THE CITY OF NEW YORK Department of Citywide Administrative Services (“DCAS”) Asset Management (“AM”) REQUEST FOR PROPOSALS TITLE: Consultant Services related to Accessibility Compliance for People with Disabilities for DCAS Managed Court Buildings throughout the City of New York E-PIN: 85616P0005 TABLE OF CONTENTS: SECTION I SECTION II SECTION III SECTION IV SECTION V SECTION VI - PAGE # TIMETABLE SUMMARY OF THE REQUEST FOR PROPOSALS SCOPE OF SERVICES AND M/WBE REQUIREMENTS FORMAT AND CONTENT OF THE PROPOSAL PROPOSAL EVALUATION AND CONTRACT AWARD PROCEDURES GENERAL INFORMATION TO PROPOSERS 3 4 10 20 26 27 APPENDIX A – GENERAL PROVISIONS GOVERINING CONTRACTS FOR CONSULTANTS, PROFESSIONAL, TECHNICAL, HUMAN AND CLIENT SERVICES APPENDIX B – GUIDE FOR DESIGN CONSULTANTS ATTACHMENT A - PROPOSAL COVER LETTER ATTACHMENT B - PRICE PROPOSAL FORM/CONSULTANT FEE CURVE ATTACHMENT C - ALL INCLUSIVE HOURLY RATES ATTACHMENT D - NOTICE TO ALL PROSPECTIVE CONTRACTORS ATTACHMENT E - SCHEDULE B: SUBCONTRACTOR UTILIZATION PLAN/WAIVER APPLICATION ATTACHMENT F - WHISTLEBLOWER PROTECTION EXPANSION ACT RIDER ATTACHMENT G - ADDITIONAL TERMS AND CONDITIONS ATTACHMENT H - IRAN DIVESTMENT ACT COMPLIANCE RIDER FOR NEW YORK CITY CONTRACTORS and BIDDER’S CERTIFICATION OF COMPLIANCE WITH IRAN DIVESTMENT ACT ATTACHMENT I - ACKNOWLEDGMENT OF ADDENDA ATTACHMENT J - DOING BUSSINESS DATA FORM ATTACHMENT K - SUB-CONTRACTING COMPLIANCE NOTICE ATTACHMENT L - LISTING OF DCAS-MANAGED COURT BUILDINGS ATTACHMENT M - REQUIREMENTS PER TITLE ATTACHMENT N - HIRING AND EMPLOYMENT RIDER ATTACHMENT O - PAID SICK LEAVE LAW CONTRACT RIDER ATTACHMENT P – PROPOSAL RETURN LABEL ATTACHMENT Q – DISPLACEMENT DETERMINATION FORM Printed on paper containing 30% post-consumer material. 1 AUTHORIZED AGENCY CONTACT PERSON Proposers are advised that the Authorized Agency Contact Person for all matters concerning this Request for Proposals is: Name: Title: Mailing Address: Telephone #: Fax #: E-Mail Address: Morvette Merchant Contracting Officer Department of Citywide Administrative Services Office of Citywide Purchasing 1 Centre St. 18th Floor North New York, NY 10007 (212) 386-0457 (212) 313-3360 mmerchan@dcas.nyc.gov Printed on paper containing 30% post-consumer material. 2 SECTION I - TIMETABLE A. Release Date of this Request for Proposals (RFP): February 2, 2016 All questions and requests for additional information concerning this RFP should be directed to Irene Rubet, the Authorized Agency Contact Person, at: Telephone #: Fax #: E-Mail Address: (212) 386-0457______________________________ (212) 313-3360______________________________ mmerchan@dcas.nyc.gov______________________ B. Pre-Proposal Conference:  Date: February 11, 2016  Time: 11:00 a.m.  Location: DCAS, 1 Centre Street, 18th Floor Pre-Bid Room, New York, NY 10007 Attendance by proposers is optional but recommended by DCAS. Proposers should submit questions no later than three (3) days after the pre-proposal conference since DCAS may be unable to respond to questions received after that date. C. Proposal Due Date and Time and Location:  Date:  Time:  Location: March 3, 2016 11:00 a.m. Department of Citywide Administrative Services Office of Citywide Procurement / Vendor Relations 1 Centre Street, 18th Floor South New York, NY 10007 Attn: 18th Floor Bid Room E-mailed or faxed proposals will not be accepted by DCAS. Proposals received at this Location after the Proposal Due Date and Time are late and shall not be accepted by DCAS, except as provided under New York City’s Procurement Policy Board (“PPB”) Rules. DCAS will consider requests made to the Authorized Agency Contact Person to extend the Proposal Due Date and Time prescribed above. However, unless DCAS issues a written addendum to this RFP which extends the Proposal Due Date and Time for all proposers, the Proposal Due Date and Time prescribed above shall remain in effect. D. Anticipated Contract Start Date: July 1, 2016 Printed on paper containing 30% post-consumer material. 3 SECTION II - SUMMARY OF THE REQUEST FOR PROPOSALS A. Purpose of RFP The New York City Department of Citywide Administrative Services (“DCAS”)/Asset Management (“AM”) is seeking an appropriately qualified architectural firm to enter into an Agreement, as this term is defined in Attachment G hereto and the Sample Professional Services Requirements Contract to provide architectural survey and design services with related engineering design services (collectively referred to as “design services” as this term is defined in Attachment G hereto), including services during construction for bringing DCAS-managed court buildings throughout the five (5) boroughs of the City of New York into compliance with applicable laws concerning accessibility for people with disabilities. The architectural firm will hereinafter be referred to as the “proposer,” “proposing firm,” “selected vendor,” “Consultant firm” or the “Consultant.” For purposes of this RFP, the terms “Subconsultant” and “Subcontractor” may be used interchangeably to refer to any company having a contractual relationship with the Consultant whereby such company assists the Consultant in fulfilling its work under the contract(s) awarded from this RFP. The work under this Agreement will involve: 1. Conducting a survey of each courthouse building and site under the jurisdiction of DCAS (as listed in Attachment L hereto) that will identify: a. elements that are not in compliance with the 2010 ADA Standards for Accessible Design, b. elements that are not in compliance with the accessibility requirements of the New York City Building Code, c. signage needed to comply with Local Law 47 for the year 20121 DCAS reserves the right, in its sole discretion, to add or delete buildings from the list contained in Attachment L, and will notify the Consultant of an addition or deletion in writing. 2. Assisting the City in the process of analyzing the survey findings to determine what work should be undertaken to address the accessibility requirements of applicable laws (including the NYC Human Rights Law). This analysis will take into account: a. 28 CFR §35.150, which provides that a public entity is not necessarily required to make each of its “existing facilities” accessible to and usable by individuals with disabilities as long as each service, program or activity, when viewed in its entirety, is readily accessible to and usable by individuals with disabilities, 1 Local Law 47 may be viewed at: http://legistar.council.nyc.gov/LegislationDetail.aspx?ID=1052846&GUID=70B8C9E7-24F44921-861C-F50B0D08FEC0&Options=ID Text &Search=47 Printed on paper containing 30% post-consumer material. 4 b. the “safe harbor” provision of 28 CFR § 35.151(b), which recognizes that “elements that have not been altered in existing facilities on or after March 15, 2012 and that comply with the corresponding technical and scoping specifications for those elements in either the 1991 Standards [28 CFR part 36, app. A (2009)] or in the Uniform Federal Accessibility Standards (UFAS), Appendix A to 41 CFR part 101–19.6 (July 1, 2002 ed.), 49 FR 31528, app. A (Aug. 7, 1984), are not required to be modified in order to comply with the requirements set forth in the 2010 Standards.” c. the effective dates of the accessibility provisions in the current Building Code and earlier versions of the Building Code, recognizing that (1) the Building Code requirements apply only when construction work is being done, (2) the Building Code does not establish requirements for retrofitting buildings to make them accessible if construction was done in accordance with the standards in effect at the time, (3) when construction work has been done, the accessibility of features affected should be assessed in light of the Building Code provisions in effect at the time of the work2 3. Performing construction feasibility studies to remedy or remediate potential barriers to accessibility 4. Preparing design development, final design and construction documents. 5. Providing design consultant services for project related build-outs at various DCAS court buildings throughout the five (5) boroughs of the City of New York. 6. Providing architectural and related engineering ADA design services and all related services (as defined in the Guide for Design Consultants) during construction during renovation projects. DCAS anticipates awarding one (1) contract that will be administered by DCAS/AM for services within the five (5) boroughs of the City of New York. The Consultant’s services shall be performed under the general direction of DCAS/AM through the provisions of the Agreement and this Request for Proposals (“RFP”). The Consultant shall provide, on an as-needed basis, comprehensive architectural and related engineering design services, including services during construction, with regard to construction projects undertaken by DCAS/AM in court buildings including, but not limited to, areas under the control of the New York Police Department (NYPD) and the Department of Correction (DOC), structures, and other exterior spaces including, without limitation, parking lots and access-ways. The work to be performed at the various court buildings by the Consultant shall be assigned by DCAS/AM by way of Work Orders (as this term is hereinafter defined in Attachment G). B. Anticipated Contract Term It is anticipated that the term of the contract awarded from this RFP will be 1825 consecutive calendar days (“CCDs”) (five (5) years), commencing on the date set forth in DCAS/AM’s written Notice to Proceed. The Commissioner reserves the right, in her or his sole discretion, to renew the contract for an 2 The relevant law, which is determined in relation to the date of construction or renovation of a facility, may be Local Law 58 of 1987, the 2008 NYC Building Code, or the current 2014 Code that uses A117.1-2009 as the reference standard. Printed on paper containing 30% post-consumer material. 5 additional term of 1095 CCDs (three (3) years). Additionally, the Commissioner reserves the right, in her or his sole discretion, to extend the contract for an additional 365 CCDs (one (1) year) in accordance with the PPB Rules and to increase the contract amount(s) to the extent permitted by law, rule or regulation. C. Anticipated Available Funding It is anticipated that the available funding for the contract awarded from this RFP will be twelve million dollars ($12,000,000.00) for a period of five (5) years. An award of a contract will not guarantee or obligate DCAS to issue any specific number of Work Orders, as this term is hereinafter defined in paragraph E. below, or expend a minimum dollar amount. The Consultant will not be entitled to a claim or receive any additional monies arising out of any decision by DCAS not to order a minimum amount of services during the term of the contract. The stated estimates are included for comparison purposes only. D. Anticipated Payment Structure Services will be provided by the Consultant under the contract from the registration date of the contract awarded from this RFP until completion of all projects covered by Work Orders issued by DCAS. For purposes of this RFP and the contract awarded from it, a Work Order will mean an order issued pursuant to a contract to the Consultant by DCAS that will include a specified scope of work to be completed within a definite time period. The payment structure of the contracts awarded from this RFP will be based on the following methods of payment, which are further addressed in Attachment G (“Additional Terms and Conditions”) hereto (the terms mentioned below are defined herein and/or in Attachment G): 1) Fee Curve – For each Project (as this term is hereinafter defined in Attachment G) requiring architectural and engineering design services pursuant to the Agreement, DCAS will, in its sole discretion, determine a preliminary estimated cost of construction (the estimate of the total value of all work performed by all trades and subcontractors from inception of the Project until completion of all design services work) and project budget and issue to the Consultant a Work Order. The design fee for each phase of ordered work will be established by applying the fee curve schedule proposed by the Consultant in Attachment B hereto and agreed to by DCAS (the “Fee Curve”) to the preliminary estimated cost of construction. The design fee for the “Project” will be adjusted by applying the appropriate percentage rate in the Fee Curve to either: (a) the total estimated cost of construction work based on the approved final design, as determined by DCAS in its sole discretion, where construction for the Project is to be performed pursuant to a requirements contract; or (b) the total award amount of the construction contract (the cumulative awarded amount for all trades, if applicable), where construction for the Project is to be performed by a contractor awarded the contract pursuant to a bid process. Printed on paper containing 30% post-consumer material. 6 The total values for (a) and (b) above shall be deemed to include, without limitation, the costs for providing all required design services to successfully complete the Project (including all items included in the definition of “All Inclusive Hourly Rate” in Attachment G and the Agreement) including, without limitation, all work performed by all construction contractors and subcontractors during the construction phase of the Project until all sign-offs are received. The Fee Curve shall not include any “Allowances”, change orders, “Additional Services” (except as otherwise specified in the Agreement), construction change orders resulting from Consultant’s error(s) and omission(s), and “Reimbursable Services”, as such quoted terms are defined in Attachment G hereto and the Agreement. 2) Where payment for work required on a Project does not fall under the requirements for payment under the Fee Curve, the Consultant may be paid on either a “Time Card” basis utilizing the All Inclusive Hourly Rate, or a “Negotiated Fee” (the aforementioned quoted terms are defined in Attachment G hereto), as may be negotiated and approved by the Commissioner: (a) Time Card utilizing the All Inclusive Hourly Rate – the rates proposed by the Consultant in Attachment C hereto and agreed to by DCAS, calculated by multiplying the “Direct Salary Rate” by the “Salary Multiplier” per title, shall be in effect for the initial term of 1825 CCDs (5 years) as well as the 1095 CCDs (3 year) renewal term and 365 CCDs (1 year) extension, if the options to renew and/or extend the contract are exercised by the Commissioner in her or his sole discretion. The aforementioned terms are defined in Attachment G hereto and the Agreement. The All Inclusive Hourly Rate and Fee Curve shall remain in full force and effect without any increase throughout the initial term, any renewal or extension of the contract, except as set forth in Attachment G hereto and the Agreement. (b) 3) “Negotiated Fee” – DCAS and the Consultant may negotiate and agree upon a lump sum monetary amount for payment of a specified portion of the work. “Reimbursable Services” – where the Consultant is directed by the Commissioner of DCAS to provide Reimbursable Services, as this term is defined and addressed in Attachment G hereto and the Agreement, the Consultant may be reimbursed its actual and reasonable costs for the services and an additional mark-up as further detailed in the Agreement and Guide for Design Consultants (hereinafter referred to as the “Guide”, attached as Exhibit F to the Agreement). Payments for the survey phase of the Consultant’s work will be on a Time Card basis, except where DCAS may determine in its sole discretion that a Negotiated Fee would be in the best interests of the City. Payments for “Basic Services” or the full scope Project, as this quoted term is defined in Attachment G hereto and further detailed in Section III herein and the Guide, shall be on the basis of the Fee Curve. Payments for Additional Services shall be on a Time Card basis, except as otherwise stated in the Agreement. For example: Printed on paper containing 30% post-consumer material. 7 - in the event of an increase in the scope of the Project, the Commissioner may, at her or his option and sole discretion, issue a “Supplemental Work Order,” as said quoted term is defined in Attachment G and the Agreement, to the Consultant directing the Consultant to perform the required design services for the Project including increases in the Project scope and the Design Fee payable to the Consultant will be recalculated based on the revised estimate of the cost of construction of the Project. - where design services work is identified in a Work Order or approved by DCAS as Additional Services, a fee may be negotiated and agreed upon between the Consultant and the Commissioner (the Negotiated Fee as defined above). Payments for architectural and engineering project design services established as “Pre-preliminary Services” or “Special Project Services for Survey, Study and Report Projects,” as these terms are defined in Attachment G hereto and further discussed in Section III herein and the Agreement, will be either on the basis of a Time Card with a Not to Exceed limit or maximum upset fee based on the Consultant’s estimated personnel and hours required to perform the Project scope of services, or on the basis of a Negotiated Fee, without reimbursement for travel time other than long distance travel, as set forth in the Agreement. Any work requiring issuance of a change order may be reimbursed based on any one or a combination of the above mentioned methods of payment. DCAS shall review and determine individual items to be pre-authorized on a case by case and item by item basis for each Project and will allocate funds for Time Card and Negotiated Fees, where applicable. As pre-authorized by DCAS, Special Projects Services and Additional Services may also include an Allowance for various specialty work including, without limitation, the following items: a) Accessibility Survey; b) Reports; c) Topographic and utility surveys; d) Site investigations; e) Utilization of specialty work professionals including, without limitation, radiation specialists, television studio integrators and off-site special inspections testing personnel; f) Specialty pre-authorized out of town quality control inspection(s) of product production; g) Field and laboratory services for materials testing including destructive and nondestructive testing (as required) including, without limitation, probes, infra-red scans, xrays, moisture content determination and testing reports, as determined by DCAS in its sole discretion; h) Progress photographs beyond those required by the Consultant’s sub-consultant(s); i) Special Inspections; and Printed on paper containing 30% post-consumer material. 8 j) All such other and further services as are deemed necessary and pre-approved in writing by the Commissioner, in her or his sole discretion. Payment for such work assigned under a Work Order may be based on a Time Card or Negotiated Fee basis. Notwithstanding the foregoing, acousticians, soils and hydronic engineers, historical preservationists or conservators and other professionals whose services are routinely required for design services shall not be deemed to be specialty work professionals and the costs associated with such services shall be deemed to be included under the Fee Curve. The Consultant will be reimbursed for its actual, reasonable and customary payments to specialty work professionals and the Consultant shall be entitled to an additional ten percent (10%) thereof to cover all overhead, profit and administrative costs associated with the retention, supervision and coordination of the work of these specialty work professionals. All such work, when performed, shall be invoiced and paid for under an Allowance for Additional Services provided in the Work Order. Design fees for a Project that, for any reason, does not proceed into construction will be in accordance with the Agreement provisions governing partial payments during design phase. DCAS will consider proposals to structure payments in a different manner and reserves the right, in its sole discretion, to select any payment structure that is in the City’s best interest. E. Minimum Qualification Requirement The following is the Minimum Qualification Requirement of this RFP. Proposals that fail to meet this requirement will be rejected. The Consultant firm shall be owned and operated by a minimum of one (1) licensed Architect or licensed Engineer. In addition, the Consultant firm shall have a minimum of one (1) New York State licensed Architect or New York State licensed Engineer as the principal-in-charge of the Project. Printed on paper containing 30% post-consumer material. 9 SECTION III - SCOPE OF SERVICES AND M/WBE REQUIREMENTS A. DCAS/AM Goals and Objectives for this RFP DCAS/AM goals and objectives for this RFP are:  B. To have a qualified architectural Consultant firm perform architectural survey and design services with related engineering design services, including services during construction, for bringing DCAS-managed court buildings throughout the five (5) boroughs of the City of New York into compliance with applicable laws concerning accessibility for people with disabilities. DCAS/AM Assumptions Regarding Consultant Approach DCAS’s assumptions regarding which approach will most likely achieve the goals and objectives set out above are: a. Experience  The Consultant’s team would be expected to be led by, and work under the supervision of, a licensed professional who meets the requirement for minimum years of experience described in Attachment M - Minimum Requirements per Title to this RFP. The Consultant shall ensure that at least sixtyfive percent (65%) of all work is performed by a team of licensed professionals, each with a minimum of five (5) years recent and direct experience in ADA architectural and engineering work of the type to be performed and ADA compliance (except where a lesser degree of experience is permitted for junior level staff as provided in Attachment M to this RFP). Such experience may have been obtained with the Consultant or another employer.  Each Computer Aided Design (“CAD”) operator shall have a minimum of two (2) years AutoCAD office experience.  Consultant must have experience conducting accessibility surveys, or enter into a contract with a subconsultant that possesses such experience.  The Consultant would be expected to have a wide range of expertise with projects of great complexity. The Principal(s) shall each have at least five (5) years of experience as licensed professionals and expertise in ADA architectural design and related engineering services with regard to construction projects in secure facilities. b. Organizational Capability  The Consultant would be expected to have, for each DCAS/AM Project or Work Order, a New York State licensed Architect or New York State licensed Engineer to act as project manager on that Project or Work Order.  The Consultant firm would be expected to be capable of handling multiple Projects simultaneously and have sufficient staff on payroll to fulfill such needs. Printed on paper containing 30% post-consumer material. 10  The Consultant would be expected to staff the same architectural and engineering design/project managers, project team members, sub-consultants and specialists as proposed during the RFP process. No substitutions of any such personnel will be permitted without DCAS’ prior written approval. Failure to obtain such prior approval may result, at DCAS’s option in its sole discretion, in termination of the Agreement or a reduction in the fees paid to the Consultant. Each team member’s resume must be updated immediately prior to commencement of work on any given Project. c. Approach  The Consultant shall meet all of DCAS’ goals and objectives described within this Section III of this RFP and the Guide for Design Consultants (Exhibit F). The work under this Agreement will involve: 1. Conducting a survey of each courthouse building and site under the jurisdiction of DCAS that will identify: a. elements that are not in compliance with the 2010 ADA Standards for Accessible Design, , b. elements that are not in compliance with the accessibility requirements of the New York City Building Code, c. signage needed to comply with Local Law 47 for the year 2012.3 2. Assisting the City in the process of analyzing the survey findings to determine what work should be undertaken to address the accessibility requirements of applicable laws. This analysis will take into account: a. 28 CFR §35.150, which provides that a public entity is not necessarily required to make each of its “existing facilities” accessible to and usable by individuals with disabilities as long as each service, program or activity, when viewed in its entirety, is readily accessible to and usable by individuals with disabilities, b. the “safe harbor” provision of 28 CFR 35.151(b), which recognizes that “elements that have not been altered in existing facilities on or after March 15, 2012 and that comply with the corresponding technical and scoping specifications for those elements in either the 1991 Standards [28 CFR part 36, app. A (2009)] or in the Uniform Federal Accessibility Standards (UFAS), Appendix A to 41 CFR part 101–19.6 (July 1, 2002 ed.), 49 FR 31528, app. A (Aug. 7, 1984), are not required to be modified in order to comply with the requirements set forth in the 2010 Standards.” c. the effective dates of the accessibility provisions in the current Building Code and earlier versions of the Building Code, recognizing that (1) the Building Code requirements apply only when construction work is being done, (2) the Building Code does not establish requirements for 3 Local Law 47 may be viewed at: http://legistar.council.nyc.gov/LegislationDetail.aspx?ID=1052846&GUID=70B8C9E7-24F44921-861C-F50B0D08FEC0&Options=ID Text &Search=47 Printed on paper containing 30% post-consumer material. 11 retrofitting buildings to make them accessible if construction was done in accordance with the standards in effect at the time, (3) when construction work has been done, the accessibility of features affected should be assessed in light of the Building Code provisions in effect at the time of the work.4 d. as appropriate, the recommendations of the Courthouse Access Advisory Committee of the U.S. Access Board, which is available at http://www.access-board.gov/guidelines-andstandards/buildings-and-sites/120-ada-standards/background/courthouse-access. 3. Performing construction feasibility studies to remedy or remediate potential barriers to accessibility 4. Preparing design development, final design and construction documents 5. Providing design consultant services for Project related build-outs at various DCAS court buildings throughout the five (5) boroughs of the City of New York. 6. Providing architectural and related engineering ADA design services and all related services during construction during renovation Projects. The Consultant’s services shall be performed under the general direction of DCAS/AM as provided by the Agreement and this Request for Proposals (“RFP”). The work to be performed at the various court buildings and sites by the Consultant shall be assigned by DCAS/AM by way of Work Orders. The work will involve reviewing areas of buildings occupied by the NYPD, the DOC, the New York City Administration for Children’s Services’ Division of Youth and Family Justice (DYFJ) and the New York State Office of Court Administration (OCA). DCAS will assist the Consultant in coordinating its survey activities with those entities. The steps to be taken for preparing design and construction documents for elements of Courts that need to be in brought into compliance with applicable accessibility standards may include, but not limited to:             Court rooms Jury rooms Holding cells Amenities (cafeterias; vendor areas) Restrooms (include toilets, partitions, floor, ceiling, plumbing, lighting, mechanical ventilation and finishes and fixtures) Exterior pathways and surrounding areas including, without limitation, parking structures and sidewalks Curb ramps where needed for wheelchair access Entrances and entrance ramps Handrails Steps, stairs and hallways Elevators and lifts Doors and door hardware including automatic closers 4 The relevant law, which is determined in relation to the date of construction or renovation of a facility, may be Local Law 58 of 1987, the 2008 NYC Building Code, or the current 2014 Code that uses A117.1-2009 as the reference standard. Printed on paper containing 30% post-consumer material. 12   Wheelchair vertical or inclined lifts Signage The Consultant would be expected to respond in a timely manner to all oversight City agencies including, but not limited to, the NYC Department of Buildings (“DOB”), the Fire Department of New York (“FDNY”), the NYC Department of Environmental Protection (“DEP”), the Public Design Commission of the City of New York (“PDC”), and the Landmarks Preservation Commission (LPC), to obtain required governmental approvals and properly coordinate all work as directed by DCAS in its sole discretion. 1. General Tasks In accordance with the terms and conditions of the Agreement, the Consultant shall, at DCAS’s direction and at the sole discretion of DCAS, provide services including, without limitation, services during construction and Additional Services (as this term is defined in Attachment G hereto), for any aspect of each assigned Project. Projects may include, without limitation, work with a scope of services involving complex renovation, rehabilitation and/or alterations in an occupied court building, including but not limited to NYPD and DOC facilities therein which may have high security areas under guard control. DCAS may assign to the Consultant Projects in any portion of such buildings and site(s), in its sole discretion. The Consultant’s services would be expected to include, without limitation, site investigations, planning, preparation of site documentation and analysis, office space planning and design services, including all required calculations and preparation of the construction documents, construction observation and technical support, review and approval of contractors’ submittals, facilitation and supervision of probe work and material testing with subsequent analysis and result evaluation, and report preparation and coordination of all work necessary and required to ensure the expeditious completion of each assigned Project under each Work Order issued by DCAS/AM. Additionally, in order to expedite a particular Project or address a particular operational need that cannot be expediently addressed through an existing contract for professional design services, as determined by DCAS in its sole discretion, the Consultant would also be expected to provide related specialty subconsultant professional design services. The Consultant will be expected to provide these professional design services through retention of a qualified design sub-consultant in accordance with City policies and procedures, and all services must be performed pursuant to the Agreement. The Consultant would have no right to decline to perform any work set forth in a Work Order including, without limitation, Additional Services. The contract awarded from this RFP will be substantially similar to the sample contract. A Work Order may cover different related service(s) required to successfully complete a Project, as determined by DCAS in its sole discretion. The Consultant and all sub-consultants would be expected to comply with all federal, State and local laws, rules and regulations including, but not limited to, all modifications, revisions and additions thereto, irrespective of whether applicable laws, rules and regulations are specifically referenced in the Agreement. The full scope Project (referred to as Basic Services in the Guide) consists of the following three (3) major phases: 1) Accessibility assessment on a format proposed by the consultant and approved by DCAS/AM. Printed on paper containing 30% post-consumer material. 13 Accessibility assessment should contain the following: Cover page listing: • Name of building, location • Date of survey • Date of report (If there are multiple reports it will provide a clearer picture of what happened and immediacy of the work) • Year built • Size, in square feet • Number of floors • Elevator Executive Summary • Scope of work generalized • Overview or general summary of the level of deficiency and in what areas. Floor plans • Schematic set of floor plans • Enlargements of critical areas of plan • Room names • Room numbers • Primary, secondary and tertiary routes. This will help to determine a circuitous route and if it is off the primary route • Doorways • Deficiencies need to be located on the plans (perhaps a red dot where there is a problem.) • Location of photos to orient the reader • Color code the program area • Use enlargements where necessary, such as a schematic of a rest room just in front of the section of the report that addresses the restrooms. It is used as a section separator and bookmark, allowing the reader to constantly orient his or her –self. • Enlargements also allows enough space to include relevant survey information on the drawing • Allow for notes to be added 2) Design Phase: The Consultant would be expected to provide all required services for the design, drafting and completion of construction documents during this phase, which is further subdivided into the: a. Design Phase, which includes: i. Schematic Design; and ii. Design Development; and b. Final Design Phase. 3) Construction Phase: The Consultant would be expected to provide services during construction. Design services may include, without limitation, the following: Printed on paper containing 30% post-consumer material. 14 1) Architectural design services; 2) Structural Engineering design services; 3) Plumbing design services and Fire Protection design services; 4) Heating, Ventilation and Air-Conditioning (“HVAC”) design services; 5) Elevators/Vertical Transportation systems design services; 6) Interior Design, Space Programming and Furniture Layout services; 7) Hardscape Architecture design services; 8) Historic Preservation design services; 9) Cost Estimating services; and 10) Expediting services. The Consultant would be expected to comply with all current oversight regulatory requirements in its provision of design services. The Consultant would be expected, for some Projects, when directed by DCAS, to provide “Prepreliminary Services” or services associated with a “Special Project” (which may also be referred to as “Special Project Services for Survey, Study and Report(s)”), as the said quoted terms are defined in Attachment G hereto and further described in the Agreement, which may not require full scope Design Phase and Construction Phase services. These services, including all work performed in the field, shall be paid on the basis of All Inclusive Hourly Rate or Negotiated Fee, without reimbursement for travel time other than long distance travel, as set forth in the Agreement.  Pre-preliminary Services – DCAS may direct the Consultant to provide Pre-preliminary Services for several sites until an optimal relocation space is found, as determined by DCAS in its sole discretion.  Special Project Services for Survey, Study and Report(s) – DCAS may direct the Consultant to provide any or all of the work described in the definition of Special Project Services for Survey, Study and Report(s) in Attachment G hereto and further described in the Agreement. 2. Asbestos/Hazardous Waste Removal The Consultant shall prepare drawings clearly identifying the location(s) of all possible asbestos containing materials (“ACM”). After the City’s or DCAS’ certified asbestos/hazardous waste removal contractors perform asbestos testing, the Consultant must modify the drawings to identify all ACM scheduled for abatement and provide their quantities. DCAS will determine, in its sole discretion, on a case by case basis what action(s) must be taken. If asbestos or other hazardous waste is found in unexpected locations, DCAS will provide an Allowance, as this term is defined in the Agreement, for the removal of such material(s) by one of DCAS’ certified asbestos or hazardous waste removal contractors. In all cases where asbestos or other hazardous waste needs to be removed, removal of these items from a work area shall be coordinated with the Consultant that prepared the drawings, so that all work in that area can proceed in a timely and expeditious fashion. 3. Existing Building Documents: Most of the existing DCAS buildings are old and either have no drawings or documents, or no current drawings or documents. At the Preliminary Design phase, or as Special Project Services for Survey, Study and Reports, the Consultant will be required to conduct an investigation of any and/or all elements of a Printed on paper containing 30% post-consumer material. 15 Project including, but not limited to, structural analysis and thereafter document the required measurements, data, locations of all physical conditions which may include, without limitation, equipment, building features, abutments, fountains, or any other items as required for Project development, or as DCAS may determine in its sole discretion. This work is required for preparation of the design and construction documents, shall be deemed a part of the Basic Services and be provided at no additional cost to DCAS. Any Special Project Services or probe work will be paid as Additional Services per the Guide and Agreement. 4. Design Documents: Each submission of design documents for DCAS review shall be provided in hard copy in quantities sufficient for distribution and as e-files that include all 3-D modeling in format(s) required by, and acceptable to, DCAS in its sole discretion. The Consultant is expected to submit two (2) sets of full size and two (2) sets of half size hard copy bound 100% construction documents (referred to as “Final Compliance” in the Guide) approved by DCAS and all applicable regulatory agencies, two (2) sets of hard copy specifications, along with pdf and CAD scalable Drawings and Specifications on a CD or USB drive as required. The Consultant is expected to provide all reports, memoranda, estimates and associated documents in Microsoft Office format. 5. Additional Services During the Survey Phase, Design Phase and/or Construction Phase of a Project, the Consultant may be required, as directed in writing by DCAS, to perform such Additional Services as may be determined by DCAS in its sole discretion, to be necessary for the expeditious completion of the Project including, without limitation, Reimbursable Services for related miscellaneous work. When such services are performed by sub-consultants under the Consultant’s direction and supervision, the Consultant shall receive an administrative compensation fee on such Additional Services and expenditures at a rate not to exceed ten percent (10%) of the DCAS-authorized amount of the Additional Services and related expenditures, or as may otherwise be negotiated and pre-authorized by DCAS. C. DCAS/AM Assumptions Regarding Payment Structure DCAS/AM has determined that the performance-based payment structure that will most likely assure that the selected proposer(s) will perform the work under the contract(s) awarded from this RFP in a manner that is cost-effective for DCAS/AM and most likely to achieve DCAS/AM’s goals and objectives is as follows:  Basic Services projects, preliminary and final design services and services during construction shall be paid a fee based on the Fee Curve.  Special Project Services or Additional Services authorized by DCAS in writing shall be paid for on a Time Card fee based on the Consultant’s estimated personnel and hours required to perform the Project scope of services in its proposal in accordance with the All Inclusive Hourly Rates, or a negotiated amount as determined by DCAS, unless such services are design services associated with a construction scope increase, which would be reflected in the corresponding total construction cost increase and be payable on the Fee Curve basis. Printed on paper containing 30% post-consumer material. 16 The Consultant shall be paid for its services upon completion and acceptance of its services by DCAS. Refer to Section IV of this RFP, Item A.3., Sub-Paragraph entitled: “Proposed Pricing,” for awarding/finalizing the Consultant Design Service Fees. D. Participation by Minority Owned and Women Owned Business Enterprises in City Procurement If the contract resulting from this RFP will be subject to M/WBE participation requirements under Section 6129 of the Administrative Code of the City of New York, as indicated by the inclusion of Schedule B – M/WBE Utilization Plan (Attachment E) and the Participation Goals indicated in Part I thereof, proposers must complete the Schedule B – M/WBE Utilization Plan and submit it with their proposal. Please refer to the Schedule B – M/WBE Utilization Plan and the Notice to All Prospective Contractors (Attachment D) for information on the M/WBE requirements established for this solicitation and instructions on how to complete the required forms. If the proposer intends to seek a full or partial waiver of the Participation Goals on the grounds described in Section 10 of the Notice to All Prospective Contractors, including but not limited to, proposer’s intention to use its own forces to perform any or all of the required contract work would result in a failure to attain the Participation Goals, the proposer must request and obtain from the Agency a full or partial waiver of the Participation Goals (M/WBE Utilization Plan, Part III) in advance of proposal submission and submit the waiver determination with the proposal. Please note that if a partial waiver is obtained, the proposer is required to submit a completed Schedule B-M/WBE Utilization Plan based on the revised Participation Goals in order to be found responsive. E. Environmentally Preferable Purchasing Laws Projects designed under this Agreement may be subject to one or more environmental laws. The agency will inform the consultant whether these requirements apply. In particular, projects may be subjected to Local Law 86 of 2005 (the Green Building Law) or one or more of the following local laws on environmentally preferable purchasing (EPP), including: Local Law 118 of 2005, Local Law 119 of 2005, Local Law 120 of 2005, and Local Law 121 of 2005. Local Law 86 applies to capital projects for or in new buildings, for additions to existing buildings and in existing buildings subject to substantial reconstruction, including fit-outs of condominium units and leased space, costing $2 million or more. Most covered projects must be built to achieve a "Silver" rating under the Leadership in Energy and Environmental Design (LEED) rating system of the U.S. Green Building Council (LEED "Certified" rating for educational and certain types institutional projects). There are additional requirements in the law regarding energy and water efficiency: including those for plumbing systems, boiler replacements, and/or lighting and HVAC comfort control systems, above certain dollar thresholds. The law does not apply to projects within spaces classified in certain occupancy groups, including residential and industrial, and is subject to certain exemptions. The EPP laws apply to certain construction projects not covered by Local Law 86, subject to certain exemptions and waivers. Generally, the standards established by the EPP laws and regulations for construction projects relate to: hazardous contents of electronic devices; volatile organic compounds and other airborne hazards; mercury-added lamps; energy efficiency in products (Energy Star certified products) and recycled content (as set forth in the Comprehensive Procurement Guideline for Products Containing Recovered Materials). A list of Printed on paper containing 30% post-consumer material. 17 these products/materials and their minimum standards are available in the New York City EPP Construction Products Minimum Standards. A hard copy of the standards may be obtained from the agency or an electronic copy at http://www.nyc.gov/html/mocs/downloads/pdf/epp/nycepp_construction.pdf. For compliance with EPP laws, the consultant will be required to provide a report, for any period request by an agency, on products specified by or for the City that appear in the New York City EPP Construction Products Minimum Standards guidebook. The report must contain the following information: agency, item description, quantity ordered and dollar value of all items ordered over the period requested. For LL86, in addition to preparing the required documentation for LEED certification, if applicable, the consultant will be required to provide project data for the purposes of reporting using the Local Law 86 reporting worksheet, as requested by the agency. Such data includes project description, construction costs, LEED credits sought and earned (if applicable), reductions in energy cost and in water use, and incremental constructions costs. F. Compliance with Local Law 34 of 2007 Pursuant to Local Law 34 of 2007, amending the City's Campaign Finance Law, the City established a computerized database containing the names of any "person" that has "business dealings with the city" as such terms are defined in the Local Law. For the purpose of the database, proposers are required to complete the attached Doing Business Data Form and return it with this proposal submission, and should do so in a separate envelope. (If the proposer is a proposed joint venture, the entities that comprise the proposed joint venture must each complete a Data Form). If the City determines that a proposer has failed to submit a Data Form or has submitted a Data Form that is not complete, the proposer will be notified by DCAS and will be given four (4) calendar days from receipt of notification to cure the specified deficiencies and return a complete Data Form to DCAS. Failure to do so will result in a determination that the proposal submission is non-responsive. Receipt of notification is defined as the day notice is e-mailed or faxed (if the proposer has provided an e-mail address or fax number), or no later than five (5) calendar days from the date of mailing or upon delivery, if delivered. G. Whistleblower Protection Expansion Act Rider Local Law Nos. 30 and 33 of 2012, codified at sections 6-132 and 12-113 of the New York City Administrative Code, the Whistleblower Protection Expansion Act, protect employees of certain City contractors from adverse personnel action based on whistleblower activity relating to a City contract and require contractors to post a notice informing employees of their rights. Please read Attachment F, the Whistleblower Protection Expansion Act Rider, carefully. H. Compliance with the Iran Divestment Act Pursuant to State Finance Law Section 165-a and General Municipal Law Section 103-g, the City is prohibited from entering into contracts with persons engaged in investment activities in the energy sector of Iran. Each proposer is required to complete the attached Bidders Certification of Compliance with the Iran Divestment Act, certifying that it is not on a list of entities engaged in investment activities in Iran created by the Commissioner of the NYS Office of General Services. If a proposer appears on that list, DCAS/AM will be able to award a contract to such proposer only in situations where the proposer is taking steps to cease its investments in Iran or where the proposer is a necessary sole source. Please refer to Attachment H for information on the Iran Divestment Act required for this solicitation and instructions on how to complete the required form and to http://www.ogs.ny.gov/About/regs/ida.asp for additional information concerning the list of entities. Printed on paper containing 30% post-consumer material. 