workers shall remain in the work area and not explore the facility. 11. No articles deemed hazardous shall be brought onto the facility 12. There shall be no loitering on the facility after the workday has been completed. 13. Work area shall be kept clean of food wrappers, beverage containers or other food items. 14. The work area shall be kept clean and organized at all times. The general contractor shall be the responsible party for this task.

142 Exhibit J Page 4 of Demolition and removal of trash must be done after normal building hours (Normal Building hours are 7:00am 6:00pm). 16. All waste shall be recycled per building/city of Glendale policy. 17. All contractors will use rubber wheeled carts, when moving materials throughout the facility. 18. All trash and debris must be covered to limit airborne dust. 19. Contractors/vendors shall use the freight elevator only. 20. If vendors require space for a dumpster they must notify the management office to make proper arrangements. 21. All materials and tools must be stored within the work area or removed from the site daily. 22. Stored materials and tools should be kept locked and secured. The building and its staff will not be responsible for any lost or missing items. 23. All work that requires continuous loud noise must be scheduled 48 hours in advance and will be performed after hours. 24. The use of odor causing or particulate-generating practices during business hours is prohibited. 25. All work that could potential set off the fire alarm system must be scheduled and supervised with the engineering department. 26. Any electrical shut down (including turning off 20amp breakers) requires approval of the engineering department. 27. Disconnecting power, cutting wire conductors or cable of any kind is unauthorized without the approval of engineering. 28. Electrical room keys shall not be issued to any contractors or vendors. Access to any equipment or electrical room can be provided by the engineering department (exceptions will be made for emergency situations). 29. All electricians are required to be NFPA 70E trained in Arc Flash safety standards prior to entering any electrical rooms or performing any work. 30. Electrical modifications will approved by the facility electrical engineer of record and the costs to upgrade single line drawings and Arc Flash coordination study will be at the general contractors cost. 31. If there is damage to fire proofing or penetrations made of a fire wall, the vendor will be responsible for repairs with an approved fire rated material. 32. All unused or abandoned conduits, cables, and ductwork shall be removed and capped prior to installation of the new material. 33. Electrical contractors are responsible for labeling all new electrical installations at the panel directory and at the location of the new device. Professional type labels shall be used. BLACK MARKER OR HAND WRITTEN LABELS ARE NOT ACCEPTABLE 34. All contracted vendors shall supply their own tools and ladders. The engineering department is not allowed to loan out any tools. 35. No fire life safety systems shall be touched without the knowledge/assistance of engineering. This includes placing the fire alarm system in test (which shall only be done by building management or engineering) draining the fire sprinkler system, modifications to any device (strobe, audible, PA, pull station, heat detector or other related devices). 36. No tamper switch or flow switch devices shall have the cover left opened. 37. No storage of flammable materials will be allowed at the facility. 38. A list has been developed of all hazardous materials in use at this facility. Copies of all MSDS sheets are available in the engineering office. 39. MSDS Sheets are required for all hazardous materials brought on site. 40. Cutting, soldering or welding is prohibited under the following circumstances:

143 Exhibit J Page 5 of 5 In the presence of explosives or flammable atmosphere In areas with an accumulation of combustible dust In areas were employees or workers are present, unless proper shields or guards and appropriate exhaust provisions are used 41. All HOT WORK cutting, soldering or welding requires a permit. 42. The vendor/contractor shall protect smoke detection devices in the areas where production of dust will occur. Notify the building engineer when protection is in place so they may be checked. 43. All new appliances shall be Energy Star labeled. 44. All work will comply with the Building Codes of the City of Glendale and all county, state, and federal requirements and guidelines as applicable. Work will meet generally accepted industry standards, including but not limited to: Air Conditioning and Refrigeration Institute (ACRI) Air Diffusion Council (ADC) American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) American Society of Mechanical Engineers (ASME) American Society for Testing Materials (ASTM) Asbestos Construction Standard (ACS) Factory Material (FM) Hazardous Communication Act (HAZ COM) Institute of Boiler and Radiator Manufacturers (IBRM) Institute of Electrical and Electronic Engineers (IEEE) National Electrical Code (NEC) National Fire Protection Association (NFPA) National Electrical Manufacturers Association (NEMA) National Emission Standard for Hazardous Air Pollutants (NESHAP) William-Steiger Occupational Safety and Health Act (OSHA) 1) OSHA Standards (29CFR1910) 2) General Construction Standards (29CFR1926) Sheet Metal and Air Conditioning Contractors National Association (SMACCNA) The building reserves the right to revise and supplement the foregoing rules and regulations from time to time as deemed necessary. Signature Date Print Name Company Cell Phone #