18 I. Sub-consultant Compliance Notice The selected vendor will be required to utilize the City’s web based system to identify all sub-consultant in order to obtain sub-consultant approval pursuant to PPB Rule section 4-13, and will also be required to enter all sub-consultant payment information and other related information in such system during the contract term. Please read Attachment K, the “Subcontracting Compliance Notice”, as it relates to competitive solicitations. J. Compliance with HireNYC and Reporting Requirements The Hiring and Employment Rider shall apply to contracts valued at $1 million or more for all goods, services and construction except human services contracts that are subject to the Public Assistance Hiring Commitment Rider. The Rider describes the Hire NYC process and obligations, including reporting requirements throughout the life of the contract. The Hire NYC process requires contractors to enroll with the Hire NYC system within thirty days after the registration of the contract subject to this solicitation, to provide information regarding all entry to mid-level job opportunities arising from this contract and located in New York City, and to agree to interview qualified candidates from HireNYC for those opportunities. The Rider also includes reporting requirements unrelated to HireNYC. Please read Attachment N, the “Hiring and Employment Rider”, as it relates to this solicitation. K. Compliance with Paid Sick Leave Law Contract Rider The Paid Sick Leave Law Contract Rider applies to all New York City solicitations and contracts. The Paid Sick Leave Law requires covered employees who annually perform more than eighty (90) hours of work in New York City to be provided with sick time. The rider explicitly incorporates the Paid Sick Leave Law into any contract awarded as a material term. Additionally, it summarizes provisions of the law, including:        How sick time is accrued and can be used; Which employees are covered; Exemptions from and exceptions to the law; Additional rights of employees regarding the law, including the right not to be retaliated against; Records required to be kept; Enforcement mechanisms and penalties pursuant to the law; and Clarification that the law is not meant to discourage or limit more generous sick time leave policies. Please read Attachment O, the Paid Sick Leave Law Rider, as it relates to this solicitation and any contract awarded therefrom. Printed on paper containing 30% post-consumer material. 19 SECTION IV - FORMAT AND CONTENT OF THE PROPOSAL Instructions: Proposers should provide all information required in the format described below. The proposal should be typed on both sides of 8 ½" x 11" paper. The City requests that all proposals be submitted on paper with no less than 30% post-consumer material content, i.e., the minimum recovered fiber content level for reprographic papers recommended by the United States Environmental Protection Agency (for any changes to that standard please consult: http://www.epa.gov/cpg/products/printing.htm). Pages should be paginated. The proposal will be evaluated on the basis of its content, not length. In addition, proposers should submit a CDROM or USB flash drive containing an electronic copy of all hardcopy documents submitted in response to this RFP. Failure to comply with any of these instructions will not make the proposal non-responsive. A. Proposal Format 1. Proposal Cover Letter The Proposal Cover Letter form (Attachment A) transmits the proposer’s Proposal Package to DCAS. It should be completed, signed and dated by an authorized representative of the proposer. 2. Technical Proposal The Technical Proposal is a clear, concise narrative which addresses the following: a. Experience Describe the successful relevant experience of the proposer, each proposed sub-consultant, if any, and the proposed personnel in providing the work described in Section III of this RFP. (Specifically address the following:  For each phase of work, design Project undertaken, or Pre-preliminary Services or services associated with a Special Project, and for each Work Order issued, the selected vendor (Consultant)’s team shall be led by, and work under the supervision of, a licensed professional who meets the requirement for minimum years of experience described in Attachment M to the RFP. The Consultant shall ensure that at least sixty-five percent (65%) of all work is performed by a team of licensed professionals each with a minimum of five (5) years recent and direct experience in architectural and/or engineering work of the type to be performed, whether gained through working with the Consultant or another employer. A resume for each individual working under an assigned Work Order shall provide, at a minimum the following information: 1. Education – school name, degree level and year received; 2. Professional registration – state, license number, year of registration, and expiration date; 3. Related professional experience – firm of employment, professional title(s) and years served under each title. This information is needed for evaluation and verification of each individual’s qualifications under the title requirements. Each resume must be updated immediately prior to commencement of work. Printed on paper containing 30% post-consumer material. 20  Provide company name and address, as well as the name, address and telephone number of the person authorized to represent the proposing firm. The proposed Consultant firm and project team members should also be specified.  List representative projects that demonstrate the Consultant firm’s expertise in providing relevant professional services for architectural and related engineering disciplines.  Provide example of past accessibility survey experience and list of like projects in both content and size of project  Provide highlights of previous projects that illustrate the projects’ scope, complexity and extent of the firm’s involvement.  Describe and demonstrate how the Consultant firm provides effective technical quality assurance, and outline their general management practices for tracking projects.  Describe methodology of approach the Consultant firm used to respond in a timely manner to oversight city agencies including, but not limited to, the DOB, FDNY, DEP, LPC and PDC, for obtaining required governmental approvals and coordination of work.) In addition:  Attach a listing of at least three (3) relevant references, including the name of the referenced entity, a brief statement describing the relationship between the proposer or proposed sub-consultant, as applicable, and the referenced entity, and the name, title and telephone number of a contact person at the referenced entity, for the proposer and each proposed sub-consultant, if any.  Minimum Qualification Requirements of this RFP. requirements will be rejected.  The proposing firm must submit as proof of its ownership, relevant documentation to demonstrate at least one (1) licensed Architect or licensed Engineer as Principal.  Attach for each Key Personnel position a resume and/or description of the qualifications that will be required. In addition, provide a statement certifying that the proposed Key Personnel will be available for the duration of the project and include the NYS license registration number for all professionals.  The proposing firm must demonstrate that it has at least five (5) years of experience and expertise in architectural design and related engineering services with regard to construction projects in occupied court buildings, involving complex renovation, rehabilitation and/or alterations including but not limited to police or correctional facilities therein which may have high security areas under guard control. Greater preference will be given to proposing firms demonstrating a wider range of expertise with projects of greater complexity. Proposals that fail to meet all of these b. Organizational Capability Printed on paper containing 30% post-consumer material. 21 Demonstrate the proposer’s organizational (i.e. technical, managerial and financial) capability to provide the work described in Section III. Specifically address the following:  The proposer shall have, for each Project, a New York State licensed Architect or New York State licensed Engineer to act as project manager on the Project, and a New York State licensed Architect or New York State licensed Engineer to act as principal-in-charge of the Project.  The proposing firm will provide as staff, at the time any work is performed under this Agreement, the same architectural and engineering design/project managers, project team members, subconsultants and specialists as proposed during the RFP process. No substitutions of any such personnel will be permitted without DCAS’ prior written approval.  The proposer will submit a list of full-time staff currently employed, and the current projects being worked on, by the proposing firm.  The proposer will submit a list of all contracts and projects commenced, in process, and completed within the last twelve (12) months (titled the “Specific Projects List”) and for each provide:  the value of each of the contracts and projects  the project schedule  the proposed principal-in-charge and project manager) This data will be organized so that all information pertaining to the primary architectural firm (proposing firm) is presented first, followed sequentially by the information relating to each subconsultant.  In the event the proposer has submitted separate, complete proposals to provide services to more than one (1) RFP service area, the proposer will indicate on each proposal the total number of proposals that have been submitted and demonstrate its organizational capability to successfully provide services simultaneously in each RFP service area.  Attach a chart showing where, or an explanation of how, the proposer will provide staff from within its organization. This will include, without limitation, attaching an organizational chart and providing an explanation demonstrating how many simultaneous projects the proposer company is capable of staffing from within its organization.  Attach a copy of the proposer’s latest audit report or certified financial statement, or a statement as to why no report or statement is available. c. Proposed Approach Describe in detail how the proposer will provide the work described in Section III of this RFP and demonstrate that the proposed approach will fulfill DCAS/AM’s goals and objectives. Specifically address the following: Printed on paper containing 30% post-consumer material. 22 Describe the steps to be taken for preparing design and construction documents (“CDs”) for multiple City owned and occupied court buildings including but not limited to NYPD and DOC facilities therein which may have high security areas under guard control, that need to be in compliance with ADAAG, Local Law 47, PROWAAC Guidelines, MUTCD and Title 24. . Including but not limited to:               Court rooms Jury rooms Holding cells Amenities (cafeterias; vendor areas) Restrooms (include toilets, partitions, floor, ceiling, plumbing, lighting, mechanical ventilation and finishes and fixtures) Exterior pathways and surrounding areas including, without limitation, parking structures and sidewalks Curb ramps where needed for wheelchair access Entrances and entrance ramps Handrails Steps, stairs and hallways Elevators and lifts Doors and door hardware including automatic closers Wheelchair vertical or inclined lifts Signage DCAS’s assumptions regarding Consultant’s approach represent what DCAS believes will most likely achieve its goals and objectives. However, proposers are encouraged to propose an approach that they believe will most likely achieve DCAS’s goals and objectives. Proposers may also propose more than one (1) approach. However, if an alternative approach affects other areas of the proposal such as experience, organizational capability or price, that alternative approach should be submitted as a complete and separate proposal providing all the information specified in Section IV of this RFP. 3. Price Proposal Proposers are encouraged to propose innovative payment structures. DCAS reserves the right to select any payment structure that is in the City’s best interest. For the purposes of comparison, proposers should submit a price proposal that meets the standards detailed below. DCAS shall rank proposers by technical merit. DCAS shall then meet, and attempt to negotiate a fair and reasonable price, with the highest technically ranked proposer(s). If DCAS cannot successfully negotiate a fair and reasonable price with the top-ranked proposer, DCAS may, in its sole discretion, terminate such negotiations and enter into negotiations with the next ranked proposer(s). Proposed Pricing The price proposal should include each of the following for providing the work described in Section III of this RFP:  The proposed Consultant Fee Curve in the format prescribed in the “Price Proposal Form/Consultant Fee Curve” attached hereto as Attachment B. Printed on paper containing 30% post-consumer material. 23  4. The proposed Consultant personnel rates in the format prescribed in the “All Inclusive Hourly Rates”, attached hereto as Attachment C. Acknowledgment of Addenda The Acknowledgment of Addenda form (Attachment I) serves as the proposer’s acknowledgment of the receipt of addenda to this RFP which may have been issued by DCAS prior to the Proposal Due Date and Time, as set forth in Section I (C), above. The proposer should complete this form as instructed on the form. B. Proposal Package Contents (“Checklist”) The Proposal Package should contain the following materials. Proposers should utilize this section as a “checklist” to assure completeness prior to submitting their proposal to DCAS. 1. A sealed inner envelope labeled “Technical Proposal,” containing one (1) original set and four (4) duplicate sets of the documents listed below in the following order:   Proposal Cover Letter Form (Attachment A) Technical Proposal o Narrative o References for the Proposer and, if applicable, each Sub-Consultant o Minimum Qualification Requirements of this RFP. Include what documents must be submitted as proof of meeting the requirements described under the Minimum Qualifications Requirements described in Section II (E) herein. o Resumes and/or Description of Qualifications for Key Personnel Positions including, without limitation, the NYS license registration number for all professionals o Organizational Chart o Audit Report or Certified Financial Statement or a statement as to why no report or statement is available  Iran Divestment Act (Attachment H)  Acknowledgment of Addenda Form (Attachment I)  1 CD-ROM or USB flash drive containing an electronic copy of all hardcopy documents submitted in response to this RFP. 2. A separate sealed inner envelope labeled “Price Proposal” containing one (1) original set and four (4) duplicate sets of the Price Proposal.  3. Price Proposal Form/Consultant Fee Curve (Attachment B), and All Inclusive Hourly Rates (Attachment C) A third sealed inner envelope containing:    “Subcontractor Utilization Plan” (Attachment E, Schedule B, Part II) or; Approved Waiver of Target Subcontracting Percentage (Attachment E, Schedule B, Part III) or; “Subcontractor Utilization Plan” (Attachment E, Schedule B, Part II) and Approved Partial Waiver of Target Subcontracting Percentage (Attachment E, Schedule B, Part III) Printed on paper containing 30% post-consumer material. 24 4. All proposals must contain a fourth sealed inner envelope labeled “Doing Business Data Form” containing an original, completed Doing Business Data Form (see Attachment J). 5. A sealed outer envelope, enclosing the four (4) sealed inner envelopes. The sealed outer envelope should have two (2) labels containing:   The proposer’s name and address, the Title and PIN # of this RFP and the name and telephone number of the Proposer’s Contact Person. The name, title and address of the Authorized Agency Contact Person. Printed on paper containing 30% post-consumer material. 25 SECTION V - PROPOSAL EVALUATION AND CONTRACT AWARD PROCEDURES A. Evaluation Procedures All proposals accepted by DCAS will be reviewed to determine whether they are responsive or non-responsive to the requisite of this RFP. Proposals that are determined by DCAS to be non-responsive will be rejected. DCAS’s Evaluation Committee will evaluate and rate all remaining proposals based on the Evaluation Criteria prescribed below. DCAS reserves the right to conduct site visits and/or interviews and/or to request that proposers make presentations and/or demonstrations, as DCAS deems applicable and appropriate. Although discussions may be conducted with proposers submitting acceptable proposals, DCAS reserves the right to award contracts on the basis of initial proposals received, without discussion; therefore, the proposer’s initial proposal should contain its best technical and price terms. DCAS shall rank proposers by technical merit, and pursuant to the City’s Quality Based Selection Method, the price proposal of ONLY the highest technically ranked firm will be opened and reviewed by the Evaluation Committee to determine whether it is responsive. DCAS may then consider price by negotiating a fair and reasonable price with the highest technically ranked proposer(s). In the event that such a fee is not successfully negotiated, DCAS may conclude such negotiations, and enter into negotiations with the next ranked vendor(s), as necessary. B. Evaluation Criteria    Demonstrated quantity and quality of successful relevant experience. Demonstrated level of organizational capability. Quality of proposed approach. 50% 20% 30% C. Basis for Contract Award DCAS shall rank proposers by technical merit, and then consider price, by possibly further negotiating a fair and reasonable price with the highest technically ranked proposer(s). In the event that DCAS has chosen to negotiate a fair and reasonable price with the top-ranked proposer, and such fee was not successfully negotiated, DCAS may conclude such negotiations, and enter into negotiations with the next ranked vendor(s), as necessary. DCAS reserves the right to accept or reject the proposals. Contract award shall be subject to the timely completion of contract negotiations between DCAS/AM and the selected proposer(s), as well as approval from the Mayor’s Office of Contract Services and registration by the New York City Comptroller. Contract(s), if awarded, will be to the responsive and responsible proposer whose proposal is determined to be the most advantageous to the City, taking into consideration the price and such other factors or criteria which are set forth in this RFP. Printed on paper containing 30% post-consumer material. 26 SECTION VI - GENERAL INFORMATION TO PROPOSERS A. Complaints. The New York City Comptroller is charged with the audit of contracts in New York City. Any proposer who believes that there has been unfairness, favoritism or impropriety in the proposal process should inform the Comptroller, Office of Contract Administration, 1 Centre Street, Room 1005, New York, NY 10007; contract@comptroller.nyc.gov, or at (212) 669-2323. In addition, the New York City Department of Investigation should be informed of such complaints at its Investigations Division, 80 Maiden Lane, New York, NY 10038; the telephone number is (212) 825-5959. B. Applicable Laws. This Request for Proposals and the resulting contract award(s), if any, unless otherwise stated, are subject to all applicable provisions of New York State Law, the New York City Administrative Code, New York City Charter and New York City Procurement Policy Board (PPB) Rules. A copy of the PPB Rules may be obtained by contacting the PPB at (212) 788-0010 or at: http://www.nyc.gov/html/mocs/ppb/html/home/home.shtml. C. General Contract Provisions. Contracts shall be subject to New York City’s general contract provisions, in substantially the form that they appear in “Appendix A—General Contract Provisions Governing Contracts for Consultants, Professional and Technical Services” or, if DCAS utilizes other than the formal Appendix A, in substantially the form that they appear in DCAS’s general contract provisions. A copy of the applicable document is available through the Authorized Agency Contact Person. D. Contract Award. Contract award is subject to each of the following applicable conditions and any others that may apply: New York City Fair Share Criteria; New York City MacBride Principles Law; submission by the proposer of the requisite New York City Department of Business Services/Division of Labor Services Employment Report and certification by that office; submission by the proposer of the requisite VENDEX Questionnaires/Affidavits of No Change and review of the information contained therein by the New York City Department of Investigation; all other required oversight approvals; applicable provisions of federal, state and local laws and executive orders requiring affirmative action and equal employment opportunity; and Section 6108.1 of the New York City Administrative Code relating to the Local Based Enterprises program and its implementation rules. E. Proposer Appeal Rights. Pursuant to New York City’s PPB Rules, proposers have the right to appeal Agency non-responsiveness determinations and Agency non-responsibility determinations and to protest an Agency’s determination regarding the solicitation or award of a contract. F. Multi-Year Contracts. Multi-year contracts are subject to modification or cancellation if adequate funds are not appropriated to DCAS to support continuation of performance in any City fiscal year succeeding the first fiscal year and/or if the consultant’s performance is not satisfactory. DCAS will notify the Consultant as soon as is practicable that the funds are, or are not, available for the continuation of the multi-year contract for each succeeding City fiscal year. In the event of cancellation, the consultant will be reimbursed for those costs, if any, which are so provided for in the contract. G. Prompt Payment Policy. Pursuant to the New York City’s Procurement Policy Board Rules, it is the policy of the City to process contract payments efficiently and expeditiously. H. Prices Irrevocable. Prices proposed by the proposer shall be irrevocable until contract award, unless the proposal is withdrawn. Proposals may only be withdrawn by submitting a written request to DCAS prior to Printed on paper containing 30% post-consumer material. 27 contract award but after the expiration of 90 days after the opening of proposals. This shall not limit the discretion of DCAS to request proposers revise proposed prices through the submission of best and final offers and/or the conduct of negotiations. I. Confidential, Proprietary Information or Trade Secrets. Proposers should give specific attention to the identification of those portions of their proposals that they deem to be confidential, proprietary information or trade secrets and provide any justification of why such materials, upon request, should not be disclosed by the City. Such information must be easily separable from the non-confidential sections of the proposal. All information not so identified may be disclosed by the City. J. RFP Postponement/Cancellation. DCAS reserves the right to postpone or cancel this RFP, in whole or in part, and to reject all proposals. K. Proposer Costs. Proposers will not be reimbursed for any costs incurred to prepare proposals. L. Vendex Fees. Pursuant to PPB Rule 2-08(f)(2), the contractor will be charged a fee for the administration of the Vendex system, including the Vendor Name Check Process, if a Vendor Name Check review is required to be conducted by the New York City Department of Investigation. The contractor shall also be required to pay the applicable fees for any of its subcontractors for which Vendor Name Check reviews are required. The fee(s) will be deducted from payments made to the contractor under the contract. For contracts with an estimated value of less than or equal to $1,000,000, the fee will be $175. For contracts with an estimated value of greater than $1,000,000, the fee will be $350. The estimated value for each contract resulting from this RFP is estimated to be (less than or equal to $1 million) (above $1 million). M. Charter Section 312(a) Certification. __x___ DCAS has determined that the contract(s) to be awarded through this Request for Proposals will not result in the displacement of any New York City employee within this Agency. See attached Displacement Determination Form. _____ DCAS has determined that the contract(s) to be awarded through this Request for Proposals will result in the displacement of New York City employee(s) within this Agency. See attached Displacement Determination Form. _____ The contract(s) to be awarded through this Request for Proposals is a task order contract that does not simultaneously result in the award of a first task order; a displacement determination will be made in conjunction with the issuance of each task order pursuant to such task order contract. Determinations for any subsequent task orders will be made in conjunction with such subsequent task orders. __________XÜ~tÇ fÉÄt~____________ (Deputy Agency Chief Contracting Officer) ____1/29/2016_______________ Date Message from the New York City Vendor Enrollment Center Get on mailing lists for New York City contract opportunities! Submit a NYC-FMS Vendor Application - Call 212/857-1680 Printed on paper containing 30% post-consumer material. 28 Message from New York City’s Department of Small Business Services The Department of Small Business Services (SBS) offers One-on-One Technical Assistance to businesses that are interested in bidding on City contracts for the following goods and services: construction, construction related, standardized and architectural and engineering. If you plan on bidding on this or any other City contract, contact SBS to schedule an appointment. The Department of Small Business Services will meet with you to review your particular proposal or submission, and provide feedback and guidance to help you submit the best proposal possible. To schedule One-on-One Technical Assistance, email techassist@sbs.nyc.gov and an SBS representative will contact you. Printed on paper containing 30% post-consumer material. 29 APPENDIX A – “GENERAL PROVISIONS GOVERNING CONTRACTS FOR CONSULTANTS, PROFESSIONAL, TECHNICAL, HUMAN AND CLIENT SERVICES” Printed on paper containing 30% post-consumer material. 30 Appendix A August 2011 Final APPENDIX A GENERAL PROVISIONS GOVERNING CONTRACTS FOR CONSULTANTS, PROFESSIONAL, TECHNICAL, HUMAN AND CLIENT SERVICES ARTICLE 1 - DEFINITIONS Section 1.01 Definitions The following words and expressions, or pronouns used in their stead, shall, wherever they appear in this Agreement, be construed as follows, unless a different meaning is clear from the context: A. “Agency Chief Contracting Officer” or “ACCO” shall mean the position delegated authority by the Agency Head to organize and supervise the procurement activity of subordinate Agency staff in conjunction with the City Chief Procurement Officer. B. “Agreement” shall mean the various documents, including this Appendix A, that constitute the contract between the Contractor and the City. C. “City” shall mean The City of New York. D. “City Chief Procurement Officer” or “CCPO” shall mean the position delegated authority by the Mayor to coordinate and oversee the procurement activity of Mayoral agency staff, including the ACCOs. “Commissioner” or “Agency Head” shall mean the head of the Department or his E. or her duly authorized representative. The term “duly authorized representative” shall include any person or persons acting within the limits of his or her authority. F. G. Department. “Comptroller” shall mean the Comptroller of the City of New York. “Contractor” shall mean the entity entering into this Agreement with the H. “Days” shall mean calendar days unless otherwise specifically noted to mean business days. I. Agreement. “Department” or “Agency” shall mean the City agency that has entered into this J. “Law” or “Laws” shall mean the New York City Charter (“Charter”), the New York City Administrative Code (“Admin. Code”), a local rule of the City of New York, the Constitutions of the United States and the State of New York, a statute of the United States or of the State of New York and any ordinance, rule or regulation having the force of law and adopted pursuant thereto, as amended, and common law. Page 1 of 48 Appendix A August 2011 Final K. “Procurement Policy Board” or “PPB” shall mean the board established pursuant to Charter § 311 whose function is to establish comprehensive and consistent procurement policies and rules which have broad application throughout the City. L. “PPB Rules” shall mean the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq. M. “State” shall mean the State of New York. ARTICLE 2 - REPRESENTATIONS AND WARRANTIES Section 2.01 Procurement of Agreement A. The Contractor represents and warrants that no person or entity (other than an officer, partner, or employee working solely for the Contractor) has been employed or retained to solicit or secure this Agreement upon any agreement or understanding for a commission, percentage, brokerage fee, contingent fee or any other direct or indirect compensation. Notwithstanding the preceding sentence, the Contractor may retain consultants to draft proposals, negotiate contracts, and perform other similar services. The Contractor further represents and warrants that no payment, gift, or thing of value has been made, given, or promised to obtain this or any other agreement between the parties. The Contractor makes such representations and warranties to induce the City to enter into this Agreement and the City relies upon such representations and warranties in the execution of this Agreement. B. For any breach or violation of the representations and warranties set forth in Paragraph A above, the Commissioner shall have the right to annul this Agreement without liability, entitling the City to recover all monies paid to the Contractor; and the Contractor shall not make claim for, or be entitled to recover, any sum or sums due under this Agreement. The rights and remedies of the City provided in this Section are not exclusive and are in addition to all other rights and remedies allowed by Law or under this Agreement. Section 2.02 Conflicts of Interest A. The Contractor represents and warrants that neither it nor any of its directors, officers, members, partners or employees, has any interest nor shall they acquire any interest, directly or indirectly, which conflicts in any manner or degree with the performance of this Agreement. The Contractor further represents and warrants that no person having such interest or possible interest shall be employed by or connected with the Contractor in the performance of this Agreement. B. Consistent with Charter § 2604 and other related provisions of the Charter, the Admin. Code and the New York State Penal Law, no elected official or other officer or employee of the City, nor any person whose salary is payable, in whole or in part, from the City Treasury, shall participate in any decision relating to this Agreement which affects his or her personal Page 2 of 48 Appendix A August 2011 Final interest or the interest of any corporation, partnership or other entity in which he or she is, directly or indirectly, interested; nor shall any such official, officer, employee, or person have any interest in, or in the proceeds of, this Agreement. This Paragraph B shall not prevent directors, officers, members, partners, or employees of the Contractor from participating in decisions relating to this Agreement where their sole personal interest is in the Contractor. C. The Contractor shall not employ a person or permit a person to serve as a member of the Board of Directors or as an officer of the Contractor if such employment or service would violate Chapter 68 of the Charter. [PARAGRAPHS D-H ARE APPLICABLE ONLY TO HUMAN OR CLIENT SERVICE CONTRACTS.] D. Except as provided in Paragraph E below, the Contractor’s employees and members of their immediate families, as defined in Paragraph F below, may not serve on the Board of Directors of the Contractor (“Board”), or any committee with authority to order personnel actions affecting his or her job, or which, either by rule or by practice, regularly nominates, recommends or screens candidates for employment in the program to be operated pursuant to this Agreement. If the Board has more than five (5) members, then Contractor’s employees and E. members of their immediate families may serve on the Board, or any committee with authority to order personnel actions affecting his or her job, or which, either by rule or by practice, regularly nominates, recommends or screens candidates for employment in the program to be operated pursuant to this Agreement, provided that (i) Contractor’s employees and members of their immediate families are prohibited from voting on any such personnel matters, including but not limited to any matters directly affecting their own salary or other compensation, and shall fully disclose all conflicts and potential conflicts to the Board, and (ii) Contractor’s employees and members of their immediate families may not serve in the capacity either of Chairperson or Treasurer of the Board (or equivalent titles), nor constitute more than one-third of either the Board or any such committee. F. Without the prior written consent of the Commissioner, no person may hold a job or position with the Contractor over which a member of his or her immediate family exercises any supervisory, managerial or other authority whatsoever whether such authority is reflected in a job title or otherwise, unless such job or position is wholly voluntary and unpaid. A member of an immediate family includes: husband, wife, domestic partner, father, father-in-law, mother, mother-in-law, brother, brother-in-law, sister, sister-in-law, son, son-in-law, daughter, daughterin-law, niece, nephew, aunt, uncle, first cousin, and separated spouse. Where a member of an immediate family has that status because of that person’s relationship to a spouse (e.g., father-inlaw), that status shall also apply to a relative of a domestic partner. For purposes of this Section, a member of the Board is deemed to exercise authority over all employees of the Contractor. G. If the Contractor has contracts with the City that in the aggregate during any twelve-month period have a value of more than One Million Dollars ($1,000,000) and such amount constitutes more than fifty percent (50%) of the Contractor’s total revenues, then the Contractor must have a minimum of five (5) persons on its Board. Page 3 of 48 Appendix A August 2011 Final H. corporation. Paragraphs D-H of this Section 2.02 apply only if Contractor is a not-for-profit Section 2.03 Fair Practices A. The Contractor and each person signing on its behalf certifies, under penalties of perjury, that to the best of its, his or her knowledge and belief: 1. The prices and other material terms set forth in this Agreement have been arrived at independently, without collusion, consultation, communication, or agreement with any other bidder or proposer or with any competitor as to any matter relating to such prices or terms for the purpose of restricting competition; 2. Unless otherwise required by Law or where a schedule of rates or prices is uniformly established by a government agency through regulation, policy or directive, the prices and other material terms set forth in this Agreement which have been quoted in this Agreement and on the bid or proposal submitted by the Contractor have not been knowingly disclosed by the Contractor, directly or indirectly, to any other bidder or proposer or to any competitor prior to the bid or proposal opening; and No attempt has been made or will be made by the Contractor to induce any 3. other person or entity to submit or not to submit a bid or proposal for the purpose of restricting competition. B. The fact that the Contractor (i) has published price lists, rates, or tariffs covering items being procured, (ii) has informed prospective customers of proposed or pending publication of new or revised price lists for such items, or (iii) has sold the same items to other customers at the same prices and/or terms being bid or proposed, does not constitute, without more, a disclosure within the meaning of this Section. Section 2.04 VENDEX The Contractor represents and warrants that it and its principals have duly executed and filed all required VENDEX Questionnaires and, if applicable, Certificates of No Change, pursuant to PPB Rule § 2-08 and in accordance with the policies and procedures of the Mayor’s Office of Contract Services. The Contractor understands that the Department's reliance upon the completeness and veracity of the information stated therein is a material condition to the execution of this Agreement, and represents and warrants that the information it and its principals have provided is accurate and complete. Section 2.05 Political Activity The Contractor’s provision of services under this Agreement shall not include any partisan political activity or any activity to further the election or defeat of any candidate for Page 4 of 48 Appendix A August 2011 Final public, political, or party office, nor shall any of the funds provided under this Agreement be used for such purposes. Section 2.06 Religious Activity There shall be no religious worship, instruction or proselytizing as part of or in connection with the Contractor’s provision of services under this Agreement, nor shall any of the funds provided under this Agreement be used for such purposes. Section 2.07 Unlawful Discriminatory Practices: Admin. Code § 6-123 As required by Admin. Code § 6-123, the Contractor will not engage in any unlawful discriminatory practice as defined in and pursuant to the terms of Title 8 of the City Administrative Code. The Contractor shall include a provision in any agreement with a firstlevel subcontractor performing services under this Agreement for an amount in excess of Fifty Thousand Dollars ($50,000) that such subcontractor shall not engage in any such unlawful discriminatory practice. Section 2.08 Bankruptcy and Reorganization In the event that the Contractor files for bankruptcy or reorganization under Chapter Seven or Chapter Eleven of the United States Bankruptcy Code, the Contractor shall disclose such action to the Department within seven (7) days of filing. ARTICLE 3 - ASSIGNMENT AND SUBCONTRACTING Section 3.01 Assignment A. The Contractor shall not assign, transfer, convey or otherwise dispose of this Agreement, or the right to execute it, or the right, title or interest in or to it or any part of it, or assign, by power of attorney or otherwise, any of the monies due or to become due under this Agreement, without the prior written consent of the Commissioner. The giving of any such consent to a particular assignment shall not dispense with the necessity of such consent to any further or other assignments. Any such assignment, transfer, conveyance or other disposition without such written consent shall be void. B. Before entering into any such assignment, transfer, conveyance or other disposal of this Agreement, the Contractor shall submit a written request for approval to the Department giving the name and address of the proposed assignee. The proposed assignee’s VENDEX questionnaire must be submitted within thirty (30) Days after the ACCO has granted preliminary written approval of the proposed assignee, if required. Upon the request of the Department, the Contractor shall provide any other information demonstrating that the proposed assignee has the necessary facilities, skill, integrity, past experience and financial resources to perform the specified services in accordance with the terms and conditions of this Agreement. The Agency Page 5 of 48 Appendix A August 2011 Final shall make a final determination in writing approving or disapproving the assignee after receiving all requested information. C. Failure to obtain the prior written consent to such an assignment, transfer, conveyance, or other disposition may result in the revocation and annulment of this Agreement, at the option of the Commissioner. The City shall thereupon be relieved and discharged from any further liability and obligation to the Contractor, its assignees, or transferees, who shall forfeit all monies earned under this Agreement, except so much as may be necessary to pay the Contractor’s employees. D. The provisions of this Section shall not hinder, prevent, or affect an assignment by the Contractor for the benefit of its creditors made pursuant to the Laws of the State. E. This Agreement may be assigned, in whole or in part, by the City to any corporation, agency, or instrumentality having authority to accept such assignment. The City shall provide the Contractor with written notice of any such assignment. Section 3.02 Subcontracting A. The Contractor shall not enter into any subcontract for an amount greater than Five Thousand Dollars ($5,000) for the performance of its obligations, in whole or in part, under this Agreement without the prior approval by the Department of the subcontractor. The Department hereby grants approval for all subcontracts for an amount that does not exceed Five Thousand Dollars ($5,000). The Contractor must submit monthly reports to the Department indicating all such subcontractors. All subcontracts must be in writing. B. Prior to entering into any subcontract for an amount greater than Five Thousand Dollars ($5,000), the Contractor shall submit a written request for the approval of the proposed subcontractor to the Department giving the name and address of the proposed subcontractor and the portion of the services that it is to perform and furnish. At the request of the Department, a copy of the proposed subcontract shall be submitted to the Department. The proposed subcontractor’s VENDEX Questionnaire must be submitted, if required, within thirty (30) Days after the ACCO has granted preliminary approval of the proposed subcontractor. Upon the request of the Department, the Contractor shall provide any other information demonstrating that the proposed subcontractor has the necessary facilities, skill, integrity, past experience and financial resources to perform the specified services in accordance with the terms and conditions of this Agreement. The Agency shall make a final determination in writing approving or disapproving the subcontractor after receiving all requested information. For proposed subcontracts that do not exceed Twenty-five Thousand Dollars ($25,000), the Department’s approval shall be deemed granted if the Department does not issue a written approval or disapproval within forty-five (45) Days of the Department’s receipt of the written request for approval or, if applicable, within forty-five (45) Days of the Department’s acknowledged receipt of fully completed VENDEX Questionnaires for the subcontractor. C. All subcontracts shall contain provisions specifying that: Page 6 of 48 Appendix A August 2011 Final 1. The work performed by the subcontractor must be in accordance with the terms of the agreement between the City and the Contractor; 2. Nothing contained in the agreement between the Contractor and the subcontractor shall impair the rights of the City; 3. Nothing contained in the agreement between the Contractor and the subcontractor, or under the agreement between the City and the Contractor, shall create any contractual relation between the subcontractor and the City; and 4. The subcontractor specifically agrees to be bound by Section 4.07 and Article 5 of this Appendix A and specifically agrees that the City may enforce such provisions directly against the subcontractor as if the City were a party to the subcontract. D. The Contractor agrees that it is as fully responsible to the Department for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by such subcontractors as it is for the acts and omissions of any person directly employed by it. E. For determining the value of a subcontract, all subcontracts with the same subcontractor shall be aggregated. F. The Department may revoke the approval of a subcontractor granted or deemed granted pursuant to Paragraphs (A) and (B) of this section if revocation is deemed to be in the interest of the City in writing on no less than ten (10) Days notice unless a shorter period is warranted by considerations of health, safety, integrity issues or other similar factors. Upon the effective date of such revocation, the Contractor shall cause the subcontractor to cease all work under the Agreement. The City shall not incur any further obligation for services performed by such subcontractor pursuant to this Agreement beyond the effective date of the revocation. The City shall pay for services provided by the subcontractor in accordance with this Agreement prior to the effective date of revocation. G. The Department’s approval of a subcontractor shall not relieve the Contractor of any of its responsibilities, duties and liabilities under this Agreement. At the request of the Department, the Contractor shall provide the Department a copy of any subcontract. H. Individual employer-employee contracts are not subcontracts subject to the requirements of this Section. ARTICLE 4 - LABOR PROVISIONS Section 4.01 Independent Contractor Status The Contractor and the Department agree that the Contractor is an independent contractor and not an employee of the Department or the City. Accordingly, neither the Contractor nor its employees or agents will hold themselves out as, or claim to be, officers or employees of the Page 7 of 48 Appendix A August 2011 Final City, or of any department, agency or unit of the City, by reason of this Agreement, and they will not, by reason of this Agreement, make any claim, demand or application to or for any right or benefit applicable to an officer or employee of the City, including, but not limited to, Workers’ Compensation coverage, Disability Benefits coverage, Unemployment Insurance benefits, Social Security coverage or employee retirement membership or credit. Section 4.02 Employees All persons who are employed by the Contractor and all consultants or independent contractors who are retained by the Contractor to perform services under this Agreement are neither employees of the City nor under contract with the City. The Contractor, and not the City, is responsible for their work, direction, compensation, and personal conduct while engaged under this Agreement. Nothing in the Agreement shall impose any liability or duty on the City for the acts, omissions, liabilities or obligations of the Contractor, or any officer, employee, or agent of the Contractor, or for taxes of any nature, or for any right or benefit applicable to an officer or employee of the City, including, but not limited to, Workers’ Compensation coverage, Disability Benefits coverage, Unemployment Insurance benefits, Social Security coverage or employee retirement membership or credit. Except as specifically stated in this Agreement, nothing in this Agreement shall impose any liability or duty on the City to any person or entity. Section 4.03 Removal of Individuals Performing Work The Contractor shall not have anyone perform work under this Agreement who is not competent, faithful and skilled in the work for which he or she shall be employed. Whenever the Commissioner shall inform the Contractor, in writing, that any individual is, in his or her opinion, incompetent, unfaithful, or unskilled, such individual shall no longer perform work under this Agreement. Prior to making a determination to direct a Contractor that an individual shall no longer perform work under this Agreement, the Commissioner shall provide the Contractor an opportunity to be heard on no less than five (5) Days’ written notice. The Commissioner may direct the Contractor not to allow the individual from performing work under the Agreement pending the opportunity to be heard and the Commissioner’s determination. Section 4.04 Minimum Wage Except for those employees whose minimum wage is required to be fixed pursuant to Sections 220 or 230 of the New York State Labor Law or by City Administrative Code § 6-109, all persons employed by the Contractor in the performance of this Agreement shall be paid, without subsequent deduction or rebate, unless expressly authorized by Law, not less than the minimum wage as prescribed by Law. Any breach of this Section shall be deemed a material breach of this Agreement. Page 8 of 48 Appendix A August 2011 Final Section 4.05 Non-Discrimination: New York State Labor Law § 220-e A. If this Agreement is for the construction, alteration or repair of any public building or public work or for the manufacture, sale, or distribution of materials, equipment, or supplies, the Contractor agrees, as required by New York State Labor Law § 220-e, that: 1. In the hiring of employees for the performance of work under this Agreement or any subcontract hereunder, neither the Contractor, subcontractor, nor any person acting on behalf of such Contractor or subcontractor, shall by reason of race, creed, color, disability, sex or national origin discriminate against any citizen of the State of New York who is qualified and available to perform the work to which the employment relates; 2. Neither the Contractor, subcontractor, nor any person on his or her behalf shall, in any manner, discriminate against or intimidate any employee hired for the performance of work under this Agreement on account of race, creed, color, disability, sex or national origin; 3. There may be deducted from the amount payable to the Contractor by the City under this Agreement a penalty of Fifty Dollars ($50) for each person for each calendar day during which such person was discriminated against or intimidated in violation of the provisions of this Agreement; and 4. This Agreement may be terminated by the City, and all monies due or to become due hereunder may be forfeited, for a second or any subsequent violation of the terms or conditions of this Section. B. The provisions of this Section shall be limited to operations performed within the territorial limits of the State of New York. Section 4.06 Non-Discrimination: Admin. Code § 6-108 If this Agreement is for the construction, alteration or repair of buildings or the construction or repair of streets or highways, or for the manufacture, sale, or distribution of materials, equipment or supplies, the Contractor agrees, as required by New York City Administrative Code § 6-108, that: A. It shall be unlawful for any person engaged in the construction, alteration or repair of buildings or engaged in the construction or repair of streets or highways pursuant to a contract with the City or engaged in the manufacture, sale or distribution of materials, equipment or supplies pursuant to a contract with the City to refuse to employ or to refuse to continue in any employment any person on account of the race, color or creed of such person. B. It shall be unlawful for any person or any servant, agent or employee of any person, described in Paragraph A above, to ask, indicate or transmit, orally or in writing, directly Page 9 of 48 Appendix A August 2011 Final or indirectly, the race, color, creed or religious affiliation of any person employed or seeking employment from such person, firm or corporation. C. Breach of the foregoing provisions shall be deemed a breach of a material provision of this Agreement. D. Any person, or the employee, manager or owner of or officer of such firm or corporation who shall violate any of the provisions of this Section shall, upon conviction thereof, be punished by a fine of not more than One Hundred Dollars ($100) or by imprisonment for not more than thirty (30) Days, or both. Section 4.07 Non-Discrimination: E.O. 50 -- Equal Employment Opportunity A. This Agreement is subject to the requirements of City Executive Order No. 50 (1980) (“E.O. 50”), as revised, and the rules set forth at 66 RCNY § 10-01 et seq. No agreement will be awarded unless and until these requirements have been complied with in their entirety. The Contractor agrees that it: 1. Will not discriminate unlawfully against any employee or applicant for employment because of race, creed, color, national origin, sex, age, disability, marital status, sexual orientation or citizenship status with respect to all employment decisions including, but not limited to, recruitment, hiring, upgrading, demotion, downgrading, transfer, training, rates of pay or other forms of compensation, layoff, termination, and all other terms and conditions of employment; 2. Will not discriminate unlawfully in the selection of subcontractors on the basis of the owners’, partners’ or shareholders’ race, color, creed, national origin, sex, age, disability, marital status, sexual orientation, or citizenship status; 3. Will state in all solicitations or advertisements for employees placed by or on behalf of the Contractor that all qualified applicants will receive consideration for employment without unlawful discrimination based on race, color, creed, national origin, sex, age, disability, marital status, sexual orientation or citizenship status, and that it is an equal employment opportunity employer; 4. Will send to each labor organization or representative of workers with which it has a collective bargaining agreement or other contract or memorandum of understanding, written notification of its equal employment opportunity commitments under E.O. 50 and the rules and regulations promulgated thereunder; 5. Will furnish before this Agreement is awarded all information and reports including an Employment Report which are required by E.O. 50, the rules and regulations promulgated thereunder, and orders of the City Department of Small Business Services, Division of Labor Services (“DLS”); and Page 10 of 48 Appendix A August 2011 Final 6. Will permit DLS to have access to all relevant books, records, and accounts for the purposes of investigation to ascertain compliance with such rules, regulations, and orders. B. The Contractor understands that in the event of its noncompliance with the nondiscrimination clauses of this Agreement or with any of such rules, regulations, or orders, such noncompliance shall constitute a material breach of this Agreement and noncompliance with E.O. 50 and the rules and regulations promulgated thereunder. After a hearing held pursuant to the rules of DLS, the Director of DLS may direct the Commissioner to impose any or all of the following sanctions: 1. Disapproval of the Contractor; and/or 2. Suspension or termination of the Agreement; and/or 3. Declaring the Contractor in default; and/or 4. program. In lieu of any of the foregoing sanctions, imposition of an employment C. Failure to comply with E.O. 50 and the rules and regulations promulgated thereunder in one or more instances may result in the Department declaring the Contractor to be non-responsible. D. The Contractor agrees to include the provisions of the foregoing Paragraphs in every subcontract or purchase order in excess of One Hundred Thousand Dollars ($100,000) to which it becomes a party unless exempted by E.O. 50 and the rules and regulations promulgated thereunder, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as may be directed by the Director of DLS as a means of enforcing such provisions including sanctions for noncompliance. A supplier of unfinished products to the Contractor needed to produce the item contracted for shall not be considered a subcontractor or vendor for purposes of this Paragraph. E. The Contractor further agrees that it will refrain from entering into any subcontract or modification thereof subject to E.O. 50 and the rules and regulations promulgated thereunder with a subcontractor who is not in compliance with the requirements of E.O. 50 and the rules and regulations promulgated thereunder. A supplier of unfinished products to the Contractor needed to produce the item contracted for shall not be considered a subcontractor for purposes of this Paragraph. F. Nothing contained in this Section shall be construed to bar any religious or denominational institution or organization, or any organization operated for charitable or educational purposes, that is operated, supervised or controlled by or in connection with a religious organization, from lawfully limiting employment or lawfully giving preference to persons of the same religion or denomination or from lawfully making such selection as is calculated by such organization to promote the religious principles for which it is established or maintained. Page 11 of 48 Appendix A August 2011 Final ARTICLE 5 - RECORDS, AUDITS, REPORTS, AND INVESTIGATIONS Section 5.01 Books and Records The Contractor agrees to maintain separate and accurate books, records, documents and other evidence, and to utilize appropriate accounting procedures and practices, which sufficiently and properly reflect all direct and indirect costs of any nature expended in the performance of this Agreement. Section 5.02 Retention of Records The Contractor agrees to retain all books, records, and other documents relevant to this Agreement, including those required pursuant to Section 5.01, for six years after the final payment or expiration or termination of this Agreement, or for a period otherwise prescribed by Law, whichever is later. In addition, if any litigation, claim, or audit concerning this Agreement has commenced before the expiration of the six-year period, the records must be retained until the completion of such litigation, claim, or audit. Any books, records and other documents that are created in an electronic format in the regular course of business may be retained in an electronic format. Any books, records, and other documents that are created in the regular course of business as a paper copy may be retained in an electronic format provided that the records satisfy the requirements of New York Civil Practice Law and Rules (“CPLR”) 4539(b), including the requirement that the reproduction is created in a manner “which does not permit additions, deletions, or changes without leaving a record of such additions, deletions, or changes.” Furthermore, the Contractor agrees to waive any objection to the admissibility of any such books, records or other documents on the grounds that such documents do not satisfy CPLR 4539(b). Section 5.03 Inspection A. At any time during the Agreement or during the record retention period set forth in section 5.02, the City, including the Department and the Department’s Office of the Inspector General, as well as City, State and federal auditors and any other persons duly authorized by the City shall, upon reasonable notice, have full access to and the right to examine and copy all books, records, and other documents maintained or retained by or on behalf of the Contractor pursuant to this Article. Notwithstanding any provision herein regarding notice of inspection, all books, records and other documents of the Contractor kept pursuant to this Agreement shall be subject to immediate inspection, review, and copying by the Department’s Office of the Inspector General and/or the Comptroller without prior notice and at no additional cost to the City. The Contractor shall make such books, records and other documents available for inspection in the City of New York or shall reimburse the City for expenses associated with the out-of-City inspection. B. The Department shall have the right to have representatives of the Department or of the City, State or federal government present to observe the services being performed. Page 12 of 48 Appendix A August 2011 Final C. The Contractor shall not be entitled to final payment until the Contractor has complied with any request for inspection or access given under this Section. Section 5.04 Audit A. This Agreement and all books, records, documents, and other evidence required to be maintained or retained pursuant to this Agreement, including all vouchers or invoices presented for payment and the books, records, and other documents upon which such vouchers or invoices are based (e.g., reports, cancelled checks, accounts, and all other similar material), are subject to audit by (i) the City, including the Comptroller, the Department, and the Department’s Office of the Inspector General, (ii) the State, (iii) the federal government, and (iv) other persons duly authorized by the City. Such audits may include examination and review of the source and application of all funds whether from the City, the State, the federal government, private sources or otherwise. B. Audits by the City, including the Comptroller, the Department, and the Department’s Office of the Inspector General, are performed pursuant to the powers and responsibilities conferred by the Charter and the Admin. Code, as well as all orders, rules, and regulations promulgated pursuant to the Charter and Admin. Code. The Contractor shall submit any and all documentation and justification in C. support of expenditures or fees under this Agreement as may be required by the Department and by the Comptroller in the exercise of his/her powers under Law. D. The Contractor shall not be entitled to final payment until the Contractor has complied with the requirements of this Section. Section 5.05 No Removal of Records from Premises Where performance of this Agreement involves use by the Contractor of any City books, records, documents, or data (in hard copy, or electronic or other format now known or developed in the future) at City facilities or offices, the Contractor shall not remove any such data (in the format in which it originally existed, or in any other converted or derived format) from such facility or office without the prior written approval of the Department’s designated official. Upon the request by the Department at any time during the Agreement or after the Agreement has expired or terminated, the Contractor shall return to the Department any City books, records, documents, or data that has been removed from City premises. Section 5.06 Electronic Records As used in this Appendix A, the terms books, records, documents, and other data refer to electronic versions as well as hard copy versions. Page 13 of 48 Appendix A August 2011 Final Section 5.07 Investigations Clause A. The Contractor agrees to cooperate fully and faithfully with any investigation, audit or inquiry conducted by a State or City agency or authority that is empowered directly or by designation to compel the attendance of witnesses and to examine witnesses under oath, or conducted by the Inspector General of a governmental agency that is a party in interest to the transaction, submitted bid, submitted proposal, contract, lease, permit, or license that is the subject of the investigation, audit or inquiry. B. 1. If any person who has been advised that his or her statement, and any information from such statement, will not be used against him or her in any subsequent criminal proceeding refuses to testify before a grand jury or other governmental agency or authority empowered directly or by designation to compel the attendance of witnesses and to examine witnesses under oath concerning the award of or performance under any transaction, agreement, lease, permit, contract, or license entered into with the City, or State, or any political subdivision or public authority thereof, or the Port Authority of New York and New Jersey, or any local development corporation within the City, or any public benefit corporation organized under the Laws of the State, or; 2. If any person refuses to testify for a reason other than the assertion of his or her privilege against self-incrimination in an investigation, audit or inquiry conducted by a City or State governmental agency or authority empowered directly or by designation to compel the attendance of witnesses and to take testimony under oath, or by the Inspector General of the governmental agency that is a party in interest in, and is seeking testimony concerning the award of, or performance under, any transaction, agreement, lease, permit, contract, or license entered into with the City, the State, or any political subdivision thereof or any local development corporation within the City, then; C. 1. The Commissioner or Agency Head whose agency is a party in interest to the transaction, submitted bid, submitted proposal, contract, lease, permit, or license shall convene a hearing, upon not less than five (5) Days written notice to the parties involved to determine if any penalties should attach for the failure of a person to testify. 2. If any non-governmental party to the hearing requests an adjournment, the Commissioner or Agency Head who convened the hearing may, upon granting the adjournment, suspend any contract, lease, permit, or license pending the final determination pursuant to Paragraph E below without the City incurring any penalty or damages for delay or otherwise. D. The penalties that may attach after a final determination by the Commissioner or Agency Head may include but shall not exceed: 1. The disqualification for a period not to exceed five (5) years from the date of an adverse determination for any person, or any entity of which such person was a member at the time the testimony was sought, from submitting bids for, or transacting business with, or entering into or obtaining any contract, lease, permit or license with or from the City; and/or Page 14 of 48 Appendix A August 2011 Final 2. The cancellation or termination of any and all such existing City contracts, leases, permits or licenses that the refusal to testify concerns and that have not been assigned as permitted under this Agreement, nor the proceeds of which pledged, to an unaffiliated and unrelated institutional lender for fair value prior to the issuance of the notice scheduling the hearing, without the City incurring any penalty or damages on account of such cancellation or termination; monies lawfully due for goods delivered, work done, rentals, or fees accrued prior to the cancellation or termination shall be paid by the City. E. The Commissioner or Agency Head shall consider and address in reaching his or her determination and in assessing an appropriate penalty the factors in Paragraphs (1) and (2) below. He or she may also consider, if relevant and appropriate, the criteria established in Paragraphs (3) and (4) below, in addition to any other information that may be relevant and appropriate: 1. The party’s good faith endeavors or lack thereof to cooperate fully and faithfully with any governmental investigation or audit, including but not limited to the discipline, discharge, or disassociation of any person failing to testify, the production of accurate and complete books and records, and the forthcoming testimony of all other members, agents, assignees or fiduciaries whose testimony is sought. 2. The relationship of the person who refused to testify to any entity that is a party to the hearing, including, but not limited to, whether the person whose testimony is sought has an ownership interest in the entity and/or the degree of authority and responsibility the person has within the entity. 3. The nexus of the testimony sought to the subject entity and its contracts, leases, permits or licenses with the City. 4. The effect a penalty may have on an unaffiliated and unrelated party or entity that has a significant interest in an entity subject to penalties under Paragraph D above, provided that the party or entity has given actual notice to the Commissioner or Agency Head upon the acquisition of the interest, or at the hearing called for in Paragraph (C)(1) above gives notice and proves that such interest was previously acquired. Under either circumstance, the party or entity must present evidence at the hearing demonstrating the potential adverse impact a penalty will have on such person or entity. F. Definitions 1. The term “license” or “permit” as used in this Section shall be defined as a license, permit, franchise, or concession not granted as a matter of right. 2. The term “person” as used in this Section shall be defined as any natural person doing business alone or associated with another person or entity as a partner, director, officer, principal or employee. Page 15 of 48 Appendix A August 2011 Final 3. The term “entity” as used in this Section shall be defined as any firm, partnership, corporation, association, or person that receives monies, benefits, licenses, leases, or permits from or through the City, or otherwise transacts business with the City. 4. The term “member” as used in this Section shall be defined as any person associated with another person or entity as a partner, director, officer, principal, or employee. G. In addition to and notwithstanding any other provision of this Agreement, the Commissioner or Agency Head may in his or her sole discretion terminate this Agreement upon not less than three (3) Days written notice in the event the Contractor fails to promptly report in writing to the City Commissioner of Investigation any solicitation of money, goods, requests for future employment or other benefits or thing of value, by or on behalf of any employee of the City or other person or entity for any purpose that may be related to the procurement or obtaining of this Agreement by the Contractor, or affecting the performance of this Agreement. Section 5.08 Confidentiality A. The Contractor agrees to hold confidential, both during and after the completion or termination of this Agreement, all of the reports, information, or data, furnished to, or prepared, assembled or used by, the Contractor under this Agreement. The Contractor agrees that such reports, information, or data shall not be made available to any person or entity without the prior written approval of the Department. The Contractor agrees to maintain the confidentiality of such reports, information, or data by using a reasonable degree of care, and using at least the same degree of care that the Contractor uses to preserve the confidentiality of its own confidential information. In the event that the data contains social security numbers or other Personal Identifying Information, as such term is defined in Paragraph B of this Section, the Contractor shall utilize best practice methods (e.g., encryption of electronic records) to protect the confidentiality of such data. The obligation under this Section to hold reports, information or data confidential shall not apply where the City would be required to disclose such reports, information or data pursuant to the State Freedom of Information Law (“FOIL”), provided that the Contractor provides advance notice to the City, in writing or by e-mail, that it intends to disclose such reports, information or data and the City does not inform the contractor, in writing or by e-mail, that such reports, information, or data are not subject to disclosure under FOIL. B. The Contractor shall provide notice to the Department within three (3) days of the discovery by the Contractor of any breach of security, as defined in Admin. Code § 10-501(b), of any data, encrypted or otherwise, in use by the Contractor that contains social security numbers or other personal identifying information as defined in Admin. Code § 10-501 (“Personal Identifying Information”), where such breach of security arises out of the acts or omissions of the Contractor or its employees, subcontractors, or agents. Upon the discovery of such security breach, the Contractor shall take reasonable steps to remediate the cause or causes of such breach, and shall provide notice to the Department of such steps. In the event of such breach of security, without limiting any other right of the City, the City shall have the right to withhold further payments under this Agreement for the purpose of set-off in sufficient sums to cover the Page 16 of 48 Appendix A August 2011 Final costs of notifications and/or other actions mandated by any Law, or administrative or judicial order, to address the breach, and including any fines or disallowances imposed by the State or federal government as a result of the disclosure. The City shall also have the right to withhold further payments hereunder for the purpose of set-off in sufficient sums to cover the costs of credit monitoring services for the victims of such a breach of security by a national credit reporting agency, and/or any other commercially reasonable preventive measure. The Department shall provide the Contractor with written notice and an opportunity to comment on such measures prior to implementation. Alternatively, at the City’s discretion, or if monies remaining to be earned or paid under this Agreement are insufficient to cover the costs detailed above, the Contractor shall pay directly for the costs, detailed above, if any. C. The Contractor shall restrict access to confidential information to persons who have a legitimate work related purpose to access such information. The Contractor agrees that it will instruct its officers, employees, and agents to maintain the confidentiality of any and all information required to be kept confidential by this Agreement. D. The Contractor, and its officers, employees, and agents shall notify the Department, at any time either during or after completion or termination of this Agreement, of any intended statement to the press or any intended issuing of any material for publication in any media of communication (print, news, television, radio, Internet, etc.) regarding the services provided or the data collected pursuant to this Agreement at least twenty-four (24) hours prior to any statement to the press or at least five (5) business Days prior to the submission of the material for publication, or such shorter periods as are reasonable under the circumstances. The Contractor may not issue any statement or submit any material for publication that includes confidential information as prohibited by this Section 5.08. E. At the request of the Department, the Contractor shall return to the Department any and all confidential information in the possession of the Contractor or its subcontractors. If the Contractor or its subcontractors are legally required to retain any confidential information, the Contractor shall notify the Department in writing and set forth the confidential information that it intends to retain and the reasons why it is legally required to retain such information. The Contractor shall confer with the Department, in good faith, regarding any issues that arise from the Contractor retaining such confidential information. If the Department does not request such information, or the Law does not require otherwise, such information shall be maintained in accordance with the requirements set forth in Section 5.02. F. A breach of this Section shall constitute a material breach of this Agreement for which the Department may terminate this Agreement pursuant to Article 10. The Department reserves any and all other rights and remedies in the event of unauthorized disclosure. Page 17 of 48 Appendix A August 2011 Final ARTICLE 6 - COPYRIGHTS, PATENTS, INVENTIONS, AND ANTITRUST Section 6.01 Copyrights A. Any reports, documents, data, photographs, deliverables, and/or other materials produced pursuant to this Agreement, and any and all drafts and/or other preliminary materials in any format related to such items produced pursuant to this Agreement, shall upon their creation become the exclusive property of the City. B. Any reports, documents, data, photographs, deliverables, and/or other materials provided pursuant to this Agreement (“Copyrightable Materials”) shall be considered “workmade-for-hire” within the meaning and purview of Section 101 of the United States Copyright Act, 17 U.S.C. § 101, and the City shall be the copyright owner thereof and of all aspects, elements and components thereof in which copyright protection might exist. To the extent that the Copyrightable Materials do not qualify as “work-made-for-hire,” the Contractor hereby irrevocably transfers, assigns and conveys exclusive copyright ownership in and to the Copyrightable Materials to the City, free and clear of any liens, claims, or other encumbrances. The Contractor shall retain no copyright or intellectual property interest in the Copyrightable Materials. The Copyrightable Materials shall be used by the Contractor for no purpose other than in the performance of this Agreement without the prior written permission of the City. The Department may grant the Contractor a license to use the Copyrightable Materials on such terms as determined by the Department and set forth in the license. C. The Contractor acknowledges that the City may, in its sole discretion, register copyright in the Copyrightable Materials with the United States Copyright Office or any other government agency authorized to grant copyright registrations. The Contractor shall fully cooperate in this effort, and agrees to provide any and all documentation necessary to accomplish this. D. The Contractor represents and warrants that the Copyrightable Materials: (i) are wholly original material not published elsewhere (except for material that is in the public domain); (ii) do not violate any copyright Law; (iii) do not constitute defamation or invasion of the right of privacy or publicity; and (iv) are not an infringement, of any kind, of the rights of any third party. To the extent that the Copyrightable Materials incorporate any non-original material, the Contractor has obtained all necessary permissions and clearances, in writing, for the use of such non-original material under this Agreement, copies of which shall be provided to the City upon execution of this Agreement. E. If the services under this Agreement are supported by a federal grant of funds, the federal and State government reserves a royalty-free, non-exclusive irrevocable license to reproduce, publish, or otherwise use and to authorize others to use, for federal or State government purposes, the copyright in any Copyrightable Materials developed under this Agreement. F. If the Contractor publishes a work dealing with any aspect of performance under this Agreement, or with the results of such performance, the City shall have a royalty-free, nonPage 18 of 48 Appendix A August 2011 Final exclusive irrevocable license to reproduce, publish, or otherwise use such work for City governmental purposes. Section 6.02 Patents and Inventions The Contractor shall promptly and fully report to the Department any discovery or invention arising out of or developed in the course of performance of this Agreement. If the services under this Agreement are supported by a federal grant of funds, the Contractor shall promptly and fully report to the federal government for the federal government to make a determination as to whether patent protection on such invention shall be sought and how the rights in the invention or discovery, including rights under any patent issued thereon, shall be disposed of and administered in order to protect the public interest. Section 6.03 Pre-existing Rights In no case shall Sections 6.01 and 6.02 apply to, or prevent the Contractor from asserting or protecting its rights in any discovery, invention, report, document, data, photograph, deliverable, or other material in connection with or produced pursuant to this Agreement that existed prior to or was developed or discovered independently from the activities directly related to this Agreement. Section 6.04 Antitrust The Contractor hereby assigns, sells, and transfers to the City all right, title and interest in and to any claims and causes of action arising under the antitrust laws of the State or of the United States relating to the particular goods or services procured by the City under this Agreement. ARTICLE 7 - INSURANCE Section 7.01 Agreement to Insure The Contractor shall not commence performing services under this Agreement unless and until all insurance required by this Article is in effect, and shall ensure continuous insurance coverage in the manner, form, and limits required by this Article throughout the term of the Agreement. Section 7.02 Commercial General Liability Insurance A. The Contractor shall maintain Commercial General Liability Insurance covering the Contractor as Named Insured and the City as an Additional Insured in the amount of at least One Million Dollars ($1,000,000) per occurrence. Such insurance shall protect the City and the Contractor from claims for property damage and/or bodily injury, including death that may arise Page 19 of 48 Appendix A August 2011 Final from any of the operations under this Agreement. Coverage under this insurance shall be at least as broad as that provided by the most recently issued Insurance Services Office (“ISO”) Form CG 0001, and shall be "occurrence" based rather than “claims-made.” B. Such Commercial General Liability Insurance shall name the City, together with its officials and employees, as an Additional Insured with coverage at least as broad as the most recently issued ISO Form CG 20 10. Section 7.03 Professional Liability Insurance A. At the Department’s direction, if professional services are provided pursuant to this Agreement, the Contractor shall maintain and submit evidence of Professional Liability Insurance appropriate to the type(s) of such services to be provided under this Agreement in the amount of at least One Million Dollars ($1,000,000) per claim. The policy or policies shall include an endorsement to cover the liability assumed by the Contractor under this Agreement arising out of the negligent performance of professional services or caused by an error, omission or negligent act of the Contractor or anyone employed by the Contractor. B. All subcontractors of the Contractor providing professional services under this Agreement for which Professional Liability Insurance is reasonably commercially available shall also maintain such insurance in the amount of at least One Million Dollars ($1,000,000) per claim, and the Contractor shall provide to the Department, at the time of the request for subcontractor approval, evidence of such Professional Liability Insurance on forms acceptable to the Department. C. Claims-made policies will be accepted for Professional Liability Insurance. All such policies shall have an extended reporting period option or automatic coverage of not less than two (2) years. If available as an option, the Contractor shall purchase extended reporting period coverage effective on cancellation or termination of such insurance unless a new policy is secured with a retroactive date, including at least the last policy year. Section 7.04 Workers’ Compensation, Disability Benefits, and Employer’s Liability Insurance The Contractor shall maintain, and ensure that each subcontractor maintains, Workers’ Compensation Insurance, Disability Benefits Insurance, and Employer’s Liability Insurance in accordance with the Laws of the State on behalf of, or with regard to, all employees providing services under this Agreement. Section 7.05 Unemployment Insurance To the extent required by Law, the Contractor shall provide Unemployment Insurance for its employees. Page 20 of 48 Appendix A August 2011 Final Section 7.06 Business Automobile Liability Insurance A. If vehicles are used in the provision of services under this Agreement, then the Contractor shall maintain Business Automobile Liability insurance in the amount of at least One Million Dollars ($1,000,000) each accident combined single limit for liability arising out of ownership, maintenance or use of any owned, non-owned, or hired vehicles to be used in connection with this Agreement. Coverage shall be at least as broad as the most recently issued ISO Form CA0001. B. If vehicles are used for transporting hazardous materials, the Business Automobile Liability Insurance shall be endorsed to provide pollution liability broadened coverage for covered vehicles (endorsement CA 99 48) as well as proof of MCS-90. Section 7.07 General Requirements for Insurance Coverage and Policies A. All required insurance policies shall be maintained with companies that may lawfully issue the required policy and have an A.M. Best rating of at least A- / “VII” or a Standard and Poor’s rating of at least A, unless prior written approval is obtained from the City Law Department. B. All insurance policies shall be primary (and non-contributing) to any insurance or self-insurance maintained by the City. C. The Contractor shall be solely responsible for the payment of all premiums for all required insurance policies and all deductibles or self-insured retentions to which such policies are subject, whether or not the City is an insured under the policy. D. There shall be no self-insurance program with regard to any insurance required under this Article unless approved in writing by the Commissioner. Any such self-insurance program shall provide the City with all rights that would be provided by traditional insurance required under this Article, including but not limited to the defense obligations that insurers are required to undertake in liability policies. E. The City’s limits of coverage for all types of insurance required under this Article shall be the greater of (i) the minimum limits set forth in this Article or (ii) the limits provided to the Contractor as Named Insured under all primary, excess, and umbrella policies of that type of coverage. Section 7.08 Proof of Insurance A. For Workers’ Compensation Insurance, Disability Benefits Insurance, and Employer’s Liability Insurance, the Contractor shall file one of the following within ten (10) Days of award of this Agreement. ACORD forms are not acceptable proof of workers’ compensation coverage. 1. C-105.2 Certificate of Workers’ Compensation Insurance; Page 21 of 48 Appendix A August 2011 Final 2. Insurance; 3. U-26.3 -- State Insurance Fund Certificate of Workers’ Compensation Request for WC/DB Exemption (Form CE-200); 4. Equivalent or successor forms used by the New York State Workers’ Compensation Board; or 5. Other proof of insurance in a form acceptable to the City. B. For each policy required under this Agreement, except for Workers’ Compensation Insurance, Disability Benefits Insurance, Employer’s Liability Insurance, and Unemployment Insurance, the Contractor shall file a Certificate of Insurance with the Department within ten (10) Days of award of this Agreement. All Certificates of Insurance shall be (a) in a form acceptable to the City and certify the issuance and effectiveness of such policies of insurance, each with the specified minimum limits; and (b) accompanied by the endorsement in the Contractor’s general liability policy by which the City has been made an additional insured pursuant to Section 7.02(B). All Certificate(s) of Insurance shall be accompanied by either a duly executed “Certification by Broker” in the form attached to this Appendix A or copies of all policies referenced in the Certificate of Insurance. If complete policies have not yet been issued, binders are acceptable, until such time as the complete policies have been issued, at which time such policies shall be submitted. C. Certificates of Insurance confirming renewals of insurance shall be submitted to the Commissioner prior to the expiration date of coverage of policies required under this Article. Such Certificates of Insurance shall comply with the requirements of Section 7.08 (A) and Section 7.08(B), as applicable. D. The Contractor shall provide the City with a copy of any policy required under this Article upon the demand for such policy by the Commissioner or the New York City Law Department. E. Acceptance by the Commissioner of a certificate or a policy does not excuse the Contractor from maintaining policies consistent with all provisions of this Article (and ensuring that subcontractors maintain such policies) or from any liability arising from its failure to do so. F. In the event the Contractor receives notice, from an insurance company or other person, that any insurance policy required under this Article shall expire or be cancelled or terminated for any reason, the Contractor shall immediately forward a copy of such notice to both the Commissioner [insert Agency name and appropriate address], and the New York City Comptroller, Attn: Office of Contract Administration, Municipal Building, One Centre Street, Room 1005, New York, New York 10007. Section 7.09 Miscellaneous A. Whenever notice of loss, damage, occurrence, accident, claim or suit is required under a general liability policy maintained in accordance with this Article, the Contractor shall Page 22 of 48 Appendix A August 2011 Final provide the insurer with timely notice thereof on behalf of the City. Such notice shall be given even where the Contractor may not have coverage under such policy (for example, where one of Contractor’s employees was injured). Such notice shall expressly specify that “this notice is being given on behalf of the City of New York as Additional Insured” and contain the following information: the number of the insurance policy; the name of the named insured; the date and location of the damage, occurrence, or accident; the identity of the persons or things injured, damaged, or lost; and the title of the claim or suit, if applicable. The Contractor shall simultaneously send a copy of such notice to the City of New York c/o Insurance Claims Specialist, Affirmative Litigation Division, New York City Law Department, 100 Church Street, New York, New York 10007. If the Contractor fails to comply with the requirements of this paragraph, the Contractor shall indemnify the City for all losses, judgments, settlements and expenses, including reasonable attorneys’ fees, arising from an insurer’s disclaimer of coverage citing late notice by or on behalf of the City. B. The Contractor’s failure to maintain any of the insurance required by this Article shall constitute a material breach of this Agreement. Such breach shall not be waived or otherwise excused by any action or inaction by the City at any time. C. Insurance coverage in the minimum amounts required in this Article shall not relieve the Contractor or its subcontractors of any liability under this Agreement, nor shall it preclude the City from exercising any rights or taking such other actions as are available to it under any other provisions of this Agreement or Law. D. The Contractor waives all rights against the City, including its officials and employees for any damages or losses that are covered under any insurance required under this Article (whether or not such insurance is actually procured or claims are paid thereunder) or any other insurance applicable to the operations of the Contractor and/or its subcontractors in the performance of this Agreement. E. In the event the Contractor requires any subcontractor to procure insurance with regard to any operations under this Agreement and requires such subcontractor to name the Contractor as an additional insured under such insurance, the Contractor shall ensure that such entity also name the City, including its officials and employees, as an additional insured with coverage at least as broad as the most recently issued ISO form CG 20 26. ARTICLE 8 - PROTECTION OF PERSONS AND PROPERTY AND INDEMNIFICATION Section 8.01 Reasonable Precautions The Contractor shall take all reasonable precautions to protect all persons and the property of the City and of others from damage, loss or injury resulting from the Contractor’s and/or its subcontractors’ operations under this Agreement. Page 23 of 48 Appendix A August 2011 Final Section 8.02 Protection of City Property The Contractor assumes the risk of, and shall be responsible for, any loss or damage to City property, including property and equipment leased by the City, used in the performance of this Agreement, where such loss or damage is caused by any tortious act, or failure to comply with the provisions of this Agreement or of Law by the Contractor, its officers, employees, agents or subcontractors. Section 8.03 Indemnification The Contractor shall defend, indemnify and hold the City, its officers and employees harmless from any and all claims (even if the allegations of the lawsuit are without merit) or judgments for damages on account of any injuries or death to any person or damage to any property and from costs and expenses to which the City, its officers and employees may be subjected or which it may suffer or incur allegedly arising out of or in connection with any operations of the Contractor and/or its subcontractors to the extent resulting from any negligent act of commission or omission, any intentional tortious act, or failure to comply with the provisions of this Agreement or of the Laws. Insofar as the facts or Law relating to any claim would preclude the City from being completely indemnified by the Contractor, the City shall be partially indemnified by the Contractor to the fullest extent permitted by Law. Section 8.04 Infringement Indemnification The Contractor shall defend, indemnify and hold the City harmless from any and all claims (even if the allegations of the lawsuit are without merit) or judgments for damages and from costs and expenses to which the City may be subject to or which it may suffer or incur allegedly arising out of or in connection with any infringement by the Contractor of any copyright, trade secrets, trademark or patent rights or any other property or personal right of any third party by the Contractor and/or its subcontractors in the performance of this Agreement. The Contractor shall defend, indemnify, and hold the City harmless regardless of whether or not the alleged infringement arises out of compliance with the Agreement’s scope of services/scope of work. Insofar as the facts or Law relating to any claim would preclude the City from being completely indemnified by the Contractor, the City shall be partially indemnified by the Contractor to the fullest extent permitted by Law. Section 8.05 Indemnification Obligations Not Limited By Insurance Obligation The indemnification provisions set forth in this Article shall not be limited in any way by the Contractor’s obligations to obtain and maintain insurance as provided in this Agreement. Section 8.06 Actions By or Against Third Parties A. In the event any claim is made or any action brought in any way relating to Agreement, other than an action between the City and the Contractor, the Contractor shall Page 24 of 48 Appendix A August 2011 Final diligently render to the City without additional compensation all assistance which the City may reasonably require of the Contractor. B. The Contractor shall report to the Department in writing within five (5) business Days of the initiation by or against the Contractor of any legal action or proceeding in connection with or relating to this Agreement. Section 8.07 Withholding of Payments A. In the event that any claim is made or any action is brought against the City for which the Contractor may be required to indemnify the City pursuant to this Agreement, the City shall have the right to withhold further payments under this Agreement for the purpose of set-off in sufficient sums to cover the said claim or action. B. In the event that any City property is lost or damaged as set forth in Section 8.02, except for normal wear and tear, the City shall have the right to withhold further payments under this Agreement for the purpose of set-off in sufficient sums to cover such loss or damage. C. The City shall not, however, impose a setoff in the event that an insurance company that provided liability insurance pursuant to Article 7 above has accepted the City's tender of the claim or action without a reservation of rights. D. The Department may, at its option, withhold for purposes of set-off any monies due to the Contractor under this Agreement up to the amount of any disallowances or questioned costs resulting from any audits of the Contractor or to the amount of any overpayment to the Contractor with regard to this Agreement. E. The rights and remedies of the City provided for in this Section shall not be exclusive and are in addition to any other rights and remedies provided by Law or this Agreement. Section 8.08 No Third Party Rights The provisions of this Agreement shall not be deemed to create any right of action in favor of third parties against the Contractor or the City or their respective officers and employees. ARTICLE 9 - CONTRACT CHANGES Section 9.01 Contract Changes Changes to this Agreement may be made only as duly authorized by the ACCO or his or her designee and in accordance with the PPB Rules. Any amendment or change to this Agreement shall not be valid unless made in writing and signed by authorized representatives of both parties. Contractors deviating from the requirements of this Agreement without a duly Page 25 of 48 Appendix A August 2011 Final approved and executed change order document, or written contract modification or amendment, do so at their own risk. Section 9.02 Changes Through Fault of Contractor In the event that any change is required in the data, documents, deliverables, or other services to be provided under this Agreement because of negligence or error of the Contractor, no additional compensation shall be paid to the Contractor for making such change, and the Contractor is obligated to make such change without additional compensation. ARTICLE 10 - TERMINATION, DEFAULT, AND REDUCTIONS IN FUNDING Section 10.01 Termination by the City Without Cause A. The City shall have the right to terminate this Agreement, in whole or in part, without cause, in accordance with the provisions of Section 10.05. If the City terminates this Agreement pursuant to this Section, the following B. provisions apply. The City shall not incur or pay any further obligation pursuant to this Agreement beyond the termination date set by the City pursuant to Section 10.05. The City shall pay for services provided in accordance with this Agreement prior to the termination date. In addition, any obligation necessarily incurred by the Contractor on account of this Agreement prior to receipt of notice of termination and falling due after the termination date shall be paid by the City in accordance with the terms of this Agreement. In no event shall such obligation be construed as including any lease or other occupancy agreement, oral or written, entered into between the Contractor and its landlord. Section 10.02 Reductions in Federal, State and/or City Funding This Agreement is funded in whole or in part by funds secured from the federal, A. State and/or City governments. Should there be a reduction or discontinuance of such funds by action of the federal, State and/or City governments, the City shall have, in its sole discretion, the right to terminate this Agreement in whole or in part, or to reduce the funding and/or level of services of this Agreement caused by such action by the federal, State and/or City governments, including, in the case of the reduction option, but not limited to, the reduction or elimination of programs, services or service components; the reduction or elimination of contract-reimbursable staff or staff-hours, and corresponding reductions in the budget of this Agreement and in the total amount payable under this Agreement. Any reduction in funds pursuant to this Section shall be accompanied by an appropriate reduction in the services performed under this Agreement. B. In the case of the reduction option referred to in Paragraph A, above, any such reduction shall be effective as of the date set forth in a written notice thereof to the Contractor, which shall be not less than thirty (30) Days from the date of such notice. Prior to sending such notice of reduction, the Department shall advise the Contractor that such option is being exercised and afford the Contractor an opportunity to make within seven (7) Days any Page 26 of 48 Appendix A August 2011 Final suggestion(s) it may have as to which program(s), service(s), service component(s), staff or staffhours might be reduced or eliminated, provided, however, that the Department shall not be bound to utilize any of the Contractor’s suggestions and that the Department shall have sole discretion as to how to effectuate the reductions. C. If the City reduces funding pursuant to this Section, the following provisions apply. The City shall pay for services provided in accordance with this Agreement prior to the reduction date. In addition, any obligation necessarily incurred by the Contractor on account of this Agreement prior to receipt of notice of reduction and falling due after the reduction date shall be paid by the City in accordance with the terms of this Agreement. In no event shall such obligation be construed as including any lease or other occupancy agreement, oral or written, entered into between the Contractor and its landlord. D. To the extent that the reduction in public funds is a result of the State determining that the Contractor may receive medical assistance funds pursuant to title eleven of article five of the Social Services Law to fund the services contained within the scope of a program under this Agreement, then the notice and effective date provisions of this section shall not apply, and the Department may reduce such public funds authorized under this Agreement by informing the Contractor of the amount of the reduction and revising attachments to this agreement as appropriate. Section 10.03 Contractor Default A. The City shall have the right to declare the Contractor in default: 1. Upon a breach by the Contractor of a material term or condition of this Agreement, including unsatisfactory performance of the services; 2. Upon insolvency or the commencement of any proceeding by or against the Contractor, either voluntarily or involuntarily, under the Bankruptcy Code or relating to the insolvency, receivership, liquidation, or composition of the Contractor for the benefit of creditors; If the Contractor refuses or fails to proceed with the services under the 3. Agreement when and as directed by the Commissioner; 4. If the Contractor or any of its officers, directors, partners, five percent (5%) or greater shareholders, principals, or other employee or person substantially involved in its activities are indicted or convicted after execution of the Agreement under any state or federal law of any of the following: a. a criminal offense incident to obtaining or attempting to obtain or performing a public or private contract; b. fraud, embezzlement, theft, bribery, forgery, falsification, or destruction of records, or receiving stolen property; Page 27 of 48 Appendix A August 2011 Final c. a criminal violation of any state or federal antitrust law; d. violation of the Racketeer Influence and Corrupt Organization Act, 18 U.S.C. § 1961 et seq., or the Mail Fraud Act, 18 U.S.C. § 1341 et seq., for acts in connection with the submission of bids or proposals for a public or private contract; e. conspiracy to commit any act or omission that would constitute grounds for conviction or liability under any statute described in subparagraph (d) above; or f. an offense indicating a lack of business integrity that seriously and directly affects responsibility as a City vendor. 5. If the Contractor or any of its officers, directors, partners, five percent (5%) or greater shareholders, principals, or other employee or person substantially involved in its activities are subject to a judgment of civil liability under any state or federal antitrust law for acts or omissions in connection with the submission of bids or proposals for a public or private contract; or If the Contractor or any of its officers, directors, partners, five percent 6. (5%) or greater shareholders, principals, or other employee or person substantially involved in its activities makes or causes to be made any false, deceptive, or fraudulent material statement, or fail to make a required material statement in any bid, proposal, or application for City or other government work. B. The right to declare the Contractor in default shall be exercised by sending the Contractor a written notice of the conditions of default, signed by the Commissioner, setting forth the ground or grounds upon which such default is declared (“Notice to Cure”). The Contractor shall have ten (10) Days from receipt of the Notice to Cure or any longer period that is set forth in the Notice to Cure to cure the default. The Commissioner may temporarily suspend services under the Agreement pending the outcome of the default proceedings pursuant to this Section. C. If the conditions set forth in the Notice to Cure are not cured within the period set forth in the Notice to Cure, the Commissioner may declare the Contractor in default pursuant to this Section. Before the Commissioner may exercise his or her right to declare the Contractor in default, the Commissioner shall give the Contractor an opportunity to be heard upon not less than five (5) business days notice. The Commissioner may, in his or her discretion, provide for such opportunity to be in writing or in person. Such opportunity to be heard shall not occur prior to the end of the cure period but notice of such opportunity to be heard may be given prior to the end of the cure period and may be given contemporaneously with the Notice to Cure. D. After the opportunity to be heard, the Commissioner may terminate the Agreement, in whole or in part, upon finding the Contractor in default pursuant to this Section, in accordance with the provisions of Section 10.05. Page 28 of 48 Appendix A August 2011 Final E. The Commissioner, after declaring the Contractor in default, may have the services under the Agreement completed by such means and in such manner, by contract with or without public letting, or otherwise, as he or she may deem advisable in accordance with applicable PPB Rules. After such completion, the Commissioner shall certify the expense incurred in such completion, which shall include the cost of re-letting. Should the expense of such completion, as certified by the Commissioner, exceed the total sum which would have been payable under the Agreement if it had been completed by the Contractor, any excess shall be promptly paid by the Contractor upon demand by the City. The excess expense of such completion, including any and all related and incidental costs, as so certified by the Commissioner, and any liquidated damages assessed against the Contractor, may be charged against and deducted out of monies earned by the Contractor. Section 10.04 Force Majeure A. For purposes of this Agreement, a force majeure event is an act or event beyond the control and without any fault or negligence of the Contractor (“Force Majeure Event”). Such events may include, but are not limited to, fire, flood, earthquake, storm or other natural disaster, civil commotion, war, terrorism, riot, and labor disputes not brought about by any act or omission of the Contractor. B. In the event the Contractor cannot comply with the terms of the Agreement (including any failure by the Contractor to make progress in the performance of the services) because of a Force Majeure Event, then the Contractor may ask the Commissioner to excuse the nonperformance and/or terminate the Agreement. If the Commissioner, in his or her reasonable discretion, determines that the Contractor cannot comply with the terms of the Agreement because of a Force Majeure Event, then the Commissioner shall excuse the nonperformance and may terminate the Agreement. Such a termination shall be deemed to be without cause. C. If the City terminates the Agreement pursuant to this Section, the following provisions apply. The City shall not incur or pay any further obligation pursuant to this Agreement beyond the termination date. The City shall pay for services provided in accordance with this Agreement prior to the termination date. Any obligation necessarily incurred by the Contractor on account of this Agreement prior to receipt of notice of termination and falling due after the termination date shall be paid by the City in accordance with the terms of this Agreement. In no event shall such obligation be construed as including any lease or other occupancy agreement, oral or written, entered into between the Contractor and its landlord. Section 10.05 Procedures for Termination A. The Department and/or the City shall give the Contractor written notice of any termination of this Agreement. Such notice shall specify the applicable provision(s) under which the Agreement is terminated and the effective date of the termination. Except as otherwise provided in this Agreement, the notice shall comply with the provisions of this Section. For termination without cause, the effective date of the termination shall not be less than ten (10) Days from the date the notice is personally delivered, or fifteen (15) Days from the date the notice is either sent by certified mail, return receipt requested, or sent by fax and deposited in a Page 29 of 48 Appendix A August 2011 Final post office box regularly maintained by the United States Postal Service in a postage pre-paid envelope. In the case of termination for default, the effective date of the termination shall be as set forth above for a termination without cause or such earlier date as the Commissioner may determine. If the City terminates the Agreement in part, the Contractor shall continue the performance of the Agreement to the extent not terminated. B. Upon termination or expiration of this Agreement, the Contractor shall comply with the City close-out procedures, including but not limited to: 1. Accounting for and refunding to the Department, within forty-five (45) Days, any unexpended funds which have been advanced to the Contractor pursuant to this Agreement; 2. Furnishing within forty-five (45) Days an inventory to the Department of all equipment, appurtenances and property purchased through or provided under this Agreement and carrying out any Department or City directive concerning the disposition of such equipment, appurtenances and property; 3. Turning over to the Department or its designees all books, records, documents and material specifically relating to this Agreement that the Department has requested be turned over; Submitting to the Department, within ninety (90) Days, a final statement 4. and report relating to the Agreement. The report shall be made by a certified public accountant or a licensed public accountant; and 5. Providing reasonable assistance to the Department in the transition, if any, to a new contractor. Section 10.06 Miscellaneous Provisions A. The Commissioner, in addition to any other powers set forth in this Agreement or by operation of Law, may suspend, in whole or in part, any part of the services to be provided under this Agreement whenever in his or her judgment such suspension is required in the best interest of the City. If the Commissioner suspends this Agreement pursuant to this Section, the City shall not incur or pay any further obligation pursuant to this Agreement beyond the suspension date until such suspension is lifted. The City shall pay for services provided in accordance with this Agreement prior to the suspension date. In addition, any obligation necessarily incurred by the Contractor on account of this Agreement prior to receipt of notice of suspension and falling due during the suspension period shall be paid by the City in accordance with the terms of this Agreement. B. Notwithstanding any other provisions of this Agreement, the Contractor shall not be relieved of liability to the City for damages sustained by the City by virtue of the Contractor’s breach of the Agreement, and the City may withhold payments to the Contractor for the purpose of set-off in the amount of damages due to the City from the Contractor. Page 30 of 48 Appendix A August 2011 Final C. The rights and remedies of the City provided in this Article shall not be exclusive and are in addition to all other rights and remedies provided by Law or under this Agreement. ARTICLE 11 - PROMPT PAYMENT AND ELECTRONIC FUNDS TRANSFER Section 11.01 Prompt Payment A. The prompt payment provisions of PPB Rule § 4-06 are applicable to payments made under this Agreement. The provisions generally require the payment to the Contractor of interest on payments made after the required payment date, as set forth in the PPB Rules. B. The Contractor shall submit a proper invoice to receive payment, except where the Agreement provides that the Contractor will be paid at predetermined intervals without having to submit an invoice for each scheduled payment. C. Determination of interest due will be made in accordance with the PPB Rules and the applicable rate of interest shall be the rate in effect at the time of payment. Section 11.02 Electronic Funds Transfer A. In accordance with Admin. Code § 6-107.1, the Contractor agrees to accept payments under this Agreement from the City by electronic funds transfer. An electronic funds transfer is any transfer of funds, other than a transaction originated by check, draft, or similar paper instrument, which is initiated through an electronic terminal, telephonic instrument or computer or magnetic tape so as to order, instruct, or authorize a financial institution to debit or credit an account. Prior to the first payment made under this Agreement, the Contractor shall designate one financial institution or other authorized payment agent and shall complete the “EFT Vendor Payment Enrollment Form” available from the Agency or at http://www.nyc.gov/dof in order to provide the commissioner of the Department of Finance with information necessary for the Contractor to receive electronic funds transfer payments through the designated financial institution or authorized payment agent. The crediting of the amount of a payment to the appropriate account on the books of a financial institution or other authorized payment agent designated by the Contractor shall constitute full satisfaction by the City for the amount of the payment under this Agreement. The account information supplied by the Contractor to facilitate the electronic funds transfer shall remain confidential to the fullest extent provided by Law. B. The Agency Head may waive the application of the requirements of this Section to payments on contracts entered into pursuant to Charter § 315. In addition, the commissioner of the Department of Finance and the Comptroller may jointly issue standards pursuant to which the Agency may waive the requirements of this Section for payments in the following circumstances: (i) for individuals or classes of individuals for whom compliance imposes a hardship; (ii) for classifications or types of checks; or (iii) in other circumstances as may be necessary in the best interest of the City. Page 31 of 48 Appendix A August 2011 Final C. This Section is applicable to contracts valued at Twenty-Five Thousand Dollars ($25,000) and above. ARTICLE 12 - CLAIMS Section 12.01 Choice of Law This Agreement shall be deemed to be executed in the City and State of New York, regardless of the domicile of the Contractor, and shall be governed by and construed in accordance with the Laws of the State of New York (notwithstanding New York choice of law or conflict of law principles) and the Laws of the United States, where applicable. Section 12.02 Jurisdiction and Venue The parties agree that any and all claims asserted by or against the City arising under or related to this Agreement shall solely be heard and determined either in the courts of the United States located in the City or in the courts of the State located in the City and County of New York. The parties shall consent to the dismissal and/or transfer of any claims asserted in any other venue or forum to the proper venue or forum. If the Contractor initiates any action in breach of this Section, the Contractor shall be responsible for and shall promptly reimburse the City for any attorneys’ fees incurred by the City in removing the action to a proper court consistent with this Section. Section 12.03 Resolution of Disputes A. Except as provided in Subparagraphs (A)(1) and (A)(2) below, all disputes between the City and the Contractor that arise under, or by virtue of, this Agreement shall be finally resolved in accordance with the provisions of this Section and PPB Rule § 4-09. This procedure shall be the exclusive means of resolving any such disputes. 1. This Section shall not apply to disputes concerning matters dealt with in other sections of the PPB Rules or to disputes involving patents, copyrights, trademarks, or trade secrets (as interpreted by the courts of New York State) relating to proprietary rights in computer software, or to termination other than for cause. 2. For construction and construction-related services this Section shall apply only to disputes about the scope of work delineated by the Agreement, the interpretation of Agreement documents, the amount to be paid for extra work or disputed work performed in connection with the Agreement, the conformity of the Contractor’s work to the Agreement, and the acceptability and quality of the Contractor’s work; such disputes arise when the City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of the Agency Head makes a determination with which the Contractor disagrees. For construction, this Section shall not apply to termination of the Agreement for cause or other than for cause. Page 32 of 48 Appendix A August 2011 Final B. All determinations required by this Section shall be clearly stated, with a reasoned explanation for the determination based on the information and evidence presented to the party making the determination. Failure to make such determination within the time required by this Section shall be deemed a non-determination without prejudice that will allow application to the next level. C. During such time as any dispute is being presented, heard, and considered pursuant to this Section, the Agreement terms shall remain in full force and effect and, unless otherwise directed by the ACCO or Engineer, the Contractor shall continue to perform work in accordance with the Agreement and as directed by the ACCO or City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of the Agency Head. Failure of the Contractor to continue the work as directed shall constitute a waiver by the Contractor of any and all claims being presented pursuant to this Section and a material breach of contract. D. Presentation of Dispute to Agency Head. 1. Notice of Dispute and Agency Response. The Contractor shall present its dispute in writing (“Notice of Dispute”) to the Agency Head within the time specified herein, or, if no time is specified, within thirty (30) Days of receiving written notice of the determination or action that is the subject of the dispute. This notice requirement shall not be read to replace any other notice requirements contained in the Agreement. The Notice of Dispute shall include all the facts, evidence, documents, or other basis upon which the Contractor relies in support of its position, as well as a detailed computation demonstrating how any amount of money claimed by the Contractor in the dispute was arrived at. Within thirty (30) Days after receipt of the complete Notice of Dispute, the ACCO or, in the case of construction or construction-related services, the City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of the Agency Head, shall submit to the Agency Head all materials he or she deems pertinent to the dispute. Following initial submissions to the Agency Head, either party may demand of the other the production of any document or other material the demanding party believes may be relevant to the dispute. The requested party shall produce all relevant materials that are not otherwise protected by a legal privilege recognized by the courts of New York State. Any question of relevancy shall be determined by the Agency Head whose decision shall be final. Willful failure of the Contractor to produce any requested material whose relevancy the Contractor has not disputed, or whose relevancy has been affirmatively determined, shall constitute a waiver by the Contractor of its claim. 2. Agency Head Inquiry. The Agency Head shall examine the material and may, in his or her discretion, convene an informal conference with the Contractor and the ACCO and, in the case of construction or construction-related services, the City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of the Agency Head, to resolve the issue by mutual consent prior to reaching a determination. The Agency Head may seek such technical or other expertise as he or she shall deem appropriate, including the use of neutral mediators, and require any such additional material from either or both parties as he or she deems fit. The Agency Head’s ability to render, and the effect of, a decision hereunder shall not be impaired by any Page 33 of 48 Appendix A August 2011 Final negotiations in connection with the dispute presented, whether or not the Agency Head participated therein. The Agency Head may or, at the request of any party to the dispute, shall compel the participation of any other contractor with a contract related to the work of this Agreement and that contractor shall be bound by the decision of the Agency Head. Any contractor thus brought into the dispute resolution proceeding shall have the same rights and obligations under this Section as the Contractor initiating the dispute. 3. Agency Head Determination. Within thirty (30) Days after the receipt of all materials and information, or such longer time as may be agreed to by the parties, the Agency Head shall make his or her determination and shall deliver or send a copy of such determination to the Contractor and ACCO and, in the case of construction or construction-related services, the City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of the Agency Head, together with a statement concerning how the decision may be appealed. 4. Finality of Agency Head Decision. The Agency Head’s decision shall be final and binding on all parties, unless presented to the Contract Dispute Resolution Board (“CDRB”) pursuant to this Section. The City may not take a petition to the CDRB. However, should the Contractor take such a petition, the City may seek, and the CDRB may render, a determination less favorable to the Contractor and more favorable to the City than the decision of the Agency Head. E. Presentation of Dispute to the Comptroller. Before any dispute may be brought by the Contractor to the CDRB, the Contractor must first present its claim to the Comptroller for his or her review, investigation, and possible adjustment. 1. Time, Form, and Content of Notice. Within thirty (30) Days of receipt of a decision by the Agency Head, the Contractor shall submit to the Comptroller and to the Agency Head a Notice of Claim regarding its dispute with the Agency. The Notice of Claim shall consist of (i) a brief statement of the substance of the dispute, the amount of money, if any, claimed and the reason(s) the Contractor contends the dispute was wrongly decided by the Agency Head; (ii) a copy of the decision of the Agency Head; and (iii) a copy of all materials submitted by the Contractor to the Agency, including the Notice of Dispute. The Contractor may not present to the Comptroller any material not presented to the Agency Head, except at the request of the Comptroller. Agency Response. Within thirty (30) Days of receipt of the Notice of 2. Claim, the Agency shall make available to the Comptroller a copy of all material submitted by the Agency to the Agency Head in connection with the dispute. The Agency may not present to the Comptroller any material not presented to the Agency Head, except at the request of the Comptroller. 3. Comptroller Investigation. The Comptroller may investigate the claim in dispute and, in the course of such investigation, may exercise all powers provided in Admin. Code §§ 7-201 and 7-203. In addition, the Comptroller may demand of either party, and such party shall provide, whatever additional material the Comptroller deems pertinent to the claim, including original business records of the Contractor. Willful Page 34 of 48 Appendix A August 2011 Final failure of the Contractor to produce within fifteen (15) Days any material requested by the Comptroller shall constitute a waiver by the Contractor of its claim. The Comptroller may also schedule an informal conference to be attended by the Contractor, Agency representatives, and any other personnel desired by the Comptroller. 4. Opportunity of Comptroller to Compromise or Adjust Claim. The Comptroller shall have forty-five (45) Days from his or her receipt of all materials referred to in Paragraph (E)(3) above to investigate the disputed claim. The period for investigation and compromise may be further extended by agreement between the Contractor and the Comptroller, to a maximum of ninety (90) Days from the Comptroller’s receipt of all the materials. The Contractor may not present its petition to the CDRB until the period for investigation and compromise delineated in this Paragraph has expired. In compromising or adjusting any claim hereunder, the Comptroller may not revise or disregard the terms of the Agreement. F. Contract Dispute Resolution Board. There shall be a Contract Dispute Resolution Board composed of: the chief administrative law judge of the Office of Administrative Trials 1. and Hearings (“OATH”) or his or her designated OATH administrative law judge, who shall act as chairperson, and may adopt operational procedures and issue such orders consistent with this Section as may be necessary in the execution of the CDRB’s functions, including, but not limited to, granting extensions of time to present or respond to submissions; 2. the City Chief Procurement Officer (“CCPO”) or his or her designee; any designee shall have the requisite background to consider and resolve the merits of the dispute and shall not have participated personally and substantially in the particular matter that is the subject of the dispute or report to anyone who so participated; and 3. a person with appropriate expertise who is not an employee of the City. This person shall be selected by the presiding administrative law judge from a prequalified panel of individuals, established, and administered by OATH, with appropriate background to act as decision-makers in a dispute. Such individuals may not have a contract or dispute with the City or be an officer or employee of any company or organization that does, or regularly represent persons, companies, or organizations having disputes with the City. G. Petition to CDRB. In the event the claim has not been settled or adjusted by the Comptroller within the period provided in this Section, the Contractor, within thirty (30) Days thereafter, may petition the CDRB to review the Agency Head determination. 1. Form and Content of Petition by the Contractor. The Contractor shall present its dispute to the CDRB in the form of a petition, which shall include (i) a brief statement of the substance of the dispute, the amount of money, if any, claimed, and the reason(s) the Contractor contends that the dispute was wrongly decided by the Agency Head; (ii) a copy of the decision of the Agency Head; (iii) copies of all materials Page 35 of 48 Appendix A August 2011 Final submitted by the Contractor to the Agency; (iv) a copy of the decision of the Comptroller, if any, and (v) copies of all correspondence with, and material submitted by the Contractor to, the Comptroller’s Office. The Contractor shall concurrently submit four complete sets of the petition: one to the Corporation Counsel (Attn: Commercial and Real Estate Litigation Division), and three to the CDRB at OATH’s offices, with proof of service on the Corporation Counsel. In addition, the Contractor shall submit a copy of the statement of the substance of the dispute, cited in (i) above, to both the Agency Head and the Comptroller. 2. Agency Response. Within thirty (30) Days of receipt of the petition by the Corporation Counsel, the Agency shall respond to the statement of the Contractor and make available to the CDRB all material it submitted to the Agency Head and Comptroller. Three complete copies of the Agency response shall be submitted to the CDRB at OATH’s offices and one to the Contractor. Extensions of time for submittal of the Agency response shall be given as necessary upon a showing of good cause or, upon the consent of the parties, for an initial period of up to thirty (30) Days. Further Proceedings. The CDRB shall permit the Contractor to present its 3. case by submission of memoranda, briefs, and oral argument. The CDRB shall also permit the Agency to present its case in response to the Contractor by submission of memoranda, briefs, and oral argument. If requested by the Corporation Counsel, the Comptroller shall provide reasonable assistance in the preparation of the Agency’s case. Neither the Contractor nor the Agency may support its case with any documentation or other material that was not considered by the Comptroller, unless requested by the CDRB. The CDRB, in its discretion, may seek such technical or other expert advice as it shall deem appropriate and may seek, on it own or upon application of a party, any such additional material from any party as it deems fit. The CDRB, in its discretion, may combine more than one dispute between the parties for concurrent resolution. 4. CDRB Determination. Within forty-five (45) Days of the conclusion of all submissions and oral arguments, the CDRB shall render a decision resolving the dispute. In an unusually complex case, the CDRB may render its decision in a longer period of time, not to exceed ninety (90) Days, and shall so advise the parties at the commencement of this period. The CDRB’s decision must be consistent with the terms of this Agreement. Decisions of the CDRB shall only resolve matters before the CDRB and shall not have precedential effect with respect to matters not before the CDRB. 5. Notification of CDRB Decision. The CDRB shall send a copy of its decision to the Contractor, the ACCO, the Corporation Counsel, the Comptroller, the CCPO, and, in the case of construction or construction-related services, the City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of the Agency Head. A decision in favor of the Contractor shall be subject to the prompt payment provisions of the PPB Rules. The required payment date shall be thirty (30) Days after the date the parties are formally notified of the CDRB’s decision. 6. Finality of CDRB Decision. The CDRB’s decision shall be final and binding on all parties. Any party may seek review of the CDRB’s decision solely in the Page 36 of 48 Appendix A August 2011 Final form of a challenge, filed within four months of the date of the CDRB’s decision, in a court of competent jurisdiction of the State of New York, County of New York pursuant to Article 78 of the Civil Practice Law and Rules. Such review by the court shall be limited to the question of whether or not the CDRB’s decision was made in violation of lawful procedure, was affected by an error of Law, or was arbitrary and capricious or an abuse of discretion. No evidence or information shall be introduced or relied upon in such proceeding that was not presented to the CDRB in accordance with PPB Rules § 409. H. Any termination, cancellation, or alleged breach of the Agreement prior to or during the pendency of any proceedings pursuant to this Section shall not affect or impair the ability of the Agency Head or CDRB to make a binding and final decision pursuant to this Section. Section 12.04 Claims and Actions A. Any claim against the City or Department based on this Agreement or arising out of this Agreement that is not subject to dispute resolution under the PPB Rules or this Agreement shall not be made or asserted in any legal proceeding, unless the Contractor shall have strictly complied with all requirements relating to the giving of notice and of information with respect to such claims as provided in this Agreement. B. No action shall be instituted or maintained on any such claims unless such action shall be commenced within six (6) months after the date of filing with the Comptroller of the certificate for the final payment under this Agreement, or within six (6) months of the termination or expiration of this Agreement, or within six (6) months after the accrual of the cause of action, whichever first occurs. Section 12.05 No Claim Against Officers, Agents or Employees No claim shall be made by the Contractor against any officer, agent, or employee of the City in their personal capacity for, or on account of, anything done or omitted in connection with this Agreement. Section 12.06 General Release The acceptance by the Contractor or its assignees of the final payment under this Agreement, whether by check, wire transfer, or other means, and whether pursuant to invoice, voucher, judgment of any court of competent jurisdiction or any other administrative means, shall constitute and operate as a release of the City from any and all claims of and liability to the Contractor, of which the Contractor was aware or should reasonably have been aware, arising out of the performance of this Agreement based on actions of the City prior to such acceptance of final payment, excepting any disputes that are the subject of pending dispute resolution procedures. Page 37 of 48 Appendix A August 2011 Final Section 12.07 No Waiver Waiver by either the Department or the Contractor of a breach of any provision of this Agreement shall not be deemed to be a waiver of any other or subsequent breach and shall not be construed to be a modification of the terms of the Agreement unless and until the same shall be agreed to in writing by the parties as set forth in Section 9.01. ARTICLE 13 - APPLICABLE LAWS Section 13.01 PPB Rules This Agreement is subject to the PPB Rules. In the event of a conflict between the PPB Rules and a provision of this Agreement, the PPB Rules shall take precedence. Section 13.02 All Legal Provisions Deemed Included Each and every provision required by Law to be inserted in this Agreement is hereby deemed to be a part of this Agreement, whether actually inserted or not. Section 13.03 Severability / Unlawful Provisions Deemed Stricken If this Agreement contains any unlawful provision not an essential part of the Agreement and which shall not appear to have been a controlling or material inducement to the making of this Agreement, the unlawful provision shall be deemed of no effect and shall, upon notice by either party, be deemed stricken from the Agreement without affecting the binding force of the remainder. Section 13.04 Compliance With Laws The Contractor shall perform all services under this Agreement in accordance with all applicable Laws as are in effect at the time such services are performed. Section 13.05 Americans with Disabilities Act (ADA) A. This Agreement is subject to the provisions of Subtitle A of Title II of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12131 et seq. (“ADA”) and regulations promulgated pursuant thereto, see 28 CFR Part 35. The Contractor shall not discriminate against an individual with a disability, as defined in the ADA, in providing services, programs, or activities pursuant to this Agreement. If directed to do so by the Department to ensure the Contractor’s compliance with the ADA during the term of this Agreement, the Contractor shall prepare a plan (“Compliance Plan”) which lists its program site(s) and describes in detail, how it intends to make the services, programs and activities set forth in the scope of services herein readily accessible and usable by individuals with disabilities at such site(s). In the event that the Page 38 of 48 Appendix A August 2011 Final program site is not readily accessible and usable by individuals with disabilities, contractor shall also include in the Compliance Plan, a description of reasonable alternative means and methods that result in making the services, programs or activities provided under this Agreement, readily accessible to and usable by individuals with disabilities, including but not limited to people with visual, auditory or mobility disabilities. The Contractor shall submit the Compliance Plan to the ACCO for review within ten (10) Days after being directed to do so and shall abide by the Compliance Plan and implement any action detailed in the Compliance Plan to make the services, programs, or activities accessible and usable by the disabled. B. The Contractor’s failure to either submit a Compliance Plan as required herein or implement an approved Compliance Plan may be deemed a material breach of this Agreement and result in the City terminating this Agreement. Section 13.06 Voter Registration A. Participating Agencies. Pursuant to Charter § 1057-a, if this Agreement is with a participating City agency and the Contractor has regular contact with the public in the daily administration of its business, the Contractor must comply with the requirements of this Section. The participating City agencies are: the Administration for Children’s Services; the City Clerk; the Civilian Complaint Review Board; the Commission on Human Rights; Community Boards; the Department of Small Business Services; the Department of Citywide Administrative Services; the Department of Consumer Affairs; the Department of Correction; the Department of Environmental Protection; the Department of Finance; the Department of Health and Mental Health; the Department of Homeless Services; the Department of Housing Preservation and Development; the Department of Parks and Recreation; the Department of Probation; the Taxi and Limousine Commission; the Department of Transportation; and the Department of Youth and Community Development. B. Distribution of Voter Registration Forms. In accordance with Charter § 1057-a, the Contractor, if it has regular contact with the public in the daily administration of its business under this Agreement, hereby agrees as follows: 1. The Contractor shall provide and distribute voter registration forms to all persons together with written applications for services, renewal, or recertification for services and change of address relating to such services. Such voter registration forms shall be provided to the Contractor by the City. The Contractor should be prepared to provide forms written in Spanish or Chinese, and shall obtain a sufficient supply of such forms from the City. 2. The Contractor shall also include a voter registration form with any Contractor communication sent through the United States mail for the purpose of supplying clients with materials for application, renewal, or recertification for services and change of address relating to such services. If forms written in Spanish or Chinese are not provided in such mailing, the Contractor shall provide such forms upon the Department’s request. Page 39 of 48 Appendix A August 2011 Final 3. The Contractor shall, subject to approval by the Department, incorporate an opportunity to request a voter registration application into any application for services, renewal, or recertification for services and change of address relating to such services provided on computer terminals, the World Wide Web or the Internet. Any person indicating that they wish to be sent a voter registration form via computer terminals, the World Wide Web or the Internet shall be sent such a form by the Contractor or be directed, in a manner subject to approval by the Department, to a link on that system where such a form may be downloaded. 4. The Contractor shall, at the earliest practicable or next regularly scheduled printing of its own forms, subject to approval by the Department, physically incorporate the voter registration forms with its own application forms in a manner that permits the voter registration portion to be detached therefrom. Until such time when the Contractor amends its form, the Contractor should affix or include a postage-paid City Board of Elections voter registration form to or with its application, renewal, recertification, and change of address forms. The Contractor shall prominently display in its public office, subject to 5. approval by the Department, promotional materials designed and approved by the City or State Board of Elections. 6. For the purposes of Paragraph A of this Section, the word “Contractor” shall be deemed to include subcontractors having regular contact with the public in the daily administration of their business. 7. The provisions of Paragraph A of this Section shall not apply to services that must be provided to prevent actual or potential danger to life, health, or safety of any individual or of the public. C. Assistance in Completing Voter Registration Forms. In accordance with Charter § 1057-a, the Contractor hereby agrees as follows: 1. In the event the Department provides assistance in completing distributed voter registration forms, the Contractor shall also provide such assistance, in the manner and to the extent specified by the Department. In the event the Department receives and transmits completed registration 2. forms from applicants who wish to have the forms transmitted to the City Board of Elections, the Contractor shall similarly provide such service, in the manner and to the extent specified by the Department. 3. If, in connection with the provision of services under this Agreement, the Contractor intends to provide assistance in completing distributed voter registration forms or to receive and transmit completed registration forms from applicants who wish to have the forms transmitted to the City Board of Elections, the Contractor shall do so only by prior arrangement with the Department. Page 40 of 48 Appendix A August 2011 Final 4. The provision of Paragraph B services by the Contractor may be subject to Department protocols, including protocols regarding confidentiality. D. Required Statements. In accordance with Charter § 1057-a, the Contractor hereby agrees as follows: 1. The Contractor shall advise all persons seeking voter registration forms and information, in writing together with other written materials provided by the Contractor or by appropriate publicity, that the Contractor’s or government services are not conditioned on being registered to vote. No statement shall be made and no action shall be taken by the Contractor 2. or an employee of the Contractor to discourage an applicant from registering to vote or to encourage or discourage an applicant from enrolling in any particular political party. 3. The Contractor shall communicate to applicants that the completion of voter registration forms is voluntary. 4. The Contractor and the Contractor’s employees shall not: a. designation; b. seek to influence an applicant’s political preference or party display any political preference or party allegiance; c. make any statement to an applicant or take any action the purpose or effect of which is to discourage the applicant from registering to vote; or d. make any statement to an applicant or take any action the purpose or effect of which is to lead the applicant to believe that a decision to register or not to register has any bearing on the availability of services or benefits. E. The Contractor, as defined above and in this Agreement, agrees that the covenants and representations in this Section are material conditions of this Agreement. F. The provisions of this Section do not apply where the services under this Agreement are supported by a federal or State grant of funds and the source of funds prohibits the use of federal or State funds for the purposes of this Section. Section 13.07 Participation in an International Boycott A. The Contractor agrees that neither the Contractor nor any substantially-owned affiliated company is participating or shall participate in an international boycott in violation of the provisions of the federal Export Administration Act of 1979, as amended, 50 U.S.C. Appendix. §§ 2401 et seq., or the regulations of the United States Department of Commerce promulgated thereunder. Page 41 of 48 Appendix A August 2011 Final B. Upon the final determination by the Commerce Department or any other agency of the United States as to, or conviction of, the Contractor or a substantially-owned affiliated company thereof, of participation in an international boycott in violation of the provisions of the Export Administration Act of 1979, as amended, or the regulations promulgated thereunder, the Comptroller may, at his or her option, render forfeit and void this Agreement. C. The Contractor shall comply in all respects, with the provisions of Admin. Code § 6-114 and the rules issued by the Comptroller thereunder. Section 13.08 MacBride Principles A. In accordance with and to the extent required by Admin. Code § 6-115.1, the Contractor stipulates that the Contractor and any individual or legal entity in which the Contractor holds a ten percent (10%) or greater ownership interest and any individual or legal entity that holds a ten percent (10%) or greater ownership interest in the Contractor either (a) have no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations they have in Northern Ireland in accordance with the MacBride Principles, and shall permit independent monitoring of their compliance with such principles. B. The Contractor agrees that the covenants and representations in Paragraph A above are material conditions to this Agreement. C. This Section does not apply if the Contractor is a not-for-profit corporation. Section 13.09 Access to Public Health Insurance Coverage Information A. Participating Agencies. Pursuant to Charter § 1069, if this Agreement is with a participating City agency and the Contractor is one to whom this Section applies as provided in Paragraph B of this Section, the Contractor hereby agrees to fulfill the obligations in Paragraph C of this Section. The participating City agencies are: the Administration for Children’s Services; the City Clerk; the Commission on Human Rights; the Department for the Aging; the Department of Corrections; the Department of Homeless Services; the Department of Housing Preservation and Development; the Department of Juvenile Justice; the Department of Health and Mental Hygiene; the Department of Probation; the Department of Social Services/Human Resources Administration; the Taxi and Limousine Commission; the Department of Youth and Community Development; the Office to Combat Domestic Violence; and the Office of Immigrant Affairs. B. Applicability to Certain Contractors. This Section shall be applicable to a Contractor operating pursuant to an Agreement which (i) is in excess of $250,000 and (ii) requires such Contractor to supply individuals with a written application for, or written renewal or recertification of services, or request for change of address form in the daily administration of its contractual obligation to such participating City agency. “Contractors” to whom this Section applies shall be deemed to include subcontractors if the subcontract requires the subcontractor to supply individuals with a written application for, or written renewal or recertification of services, Page 42 of 48 Appendix A August 2011 Final or request for change of address form in the daily administration of the subcontractor’s contractual obligation. C. Distribution of Public Health Insurance Pamphlet. In accordance with Charter § 1069, when the participating City agency supplies the Contractor with the public health insurance program options pamphlet published by the Department of Health and Mental Hygiene pursuant to Section 17-183 of the Admin. Code (hereinafter “pamphlet”), the Contractor hereby agrees as follows: 1. The Contractor will distribute the pamphlet to all persons requesting a written application for services, renewal or recertification of services or request for a change of address relating to the provision of services. 2. The Contractor will include a pamphlet with any Contractor communication sent through the United States mail for the purpose of supplying an individual with a written application for services, renewal or recertification of services or with a request for a change of address form relating to the provision of services. 3. The Contractor will provide an opportunity for an individual requesting a written application for services, renewal or recertification for services or change of address form relating to the provision of services via the Internet to request a pamphlet, and will provide such pamphlet by United States mail or an Internet address where such pamphlet may be viewed or downloaded, to any person who indicates via the Internet that they wish to be sent a pamphlet. 4. The Contractor will ensure that its employees do not make any statement to an applicant for services or client or take any action the purpose or effect of which is to lead the applicant or client to believe that a decision to request public health insurance or a pamphlet has any bearing on their eligibility to receive or the availability of services or benefits. 5. The Contractor will comply with: (i) any procedures established by the participating City agency to implement Charter §1069; (ii) any determination of the commissioner or head of the participating City agency (which is concurred in by the commissioner of the Department of Health and Mental Hygiene) to exclude a program, in whole or in part, from the requirements of Charter § 1069; and (iii) any determination of the commissioner or head of the participating City agency (which is concurred in by the commissioner of the Department of Health and Mental Hygiene) as to which Workforce Investment Act of 1998 offices providing workforce development services shall be required to fulfill the obligations under Charter § 1069. D. Non-applicability to Certain Services. The provisions of this Section shall not apply to services that must be provided to prevent actual or potential danger to the life, health or safety of any individual or to the public. Section 13.10 Distribution of Personal Identification Materials A. Participating Agencies. Pursuant to City Executive Order No. 150 of 2011 (“E.O. 150”), if this Agreement is with a participating City agency and the Contractor has regular Page 43 of 48 Appendix A August 2011 Final contact with the public in the daily administration of its business, the Contractor must comply with the requirements of this Section. The participating City agencies are: Administration for Children's Services, Department of Consumer Affairs, Department of Correction, Department of Health and Mental Hygiene, Department of Homeless Services, Department of Housing Preservation and Development, Human Resources Administration, Department of Parks and Recreation, Department of Probation, and Department of Youth and Community Development. B. Policy. As expressed in E.O. 150, it is the policy of the City to provide information to individuals about how they can obtain the various forms of City, State, and Federal government-issued identification and, where appropriate, to assist them with the process for applying for such identification. C. Distribution of Materials. If the Contractor has regular contact with the public in the daily administration of its business, the Contractor hereby agrees to provide and distribute materials and information related to whether and how to obtain various forms of City, State, and Federal government-issued identification as the Agency directs in accordance with the Agency’s plans developed pursuant to E.O. 150. ARTICLE 14 - MISCELLANEOUS PROVISIONS Section 14.01 Conditions Precedent A. This Agreement shall be neither binding nor effective unless and until it is registered pursuant to Charter § 328. B. The requirements of this Section shall be in addition to, and not in lieu of, any approval or authorization otherwise required for this Agreement to be effective and for the expenditure of City funds. Section 14.02 Merger This written Agreement contains all the terms and conditions agreed upon by the parties, and no other agreement, oral or otherwise, regarding the subject matter of this Agreement shall be deemed to exist or to bind either of the parties, or to vary any of the terms contained in this Agreement, other than a written change, amendment or modification duly executed by both parties pursuant to Article 9 of this Appendix A. Section 14.03 Headings Headings are inserted only as a matter of convenience and therefore are not a part of and do not affect the substance of this Agreement. Page 44 of 48 Appendix A August 2011 Final Section 14.04 Notice A. The Contractor and the Department hereby designate the business addresses specified at the beginning of this Agreement as the places where all notices, directions, or communications from one such party to the other party shall be delivered, or to which they shall be mailed. Either party may change its notice address at any time by an instrument in writing executed and acknowledged by the party making such change and delivered to the other party in the manner as specified below. B. Any notice, direction, or communication from either party to the other shall be in writing and shall be deemed to have been given when (i) delivered personally; (ii) sent by certified mail, return receipt requested; (iii) delivered by overnight or same day courier service in a properly addressed envelope with confirmation; or (iv) sent by fax or email and, unless receipt of the fax or e-mail is acknowledged by the recipient by fax or e-mail, deposited in a post office box regularly maintained by the United States Postal Service in a properly addressed, postage prepaid envelope. C. Nothing in this Section shall be deemed to serve as a waiver of any requirements for the service of notice or process in the institution of an action or proceeding as provided by Law, including the New York Civil Practice Law and Rules. Page 45 of 48 Appendix A August 2011 Final AFFIRMATION The undersigned proposer or bidder affirms and declares that said proposer or bidder is not in arrears to the City of New York upon debt, contract or taxes and is not a defaulter, as surety or otherwise, upon obligation to the City of New York, and has not been declared not responsible, or disqualified, by any agency of the City of New York, nor is there any proceeding pending relating to the responsibility or qualification of the proposer or bidder to receive public contract except _____________________________________________________________. Full name of Proposer or Bidder [below] ____________________________________________________________________________ Address_____________________________________________________________________ City___________________________ State_____________________ Zip Code____________ CHECK ONE BOX AND INCLUDE APPROPRIATE NUMBER:  A - Individual or Sole Proprietorships SOCIAL SECURITY NUMBER _____________________________________  B - Partnership, Joint Venture or other unincorporated organization EMPLOYER IDENTIFICATION NUMBER ___________________________  C - Corporation EMPLOYER IDENTIFICATION NUMBER ___________________________ By_____________________________ Signature _______________________________ Title If a corporation place seal here Must be signed by an officer or duly authorized representative. * Under the Federal Privacy Act, the furnishing of Social Security numbers by bidders or proposers on City contracts is voluntary. Failure to provide a Social Security number will not result in a bidder’s/proposer’s disqualification. Social Security numbers will be used to identify bidders, proposers or vendors to ensure their compliance with laws, to assist the City in enforcement of laws, as well as to provide the City a means of identifying businesses seeking City contracts. Page 46 of 48 CERTIFICATES OF INSURANCE Instructions to New York City Agencies, Departments, and Offices All certificates of insurance (except certificates of insurance solely evidencing Workers’ Compensation Insurance, Employer’s Liability Insurance, and/or Disability Benefits Insurance) must be accompanied by one of the following: (1) the Certification by Insurance Broker or Agent on the following page setting forth the required information and signatures; -- OR -(2) copies of all policies as certified by an authorized representative of the issuing insurance carrier that are referenced in such certificate of insurance. If any policy is not available at the time of submission, certified binders may be submitted until such time as the policy is available, at which time a certified copy of the policy shall be submitted. Page 47 of 48 Appendix A August 2011 Final CITY OF NEW YORK CERTIFICATION BY INSURANCE BROKER OR AGENT The undersigned insurance broker or agent represents to the City of New York that the attached Certificate of Insurance is accurate in all material respects. _____________________________________________________ [Name of broker or agent (typewritten)] _____________________________________________________ [Address of broker or agent (typewritten)] _____________________________________________________ [Email address of broker or agent (typewritten)] _____________________________________________________ [Phone number/Fax number of broker or agent (typewritten)] ____________________________________________________ [Signature of authorized official, broker, or agent] _____________________________________________________ [Name and title of authorized official, broker, or agent (typewritten)] State of ……………………….) ) ss.: County of …………………….) Sworn to before me this _____ day of ___________ 20___ _______________________________________________________ NOTARY PUBLIC FOR THE STATE OF ____________________ Page 48 of 48 APPENDIX B – “GUIDE FOR DESIGN CONSULTANTS” Printed on paper containing 30% post-consumer material. 31 THE CITY OF NEW YORK  DEPARTMENT OF CITYWIDE ADMINISTRATIVE SERVICES  ASSET MANAGEMENT    GUIDE FOR DESIGN CONSULTANTS        STACEY CUMBERBATCH  COMMISSIONER              RICARDO L. MORALES  DEPUTY COMMISSIONER  ASSET MANAGMENT               APRIL 2015  THE CITY OF NEW YORK DEPARTMENT OF CITYWIDE ADMINISTRATIVE SERVICES ASSET MANAGMENT GUIDE FOR DESIGN CONSULTANTS TABLE OF CONTENTS PREFACE Ͳ EXPECTATIONS FOR DESIGN EXCELLENCE………………………………………….………..…… 4 INTRODUCTION A. The Purpose of this Guide.................................................................................................... 5 B. Asset Management (AM)..................................................................................................... 6 C. Project Process..................................................................................................................... 7 SECTION I Ͳ GENERAL INFORMATION FOR CONSULTANT SERVICES A. Design Consultant's Responsibilities……........................................................................... 13 B. Correspondence................................................................................................................ 16 C. Meetings........................................................................................................................... 17 D. Publicity...................................................................................................................... ...... 18 E. Contract Adherence……..................................................................................................... 19 F. Additional Services............................................................................................................ 19 G. Submittal to Regulatory Agencies and Utilities................................................................ 21 H. Submittal to the Department of Citywide Administrative Services…………...................... 21 I. Site Data........................................................................................................................... . 21 J. Rehabilitation or Alteration of Existing Structure............................................................. 22 K. Cost Estimating Services................................................................................................... 23 L. Value Engineering (VE)……………………………………………………..………………….……………….……. 24 M. Computer Aided Design (CAD) Drawing Requirements................................................... 25 N. Environmental and Energy Conservation Design............................................................. 25 O. Energy Conservation Financial Incentive Programs......................................................... 26 P. Furniture and Equipment................................................................................................. 27 SECTION II Ͳ CONSULTANT SERVICES FOR PRELIMINARY DESIGN PHASE SCHEMATIC DESIGN AND DESIGN DEVELOPMENT A. Preliminary Design Services.............................................................................................. 29 GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT TABLE OF CONTENTS APRIL 2015 PAGE 1 B. Schematic Design Documents........................................................................................... 31 C. Design Development Drawings......................................................................................... 33 D. Outline Specifications....................................................................................................... 42 E. Multiple Construction Contracts....................................................................................... 42 F. Building Areas and Volumes.............................................................................................. 43 G. Detailed Estimate of Building Costs.................................................................................. 43 H. Art Work........................................................................................................................... 43 I. Renderings..................................................................................................................... .... 44 J. Models......................................................................................................................... ...... 44 K. Materials Boards............................................................................................................... 44 L. Procedures for Preliminary Design Phase......................................................................... 44 SECTION III Ͳ CONSULTANT SERVICES FOR FINAL DESIGN PHASE A. Final Design Services......................................................................................................... 46 B. Approvals Required on Consultant's Work....................................................................... 47 C. Preparation of Multiple Contracts.................................................................................... 47 D. Coordination of Drawings................................................................................................. 48 E. Finish Materials and Colors............................................................................................... 48 F. Final Estimate of Cost........................................................................................................ 48 G. 50% Submission of Final Design........................................................................................ 49 H. Final Drawings and Specifications..................................................................................... 55 I. Contract Documents.......................................................................................................... 57 J. Procedures for Final Design Phase..................................................................................... 58 SECTION IV Ͳ CONSULTANT SERVICES FOR SURVEY, STUDY & REPORT PHASE UNDER SPECIAL PROJECT SERVICES A. Survey, Study and Report Services................................................................................... 60 B. Survey, Study and Report for Special Projects KickͲoff Meeting...................................... 60 C. Report Documents............................................................................................................ 60 D. Existing Conditions Drawings............................................................................................ 61 E. Programming Space Requirements................................................................................... 61 F. Procedures..................................................................................................................... ... 61 G. Furniture and Equipment................................................................................................. 61 SECTION V Ͳ CONSULTANT SERVICES FOR BID, AWARD AND REGISTRATION STAGE A. Contract Bidding............................................................................................................... 63 B. PreͲBid Meetings and Site Visits....................................................................................... 63 C. PreͲAward Meetings......................................................................................................... 63 D. Addenda and Addenda Drawings..................................................................................... 63 GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT TABLE OF CONTENTS APRIL 2015 PAGE 2 E. Furniture and Equipment.................................................................................................. 64 SECTION VI Ͳ CONSULTANT SERVICES DURING CONSTRUCTION A. Construction Related Basic Services................................................................................. 66 B. Construction Related Additional Services......................................................................... 71 SECTION VII – APPENDICES Appendix AͲ Sample Checklist for Survey, Study and Report Phase..................................... 75 Sample Checklist for Schematic Design................................................................................. 76 Sample Checklist for Design Development........................................................................... 77 Sample Checklist for Final Design......................................................................................... 78 Sample Checklist for Bid, Award and Registration................................................................ 79 Sample Checklist for Construction........................................................................................ 80 Appendix B Ͳ Sample Progress Report: Projection and Summary......................................... 82 Sample Progress Report: Individual Drawings...................................................................... 83 Appendix C Ͳ Regulatory Agencies and Utilities.................................................................... 85 Sample Project Approvals Report (PARͲ1 Form)................................................................... 92 Appendix D Ͳ Cost Estimates................................................................................................. 94 Sample Blank Cost Estimate Form......................................................................................... 97 Appendix E Ͳ Sample Project Fact Sheet................................................................................ 98 Appendix F Ͳ Shop Drawings, Samples and Product Data..................................................... 100 Shop Drawing Flow Diagram................................................................................................. 103 Sample Shop Drawing Log.................................................................................................... 104 Sample Shop Drawing Stamp................................................................................................ 105 Sample Shop Drawing Transmittal........................................................................................ 106 Appendix G Ͳ Design Criteria................................................................................................. 107 Appendix H Ͳ Drawing Standards.......................................................................................... 123 Drawing Standard Number One Ͳ Title Sheet for Design Drawings………...………....…………..… 125 Drawing Standard Number Two Ͳ Title Block Design for Design Drawings……………..…..….... 126 Appendix I Ͳ Existing Conditions Drawings............................................................................ 127 Appendix J Ͳ Programming Space Requirements and Test Fits............................................. 131 Appendix K Ͳ Guidelines for Multiple Contracts.................................................................... 135 Appendix L Ͳ Specifications................................................................................................... 138 Appendix M Ͳ City of New York Real Estate Measurements……………………..………….…..…….….143 GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT TABLE OF CONTENTS APRIL 2015 PAGE 3 PREFACE EXPECTATIONS FOR DESIGN EXCELLENCE The Department of Citywide Administrative Services (“DCAS”)/ Asset Management (“AM”) provides complete building design and construction management services for a broad range of City agencies, performing construction and renovations for the City’s Administrative Offices, courts, warehouses, data centers, social services facilities, as well as many other public entities, located at City owned, managed and leased facilities. DCAS/AM administers this program through contracts with architectural, engineering, construction management and construction contracting firms. A central challenge for DCAS is to house the operations of our diverse clients while achieving consistently superior public sustainable architecture and engineering projects. In contracting for design services, DCAS seeks demonstrated design excellence, together with the management skills necessary to complete work within schedule and budget. The following are key performance areas: CIVIC ETHOS: Outstanding projects should be guided by a civic ethos. The designs must provide dignified areas for public contact and exemplify a humanistic and accessible municipal authority. CLARITY: To build consensus among numerous client and oversight players, the consulting firm (also referred to as the “Design Consultant” or “Consultant”) must envision and communicate clear project goals and simultaneously provide detailed focus on client operations and maintenance practices. QUALITY: The Design Consultant’s own quality assurance program should provide internal peer review or another comparable office management practice to ensure the completeness and integrity of contract deliverables. BALANCE: Successful balance must be achieved between the desire for innovative design and the conservatism characterizing the public client, based on traditional operating practices, finite maintenance resources, and other practical limitations placed on our utilization of technically sophisticated systems. VALUE: Excellence in design of public works explicitly entails cost effectiveness of design approach utilizing lifeͲcycle costing in the selection of materials. To maximize the buying power of contracts awarded through the City's open competitive bidding environment, documents must be comprehensive, clearly detailed and wellͲcoordinated across trades. The Design Consultant must therefore go beyond the basic satisfaction of the contract requirements and render a larger public service in an extended role as facilitator/mediator and GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT PREFACE APRIL 2015 PAGE 4 interpreter/inventor to realize architectural and engineering excellence within the challenging context of public works. SUSTAINABLE DESIGN AND CONSTRUCTION THROUGH LEADERSHIP IN ENERGY & ENVIRONMENTAL DESIGN (“LEED”) AND ENVIRONMENTALLY PREFERABLE PURCHASING (“EPP”): The Design Consultant shall comply with all provisions of the Law as well as intent of LEED & EPP for sustainable design requirements also referred to as Green Design. The Design Consultant is encouraged to explore multiple alternatives and investigate costͲeffective options for exceeding the minimum requirements of the Law where feasible. Projects not within the Law requirements should nevertheless undergo a similar design process and strive to incorporate sustainable features to the fullest extent possible. INTRODUCTION A. THE PURPOSE OF THIS GUIDE Given the wide variety of project types undertaken by DCAS/AM, each project is unique, making standardization of project delivery methods difficult. To expedite the project process DCAS/AM frequently relies on Requirements Contracts (“RC”) for design consultant services. The RC is necessarily generic with regard to specific project scopes and goals, since the projects to be undertaken are not known at the time of contract initiation. All DCAS/AM Design Consultants’ contracts “the Contract” consist of four (4) documents: (a) the Agreement; (b) the Request for Proposal (“RFP”); (c) the Work Order (“WO”); and (d) the Guide for Design Consultants (also referred to as this “Guide”). 1. The Agreement, which the Design Consultant signs, defines the contractual responsibilities of the Consultant and describes the nature of the work required for the projects. 2. The RFP seeks an appropriately qualified vendor to provide design consultant services for the City. 3. The Work Order describes project specific responsibilities such as, milestone durations, fee, and nature of the design services required for the specific project assignment. Every project must be approved for funding by the Office of Management and Budget (“OMB”). No project will begin until the funding is in place and the Work Order is registered with the New York City Comptroller and then issued to the Design Consultant. 4. The Guide for Design Consultants describes DCAS/AM’s expectations of the Design Consultant with respect to structure, procedures, technical requirements, and Consultant’s interaction with DCAS personnel for Basic Services, Special Project Services and corresponding Additional Services. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 5 In case of any conflict among these four (4) documents, the following order of priority shall prevail: a. Agreement b. Request for Proposal c. Work Order d. Guide for Design Consultants B. ASSET MANAGEMENT DCAS/ Asset Management (DCAS/AM) is the real estate arm of the City of New York, which actively manages and operates CityͲowned office buildings, court buildings and commercial rental properties. Providing all necessary building services to keep these buildings fully functional and operational, including maintenance, custodial services, repairs and upgrades of building systems and equipment, as well as interior and exterior design, construction and renovation. In addition, DCAS/AM negotiates and administers City leases of private property. Acting as the real estate advisor for City agencies, DCAS/AM assists agencies with finding suitable and cost effective space for their operations. Typically, design consulting services are included in the lease to be provided by the landlord prior to occupancy. DCAS/AM assists in determining the most effective method to execute alterations for an agency in a long term lease facility that requires alterations within the lease duration. DCAS/AM is to efficiently accomplish the construction needs of City agencies whether in CityͲ owned or leased space and renovations to DCAS CityͲowned managed buildings. In addition, DCAS/AM manages Special Programs such as compliance with abatement of asbestos and hazardous materials and implementation of Local Law # 11, LEED, and EPP for sustainable design. Once a project has been funded, DCAS/AM assigns a DCAS/AM Project Manager to manage the project from the initial program through final completion and acceptance. In addition to the DCAS/AM Project Manager a DCAS/AM Construction Manager and or Resident Engineer as well as other DCAS/AM personnel may be assigned to the Project Team to assure the design meets expectations and contractual requirements. The DCAS/AM Project Manager is the prime contact between DCAS and the Design Consultant for the project. The Design Consultant takes direction on all aspects of a project from the Project Manager. During project planning and startͲup, the DCAS/AM Project Manager is responsible for preparing and managing the Design Consultant's contract and working in close collaboration with other members of the Project Team. During design, the DCAS/AM Project GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 6 Manager monitors the design's development, leads project meetings, makes field visits, monitors progress reports and schedules, processes payment requisitions, and coordinates the City’s review of the Design Consultant's document submissions. During construction, the DCAS/AM Project Manager monitors the Design Consultant's review of shop drawings, and reviews problems and change orders to ensure timely progress of the construction. The DCAS/AM Construction Manager/Resident Engineer has primary responsibility for managing the Contractors of a project once construction begins. The DCAS/AM Construction Manager/Resident Engineer mobilizes the Contractors by managing the development of, and reviewing, the coordinated drawings and progress schedule. The DCAS/AM Construction Manager/Resident Engineer supervises the Contractors' work by leading periodic job progress meetings, directing the Contractors, and continually inspecting the Contractors' work to assure that it conforms to contract documents. If construction conditions require a reconsideration relative to design, the DCAS/AM Project Manager will direct the Design Consultant and coordinate with other team members as necessary. C. PROJECT PROCESS Below is a summary of the typical stages of a project, herewith identified as “Basic Services”, from project initiation to completion of construction. In addition, some “Special Project Services” may include all or select services. Basic Services, in general, has four (4) major stages common to most projects for Design Consultant Requirements Contracts and site specific Consultant Contracts, as follows: 1. Scope preparation and Design Consultant selection/contract registration 2. Design (Survey, Study, and Report phase, Preliminary and Final) 3. Bid, award and registration of construction contracts 4. Construction 1. Scope preparation and Design Consultant selection/contract registration a. The end user City agency (“Sponsor Agency”), in consultation with DCAS/AM, submits a general program of work describing the intent of the project. Similarly, for purposes of this Guide, DCAS/AM is the Sponsor Agency for base building renovations to DCAS CityͲ owned managed buildings. DCAS assigns a DCAS/AM Project Manager. b. The DCAS/AM Project Manager finalizes the project's program including the Scope of Work (this is the document which the Design Consultant must develop into a design). The design schedule and initial cost budget are established at this point by DCAS/AM. c. DCAS notifies the Design Consultant, identifies the “Basic Services” or “Special Project Services” project fee method and commences the project process. Upon approval by the relevant oversight agencies, including registration of the Work Order by the Office of the GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 7 Comptroller, DCAS awards the Project to the Design Consultant with the project general scope of work description, fee schedule, submission deadlines and establishes the kickͲ off date for design. 2. Design The Agreement is the standard type of design contract for multiple project scope types, funding sources and construction contractor selection methods. Basic Services projects include Preliminary Design Phase Services (Schematic and Design Development) and Final Design Phase Services (50% and Final Design, Bid, Award and Registration of Construction Contracts) and Construction Phase Services. Inclusion of a Survey, Study and Report phase is dependent upon the needs of the specific project and is identified at the time of project award to the Design Consultant. For projects involving furniture and equipment the Design Consultant is responsible for the items listed below in Section I, Subsection P Ͳ Furniture and Equipment. a. Preliminary Design Phase: During the Preliminary Design Phase, the Design Consultant begins the detailed design of a project. This phase is divided into two (2) subͲphases: Schematic Design and Design Development. The DCAS/AM Project Manager holds regularly scheduled review meetings, usually every two (2) weeks, and other meetings as required. These meetings include the Consultant and their applicable subͲ consultants, the Sponsor Agency and other DCAS members of the Project Team assigned by the DCAS Commissioner as a project stakeholder. b. Schematic Design: During Schematics, the Design Consultant field measures all spaces and existing systems involved to produce accurate CAD base drawings, prices and presents to DCAS and the Sponsor Agency alternative spatial and material solutions to a clearly defined Scope of Work. Work by the Design Consultant shall include, but not be limited to, site plans, architectural plans showing all programmed spaces, furniture layouts, elevations and sections showing massing. The Design Consultant shall also provide engineering reports which include technical and economic evaluations of alternative building systems with recommendations of the preferred systems. The Design Consultant shall provide area and volume calculations and cost evaluations. Where a project relates to existing historic or architecturally significant structures, the presentation should define preservation goals and outline proposed methods of conserving existing features and materials. At the end of Schematic Design, one (1) alternative is selected by DCAS and all major design decisions are finalized. Projects that are not designated NYC Landmark structures or sites involving exterior architectural or landscape work, the selected scheme including, without limitation, plans, elevations, sketches, and materials concepts, is submitted by DCAS/AM to the Public Design Commission for its preliminary design review. In all such projects, the Design Consultant shall provide a presentation consisting of renderings and material boards. Several renderings are required for major restorations, rehabilitations and GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 8 additions. The exact requirements for each project will be determined by the Public Design Commission. The work is covered by the Consultant Fee Curve for the first presentation. Other Regulatory Agency reviews may also be necessary at this time (see Appendix C – Regulatory Agencies and Utilities). A written Notice to Proceed is given to the Design Consultant after the Schematic Design documents have been reviewed by the project team and accepted by DCAS. c. Design Development: During Design Development, the selected Schematic Design scheme is developed in greater detail. The Design Consultant must submit drawings that are organized according to construction contracts and/or design disciplines (architectural, plumbing, HVAC, electrical, building protection systems, etc.) which must include developed site plans, floor plans, elevations, sections, finishes, materials, colors and integral artwork. Outline specifications, area and volume calculations, furniture and equipment specifications and cost estimates are required. Projects that are not designated NYC Landmark structures or sites that have minor exterior architectural or landscape work may require Public Design Commission approval. The Design Consultant shall provide a presentation consisting of renderings and material boards of the plans, elevations, sketches, and materials to be submitted by DCAS/AM to the Public Design Commission for its design review. The exact requirements for each project will be determined by the Public Design Commission and Landmarks Preservation Commission. The work is covered by the Consultant Fee Curve for the first presentation. If applicable, the Design Consultant must obtain approvals from the Public Design Commission, the Landmarks Preservation Commission and all Other Regulatory Agency reviews necessary for the project (see Appendix C Ͳ Regulatory Agencies and Utilities) before the end of Design Development. For projects involving furniture and equipment during this phase, the Consultant is responsible for the tasks listed below in Section I, Subsection P Ͳ Furniture and Equipment. A formal written Notice to Proceed is given to the Design Consultant after the Design Development documents have been reviewed by the project team and accepted by DCAS. d. Final Design Phase: During Final Design, the Consultant prepares Final Contract Documents, including Drawings and Specifications. Progress documents must be submitted and/or reviewed in working sessions periodically during the course of this phase. At a minimum there is a Fifty percent (50%) and Final Submittal: GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 9 Fifty percent (50%) Submittal: The Consultant submits drawings with content and level of detail as defined in Section III "Consultant Services for Final Design Phase". The Consultant must verify the cost of the project. Documentation on the status of the Consultant's submissions to regulatory agencies and utilities, which should be virtually complete, is submitted to the DCAS/AM Project Manager for review. The PreͲConstruction Strategy Site Meeting takes place at this time as well. Final Submittal: The Consultant submits the completed set of Contract Drawings and Specifications, final cost estimate, list of Shop Drawings and required samples, and proof of required regulatory agency approvals and utility acceptances. These approvals include, if required, Landmarks Preservation Commission and/or the Public Design Commission final approvals. The Consultant must visit the site before this submittal to DCAS to ensure that the Contract Documents coordinate with existing conditions. The DCAS/AM Project Manager in her/his sole discretion will determine if the submittal conforms to the required content and level of detail as defined in Section III – Consultant Services for Final Design Phase. The Consultant submits all manifest(s) for furniture and Furniture Specifications books as well as individual room plans. e. Bid and/or Multiple Contract Documents: The Consultant submits two (2) sets of full size and two (2) sets of half size hard copy bound sets of 100% construction documents (Final Compliance) approved by DCAS and regulatory agencies, two (2) sets of hard copy specifications, along with pdf and CAD scalable Drawings and Specifications on a CD or USB drive as required. The DCAS/AM Project Manager will make a final determination on the acceptability of all submitted items. Bid documents are subject to review by DCAS Office of Citywide Procurement (OCP), DCAS General Council, Mayor’s Office of Contracts Services and the Law Department. f. Furniture & Equipment: For projects involving furniture and equipment during this phase, the Consultant is responsible for the tasks listed below in Section III. g. Special Survey, Study and Report Projects: Special Projects, as specifically identified at their conception as Survey, Study and Report projects, or “Special Project Services” are necessary when the overall goals of the project are not clear and the scope and cost of the work is not precisely defined. An investigation is then necessary to explore unknown existing conditions, alternative approaches, program space requirements, building systems and methods of construction. This concludes with a summary report of all alternatives considered, arrangements and schemes recommended, associated costs and operating factors. A fee may be determined on a time card basis or may be negotiated between the parties, as determined by DCAS to be in the best interest of the City. 3. Bid, Award and Registration of Construction Contracts as part of Final Design Services GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 10 With the approved bid documents as prepared by the Design Consultant, DCAS/AM will initiate the bid process or assign the project to multiple DCAS Requirements Contractors (RC). a. DCAS/AM will reproduce the bid/construction documents, unless the Consultant is instructed to perform this duty by means of a printing allowance. b. The project is advertised, a preͲbid or preͲcost proposal site visit and bid opening date is established. Drawings and Specifications are made available for purchase by Contractors or a Cost Proposal Due Date is established for the assigned DCAS Requirements Contractors. c. If necessary, the Consultant produces addenda to clarify the Drawings and Specifications and attends the PreͲBid Site Visit. d. Contractors submit bids and/or pricing on the various contracts The Consultant attends the formal bid opening meeting and submits an analysis of the bids. e. The Consultant participates in the evaluation of bids and/or RC nonͲunit pricing, and of the Contractors Special Experience Requirements, as necessary. The DCAS ACCO awards the Contracts to the lowest responsible bidders following review by the appropriate oversight offices. The DCAS/AM Estimator finalizes the RC’s pricing. f. The NYC Comptroller registers the Contract(s) and or Work Order(s). DCAS/AM establishes a construction kickͲoff date. For projects involving furniture and equipment during this phase, the Consultant is responsible for the tasks listed below in Section V, E. Ͳ Furniture and Equipment. 4. Construction a. Contractors perform the construction work to completion, with supervision by the DCAS Construction Manager, Resident Engineer or an assigned representative. The Consultant performs services during construction as required, including shop drawing review, site inspections, progress meeting minutes, design clarification and punch list work. b. Contractors develop detailed cost estimate breakdowns, coordinated progress schedules, coordinated construction working drawings and shop drawing schedules. The DCAS/AM Project Manager and Construction Manager/ Resident Engineer reviews and accepts these documents, with input from the Consultant. c. The Construction Manager/ Resident Engineer oversee the work of the Contractors. When a private Construction Manager is retained for the project, the DCAS/AM Project Manager/ Resident Engineer monitors the Construction Manager's performance. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 11 d. Progress Inspections and Special Inspections are the responsibility of the Consultant. The Consultant is required to secure services of a licensed Special Inspection Agency, on behalf of DCAS, and may be required to retain lab testing services as an Additional Service. e. Throughout the construction phase, the DCAS/AM Project Manager may update Work Orders and or Work Requests and prepares change orders to the Consultant Contract, as determined by DCAS in its sole discretion. f. Provide for attendance at regularly scheduled Progress Meeting, and Field Visits to the end of construction and closeͲout of each project. See Section VI Ͳ Consultant Services During Construction. g. At Substantial Completion the Consultant and the DCAS/AM Project Manager perform a final walkthrough and prepare punch lists for performance by the Contractors. The DCAS/AM Project Manager and the Consultant supervise, inspect, and accept the Contractors’ completion of punch list items. h. The DCAS/AM prepares the Certificates of Completion and Final Acceptance, with the Consultant’s input. i. For projects involving furniture and equipment during this phase, the Consultant is responsible for the tasks listed below in Section VI Ͳ Furniture and Equipment. j. Consultant shall file all required close out documents, inspection reports, etc. as required to obtain final approvals and signͲoffs from governing agencies. k. During construction, the Consultant shall periodically review updates to the AsͲBuilt Drawings and, upon construction completion, review to confirm completeness of the final AsͲBuilt Drawings. If, for any reason AsͲBuilt Drawings are not completed or furnished by Contractors, the Consultant may be directed to create AsͲBuilt Drawings as an Additional Service. END OF INTRODUCTION GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT INTRODUCTION APRIL 2015 PAGE 12 SECTION I: GENERAL INFORMATION FOR CONSULTANT SERVICES A. DESIGN CONSULTANT'S RESPONSIBILITIES 1. Design Goals and Process a. The Consultant shall produce the best planning and design possible, with high technical standards and architectural quality, in accord with sound economic and environment impact practices, within the authorized Scope of Work, time schedule and funds available. The Consultant shall consider both function and esthetics, making appropriate use of the assigned site, with proper attention to maintenance, security, operating features and costs, and historic preservation issues when appropriate. The Consultant and SubͲconsultants shall utilize energy efficient and environmentally acceptable systems and materials as per LEED Standards, EPP Regulations and, DCAS Design Criteria (see Appendix G – Design Criteria; see also Subsections N and O of this Section I., below). The Consultant shall assure that each SubͲconsultant is aware of, and complies with, the contents and requirements of this Guide as it pertains to their responsibilities under the Contract. b. The Consultant shall prioritize work to maintain design requirements within the estimated costs for items beyond the budget. The scope shall be reviewed and approved by DCAS in writing before the Consultant proceeds to the next design phase. The Consultant shall not make any changes in the scope of the project without written authorization from DCAS/AM. c. The Consultant shall make such recommendations as are considered necessary to achieve an efficient design. If the Consultant determines that implementation of any portion of the basic program requirements is not necessary, it shall so recommend. Similarly, the Consultant shall bring to the attention of DCAS/AM Project Manager, in writing; any additional work it believes should be included within the scope of the project. d. The Consultant shall follow appropriate architectural, landscaping and engineering practices in designing the project and preparing the preliminary and final documents, and shall be totally responsible for the design, checking, crossͲchecking and coordination of those documents. Any review undertaken by DCAS or other agencies of the City of New York shall not eliminate or reduce the Consultant's sole responsibility for their work. e. The design shall comply with all applicable laws, LEED and EPP for sustainable design criteria, guidelines and other requirements of New York City, New York State and Federal Agencies having jurisdiction over any phase of the work (see Appendix C – GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 13 Regulatory Agencies and Utilities). If any of these should change during the course of the project, the Consultant is responsible for informing the DCAS/AM Project Manager and seeking a resolution to conform to the revised statutes. f. The Consultant shall, at all times within reason during construction activity, be available for required interpretations of the plans and specifications, and shall promptly advise the DCAS/AM Project Manager of problems with, or conflicts among, drawings, specifications and site conditions. g. The Consultant shall familiarize her/himself and document in AutoͲCAD and photographic form existing conditions at the project site throughout the design period of the contract to ensure that all Drawings and Specifications accurately reflect current conditions. At a minimum, the Consultant shall visit the site at the beginning of the contract work, at the beginning of the Final Design Phase, at the 50% Final Design submission and prior to submitting Final Contract Documents. Significant changes in site conditions must be reported in writing to the DCAS/AM Project Manager and incorporated into the design. The Consultant shall submit to DCAS, during design without delay, all requests for topographical and property line maps. This information shall be furnished by DCAS as per the requirements listed below in Section I (I.) Ͳ Site Data. The Consultant's request shall be based on the observations of these existing conditions. h. The Consultant shall prepare documents, specifications, schedules and cost estimates in accordance to the intended construction contractor selection method determined by DCAS prior to the Design Development submission. 2. Schedules a. The Consultant shall prepare a Bar Chart or Critical Path Method schedule, as directed by the DCAS/AM Project Manager, to establish an acceptable consecutive calendar day (CCD) timetable for the accomplishment of the Project Design Contract objectives, and shall submit such schedule for approval. The schedule shall delineate completion dates, including review time as established in the Work Order or Work Order Letter for the Schematic Design, Design Development and Final Design of the project. The Consultant shall be responsible for adhering to such approved time schedules. b. For Survey Study and Report projects, a separate schedule will be established by DCAS with the Consultant. c. Initial Schedules must be submitted by the Consultant at the design kickͲoff meeting, and will be discussed at that meeting. The Schedule(s) shall be updated monthly and approved by DCAS. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 14 d. Schedules shall: i. ii. Meet DCAS requirements (see Appendix A – Sample Checklists). Be resubmitted as necessary until agreement has been reached on all schedule comments and issues raised by DCAS at the design kickͲoff meeting. Additionally, schedules must be revised as necessary to reflect changes in the project. 3. Activity Checklists a. The Consultant shall prepare a complete list of all the activities required for successful and timely completion of the Contract, if requested by the DCAS/AM Project Manager. The checklist must be prepared by modifying and supplementing a sample list furnished by the DCAS/AM Project Manager (see Appendix A – Sample Checklists). For each item, the start and completion dates of the activity must be stated, either as absolute dates, or in relation to the scheduled start and completion dates of the major phases of the project. Particular attention will be paid to activities which, on a critical path basis, would be concurrent. Slack periods shall be indicated. b. Checklists shall be submitted and updated on the same dates as the schedules. 4. Progress Reports Progress Reports showing the status of the work shall be submitted monthly, by the 25th of each month, in accordance with DCAS requirements (see Appendix B – Sample Progress Report: Projection and Summary). If progress is delayed, the report shall state the reasons for such delay. 5. Filing and Approval Reports Filing and Approval Reports (on PARͲ1 Form) of regulatory agencies and required special inspections for the project shall be submitted in accordance with DCAS requirements (see Appendix C, Regulatory Agencies and Utilities). The initial report shall include the complete listing of all agencies having jurisdiction. All required special inspections shall be noted on the PARͲ1 Form and on the Design Documents. a. Progress Inspections and Special Inspections are the responsibility of the Consultant. The Consultant shall, at its own expense, engage a competent Special Inspection Agency to perform all code compliant Special Inspections unless DCAS/AM approves the Consultant's inͲhouse Special Inspectors. The name of the Special Inspection Agency SubͲconsultant shall be submitted in writing for written approval prior to the completion of the Schematic Design and the PARͲ1 Form. The Consultant shall file at the New York City Department of Buildings (“DOB”) for all inspections, in their DOB Application, including those requiring testing and Certification to obtain approvals GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 15 required using a licensed Special Inspector. As the work proceeds into construction, all special inspections shall remain the responsibility of the Consultant, and all special inspection testing shall be transferred to an independent testing laboratory that shall be engaged by DCAS, unless assigned to the Consultant as an Additional Service. Such test laboratory reports shall be reviewed and accepted by the Consultant for their completeness. Consultant will, on occasion, be required to engage testing laboratory work as an Additional Service for required special inspections. More definitive information can be provided, if required, during the course of the design. 6. DCAS Right of Approval DCAS retains the right of approval of all SubͲconsultants and of Consultants for Specialty Contracts, including testing laboratories. Names shall be submitted for approval at or before the design kickͲoff meeting. B. CORRESPONDENCE Unless the Consultant is specifically directed otherwise, all correspondence shall be in writing and: 1. Be addressed to: Deputy Commissioner, Asset Management Department of Citywide Administrative Services One Centre Street, 20th Floor New York, NY 10007Ͳ1602 Include the DCAS/AM Project Manager on all project correspondence. 2. Be captioned: DCAS Project No.: Project Title & Location: Subject: GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 16 C. MEETINGS 1. During the Design Phases of the project, the Consultant shall attend regularly scheduled meetings and other necessary meetings as directed by the DCAS/AM Project Manager, and shall submit minutes of meeting within three (3) CCDs. During construction, the Consultant shall attend job meetings at the site, and other meetings as are required to interpret the construction documents. The Consultant shall inform the DCAS/AM Project Manager no less than twenty four (24) hours in advance of all meetings the Consultant attends. 2. Meetings with a Sponsor Agency or other DCAS project team members shall be arranged through the DCAS/AM Project Manager, who shall preside at these meetings. Attendees are as follows: a. Consultant and SubͲconsultants as required by the DCAS/AM Project Manager. b. Members of the DCAS Project Team as required. c. Representatives of the Sponsor Agency, if applicable. 3. Meetings shall be indicated on the Consultant's Schedule and shall include the following: a. Regular Progress meetings as directed by the DCAS/AM Project Manager. b. Additionally, the Consultant may be required to attend and/or conduct meetings regarding issues such as: x Equipment Coordination x Hazmat Coordination x PreͲconstruction Site Strategy x Permits and Approval x Estimating x Specifications x Public Design Commission x Landmarks Preservation Commission x PreͲBid Site Visit x Programming x Sponsor Trustee or Board of Directors meetings x Site or Landscape x Technical Specialties 4. Minutes Minutes shall be recorded by the Consultant for each project meeting and shall be submitted to the DCAS/AM Project Manager within three (3) calendar days after the meeting. When recording minutes: a. Number each meeting consecutively. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 17 b. Record date, place of meeting and persons attending with their Affiliation. c. Briefly state AGENDA, SCHEDULE, CONCLUSIONS and QUESTIONS for resolution; identify party responsible for resolution of questions and date on which resolution is due. d. Issues must continue to appear on the minutes until they are resolved, and then it should be so noted and not removed unless agreed during the subsequent meeting(s). e. Include updated progress schedule. f. Include all items discussed at meetings. g. Include a "Corrections to Previous Minutes" section, and note approval of previous minutes. h. Transmit minutes via email to all parties and provide sufficient hard copies of minutes for all attendees to the DCAS/AM Project Manager at each meeting. Additional parties as identified by DCAS shall be included. D. PUBLICITY 1. The Consultant shall not seek publicity for their work on DCAS/AM projects, submit said projects to architectural journals, periodicals or competitions, or engage in similar activities that lead to publicity, without the prior written approval of DCAS. All requests for such approval shall be made to the DCAS/AM Project Manager. 2. All DCAS/AM project materials prepared by the Consultant for publication, competition, or other activities shall be first submitted to DCAS for approval. 3. Such approvals will be given if there is no conflict with governmental publication plans or policy considerations, as determined by DCAS in its sole discretion. 4. Requests for review of materials or for other publicity information shall be made to: Deputy Commissioner, Asset Management Department of Citywide Administrative Services One Centre Street, 20th Floor New York, NY 10007Ͳ1602 Attention: (Name of DCAS/AM Project Manager, floor number to be inserted here) 5. Publicity materials used by DCAS: The Consultant shall provide all submissions to DCAS/AM via latest edition of the acceptable completion program(s), as determined by DCAS in its sole discretion, with a 300 dots per inch (dpi) or greater digital image of each Landmarks Preservation Commission and Public Design Commission board. In addition, the mounted GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 18 boards may be retained by DCAS, at the sole discretion of DCAS/AM. DCAS may use such materials prepared by the Consultant during project presentation and design, for governmental public information and for publication. The Consultant will be advised in advance of the intent to use such materials. E. CONTRACT ADHERENCE 1. The DCAS/AM Project Manager is responsible for administering the Consultant's contract as applicable to the assigned Work Order. The Consultant shall not deviate from the terms of the contract in any way, unless specifically authorized to do so in writing by the DCAS/AM Project Manager. Approved minutes of a meeting will be considered written authorization, except for scope changes and budget increases. 2. Requests for changes in Scope of Work shall be addressed in writing to the DCAS/AM Project Manager, and can only be incorporated into the project after approval by the Office of Management and Budget (OMB) and DCAS/AM through an authorized design change order or supplemental work order letter. F. ADDITIONAL SERVICES The Consultant may be required to perform "Additional Services" in addition to the "Basic Services" outlined in the Agreement and this Guide. The related methods and amount of compensation stipulated with respect to the "Additional Services" will also be described in the Contract. The Additional Services may include, but not be limited to: 1. Services during Construction a. Construction Technical Services: includes all requested activities beyond the defined Basic Services during construction such as increased participation at site meetings, field reconnaissance, and laboratory testing for Special Inspections, and resident engineering and architectural services. b. Project Representation: Covers personnel beyond Basic Services for the assignment of full time site representatives to ensure that the work conforms to the documents. c. Special Inspections: The Consultant will only be paid additionally for that portion of the special inspection work as directed by DCAS which would require laboratory analysis or testing. These services for the testing laboratories’ inspections and analyses, as directed in writing by DCAS in its sole discretion, are an Additional Service which will be reimbursed to the Consultant, as defined in the Contract. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 19 d. Planting, Tagging and Field Services: Selection and tagging of plant materials and supervision of the planting operations by a Landscape Architect. 2. Probes and Testing Services Probes and Testing Services include exploratory probes performed for the purpose of investigating concealed construction and/or tests performed for the purpose of verifying site conditions or the applications and characteristics of materials. The above Additional Services, when conducted for historic and/or older structures, may also include, without limitation, an analysis of existing materials and finishes, treatment tests, and the testing of treatment products and replacement materials. Such costs shall be approved by DCAS/AM in advance and will be reimbursed to the Consultant, as defined in the Contract. 3. Duplication Services Duplication Services including duplicating sets of Contract Documents for bid purposes as directed by DCAS and will be reimbursed to the Consultant, as defined in the Contract. 4. Travel Services Travel services included OutͲofͲtown travel to investigate materials and suppliers as preͲ authorized by DCAS. 5. Art Coordination Services Art Coordination Services include administering the contract with an Artist providing artwork for the project under the Percent for Art Program of the NYC Department of Cultural Affairs. 6. Value Engineering Services Value Engineering Services include providing material for, and participating in, third party Value Engineering (VE) Studies. 7. Site Surveys Site Survey(s) for topographical purposes to define the building site as necessary for legal filings including, but not limited to, DOB, DEP, DOT, and all oversight regulatory agencies. 8. Documentation Documentation includes provision and reproduction of photos, drawings and other documents which DCAS may require for other project use not part of the Design Consultant services. 9. Commissioning Agent Services GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 20 Commissioning Agent Services, if requested by DCAS/AM the Commissioning Agent shall be involved at the beginning of the Design Development phase for vetting the preliminary systems design alternatives. The Design Consultant’s Basic Services includes coordination with the commissioning agent, preparation of required documents, and responses to commissioning comments. 10. Real Estate Measurements Real Estate Measurements For purposes of applying the same measurement method for all City facilities the Design Consultant may be requested to perform square footage measurements as described in Appendix M., City of New York Real Estate Measurements. G. SUBMITTAL TO REGULATORY AGENCIES AND UTILITIES All Filings and Approvals are to be obtained by the Consultant in accordance with the requirements of Appendix C Ͳ Regulatory Agencies and Utilities. H. SUBMITTAL TO DCAS 1. The Consultant is required to submit various reports, sketches, drawings, specifications and progress schedules at each key project milestone, as described within this Guide. The content and level of detail required of each submittal is delineated in the appropriate sections of this guide. 2. All work submitted to the DCAS/AM Project Manager in accordance with the Contract requirements will be reviewed, as established by the DCAS/AM in its sole discretion, for conformance with required submittal content. Time required for reviews shall be incorporated into the Consultant's project schedule. 3. Project drawings shall be developed on a CAD drawing system acceptable to DCAS, in its sole discretion, and regulating authorities. Consultants shall be required to furnish CAD drawing files on CD or USB drive in addition to reproducible prints required, for all submittals. Prior to commencing CAD work, the Consultant shall obtain approval from the DCAS/AM Project Manager for the proposed drawing system format, layers, symbols, fonts, line types and base building name standards. I. SITE DATA 1. When required for the performance of the project, the Consultant shall perform subsurface investigations. Requests to investigate shall be submitted to the DCAS/AM Project Manager within two (2) weeks of the design kickoff meeting. The level of detail requested by the Consultant shall be approved by DCAS before they proceed with the work. Written results for all subsurface investigations and surveying shall be submitted to DCAS for review. Subsurface GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 21 information may include tests borings, water table determination, taking soil and/or rock samples, and or other physical tests as deemed necessary. Surveying information shall consist of, but not limited to, a topographical and property line map, complete with legal grades, street utilities, reference benchmarks and baseline. The Consultant shall properly analyze the documents and data and develop suitable project solutions in accordance with the best professional practices. Any additional information required shall be requested, in writing, in a timely manner. These analysis and consulting services shall not be considered, or compensated as, Additional Services. 2. The Consultant shall make a personal examination of the designated site, noting all conditions pertaining to the completion of construction of all phases of the project. Conditions on adjacent sites which might be prone to damage, and any inadequacy or uncertainty regarding the facilities or utilities, or other impediments which are reasonably discoverable by the Consultant and would prevent orderly and expeditious construction of the project shall be promptly brought to the attention of the DCAS/AM Project Manager prior to proceeding with services. 3. The Consultant shall design and plan the work with reference to, and in conformity with, such information relating to existing lines, grades, levels, sewers, subsurface structures, conditions, electrical vaults, and facilities, as may be available. This shall be supplemented by an inspection of the site by the Consultant and by an examination of all relevant public records and any additional information or investigation as may be required. 4. The Consultant shall be responsible for preparation of the boring location plans and for the selection of any specimen soil samples for analysis by laboratory tests. 5. Any material furnished by DCAS/AM to meet the requirements of the project shall be at no cost to the Consultant. If DCAS directs the Consultant to obtain topographical and property line surveys, borings, or soil and rock testing, the Consultant shall be reimbursed at cost. J. REHABILITATION OR ALTERATION OF EXISTING STRUCTURE 1. When the project involves alteration of, or addition to, an existing structure, the Consultant shall be responsible as part of the Basic Service fee for verifying all measurements and details of existing spaces, construction and documenting the same for all areas of affected work. All drawings, specifications and data concerning the existing structure furnished by DCAS/AM must be checked in the field by visual examination and physical measurements by the Consultant as well as through all sources of records available including, but not limited to, the DOB files, at no cost to the City. 2. The Consultant shall be responsible for specifying the locations and required number of probes to adequately investigate concealed construction. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 22 3. The Consultant shall be responsible for identifying and notifying DCAS of all locations where its proposed design will disturb, intersect with, or affect in any way, any component of an existing building or facility. This notification and identification shall be in writing and be accompanied by drawings acceptable to DCAS/AM, in its sole discretion, which clearly convey the required information. 4. DCAS/AM will coordinate with the environmental requirement contractor for investigation for the presence of hazardous materials, including asbestos containing material with the project area. The bulk sampling results with corresponding locations will be provided to the Design Consultant. As part of the Basic Services, the Design Consultant will be responsible for the preparation of coordinated abatement plans and specifications to be included in the bid documents. 5. If, through no fault of the Consultant, the existing construction ultimately proves to be at variance with the construction as drawn, the Consultant shall be compensated as stipulated in the Agreement for any necessary Additional Design Services, after approval by DCAS/AM. 6. The Consultant shall, in coordination with the salvage program of the Landmarks Preservation Commission, provide for the salvage of architecturally noteworthy and reusable building elements which are to be removed as a result of this alteration. The Consultant shall photograph such items as agreed upon, and specifically indicate them on the demolition and salvage documents with instructions for the Contractor to protect them and arrange for their delivery to the Landmarks Preservation Commission Warehouse. 7. For Preservation Projects refer to Appendix G Ͳ Design Criteria, for required standards and services. K. COST ESTIMATING SERVICES 1. In addition to the Preliminary and Final Estimates of cost required to be submitted under this Contract, the Consultant shall maintain current information relating to the estimated cost of the project during the design period and shall inform DCAS/AM promptly in writing of any significant changes in such estimated cost due to market conditions or changes in the scope or design of the project. Estimates shall incorporate a project profile, all projectͲrelated costs, escalation, and overhead, including those incurred by items such as phasing of construction, premium work time and temporary relocation of existing facilities. A cost management program shall be maintained throughout the course of the project's design. 2. The Consultant shall, at its own expense, engage a competent cost estimating firm to prepare cost data and required estimates of cost unless DCAS/AM approves the Consultant's inͲhouse cost estimating services. The name of the cost estimating SubͲconsultant shall be submitted in writing for written approval prior to the completion of the Schematic Design. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 23 L. VALUE ENGINEERING (“VE”) VE Studies and Workshops may be conducted on a project at the discretion of DCAS. If DCAS directs the Consultant to participate in more than three (3) they will be deemed Additional Services. The following will apply: 1. The Consultant shall participate in a maximum of three (3) VE Studies to be performed by a VE Consultant, engaged by the City under a separate contract. Studies may be conducted at the conclusion of the following phases: the Schematic Design Phase and the Design Development Phase. Separate VE Studies apply to Special Study and Report projects. The Consultant shall fully cooperate with the VE Consultant and shall supply all requested data during each of these studies. 2. As part of each study, the VE Consultant will conduct a study workshop of a maximum of five (5) consecutive days. Prior to each study, background data will be needed. The Consultant shall make every effort to comply with the VE Consultant’s requests and shall supply the requested material in a timely manner. 3. Before the start of the workshop, the Consultant shall provide appropriate technical personnel to meet with the VE Consultant and the City for the following purposes: a. To allow the VE Consultant to explain the VE Study process. b. To permit the VE Consultant to review the role, activities and responsibilities of the Consultant and the City in relation to the VE Study process. c. To give the City and the VE Consultant the chance to update information submitted by the Consultant on any aspect of the design concept, identify any project constraints, and provide additional documents or other information, as available, which the VE Consultant shall request in order to proceed with the VE study. 4. At the beginning of the first (1st) day of each study workshop, the Consultant shall make available appropriate design team personnel for a design presentation and to respond to questions. For the remainder of the VE Study duration, the Consultant shall make the design team available to answer questions by telephone and electronically. In addition, the Consultant may be requested to attend a brief midͲworkshop meeting with the VE Consultant to identify alternatives that have no chance of implementation. On the last day of the workshop, the Consultant shall attend a meeting at which the VE Consultant will present proposed alternatives and recommendations. 5. The recommendations resulting from the VE Studies shall be submitted to the City in the form of a Draft Report within five (5) business days after the last day of the review session. The Consultant shall prepare a written response to each VE recommendation received. The response shall be submitted to the City for review and final resolution. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 24 6. Modification to the Consultant's documents resulting from the recommendation of the VE Consultant shall be performed by the Consultant when directed in writing by DCAS/AM, after consultation with Office of Management and Budget and other City agencies, where appropriate. ReͲdesign necessitated by scope changes and attendance at VE orientation meetings, VE Study workshops, and the VE Consultant's presentation of study results shall be compensated under this section in accordance with Agreement provisions for Additional Services. No reimbursement will be made for any additional work which is normally part of the Consultant's responsibility such as: (i) work resulting from, or necessitated by, error, oversights or omissions in design, analysis, calculations, layouts, drawings or reports on the part of the Consultant, as determined by DCAS/AM (ii) work resulting from design changes which are needed to meet scope requirements more satisfactorily, as determined by DCAS/AM; and (iii) attendance at meetings with representatives of agencies whose approval is normally required by law. M. CAD DRAWING REQUIREMENTS All project drawings shall be developed on an AutoCAD program drawing system acceptable to DCAS and regulating authorities. Manual design drawings and sketches, normally prepared during Survey, Study and Report phase and Schematic Design phase, are acceptable exceptions. Technical sections and details, on large projects requiring multiple components of different trades, shall be developed in an AUTODESK 3ͲD program. The Consultant shall provide DCAS the 3ͲD project model with the 50%, Final Design and AsͲBuilt submissions. Consultants shall be required to furnish CAD drawing files on CD or USB drive, in addition to the reproducible prints required, when submitting Final Compliance drawings for final record. Prior to commencing CAD work, the Consultant shall obtain written approval from the DCAS/AM Project Manager for the proposed drawing system format, layers, symbols, fonts, line types and base building name standards. N. ENVIRONMENTAL AND ENERGY CONSERVATION DESIGN 1. All applicable facility designs, as part of Basic Services, shall conform to the requirements of the New York State Energy Conservation Construction Code, latest revision, in accordance with: a. Part 3, 7812, "Alternative Building Design Annual Energy Analysis" b. Part 4, 7813, "Building Design by Component Performance" 2. LEED AND EPP DESIGN Design services may include, but shall not be limited to, Leadership in Energy and Environmental Design (LEED) Certification of each project including, without limitation, architecture and general construction, heating, ventilation, air conditioning, plumbing, electrical, elevator, fire alarm, audioͲvisual and protection system(s), and structural work. Projects designed under this contract are subject to one (1) or more environmental laws, in GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 25 particular, Local law 86 of 2005 (the Green Building Law) and local laws on Environmentally Preferable Purchasing (“EPP”), including: Local Law 118 of 2005, Local Law 119 of 2005, Local Law 120 of 2005, Local Law 121 of 2005, and The EPP laws apply to certain construction projects not covered by Local Law 86 (“LL86”), subject to certain exemptions and waivers. In general, projects designed under this contract are subject to the requirements in the EPP laws for construction projects related to Energy Star certified products, bathroom fixtures, lighting products, carpets, architectural coating and construction or furnishing materials. For LL86, in addition to preparing the required documentation for LEED certification, if applicable, the Consultant will be required to provide project data for the purpose of projects using the Local Law 86 reporting worksheet, as requested by DCAS. Such data includes project description, construction costs, LEED credits sought and earned (if applicable), reductions in energy cost and in water use, and incremental construction costs. If the project is intended to qualify for the Enhance Commissioning credit under the LEED rating system, DCAS/AM, at their sole discretion, may require the Design Consultant to retain a qualified Commissioning Agent, as an Additional Service approved by DCAS/AM in writing. For the EPP laws, the Consultant will be required to provide a report on products specified by or for the City that appear in the New York City EPP Construction Products Minimum Standards, for any period requested by DCAS. The report must, at a minimum, contain the following information: agency, item description, quantity ordered and dollar value of all items ordered over the period requested. See latest Local Law and Code updates. Analyses, calculations, vendor information and other data developed by the Consultant in support of recommended systems, components, equipment and materials, shall be submitted to DCAS as part of the project milestone review process during the appropriate phase of the design. Compliance documentation in accordance with Part 1, 7810 of the New York State Energy Conservation Construction Code shall be developed by the Consultant. O. ENERGY CONSERVATION FINANCIAL INCENTIVE PROGRAMS The Consultant shall investigate participation in financial incentive and rebate programs that are offered by the New York Power Authority, Consolidated Edison and the Brooklyn Union Gas Company. The New York Power Authority, for example, has a Commercial New Construction Program wherein rebates for qualified items (Menu Approach) or financial rewards for qualified energy savings measures (Comprehensive Approach) may be obtained. The Consultant shall contact the authority and utility, ascertain the requirements for participation in the program(s), and report to DCAS its assessment of potential financial incentives and associated details. The Consultant shall perform all necessary work according to the requirements of the authority and or utility so that the City of New York obtains the rebates and/or financial incentives. If the Consultant finds that participation in a program(s) is not economically sound, or is otherwise unacceptable, the Consultant should provide written justification for this finding and request a waiver from DCAS on this requirement. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 26 P. FURNITURE AND EQUIPMENT For projects involving furniture and equipment as part of Basic Services the Consultant is responsible for: 1. Program: The Consultant shall meet with the Sponsor Agency and prepare program and estimates which identify all personnel and equipment and corresponding space requirements with required furniture including, without limitation, both freeͲstanding and modular furniture, and adjacencies of groups, units, and operations. The Consultant shall include and coordinate this program and cost information with a minimum of three (3) PreͲSchematic Alternatives. 2. Space Planning and Design: The Consultant shall provide for the space planning analysis and design of the project as detailed herein. The Consultant shall be responsible for providing an acceptable and fully designed interior space using either modular components system(s) or loose furniture, or a combination thereof, in addition to all project specific equipment necessary to make the space functional. The Consultant's design shall optimize the quality of the interior space and environment, taking into account building safety, security, American Disabilities Act ADA requirements, light and ventilation, with the proposed budget and the user's needs. If detailed in the Work Order scope, reͲuse of existing available furniture and equipment shall be considered. Coordination and design of electrical requirements shall be fully incorporated into the Final Design. 3. Guidelines: The project shall be designed based on the guidelines set forth herein and the Sponsor Agency's requirements. The proposed solution shall be fully coordinated with respect to the design of the building. Provide reasonable alternatives to phased moves as necessary to permit new and/or occupied offices, as applicable, to function without disruption to the office’s ongoing operations. 4. Qualifications: The Architect or Interior Designer who performs this work shall be preͲ approved in writing by DCAS, in its sole discretion. If experienced staff is not available inͲhouse, the Consultant may subcontract to an Architect/Interior Designer, or a furniture management firm, who must also be approved by DCAS. 5. Active DCAS Requirements Contracts: The Consultant shall be responsible for selecting furniture and equipment items from current NYC furniture and equipment requirements contracts whenever possible, which DCAS shall purchase separately. 6. Bid Furniture and Equipment: For those furniture and equipment items which are not available from NYC Requirements Contracts, the Consultant shall research and whenever possible select from New York State Office of General Services active contracts and submit to DCAS/AM three (3) manufacturers or vendors for each item to be bid by DCAS, if applicable. 7. Work Not in Contract: Small moveable items, such as waste baskets and desk accessories, are the sole responsibility of the user and are not included in this work. Copiers, computers, GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 27 facsimiles and other equipment shall be included in the Consultant's furniture layout. All equipment is included for the purpose of structural, electrical, HVAC cooling loads, space planning, and general integration of the equipment into the project design. However, the cost of the furniture and/or equipment which is purchased separately by the user client agency or DCAS shall not be part of the project budget or contribute to the calculation of project cost used in computing the Consultant Fee. Specifications and acquisitions of such items are, however, the sole responsibility of the user. END OF SECTION I GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION I APRIL 2015 PAGE 28 SECTION II: CONSULTANT SERVICES FOR PRELIMINARY DESIGN PHASE SCHEMATIC DESIGN & DESIGN DEVELOPMENT A. PRELIMINARY DESIGN SERVICES 1. Design KickͲoff Meeting A meeting of the Consultant, the Sponsor Agency, DCAS/AM and others as required shall be held at the start of each phase of the project, at which time all important project requirements shall be reviewed including, without limitation: a. Requirements of the contract (which includes the Agreement, RFP, Work Order, and this Guide); b. Project intent and goals; c. DCAS and or the Sponsor Agency standards and other pertinent data including site data; d. Activities Checklist and Project Schedules prepared by the Consultant for approval by DCAS/AM identifying due dates for all submittals (see Appendix A – Sample Checklist for Schematic Design and Sample Checklist for Design Development). e. Preliminary approvals required on Consultant's work (see Appendix C Ͳ Regulatory Agencies and Utilities PARͲ1 Form) prepared by the Consultant. 2. Schematic Design a. The Consultant is responsible for producing accurate base line drawings through research, site survey(s), building survey, and verification of dimensions, and existing conditions that shall be incorporated into CAD drawings. b. The Consultant shall evaluate the program and prepare no fewer than three (3) Schematic Design alternatives on their base drawings, or as many as may reasonably be required, or as otherwise directed by the DCAS/AM Project Manager, until DCAS/AM, in its sole discretion, accepts one (1) such scheme and corresponding time projection(s). Each Schematic Design alternative shall be accompanied by a zoning analysis, if applicable, with both cost estimate and time projections. c. The Schematic Design alternatives shall provide and describe various combinations of: exterior wall, roofing, structural, mechanical, plumbing and electrical systems; building siting, orientation, and configuration; site grading and drainage, site paving, planting, and site furnishings; basic furniture layouts for freestanding furniture, equipment, and/or modular furniture; alternatives for other pertinent design elements; various GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 29 alternative furniture layouts; and maintenance, operating and initial costs for each Schematic Design alternative. d. Schematic Design shall meet the DCAS Design Criteria requirements (see Appendix G Ͳ Design Criteria). e. The Consultant shall submit documents for review by appropriate regulatory agencies (see Appendix C Ͳ Regulatory Agencies and Utilities). f. After the approval of a Schematic Design alternative, and if so directed by the DCAS/AM Project Manager, the Consultant shall prepare and submit to DCAS/AM a minimum of six (6) copies of the selected scheme, as required. 3. Design Development a. After acceptance by DCAS/AM of the Schematic Design, the Consultant shall prepare the following documents: 1) Developed and dimensioned plans and other drawings including, but not limited to: building elevations, including Local Law 11 (eleven) compliance site plan, site planting, site paving, site furnishings, site grading, types of foundations, floor plans, elevations and sections indicating types of structural framing and building materials, typical roof and wall sections, proposed floor heights, utility layouts, materials, all furnishings, types of elevators, mechanical systems and equipment including, without limitation, plumbing, heating, ventilation, typical lighting layouts, electrical systems and equipment, and any additional documents mandated by the specific project requirements. 2) Outline Specifications (see Appendix L Ͳ Specifications). 3) Detailed estimate of cost, inclusive off all costs and escalation, to the projected completion of all work and formatted for the DCAS designated construction contractor selection method. b. The Consultant shall adhere to the DCAS Design Criteria requirements (see Appendix G Ͳ Design Criteria). c. After DCAS accepts the developed documents incorporating all revisions requested, the Consultant shall submit a minimum of six (6) sets, together with an updated estimate of cost. d. The Consultant shall also submit perspective renderings suitable for photo reproduction, and other presentation materials based on the developed documents, as required by the Landmarks Preservation Commission, and/or Public Design Commission. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 30 e. Phasing plans delineating, as required, both area(s) impacted, and prioritized sequence of work, along with a reasonable protection plan. f. Acceptance of the Design Development documents is contingent upon the approval, if required, of the Landmarks Preservation Commission or the Public Design Commission and all other Regulatory Agencies and Utilities. The Consultant shall cooperate to the extent requested in obtaining required approvals. B. SCHEMATIC DESIGN DOCUMENTS Shall include, without limitation, the following: 1. Drawings which will: a. Be scaled and dimensioned properly, showing floor heights, room sizes, etc., to illustrate the resolution of program requirements; and b. Illustrate and justify the solution in terms of economic, functional and esthetic factors. 2. Site Plan, as required by the nature of the project, in coordination with the DCAS/AM Project Manager, indicating the following: a. Basic materials and physical features; b. Planting and site furnishings; c. Grading, site utility systems and paving; and d. Property lines, easements and adjacent buildings. 3. Builders Pavement Plan, if required. 4. Floor Plans and Roof Plans, indicating the following: a. Corridors, stairs, elevators, and exits, and compliance with accessibility standards; b. Structural, mechanical and electrical systems;; c. Roof storm water drainage plan, and water retention plan with roof or ground tank retention method; d. All required key plans; and e. All programmed spaces. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 31 5. Elevations, including the following: a. Fenestration; b. Entrance, access and site considerations; and c. Materials. 6. Existing conditions and proposed demolition. 7. All other drawings and study models necessary to fully document and illustrate all major elements of the design. 8. Schematic Design Report including, without limitation, the following: a. Statement of project objectives; b. Review and documentation of existing conditions, including all surveyed site information and data; c. Review and documentation of project program; d. Alternative designs considered and rejected with appropriate explanations; e. Presentation of recommended Schematic Design including analysis of the architectural or engineering concept and its suitability for meeting the program requirements; f. Construction phasing, if required; g. Technical and economic evaluation, including appropriate design calculations, of proposed structural site improvements, electrical, plumbing, (including roof storm drainage retention, if proposed) and HVAC systems, to meet the DCAS Design Criteria (see Appendix G Ͳ Design Criteria); h. Elevator analyses and recommendations for number of elevators and types of control system (simplex, duplex, down collective, etc.); i. Total cubage, net, and gross square footage, comprehensive cost estimate including cost per cubic foot and square foot, coordinated with drawings (see Appendix D Ͳ Cost Estimates). If the project is over budget, the report shall recommend alternative cost/scope reduction proposals; and j. Project Fact Sheet (see Appendix E – Sample Project Fact Sheet). GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 32 9. Presentation Documents as required by DCAS/AM, the Public Design Commission, the Landmarks Preservation Commission, and other appropriate regulatory agencies (see Appendix C Ͳ Regulatory Agencies and Utilities). 10. All objects including furniture and equipment, wherein the Consultant is responsible for all of the following: a. Preliminary Layout: The Consultant shall prepare preliminary workable furniture layout plans to illustrate a conceptual understanding of each room's function as per Sponsor Agency requirements and DCASDCAS design criteria. The plans shall incorporate all loose furniture, systems furniture, builtͲins, and office equipment. Layouts for systems furniture shall be prepared with manufacturer's templates, as available. b. Locating the Sponsor Agency’s equipment, such as copiers, facsimiles, computers, etc., which the client is moving to, or purchasing for their new office. However, it is the Consultant's responsibility to verify that all such equipment shall fit within the designated space, and provide for electrical service or any other physical need for operation of these items, such as ventilation, structural support, etc. c. DCAS Procurement Procedures: During this phase, the Consultant shall meet with the DCAS/AM Project Manager to discuss the DCAS/Office of Citywide Procurement process for procurement which includes items available through active Requirements Contracts, vendor design requirements, specification requirements, OCP procurement process forms, and the bidding process for items not available in Requirements Contracts. C. DESIGN DEVELOPMENT DRAWINGS Shall be organized in accordance with the requirements of DCAS/AM designated construction contractor selection method; General Construction Bid, Multiple Construction Contract Bids or DCAS Multiple Construction RC’s (see Appendix H – Drawing Standard Number One and Appendix K Ͳ Guidelines for Multiple Contracts), in conformance with the Project Labor Agreement (PLA) as applicable. Development of systems designs, utilizing 3ͲD and building information modeling (BIM) technologies beyond the minimum requirement of 2ͲD double line CAD drawings, are encouraged for larger projects with new systems or significant alterations to existing HVAC systems. HalfͲsize reproducibles may be required. Design Development drawings shall include the following: 1. On each drawing: a. Title block information and content (see Appendix H Ͳ Drawing Standard, No. 2). Format may vary, but must be approved by the DCAS/AM Project Manager; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 33 b. Scale, which shall be 1/8" = 1'Ͳ0", unless otherwise stipulated or approved by the DCAS/AM Project Manager. Graphic scale shall be included; c. North arrow on all plans; and d. Key plan where indicated. 2. Existing Site Plan (Topographical Survey) 3. Demolition Site Plan 4. Builders Pavement Plan, if required, in acceptable format 5. Site Development Plans, indicating: a. Engineering scale of one inch equals twenty feet (1" = 20'Ͳ0"), unless otherwise stipulated or approved by the DCAS/AM Project Manager. Graphic scale must be included. b. Entire site within property lines, as well as sidewalks and other access ways outside of lot lines and/or site limit lines, as established by DCAS in its sole discretion; c. Exterior paving, sidewalks, driveways, curbs, yards, courts and curb cuts; d. Adjoining structures, retaining walls, fences, railings and gates; e. Landscaping including trees, tree pits, street trees, ground cover and planting; f. Existing and new grade elevations, and land contours at appropriate intervals at building and around site (elevations shall be given in feet and decimals to the nearest hundredth). If appropriate, use spot grades at entrances, surrounding property lines, walls, stairs, drain inlets and major changes in site slope Ͳ all are to show the surface flow characteristics of the site; g. Location of new building or buildings, number of stories, clearances from building lines and finished floor elevations; h. Encroachments on site and all site easements; i. Elevations of adjoining building foundations; j. Surface and subsurface utilities including drainage, lighting, traffic, electrical, water and irrigation. Show or describe all basic site utility systems, equipment, fixtures, controllers and subsurface structures; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 34 k. Abbreviations, legend and general notes; l. Zoning data, including diagrammatic resolution of requirements; m. Location within designated historic district, if applicable; n. Integration of sculpture and other fine arts features, as approved; o. Full planting list with Latin botanical names, size and root containment type; p. Boring locations, if applicable; q. Outline Specifications (see Appendix L Ͳ Specifications) of all materials and methods; r. Site removals plan;;identify materials for recycling, if applicable; s. List proposed details; t. Provide catalogue cuts of manufactured products for site use; and u. Sections and elevations of key site elements such as fences, walls, gates, site furnishings, etc. 6. Diagrammatic Plans indicating: a. Appropriate scale; and b. Functional arrangement and relationship of program spaces. Note that diagrammatic plans may not be required by the DCAS/AM Project Manager on small projects. 7. Other Architectural Floor Plans indicating the following: a. Scale, which shall be one quarter inch equals one foot (1/4" = 1'Ͳ0"), unless otherwise stipulated or approved by the DCAS/AM Project Manager; b. Room finish schedules on each plan sheet; c. Net and gross design areas and program area tabulations; d. Dimensions including room sizes and room areas; e. Building lines; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 35 f. Functional units as programmed in the specific project requirements, or as approved in the PreͲPreliminary Phase or Schematic Design Phase; g. Number and designated use of rooms and spaces; h. Walls shaded in or outlined, as approved by the DCAS/AM Project Manager; i. Fixed, modular system furniture, and movable furniture, fixtures and equipment; j. Columns and other structural elements; k. Finish floor elevations; l. Integration of sculpture and other fine arts features; m. Fire ratings of walls, partitions and ceilings; and n. Door Schedule and Window Schedule. 8. Elevations and Sections indicating the following: a. Scale, which shall be one eighth inch equals one inch (1/8” = 1”), unless otherwise stipulated or approved by the DCAS/AM Project Manager; b. All materials, building site features and colors; c. Floor elevations and floor heights for each story, conforming to elevations on the plans; d. All spaces with space names; e. Walls shadedͲin or outlined, as approved by the DCAS/AM Project Manager; f. Finished grades around building and site; g. Elevations of each façade; and h. Longitudinal and transverse sections. 9. Interior Elevations and Perspectives indicating the following: a. Scale, which shall be one quarter inch equals one foot (1/4" = 1'Ͳ 0"), unless otherwise stipulated or approved by the DCAS/AM Project Manager; b. All materials and colors; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 36 c. Floor elevations and floor heights; d. All spaces with space names; e. All furniture locations; and f. All furniture in the proper sizes and shapes, as per vendor specifications. 10. Interior Design indicating the following: a. Fully dimensioned floor plans with component systems, system furniture and freestanding furniture layouts; b. Complete equipment and component system documents, showing all necessary information required by vendors for ordering and installation; c. Telephone layout; d. Computer layout; e. Proposed graphics package with location schedule; f. Individual room plans; g. Installation Specifications; and h. Presentation boards of all materials to be used within interiors layout. 11. Typical Wall Sections indicating large scale typical wall assemblies complete in all details. 12. Structural Drawings indicating the following: a. Design criteria, including applicable codes, soil bearing values, pile capacities and requirements more stringent than, or not covered by, codes; b. Loading schedules including, without limitation, live loads and special loads; c. Material characteristics including, without limitation, strength of concrete, grades of steel and piling materials; d. Foundation plan, typical details and footing schedule; e. Support to adjoining structures, where applicable; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 37 f. First floor, typical floor, and roof framing plans; g. Separate structural framing plan and detail drawings for rehabilitation projects; h. Typical slab and spandrel details; i. Method of fireproofing; and j. Extent and type of waterproofing. 13. Plumbing and fire protection drawings and design documents indicating the following: a. Outside services to building; b. Related appurtenances such as catch basins, inlets and manholes; c. Riser diagrams for the various systems; d. Location of all plumbing equipment such as storage tanks, sewage ejectors, sump pumps, fixtures and site hose bibs; e. Various systems used, piping materials and related equipment; f. Roof and site drainage; g. Fire protection water supply calculations, including water supply flow testing data; h. Fire pump calculations, where applicable; i. Preliminary hydraulic and water reserve calculations for sprinkler systems; j. The sprinkler system work shall be shown and detailed on drawings separate from all other work; k. Fire protection floor plan(s) showing equipment spaces for fire protection systems (e.g. fire pump, fire command center), fire protection water supply lines and fire hydrant locations, standpipes and sprinkler risers, zoning, location of special fire protection requirements (if applicable) and existing equipment; and l. Fire protection drawings shall include riser diagrams for sprinkler system. 14. Heating, Ventilating, Air Conditioning Drawings and Design Documents indicating, as a minimum requirement, the following: GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 38 a. Summary report on criteria and design decisions used to determine spare capacity and redundancy for all major pieces of equipment. The report is to be approved by DCAS/AM and the Sponsor Agency as part of preliminary submission, prior to proceeding with Final Design; b. Outline Specifications (see Appendix L Ͳ Specifications); c. Type, capacities, and zoning of all Heating, Ventilation, Air Conditioning, Fire Protection and other special systems; d. Location of all major pieces of equipment and all equipment room layouts. Block equipment layout is acceptable; e. Preliminary air, water and steam riser diagrams, and preliminary flow diagrams for all new systems and for all existing systems which are being modified; f. Single line plans for major ductwork and piping runs, with preliminary sizes indicated; g. All ductwork and piping risers, and shafts, stacks and chimneys; h. Complete heating and cooling load calculations. Summary of loads and a breakdown of individual peak space loads and ventilation loads. Summary of simultaneous peak loads for equipment selection; i. Design temperatures and percent humidity to be maintained in each space; and j. Smoke control and stairway pressurization calculations, where applicable. 15. Electrical Drawings indicating the following: a. Location of all spaces using the same room names and room numbers indicated on the architectural drawings; b. Site plan showing locations of the electrical service room and anticipated point of entry; c. Site plan showing locations of the telephone service room and point of entry; d. Floor plans showing the following: 1) of electric service room, telephone service room, electric closets and panels, motor control centers and telephone closets; 2) Single line diagram of electric service and power distribution; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 39 3) Riser diagrams of the various systems including fire alarm, intercom and security. Alternatively, the various systems can be described in detail in the Outline Specifications (see Appendix L Ͳ Specifications); and 4) Lighting fixture details or catalogue cuts of selected fixtures with photo metrics and tables showing Coefficients of Utilization; e. Separate footͲcandle calculations for typical areas; f. Motor and electric equipment locations; g. Typical power wiring, lighting wiring, and controls; h. Pertinent design calculations; and i. Site lighting and site electrical outlet systems. 16. Title Sheet information and content (see Appendix H Ͳ Drawing Standards). Format may vary but must be approved by the DCAS/AM Project Manager. 17. Deliverables shall include, without limitation, the following: a. Cover sheets, front and back with continuous binder, size as approved by DCAS/AM Project Manager in consideration of the size of the project; b. Title page, as approved by DCAS/AM Project Manager; c. Letter of Transmittal with Consultant signatures, including a description of buildings and site with comments on various design features. Reconcile any differences between a project’s scope and the submittal; d. Title sheet; e. Table of Contents including page numbers; f. Renderings and/or perspectives, with the approval of the DCAS/AM Project Manager and color digital images (300 dpi or greater) of Renderings and Models, when required; g. Prints of all drawings, which may be folded; h. Outline Specifications (see Appendix L Ͳ Specifications); i. Estimate of Cost (see Appendix D Ͳ Cost Estimates); GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 40 j. Preliminary structural design calculations; and k. Project Fact Sheet (see Appendix E Ͳ Project Fact Sheet). 18. For projects involving furniture and equipment, all of the following: a. Plans: The Consultant is responsible for further development of the furniture plans to demonstrate the developing design. The Consultant shall identify all items intended for procurement through DCAS Requirements Contracts as well as potential bid items. During this phase, the DCAS/AM Project Manager will clarify any outstanding design, programmatic, or budget issues the Consultant may have, upon the Consultant’s request in writing. b. Furniture Specifications Book: 1) The Consultant is responsible for providing a furniture specifications book which will be separated into two (2) categories: (i) Requirements Contract furniture; and (ii) items which will require bidding. The specifications will contain, at a minimum, the following for all items in each category: furniture cuts, specifications, manufacturer's literature, finish selections, color charts, photographs, etc. Items to be bid shall also include identification of three (3) vendors or manufacturers for each item. 2) A separate, third category of inventoried furniture and equipment to be reͲused may be requested by DCAS, in its sole discretion. The inventory will contain the following for all items in each category: furniture type, measurements, primary finishes and specifications or manufacturer's literature (if known), etc. c. Cost Estimate: The Consultant shall provide a preliminary cost estimate for all items. The estimate shall identify the vendor, item description, order number, quantity, and cost. The estimate shall also be divided into two (2) categories: Requirements Contracts, and Bid Items (unless inventoried items to be reͲused are requested by DCAS, in its sole discretion). d. Installation Drawings: The DCAS/AM Project Manager shall provide a sample of the DCAS/AM required format for preparation of installation plans of loose furniture. For systems furniture, installation drawings are the Contract Documents which are dimensioned and identify all components, along with coordinated electrical and communications connections, etc., according to the vendor's requirements. e. Certification: The Consultant shall certify in writing that all furniture layouts comply with the Sponsor Agency requirements, and DCAS/AM design criteria, and work well for the needs of the project. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 41 D. OUTLINE SPECIFICATIONS The Outline Specifications (see Appendix L Ͳ Specifications) shall provide a written description of the materials, systems and equipment proposed for the project, and shall be: 1. Coordinated with the drawings. 2. Similar to the format of the latest Construction Specifications Institute (CSI), except that the items of work to be performed by the various trades, as defined in union agreements, shall be included in the Division for that trade, and except that the Division numbers and titles for the Mechanical and Electrical Contracts shall be modified as follows: a. Contract for Plumbing Work (Contract No. 2). b. Contract for Heating, Ventilating and Air Conditioning Work (Contract No. 3). c. Contract for Electrical Work (Contract No. 4). d. Note that Mechanical and Electrical Contracts shall normally be numbered and sequenced as indicated above, with General Construction work being Contract No. 1. For projects which do not consist of all four (4) contracts, however, the numbers shall be adjusted to maintain an uninterrupted sequence, in consultation with the DCAS/AM Project Manager. 3. Given a section name and number for each trade and material. 4. Listed in a Table of Contents, organized by Contract, with each Division and its related sections listed with page numbers and revision date on each page as per Guidelines for Multiple Contracts, (see Appendix K Ͳ Guidelines for Multiple Contracts). E. MULTIPLE CONSTRUCTION CONTRACTS Drawings shall be organized as follows (see Appendix K Ͳ Guidelines for Multiple Contracts): 1. Contract No. 1: General Construction, including Site work and Elevators. The Consultant shall include analysis of traffic survey for elevators, if required. 2. Contract No. 2: Plumbing. The Consultant shall include sprinkler system(s) and standpipe system(s), if required. 3. Contract No. 3: Heating, Ventilating and Air Conditioning 4. Contract No 4: Electrical GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 42 5. Other Contracts, as necessary, The Consultant shall verify with the DCAS/AM Project Manager and shall modify as deemed necessary by DCAS, in its sole discretion, the establishment of the separate contracts, as variations in the Scopes of Work for the different trades may warrant exceptions to the above. F. BUILDING AREAS AND VOLUMES Building areas and volumes shall be calculated in accordance with the definitions in Appendix D Ͳ Cost Estimates, and be tabulated floor by floor as per the chart below. Area Area Height Volume Net Sq. Ft. Gross Sq. Ft. Ft. Gross Cu. Ft. Cellar First Floor Other Floors (list separately) TOTAL G. DETAILED ESTIMATE OF BUILDING COSTS All detailed estimates of building costs shall: 1. Meet the requirements of Appendix D Ͳ Cost Estimates; 2. Include a list of the project parameters as listed in Appendix E – Sample Project Fact Sheet; 3. Reconcile to DCAS/AM’s standards any differences in the cost between the Schematic Design and Design Development presentations. If cost projections have increased, the Consultant may be required to reͲdesign to conform to the previously approved budget, as determined by DCAS in its sole discretion. H. ART WORK 1. If the project is deemed eligible for the PercentͲforͲArt Program, an Artist will be selected during the Schematic Design phase, in accordance with the guidelines set by the New York City Department of Cultural Affairs’ PercentͲforͲArt Program. 2. The Artist will enter into a contract with the Consultant, who will coordinate with the Artist as the artwork develops. The contract will outline the responsibilities of each. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 43 I. RENDERINGS All renderings shall be: 1. Titled with name of the Consultant, the Sponsor Agency and DCAS/AM. All renderings shall be matted and framed, using one and one quarter inch (1Ͳ1/4”) wide simple molded birch or metal frame of appropriate strength, and glazed with glass; and 2. Accompanied by a digital image 300 dpi or greater of each rendering, suitable for reproduction. J. MODELS Models shall be: 1. Complete in scope, detail and color, as mandated by the Specific Requirements; 2. Provided with clear plastic covers, where practicable; 3. Accompanied by proper table bases; 4. Titled; and 5. Accompanied by a digital image 300 dpi or greater of each model, suitable for reproduction. K. MATERIALS BOARDS Materials Boards shall include: 1. Exterior materials, as required by DCAS/AM and by the Public Design Commission, and if applicable, by the Landmarks Preservation Commission; 2. Interior materials as required by DCAS/AM, in its sole discretion, and if applicable, by the Landmarks Preservation Commission. L. PROCEDURES FOR PRELIMINARY DESIGN PHASE The Consultant shall: 1. Work closely with DCAS/AM and the Sponsor Agency to resolve questions as they arise. All verbal instructions and decisions shall be recorded in writing by the Consultant and submitted to the DCAS/AM Project Manager as part of, or in addition to, the meeting minutes. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 44 2. Inform the DCAS/AM Project Manager of all meetings, other than progress meetings, related to the project. 3. Attend, participate and provide submittals at Progress Meetings as required by the DCAS/AM Project Manager, usually once every two (2) weeks. 4. Provide submittals to, and obtain approvals from, the Public Design Commission, Landmarks Preservation Commission, and other appropriate regulatory agencies as applicable (see Appendix C – Regulatory Agencies and Utilities). 5. Submit the list of project parameters (see Appendix E – Sample Project Fact Sheet) with the Schematic Design submission and Design Development submission. 6. Attend the meeting(s) for the presentation of the final Schematic Design and present the submittal. 7. Obtain from DCAS/AM at the end of Schematic Design, authorization and approval to proceed with the project into Design Development. 8. Monitor the estimate of costs during Design Development and reͲdesign if necessary to stay within the budget, and provide projected options for maintaining budgetary constraints. 9. Coordinate with the DCAS/AM Project Manager all material and information to be included in the presentation documents. 10. Obtain from DCAS/AM at the end of Design Development, authorization and approval to proceed with the project into the Final Design Phase. END OF SECTION II GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION II APRIL 2015 PAGE 45 SECTION III: CONSULTANT SERVICES FOR FINAL DESIGN PHASE A. FINAL DESIGN SERVICES: 1. Final Design KickͲoff Meeting A meeting of the Consultant, the Sponsor Agency, DCAS/AM and other DCAS team members as required shall be held at the start of Final Design, in order to: a. Review the Consultant's updated project schedule; b. Review all significant project decisions; and c. Assure that all parties clearly understand the resolution of issues as indicated by the approved Preliminary Documents, so that the preparation of Final Contract Documents may proceed. 2. The Consultant shall review and verify current existing site conditions and any other applicable data within thirty (30) days prior to the Final Compliance Drawings Submission. 3. The Construction Contract Documents shall include: a. Complete coordinated and detailed drawings and specifications; b. A detailed cost estimate for each trade discipline organized according to the standard specification sections and by prime contract if construction contractor selection will be through multiple contracts; c. The construction schedule worked out with phasing, to satisfy the Sponsor Agency and DCAS/AM Project Manager; and d. All forms and data necessary for preparation of a proposal for bids, satisfactory to DCAS/AM in its sole discretion. 4. The Drawings and Specifications shall include all pertinent information necessary to fulfill the stipulations of the specific project requirements. They shall clearly indicate all construction details and provide all dimensions. The Specifications shall be contain all information necessary to enable prospective bidders to make accurate and reliable estimates of the quantities, quality, and character of the labor and materials required to erect and complete the project and to install the required equipment in a firstͲclass workmanlike manner. 5. All furniture and equipment layout plans shall include fixtures and appliances which shall become a fixed part of the project and are essential to render the project fit for the intended use. The Consultant shall plan and provide adequate and proper space for movable equipment GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 46 and furniture. The Design shall include all necessary structural, HVAC, and electrical, technical and engineering services to accommodate all equipment. 6. The Consultant shall immediately inform the DCAS/AM Project Manager in writing of any adjustments to the last approved estimate of the total construction cost of the project. The Consultant shall modify the design as may be required to comply with the budget limitations. B. APPROVALS REQUIRED ON CONSULTANT'S WORK 1. The Consultant is responsible as a Basic Service to file and secure the Approval of all required oversight agencies. Such agencies and offices may include, without limitation, the DOB, Department of Environmental Protection, and Fire Department. 2. All perforated drawings that are submitted to DCAS/AM for Final acceptance shall bear all stamps of approval and be accompanied by all necessary approved applications, certificates, and permits of all the agencies and utilities, authorities, and New York City, New York State and Federal agencies having jurisdiction over any phase of the work (see Appendix C – Regulatory Agencies and Utilities). 3. Where approvals have been received and changes have subsequently been made affecting the work covered by the approvals, the Consultant shall arrange to resubmit and receive approval for the revised work. Compensation for changes where applicable shall be made in accordance with terms and conditions in Section VI Ͳ Consultant Services During Construction. C. PREPARATION OF MULTIPLE CONTRACTS 1. The Consultant shall prepare separate Drawings and Specifications, as required by DCAS/AM in its sole discretion, to permit the award of separate Contracts for General Construction, Plumbing, HVAC, and Electrical Work, as directed in the Design Development phase. Additional separate Contract Documents may be required when necessitated by the particular requirements and staging of the project, for elevators and escalators, equipment, demolition, excavation and foundation work, or for other special items. Sprinkler work shall be shown and detailed on drawings which are separate from all other work within that contract. 2. Final determination of the identity of the separate contracts appropriate for the project shall be made by DCAS/AM, in its sole discretion, prior to the start of the Final Design phase. The Consultant shall provide current estimates for DCAS/AM to determine how to separate contracts, as may be applicable. All Contract Documents shall be properly coordinated so as to preclude the necessity for changes, adjustments or extra work orders during construction. See Appendix K – Guidelines for Multiple Contracts, for additional details. 3. FastͲtrack construction or Design/Build projects may require the preparation of multiple separate packages. Such packages can be considered separate phases of a project that are GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 47 carried out concurrently with no adjustment in design fee(s). Coordination of documents remains the highest priority. D. COORDINATION OF DRAWINGS 1. It shall be the responsibility of the Consultant to coordinate the design of the Architectural, Structural, Plumbing, HVAC, Elevator, and Electrical Work to avoid interference among and within the several trades on the basis of their design. 2. Any interference between the trades caused by inadequate design or coordination of the Contract Documents will be the responsibility of the Consultant. The Consultant will be required to prepare, at no additional cost to the City of New York, any addenda or supplemental drawings necessary to resolve interferences found prior to or during the bidding period, or during construction, and implement any other remedial solutions, as determined by DCAS/AM in its sole discretion. E. FINISH MATERIALS AND COLORS 1. As a continuation of the Schematic and Design Development Submittals and Approvals, including the Public Design Commission, Landmarks Preservation Commission, Sponsor Agency, etc., the Consultant shall document the Final Finish Materials and Colors to be incorporated into the project. 2. After obtaining approval of the Sponsor Agency and the DCAS/AM Project Manager for exterior finishes, interior finishes, paint, and all furniture with finishes and fabrics indicated, the Consultant shall submit four (4) copies in book or board format with all approved material samples in selected color and finish and corresponding specification code or other identification description, as requested, to the DCAS/AM Project Manager (for the Sponsor Agency, DCAS office, field, and Contractor) prior to submitting the Final Drawings and Specifications. An additional copy shall be retained by the Consultant for the Consultant's file. F. FINAL ESTIMATE OF COST 1. As the Final Design progresses, the Consultant shall keep track of the project construction cost and advise DCAS/AM of any changes prior to Final Design submission. If it appears that the construction cost limitation will be exceeded, the Consultant shall review probable areas where economies can be effected and submit such recommendations for approval to keep the construction cost within the budget. The Consultant is otherwise to reͲdesign, as directed by the DCAS/AM Project Manager, at no additional cost to the City. 2. The Consultant shall prepare and submit to DCAS/AM for acceptance, a complete and final estimate of the total construction cost of all work necessary for the complete construction of the project, based upon the Final Drawings, Specifications and current industry standards or the provided RC unit pricing by DCAS. On construction bid projects and projects utilizing GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 48 Requirements Contracts for construction, in the event that the sum of the low bids of all qualified and responsible Contractors is in excess of one hundred five percent (105%) of this approved Final Estimate of Cost, the Consultant, to bring the total construction cost of the project within the approved Final Estimate of Cost, shall, at no additional cost to the City, revise all or any part of the project that DCAS/AM in conjunction with the Consultant may deem advisable. 3. The Final Estimate of Cost shall meet all DCAS/AM requirements (see Appendix D – Cost Estimates). There shall be no design contingency indicated in the Final Estimate. Estimates shall not include equipment purchased separately by the client agency or the DCAS/AM. G. FIFTY PERCENT (50%) SUBMISSION OF FINAL DESIGN 1. Preconstruction Strategy Meeting In conjunction with the Fifty Percent (50%) submission of Final Design Drawings, the Consultant and appropriate SubͲconsultants, the DCAS/AM Project Manager, a representative of the DCAS Environmental Unit (if required), and the Sponsor Agency representative shall conduct a Preconstruction Strategy Meeting at the site. When the visit occurs earlier than ninety (90) days prior to the submittal of Final Drawings and Specifications for bidding, the DCAS/AM Project Manager may elect to have a final site visit approximately thirty (30) days before Bid Documents are due. Items to verify during the Preconstruction Strategy Meeting and a final site visit for inclusion in the Contract Documents, as required, may include, without limitation, all of the following: a. Tenants on site; b. Layout(s) delineating Phasing and Safing Plan to confirm access and means of egress as well as all other conditions that would affect construction of the project; c. Sponsor's ongoing operational and service requirements, if site is occupied; d. Locations for storage of materials, field offices and other support functions relating to construction; e. Any new conditions involving demolition or additional deterioration of existing elements. For exterior work, the Consultant shall confirm the progressive deterioration of building elements; f. Existing utility services; and GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 49 g. Requirements to maintain operations of the building. This includes accessibility with regard to shed(s), fence(s), safingͲoff wall(s), etc., as well as coordination of the same with security, egress, and building operations. 2. Regulatory Approvals At this stage of the project, the Consultant shall complete all submissions to utilities and regulatory agencies. The Consultant shall submit an updated PARͲ1 Form; see Appendix C, on all required submittals to the DCAS/AM Project Manager showing actual submittal dates and approvals received and identifying any issues that have yet to be resolved. 3. Drawings and Specifications a. All required submissions including, without limitation, architectural, landscape, structural, plumbing/fire protection, HVAC, and electrical submissions, shall each show a minimum of fifty percent (50%) completion and shall meet all of the following requirements: b. Any variations from the approved Design Development presentation documents shall be noted in the letter of transmittal. 1) A summary of the CSIͲformatted Specifications with appropriate sections shall be in draft form. c. All Architectural and Engineering Drawings shall: 1) Clearly indicate separation of contract work among the various prime contracts; 2) Use drafting scales as approved by the DCAS/AM Project Manager; and 3) Include symbols, legends and abbreviations. d. The Architectural Design, including Interior Design shall include: 1) All floor plans with all major partitions, columns and door swings shown; 2) Building sections and elevations with materials shown; 3) Locations for all sections and details, showing all building conditions; 4) All reflected ceiling plans; 5) Door and finish schedules; 6) Elevator shafts, layouts and details, and color board; and 7) Indication of "NotͲinͲContract" furniture and equipment, where useful to explain the intent of the layout and where large or complex layouts are involved, shall have separate furniture drawings. Such drawings shall clearly indicate all critical dimensions to be maintained. e. The Landscape and Site Design Drawings shall include: GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 50 1) Site plan with existing and proposed major grade elevations, land contours, materials and dimensioned locations of primary site features; 2) Builder’s Pavement Plan and Topographical Survey, if applicable; 3) Planting plan; 4) Site materials plan; 5) Details of key site design elements; and 6) Drainage and irrigation systems plan. f. The Structural Design shall indicate: 1) Type and strength of all structural materials; 2) Design soil bearing value and footing/pile type and capacity; 3) Sizes, locations and details of major structural elements and their connections, including framing plan(s), equipment supports, and site structures; 4) Bottom elevations of all footings, estimated pile lengths and underpinning requirements; 5) Location and details of all construction, control and expansion joints, and waterproofing details; 6) Design live load and column load schedules; and 7) Required construction procedures and special shoring or bracing requirements. g. The Plumbing and Fire Protection Design shall: 1) Indicate on the site plan the location of storm and sanitary sewers, connection to existing sewers, pertinent inverts, size and location of water services (domestic and fire) and location of gas service; 2) Include plans showing location and size of all roof drains (standard or internal weir) interior storm, sanitary, cold water, hot water, circulating, gas and fire standpipe piping; 3) Indicate location and grade elevation of catch basins, manholes, drains, etc.; 4) Indicate size and capacity of oil separators, hot water storage tanks, sump pumps, sewage ejectors, house pumps, etc.; 5) Include riser diagrams for all systems; and 6) Provide for natural gas systems, complete information on a single drawing including details and notes; 7) For any fire modeling generated results, submit a copy of the input data and all pertinent program material and assumptions required to understand the output and the analysis. A narrative of the input and results must be part of the calculations; 8) Fire protection water supply calculations, including water supply flow testing data; 9) Fire pumps calculations, where applicable; 10) Water reserve calculations for sprinkler system; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 51 11) Provide full set of fire protection construction drawings indicating branch sprinkler piping and head locations; and 12) Fire protection details (all typical details must be shown on the drawings): i. Fire pump configuration ii. Anchorage of underground fire protection water supply lines iii. Standpipe riser iv. Installations of water flow switches and tamper switches v. Sprinkler floor control valves, sectional valves and test assembly vi. NonͲwaterͲbased fire extinguishing systems (e.g. wet chemical) vii. Special fire protection systems (e.g. kitchens, computer rooms, etc.) h. The Heating, Ventilating, Air Conditioning (HVAC) Design shall: 1) Indicate on floor plans (drawn at one quarter inch equals one inch Ͳ 1/4" = 0'Ͳ 1", scale), the major components of all systems, i.e. room by room duct distribution, diffuser/register locations, branch sprinkler piping and head locations, HVAC control sensors etc.; 2) Indicate ductwork with doubleͲline drawing; 3) Indicate all piping, including valves, etc., three inch (3”) diameter and larger with true size double line drawing; 4) Indicate mechanical room layouts, duct shaft layouts and pipe routing, duct and pipe risers, as well as roof plan showing all roof mounted equipment and access to roof; 5) Indicate all mechanical equipment room plans, drawn at one quarter inch equals one foot (1/4”Ͳ 1’Ͳ0”) scale or larger. Mechanical equipment room sections are to be drawn at one quarter inch equals one foot (1/4”Ͳ 1’Ͳ0”) scale or larger. Scales are subject to approval by the DCAS/AM Project Manager prior to start of Final Design; 6) For all mechanical equipment, the Consultant shall clearly indicate on the drawings the manufacturer's equipment access and service space requirements. All equipment components, such as fans, coils, electric motors, filters, pumps, dampers, valves, temperature, pressure, flow, containment/ combustion gases or vibration gauges and required controls, shall be identified and have sufficient space for maintenance, repair and replacement. All air handling units shall have coil, filter, access, mixing plenum and other sections clearly identified. All dampers, both fire dampers and volume control dampers, must be indicated. Ductwork must be indicated in true size double line drawing; 7) Indicate type, capacity and zoning of interior and perimeter heating, ventilating, air conditioning terminal units, and other special systems. The Consultant shall GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 52 submit equipment schedules with basic equipment design parameters completed; 8) Provide complete schematic flow diagrams for all systems, both new and existing to be modified (i.e. air, steam, chilled water, condenser water, hot water, fire protection, fuel oil, etc.). For steam and all water systems the Consultant shall provide a complete diagram of the systems, showing all necessary equipment, valves, etc. Schematic airflow diagrams for air handling, air conditioning and exhaust systems shall show all dampers, return/relief air routing and supply/return/relief maximum and minimum air quantities; 9) Detail sequence of operations and control system(s). Control diagrams shall be provided for new BMS systems and for new and existing systems when interͲ facing with BMS system. Specification and drawings shall include a specific for the project operating sequence and all required interlocking for each system; Control diagrams shall be provided showing all sensors, valves, and controllers; 10) For equipment rooms, corridors and all areas involving the work of more than one (1) trade, the Consultant shall provide composite drawings and a minimum of two (2) sections drawn at one quarter inch equals one foot (1/4”Ͳ 1’Ͳ0”) or larger scale showing all new equipment of all trades and showing existing equipment and conditions. If mechanical room contains multiple pieces of equipment or is located in a tight space, sufficient sections shall be developed to show the elevations of all equipment, piping, ductwork, electrical conduits, structural members and supports; 11) Provide plans indicating location and weight of all equipment, openings and penetrations, and means of support and equipment pads; and 12) DCAS/AM reserves the right to direct, at no additional cost to the City, the Consultant to make changes in equipment size, location, capacity and performance for all portions of the Consultant's design which were not adequately represented or previously approved by DCAS during Preliminary submissions. i. The Electrical Design shall: 1) Identify all spaces, using the same room names and room numbers indicated on the architectural drawings; 2) For large projects, have electrical plans separated into three (3) categories, as follows: lighting plans, power plans and low voltage system plans; 3) Locate lighting fixtures, devices, panels, motors and all electrical equipment and risers on plans; 4) Show all branch circuiting and show separate circuits for lighting and receptacles. Common neutral may be used for lighting circuits only; 5) Show riser diagrams or single line diagrams for all systems; 6) Show control wiring diagrams where necessary; 7) Show detailed panel schedules. Provide twenty five percent (25%) spares (circuit breakers and feeder capacity); GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 53 8) Show lighting fixture details with detailed method of support; 9) Show single line diagram for electric service and power distribution; 10) Provide short circuit calculations and voltage drop calculations for all affected points in the distribution system. Indicate short circuit values on appropriate points of the single line diagram; 11) Specify circuit breaker type protective devices if the short circuit calculations permit; 12) Provide for selective coordination between the service switch and the switchboards, and downstream of the switchboard; 13) Design and specify equipment to withstand the maximum short circuit current available from the utility; 14) Specify all electrical equipment and material in the Contract; 15) Specify all lighting fixtures in complete detail; 16) Specify and describe all systems in the Contract; and 17) Complete the Motor and Equipment Schedule at the end of the General Electrical Requirements. j. Other Building Systems; building surveillance, and audio/visual system, etc. shall: 1) 2) 3) 4) Include location plan; Provide coͲordination for installation of power supply; Show oneͲline diagram/block diagram of system components; and Specify and describe all components. k. For projects involving furniture and equipment, the Consultant shall be responsible for all of the following: 1) Space Planning: Develop space planning based on the given program. 2) Furniture layouts. 3) Plans: The Consultant shall provide completed furniture plans for all projects as part of Basic Services which are dimensioned, labeled, and keyed, and include all space system furniture, loose furniture, builtͲin furniture, and equipment. The Consultant shall develop furniture plans which illustrate points of entry for electrical outlets, telephone jacks, computer locations, etc. for furniture systems. 4) In addition to the Basic Services Furniture Plan, when a Consultant is directly responsible for detailed layouts and installation services of module systems furniture, the Consultant will proceed via written direction. Such furniture layout services shall include, without limitation: 5) Drawings for loose furniture and systems furniture shall indicate dimensions, room numbers, and both shall contain a furniture legend and keys to identify all items shown on the plans. Systems furniture plans must meet with vendor's requirements as to format, key and installation guidelines. For systems furniture, the installation plans are the complete set of component, panel, and electrical plans, as required by the vendor. Based on these detailed layout drawings, the GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 54 6) 7) 8) 9) Consultant shall provide all Manifest Order Forms necessary to purchase required components for a complete installation. Phasing of Furniture Acquisition: If necessary, the Consultant shall coordinate with the vendors to prepare separate manifests for each floor and/or construction phase of the project, ensuring that deliveries will be prompt, installation complete, and furniture storage for future phases kept to a minimum, without incurring additional costs. i. Furniture Specifications Book: The Consultant shall provide the completed furniture specifications book, prepared in two (2) sections (Requirements Contract purchase and bid items) and with keys to crossͲ reference individual items with the plans. Color and Sample Boards: The Consultant shall provide three (3) different color schemes and prepare a complete set of color boards of the selected solution showing furniture finish and fabric selections complete with labeling and room locations. These boards shall be presented in conjunction with the building interior colors and material boards. The Consultant shall also provide three (3) sets of finalized furniture finish and color boards or books. Cost Estimate: The Consultant shall provide an updated and tentatively final furniture and equipment budget summary by vendor, including all required contingencies. Installation Plans: The Consultant shall provide installation plans for loose furniture and equipment and space system furniture. Space system furniture plans shall meet all vendor requirements which generally include, without limitation, fully `dimensioned and labeled panel layouts, component layouts, and electrical, telephone and computer layouts (including wall and floor entries) illustrating all item locations, and shall include item sizes and all hardware and finish schedules necessary to form a complete set of documents for the purchase and installation of a fully functioning system. All electrical and communication connections and all other physical needs shall be coordinated with the Final Design drawings. H. FINAL DRAWINGS AND SPECIFICATIONS 1. All Drawings shall: a. Completely and fully define the work required under each contract on a CD or USB drive in the latest AutoͲCAD format compatible to the DCAS/AM computer program(s); b. Be prepared and coordinated with specifications in accordance with a standard organization such as that described in the Building Design and Construction Documents sections of the AIA Handbook of Professional Practice or as otherwise approved by the DCAS/AM Project Manager in accordance to the construction contractor selection method; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 55 c. Develop and adhere to all the requirements of the approved Preliminary Design Phase drawings; d. Include composite coordinated drawings as described above; e. Be clear so that legible, halfͲsize reproductions can be made and have: 1) Sufficient line density to provide uniform photographic quality; 2) Minimum lettering height of five thirtyͲseconds inch (5/32”). Use full height spacing between lines; and 3) Contain UPPERCASE type only for all lettered material on the drawings, except within the Title Block if appropriate. f. Contain color schedules which will be correlated to materials and color chart; g. Be presented on both reproducible prints and CAD; h. Include boring and other subsurface information and topographical maps, noted "For Reference Only"; and i. Contain graphic and alphaͲnumeric scales, delineated so as to avoid confusion on reduced sized prints. 2. The Specifications shall adhere to all of the following requirements: a. The Consultant shall prepare separate volumes entitled "Bid Booklet" and "Information for Bidders, Bid, Agreement, Bonds and Specifications." At the design kickͲoff meeting, the Consultant shall receive a standard version of these volumes which shall be edited and completed by the Consultant to meet the requirements of the project. This includes a complete Shop Drawing Log and the Guarantees and Warranties listing. The Consultant shall provide CD or USB drive of these volumes in addition to hard copies. These components must be included with the fifty percent (50%) submission. b. The Specifications shall follow the CSI format, divisional and sectional structure, and shall meet, at minimum, the construction technology standards as set in the latest version of industry standards guide or master specifications (such as CSI or the AIA specifications or equivalent). The Specifications shall be prepared and coordinated with drawings in accordance with all of the following: 1) Building Design and Construction Documents sections of the latest AIA Handbook of Professional Practice; 2) DCAS "Guidelines for Multiple Contracts" (see Appendix K – Guidelines for Multiple Contracts), if applicable; and 3) DCAS Specifications procedures and outlines (see Appendix L – Specifications). GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 56 I. CONTRACT DOCUMENTS: After securing DCAS and regulatory agency approvals of the Final Drawings and Specifications, the Consultant shall deliver to DCAS/AM: 1. All sets of Final Contract Drawings bearing stamps of approval by each regulatory agency, as required, along with an Approved Application from the DOB. 2. All Final Drawings, fully conforming to comments by DCAS/AM and bearing the required seal and signature of the Consultant. Final Contract Drawings shall be reproducible prints, provided that the final reproductions meet with the approval of DCAS/AM. CAD and pdf on a CD or USB drive is required. 3. All final Specifications shall be in clear legible form, typed one (1) side only on eight and one half inches x eleven inches (8Ͳ1/2”x11”) white bond paper, unbound, boxed and having no punched holes. Final Specifications shall be checked for completeness, properly collated and ready for photocopying or other direct machine producing process and submitted in original Microsoft software format and pdf. 4. Copies of the final reconciled cost estimates, in accordance with DCAS requirements (see Appendix D – Cost Estimates). 5. Final indexed set of structural design calculations. 6. Updated revised or redone perspective renderings and scale models in accordance with the final documents as accepted, if required by DCAS in its sole discretion. 7. A materials and color chart, including material samples and paint color chips. Submission of this sample board shall be made prior to submission of the final documents for DCAS/AM approval. 8. Project Fact Sheet (see Appendix E – Project Fact Sheet). 9. The bar graph construction schedule indicating all phasing, and Sponsor Agency requirements. 10. Finished Furniture and Equipment Purchase Orders as required that meet the approval of DCAS/AM. Submission of rough purchase orders shall be made prior to submission of the final documents for DCAS/AM approval. If necessary, the Consultant shall coordinate separate vendor manifests for each floor and/or construction phase of the project and ensure that deliveries will be prompt, installation complete, and furniture storage for future phases kept to a minimum, without incurring additional costs. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 57 11. Individual room plans with all items of furniture and equipment listed (on eight and one half inches x eleven inches (8Ͳ1/2”x11”) sheets). 12. With respect to the Contract Documents: a. Documents will not be deemed to have been accepted until DCAS/AM has provided written notice to the Consultant of the acceptance. b. CD or USB drive of the final specifications in the original Microsoft software and pdf shall be submitted for permanent DCAS/AM record with the Bid Document submission. c. Contract Documents shall contain no proprietary systems or products without prior written approval of the DCAS/AM Project Manager. When written approval is issued, the Consultant shall obtain from the Selected Manufacturer an affidavit stating the cost in unit terms of the item and the period of time that the price will hold. The affidavit shall be included in the Specifications at the discretion of the DCAS/AM Project Manager. All submissions and justifications are to be prepared by the Consultant. d. The Contract Documents shall contain a complete list of all necessary Shop Drawings (including samples, product data sheets and catalogue cuts) identified by the Consultant, for each contract pertinent to the project. List information shall include, without limitation, the Specification reference number, a description of the Shop Drawings and a listing of the relevant contracts with which they must be coordinated. These lists shall be incorporated into the last article of the General Conditions of the Contract Specifications. The Consultant shall also submit these lists on the Shop Drawing Log (see Appendix F – Shop Drawings, Samples and Product Data) for presentation to the Contractor at the construction kickͲoff meeting. e. Special Requirements: For Special Experience Requirements, the applicable wording shall be phrased per DCAS/AM standards in the Specifications and the Bid Booklet’s Specific Requirements. J. PROCEDURES FOR FINAL DESIGN PHASE The Consultant shall: 1. Conform to the Approved work schedule for all required submittal, review, and compliance submission(s); 2. Make submittals to, and obtain Approvals from, all appropriate utilities and regulatory agencies; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 58 3. Work closely with DCAS/AM to resolve questions as they arise throughout preparation of the final documents; 4. Attend job meetings as required by the project and when requested by the DCAS/AM Project Manager; 5. Submit all necessary prints of Architectural, Building Protection Systems, Landscape, Structural Plumbing, HVAC, Electrical and other drawing packages as required, at fifty percent (50%) completion stage and at Final Design; 6. Attend meeting called by DCAS/AM Project Manager at completion of fifty percent (50%) of project to review Consultant's status report of the project and of regulatory agency submittals and approvals; 7. Attend the PreͲConstruction Strategy site meeting called by the DCAS/AM Project Manager at the fifty percent (50%) completion stage and a final site visit if required by the DCAS/AM Project Manager; 8. Submit title sheet for signatures at the final submission; 9. Include on all Final Drawings the identification, professional seals and signatures of the Consultant and any SubͲconsultants responsible for work thereon, all to meet the requirements of the New York City Administrative Code; 10. Submit all additional items, such as color and material sample charts, CAD CD or USB drive, etc., as may be required; and 11. Revise or reͲdo required renderings and models to make consistent with Final Design Drawings and deliver to DCAS/AM; 12. Update and submit the Final Cost Estimate incorporating all revisions due to final review comments and regulatory agencies after receipt of approvals. END OF SECTION III GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION III APRIL 2015 PAGE 59 SECTION IV: CONSULTANT SERVICES FOR SURVEY, STUDY AND REPORT PHASE UNDER SPECIAL PROJECTS A. SURVEY, STUDY AND REPORT SERVICES When a Special project is established for a specific Survey, Study and Report project, the Consultant shall evaluate the program, the existing conditions and the design parameters, and prepare a minimum of three (3) studies or as many studies as may reasonably be required in order to develop a detailed Scope of Work for the project until DCAS/AM accepts one (1) such Scope of Work. Each study shall be accompanied by its own associated cost estimate and any additional items of work that are stipulated. Upon DCAS/AM’s acceptance of the detailed Scope of Work for the project, the Consultant shall prepare and submit the required number of copies of the report documents and related estimate of construction cost. B. SURVEY, STUDY AND REPORT FOR SPECIAL PROJECTS KICKͲOFF MEETING A meeting consisting of the Consultant, the Sponsor, DCAS/AM and others as required shall be held at the start of the project, at which time all important project requirements shall be discussed, including, without limitation: 1. Project intent and goals; 2. Sponsor standards and other pertinent data, including site data; and 3. Requirements of the contract including, but not limited to, the Agreement, the RFP, the Work Order and this Guide. The Consultant shall present a complete Activities Checklist and Project Schedule for approval, which shall include the due dates for all submittals (see Appendix A – Checklist for Survey, Study and Report Phase). C. REPORT DOCUMENTS All report documents shall, at a minimum: 1. Conform to the requirements of the project and the Contract; 2. Be bound with card stock or other heavyͲduty cover appropriate for presentation purposes; 3. Be titled on the cover; 4. Be submitted with a letter of transmittal bearing all relevant Consultant representatives’ signatures; GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION IV APRIL 2015 PAGE 60 5. Be organized with Table of Contents; 6. Include, without limitation, an executive summary, descriptive text, implementation schedule, spread sheet analysis; required design calculations, graphs, charts, matrices, and estimate of cost (see Appendix D – Cost Estimates); 7. Be illustrated with drawings to appropriate scale and photographs, as required. Drawings may be folded; and 8. Include all project parameters, as applicable (see Appendix E – Project Fact Sheet). D. EXISTING CONDITIONS DRAWINGS All existing conditions drawings shall meet DCAS/AM requirements (see Appendix I – Existing Conditions Drawings). E. PROGRAMMING SPACE REQUIREMENTS Programming Space Requirements shall meet DCAS/AM requirements, (see Appendix J – Programming Space Requirements). F. PROCEDURES The Consultant shall: 1. Submit as many interim reports for review, in graphic and descriptive form, as may be reasonably required in the conduct of the study, until approvals are granted. 2. Work closely with DCAS/AM and the Sponsor Agency to resolve questions as they arise. Oral instructions or decisions shall be recorded in writing by the Consultant as part of the minutes of meetings, or submitted in a letter to the DCAS/AM Project Manager. 3. Attend, participate and make submittals at Progress Meetings which will be scheduled by the DCAS/AM Project Manager. G. FURNITURE AND EQUIPMENT For projects involving furniture and equipment beyond Basic Services the Consultant is responsible for: 1. Requisition Preparation and Scheduling: Upon completion of base building contract documents, the Consultant shall meet with the DCAS/AM Project Manager to receive GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION IV APRIL 2015 PAGE 61 prototypical requisition forms and purchase orders, and to establish a schedule for completion of same. The Consultant shall prepare all requisition forms, and for submission to the DCAS/AM Project Manager in accordance with the agreed upon schedule. Final requisition forms for Requirements Contract items and installation plans must be submitted no later than six months prior to construction completion, or as directed by DCAS/AM. Final requisition lists for bid items must be submitted so as not to interfere with, or delay, completion of construction and scheduled tenant occupancy. 2. Coordination: Upon receipt of the completed forms, the DCAS/AM Project Manager shall forward the forms to the appropriate City division. The Consultant shall coordinate the delivery schedule with the various vendors. 3. Phasing of Furniture Acquisition: If necessary, the Consultant shall prepare separate requisition forms for each floor and/or construction phase of the project, ensuring that deliveries will be prompt, installation complete, and furniture storage for future phases kept to a minimum, without incurring additional costs. 4. Shop Drawings: The Consultant shall be required to review for conformance shop drawings and manufacturer's catalog cuts for all items obtained through bidding procedures, resulting in Approval(s) as appropriate. END OF SECTION IV GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION IV APRIL 2015 PAGE 62 SECTION V: CONSULTANT SERVICES FOR BID, AWARD AND REGISTRATION STAGE These services are compensated as part of the Consultant's fee for Basic Services of the Final Design. A. CONTRACT BIDDING During the period of advertising, receipt and analysis of bids, the Consultant shall: 1. Interpret plans and specifications when requested by DCAS/AM in response to prospective bidders' inquiries; 2. Prepare and issue, through DCAS/AM and with DCAS/AM’s prior approval in its sole discretion, written addenda, amendments, and drawings required for the clarification of plans and specifications; 3. Assist in the analysis and evaluation of bids, bid breakdown(s), and within three days of the bid opening, as determined by DCAS/AM in its sole discretion, make written recommendations and reports as requested by DCAS/AM, in its sole discretion, on the disposition of bids and award of contracts; and 4. Assist in the review and evaluation of special experience and qualifications of Contractors and proposed Subcontractors, resulting in written recommendation(s) for award of contract(s). B. PREͲBID MEETINGS AND SITE VISITS As determined by DCAS/AM in its sole discretion, preͲbid meetings and one (1) preͲbid site visit may be required with the Consultant, Sponsor Agency and Project Team to answer bidders' questions, and to assure that all parties clearly understand the intent of the Contract Documents. C. PREͲAWARD MEETINGS As determined by DCAS/AM in its sole discretion, The Design Consultant may be requested to attend preͲaward meetings with the Sponsor Agency and DCAS Project Team for all prime contracts to answer Contractors’ questions, and to provide additional support and analysis in understanding the intent of the Design Consultant’s Contract Documents is covered in the contractors detailed scopes and pricing. D. ADDENDA AND ADDENDA DRAWINGS The Consultant shall provide all modifications to, and clarifications of, the Contract Documents that may be necessary during the bidding period in the form of written Addenda and Addenda GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION V APRIL 2015 PAGE 63 Drawing(s), as required by DCAS/AM in its sole discretion. The Consultant shall, in a timely manner: 1. Obtain the appropriate addendum format and numbering system from the DCAS/AM Project Manager; 2. Submit all addenda to the DCAS/AM Project Manager; 3. File all addenda with the appropriate regulatory agencies, and forward Approvals to the DCAS/AM Project Manager; 4. Submit all drawings prepared as addenda to the DCAS/AM Project Manager; 5. Prepare all addenda drawings in accordance with requirements of Appendix H – Drawing Standards; and 6. Include on all addenda drawings, the seal and signature of the appropriate Consultant or Sub consultant. E. FURNITURE AND EQUIPMENT Where a project involves furniture and equipment beyond Basic Services, the Consultant shall be responsible for all of the following: 1. Requisition Preparation and Scheduling: Upon completion of base building Contract Documents, the Consultant shall meet with the DCAS/AM Project Manager to receive prototypical requisition forms and purchase orders and to establish a schedule for their completion. The Consultant shall prepare all requisition forms and prepare them for submission to the DCAS/AM Project Manager in accordance with the agreed upon schedule. Final requisition forms for Requirements Contract items and installation plans must be submitted no later than six (6) months prior to construction completion, or as otherwise directed by DCAS/AM in its sole discretion. Final requisition lists for bid items must be submitted so as not to interfere with, or delay, completion of construction and scheduled tenant occupancy. 2. Coordination: Upon receipt of the completed forms, the DCAS/AM Project Manager will forward the forms to the appropriate City division. The Consultant shall coordinate the delivery schedule with the various vendors. 3. Phasing of Furniture Acquisition: If necessary, the Consultant shall prepare separate requisition forms for each floor and/or construction phase of the project and ensure that deliveries will be prompt, installation complete, and furniture storage for future phases kept to a minimum, without incurring additional costs. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION V APRIL 2015 PAGE 64 4. Shop Drawings: The Consultant shall be required to review, for conformance to the design, Shop Drawings and manufacturer's catalog cuts for all items obtained through bidding procedures, resulting in Approval(s) as appropriate. END OF SECTION V GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION V APRIL 2015 PAGE 65 SECTION VI: CONSULTANT SERVICES DURING CONSTRUCTION A. CONSTRUCTION RELATED BASIC SERVICES 1. Basic Services The Consultant shall perform the following services as part of the Basic Services at no additional cost to DCAS: a. Attend the construction kickͲoff meeting, job conferences, and progress meetings as required by DCAS/AM on matters concerning the design and progress of the project. b. Promptly examine, recommend adjustment and/or indicate approval of the schedule of items and cost prepared by the Contractor on each awarded Contract, so as to prevent unbalanced values from being established as the basis for the Contractor's partial payments. c. Assist in the review and evaluation of special experience and qualification credentials of proposed Subcontractors. d. Interpret Contract Documents and make recommendations by drawing or in writing when required for interpretation of the documents including, without limitation, Requests for Information (“RFI”), to DCAS/AM. The Consultant shall also be responsible for, and maintenance of, all RFIs with drawings, as required, and a biͲweekly RFI log. An RFI log shall be attached to all progress meeting reports. e. Provide for a Field Visit to the site having duration of eight (8) hours biͲweekly until completion of construction and report in writing all observations on an approved Field Visit report form. The Consultant shall provide: (i) a biweekly Quality Control statement on progress of the work for inclusion in the progress meeting minutes which shall include, without limitation, the percentage of work completed; (ii) record and issue the meeting minutes with the current updated RFI and Shop Drawing Log(s); (iii) field representatives both experienced in construction and familiar with the design intentions and construction methodology of the project; and (iv) all inclusive related office resources and support staff to address construction matters. f. Provide for a biͲweekly Progress Meeting for the project having duration of eight (8) hours until completion of construction by a responsible and informed representative. Such representative(s) shall have authority to make field changes and other decisions within the Consultant’s scope of services and responsibilities. The Consultant shall: (i) record and issue Progress Minutes, RFI(s), and Shop Drawing Logs within one (1) week of each meeting; (ii) report biͲweekly on the status of submittals listed on Shop Drawing Log; and (iii) provide all inclusive related office resources and support staff to address construction matters. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 66 g. BiͲweekly Field Visits and Progress Meetings shall be for duration of eight (8) hours each for items 1.e and 1.f above. DCAS reserves the right, in its sole discretion, to arrange for each Progress Meeting and each Field Visit to be a minimum of four (4) hours based on the progress of construction or complexity of tasks involved during construction. Under this right, DCAS has the ability to arrange for weekly or biͲweekly combined Progress MeetingͲField Visit meetings equal to twice the number of weeks in the original construction schedule that can be utilized during delays in construction. h. Monitor and report on the construction progress for adherence to the schedule(s) and report to DCAS/AM any conditions which may cause delay(s) in completion. i. Check and review for conformance Shop Drawings, material samples, catalog cuts, and onͲsite mockͲups, resulting in approvals as appropriate. This shall include, without limitation, new furniture, LEED and EPP materials and standards. AutoCAD Shop Drawing submittals shall be reviewed without alterations to the submission; however, the Consultant shall xͲref all comments within the AutoCAD document and return the AutoCAD submission with comments along with a separate hard copy with the completed Shop Drawing Stamp to the contractor and all designated recipients. j. Monitor all work for compliance with LEED Standards and EPP Requirements, submit LEED Forms for successful compliance in all such projects and obtain LEED Certification(s). k. Review all coordination drawings prepared by all Contractors and report all deficiencies. l. Provide all special inspections, as further described in paragraph B.4.a. of this section. File all special inspection reports as required by regulatory agencies. In addition to the special inspector, the Design Consultant of Record, or an approved licensed representative, shall attend a minimum of 25% of all special inspections and 100% of all reͲinspections due to initial special inspection failures. m. Provide furniture and equipment coordination, planning, and design required as part of the Basic Services. The Consultant shall be required to review for conformance shop drawings and manufacturer's catalog cuts for all specified items. The Consultant shall coordinate the delivery schedule with all of the various vendors. n. Periodically review and comment on the completeness of the Contractor’s AsͲBuilt Drawing(s) on a monthly basis. File corrected documents with the DOB prior to signͲoff, closeͲout, and Contractor’s Substantial Completion. o. At Substantial Completion, the Consultant shall conduct a preͲsubstantial walk through leading to Substantial Completion Inspections, and shall prepare Punch List(s) for each Contractor/Trade that shall include, without limitation, a time schedule for both GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 67 proposed and actual dates of completion. Such list(s) will include location(s) and description(s) of the work. p. Resubmit and make all necessary revisions to secure regulatory agency approvals including, without limitation, the DOB, for AsͲBuilt conditions, Fire Department public assembly approvals, DOT Paving Plan, etc. q. As part of Quality Control, the Consultant shall evaluate the Contractors’ progress at work to make written recommendation(s) on the level and amount of acceptable work including, without limitation, the percentage of completed work, and shall in addition review the Contractors’ monthly requisitions for payment to verify conformance with the Consultant’s field observations, including percentage of work completed. r. The Consultant shall identify and report on long lead items that will affect the timely progress of construction including Shop Drawings, materials, and equipment. s. Review all change orders and evaluate the reasonableness of the costs, conformance to all applicable RFI’s as appropriate, and verify the description of work. And, report any discrepancies and conflicts that may result from change order work. 2. Shop Drawings and Samples a. The Consultant shall act within seven (7) consecutive calendar days to systematically check all Shop Drawings, material samples, and catalog cuts submitted, to determine whether they are in accordance with the Contract Drawings and Specifications. The Consultant shall indicate all changes necessary to conform to those Contract Drawings and Specifications, without making changes in the design, or changes requiring additional cost, absent prior r written approval from DCAS/AM. b. The Consultant shall submit a copy of the Shop Drawing Log (see Appendix F – Shop Drawings, Samples and Product Data) previously prepared and incorporated into the Specifications to the Contractor at the kickͲoff meeting and identify priority items. The Contractor will be responsible for filling in the submission and delivery dates for approval. The Consultant will update the Shop Drawing Log every two (2) weeks and distribute copies to the DCAS/AM Project Manager, Construction Manager/ Resident Engineer, and all trades at the biͲweekly progress meetings, so that the progress of the submittal process is clearly indicated. c. All updated logs shall indicate which submittals are accepted, accepted as noted, which are rejected, which are pending, and all other information on the log. d. All DCAS requirements must be met with respect to stamping of Shop Drawings and submittals. In addition to checking the Shop Drawings, samples, and catalog cuts, the GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 68 Consultant shall also review and comment on all required drawings of sheeting, bracing, underpinning, shoring, fencing and scaffolding, bridging layouts, and Local Law #5 fire detection and alarm layouts. 3. Change Orders and Supplementary Drawings a. Construction Change Orders All modifications to the Contract Documents after the Contract(s) has been awarded shall be made by a construction change order and, if required, supplementary drawings. The Consultant shall notify DCAS/AM in writing when construction change orders are required. The Consultant shall issue an evaluation of validity for proposed change orders, with cost and time impact. This information may be part of an RFI. b. Design Change Orders 1) For field conditions and change in scope change orders requiring design modifications, the Consultant shall describe in detail the nature of the change, the reason for the change, the estimated change in cost of the contract amount, and indicate all anticipated time impacts. The term “Consultant” includes all SubͲ consultants. 2) The Consultant shall not do any design work on a change order prior to being notified by DCAS/AM in writing that the design change order or Supplemental Work Order has been accepted and if required, submitted for approval by DCAS Commissioner. Once a design change order is accepted, the Consultant shall proceed to provide all required design services. When an accepted design change order will impact construction progress, the Consultant shall proceed with the work and keep time cards for documentation until approval is issued from DCAS/AM in writing. 3) As a prerequisite for change order approval involving additional compensation, the Consultant shall submit a detailed staffing proposal and a cost proposal. The staffing chart shall show the number of technical employee workͲhours and nonsupervisory principal's time that will be required for each change order. The technical employee workͲhours shall be broken down by title, expected work hours, and the average pay for each title. 4) The Consultant shall be compensated up to a maximum amount, either negotiated or authorized, for change order work involving scope changes or field conditions that could not reasonably be anticipated, in accordance with the provisions of the Agreement. The Consultant may request DCAS to approve a lump sum fee in lieu of the maximum time card method. The acceptance is at the sole discretion of DCAS. 5) There is no intent herein to restrict the Consultant's right to assign or reͲassign employees working on the change order, once the change order is approved. 6) The Consultant shall prepare any additional drawings that may be necessary for the enlargement and clarification of the Consultant's drawings prepared under this Contract. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 69 7) The Consultant shall make submittal to the DCAS/AM Project Manager of all such supplementary drawings, executed in accordance with DCAS/AM drawing standards (see Appendix H – Drawing Standards), sealed and containing signature of the appropriate Consultant. The Consultant shall obtain approvals from the relevant regulatory agencies and utilities as required. 4. For projects involving furniture and equipment the Consultant is responsible for: a. Schedule: At least three (3) months prior to the scheduled construction completion, the Consultant shall submit a Furniture and Equipment Schedule which coordinates the vendor’s delivery schedule. b. Site Survey: Two (2) weeks prior to the scheduled delivery, the Consultant shall conduct a site visit to survey the facility and identify problems including, without limitation, unfinished ceilings, unpainted walls, missing electrical work, lack of elevator accessibility, and lack of adequate parking. The Consultant shall immediately notify DCAS/AM if there are any conditions that will prevent or otherwise affect efficient furniture installation. c. Supervision: The Consultant shall provide individual room furniture layouts which will be posted at each respective room entrance prior to the delivery of the furniture. The Consultant shall supervise all delivery and installation including, without limitation, monitoring all incoming items to insure that all building surfaces, interior and exterior, remain in their original condition. The Consultant shall also verify that all rooms with furniture are locked and secured at the end of each day. 1) The Consultant shall verify that all furniture is placed in the correct room and in the proper location as detailed in the room layout plans. As items are delivered, the Consultant shall mark the room layout plans to identify all items that have been received. d. Certification: The Consultant shall be responsible for preparing a final package including all signed receiving reports and a letter of certification stating that all items which have been received are in compliance with those ordered. This package shall be delivered to DCAS no more than one (1) week after installation is complete. e. Verification: The Consultant shall verify that the furniture received is consistent with the written purchase orders, and that any and all damaged items are rejected and so noted on the delivery slips. f. Punch List: The Consultant shall maintain a current punch list of all furniture and equipment delivered and shall resolve all outstanding issues and items within two (2) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 70 weeks after moveͲin by the Sponsor Agency. The final punch list shall identify by room number each piece of missing furniture and all items which have been rejected. g. The Consultant may also be asked by the DCAS/AM Project Manager, in DCAS’ sole discretion, to provide updated copies of the punch list, an annotated copy of the manifest identifying the items on the punch list, and a letter certifying that those items not on the punch list were delivered and accepted. The Consultant shall deliver the updated punch list, annotated manifest, and certifying letter to the DCAS/AM Project Manager within seven (7) days of DCAS’ request. B. CONSTRUCTION RELATED ADDITIONAL SERVICES Required Additional Services may include, without limitation: 1. All requested activities beyond the defined Basic Services, such as increased participation in site meetings, field reconnaissance, Special Inspections, laboratory special inspections and resident engineering, and architectural services, as Additional Services on a time card basis, or a negotiated lump sum per a Commissioner’s directive, if the work is not identified in the Work Order general scope description to be performed on a Fee Curve basis. 2. Provide for additional Progress Meetings and Field Visits beyond the allocation provided for in Construction Related Basic Services, after those required amounts are exhausted. 3. Project Representation If so stated for RFP site specific Design Consultant Contract projects, the Consultant and/or SubͲconsultant may be required to provide full time onͲsite representation as part of Basic Services, at no additional cost to DCAS. Alternatively, for Consultants working under Requirement Contracts, this level of representation may be sought as Additional Services under a time card payment basis. Project representation tasks may include: a. Full time onͲsite observation of the progress and quality of the work to ensure conformance with Contract Document and codes. b. Maintaining a daily log that shall include, without limitation, keeping accurate records of project progress, personnel, weather conditions, visitors, decisions, and accidents. c. Preparing and submitting weekly written reports. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 71 d. Reviewing and expediting of all applications by various Contractors for progress payments and making recommendation for approval thereof, beyond monthly submissions. e. Expediting delivery of materials in accordance with job requirements and making shop visits, as required. f. Initiating correspondence noting delays and unsatisfactory performance. g. Preparing replies to Contractor's letters and complaints for signature by the Commissioner and/or the Commissioner’s duly authorized representative (DCAS/AM). h. Consultant’s production of AsͲBuilt documents. i. Preparing all information necessary to defend the City against Contractors’ claims, as directed by DCAS in its sole discretion. 4. Special Inspections Requiring OnͲsite Testing Equipment or OffͲsite Testing Tasks shall include: Retaining the services of professional engineer(s) and testing laboratories required to perform all tests for Special Inspections required by regulatory agencies for items requiring special inspection or certification, and which are typically performed using offͲ site testing equipment, onͲsite testing with equipment other than hammer for sounding, laboratory instruments, or requiring other than visual inspections and simple field measuring devices such as fireͲstopping, air volume, and similar tests. 5. Plant Tagging and Field Services The Consultant shall engage the services of a licensed Landscape Architect to select, tag with DCAS seals, and supervise the planting of all plant materials. All individual plants shall be containerͲgrown stock, and representative samples of ground covering grown in flats, and shall be inspected and tagged at the nursery before such plants are prepared for shipment to the site per a Consultant’s prepared schedule. In addition to supervising the planting schedule and operation, the Landscape Architect, hired by the Consultant, shall inspect the final planting and notify DCAS/AM when it is appropriate to accept the planting and begin the one (1) year guarantee. Upon expiration of the guarantee period, the Landscape Architect shall notify DCAS/AM whether or not the Contractor should be released from all further obligations. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 72 Inclusive of the maintenance and guarantee period, inspections will be made by the Landscape Architect hired by the Consultant of all planting, in sufficient advance of the expiration period, to allow time for the Landscape Architect to select and tag materials to replace unhealthy or dead plants. At these times, the Landscape Architect shall file a report with DCAS/AM, indicating whether the Contractor is complying with the maintenance portion of the contract and recommending any action that may be required. The acceptance and release of planting are independent from acceptance and release of the general construction work. 6. If directed by DCAS/AM, the Landscape Architect shall prepare a written and graphic maintenance schedule and manual for all the final planting materials of the project. The schedules and manual shall identify the following requirements for each plant type: irrigation, fertilization, pruning, weeding, cultivating, mulching, lawn care, seasonal plantings, plant replacements, and pest and disease control. Upon final approval by DCAS/AM of the manual, the Consultant shall submit the original to the DCAS/AM Project Manager. 7. In the absence of Contractor’s AsͲBuilt Drawings, the Consultant may be given written direction to produce such AsͲBuilt Drawings as an Additional Service. Such work would be beyond the Basic Services Requirement to file corrected documents with the DOB. END OF SECTION VI GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VI APRIL 2015 PAGE 73 SECTION VII: APPENDICES APPENDIX A SAMPLE Checklists: 1. Checklist for Survey, Study and Report Phase 2. Checklist for Schematic Design 3. Checklist for Design Development 4. Checklist for Final Design 5. Checklist for Bid, Award and Registration 6. Checklist for Construction GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 74 APPENDIX A SAMPLE CHECKLIST FOR SURVEY, STUDY AND REPORT PHASE PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager DCAS Project Manager Sponsor Representative SURVEY, STUDY AND REPORT TASK # (modify as appropriate to project) 1 DAYS* (ccd) DATES START END REMARKS SURVEY, STUDY AND REPORT DESIGN KICKOFF 2 Site Visit a Probes b Asbestos Report c Topographical & Subsurface Info. 3 21 21 Outline (Table of Contents) a Written Proposal b Review and Comments 4 ** 10 Draft of Preliminary (3 options) a Drawings, Reports and Estimates b Review and Comments DCAS Review Sponsor Agency Review 5 ** 14 SURVEY, STUDY AND REPORT DESIGN a Drawings, Reports and Estimates b Survey, Study & Report Design Review c d e f Architectural Landscape Architecture Engineering Site Engineering Cost Verification Hazardous Materials Project Administrator OMB Review Sponsor Agency Review Consultant Response Select Preferred Scheme 6 OMB Value Engineering (if required) 7 DCAS Written Notice to Proceed 14 14 (60) * Estimated durations are flexible and vary project to project. They are to be listed in "consecutive calendar days" (ccd). ** Overall durations, including review periods, for each project phase must be agreed upon by the DCAS Project Manager and Consultant when developing the schedule at the beginning of the project. All tasks, concurrent or sequential, required during each particular phase must be completed within this time period. Task durations in parentheses must be added to the overall phase durations when these tasks are required. Task durations not in parentheses are concurrent within each phase of the Work. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 75 APPENDIX A SAMPLE CHECKLIST FOR PRELIMINARY DESIGN PHASE Ͳ SCHEMATIC DESIGN PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager DCAS Project Manager Sponsor Representative SCHEMATIC DESIGN TASK # (modify as appropriate to project) 1 PRELIMINARY DESIGN KICKOFF 2 Site Visit a Probes b Asbestos Report c Topographical & Subsurface Info. 3 SCHEMATIC DESIGN: 3 schemes a Drawings, Reports, Estimates and Schedules b DCAS Schematic Design Review Architectural DAYS* (ccd) ** DATES START END REMARKS 21 21 14 Landscape Architecture Engineering Site Engineering Cost Verification Hazardous Materials Construction c d e f OMB Review Sponsor Agency Review Consultant Response 14 Select Preferred Scheme 4 OMB Value Engineering (if required) 5 DCAS Written Notice to Proceed (60) * Estimated durations may vary project to project. List in "consecutive calendar days" (ccd). ** Overall durations, including review periods, for each project phase must be agreed upon by the DCAS Project Manager and Consultant when developing the schedule at the beginning of the project. All tasks, concurrent or sequential, required during each particular phase must be completed within this time period. Task durations in parentheses must be added to the overall phase durations when these tasks are required. Task durations not in parentheses are concurrent within each phase of the Work. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 76 APPENDIX A SAMPLE CHECKLIST FOR PRELIMINARY DESIGN PHASE Ͳ DESIGN DEVELOPMENT PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager DCAS Project Manager Sponsor Representative DESIGN DEVELOPMENT TASK # (modify as appropriate to project) 6 DESIGN DEVELOPMENT DAYS* (ccd) ** DATES START END REMARKS Drawings Outline Specifications Estimates and Schedules Presentation Documents a Drawings, Reports and Estimates with regulatory agency acceptances 7 b DCAS Design Development Review 14 Architectural Landscape Architecture Engineering Site Engineering Cost Verification Hazardous Materials Construction c OMB Review d Sponsor Agency Review e Consultant Response 14 Regulatory Agency & Utility Filing DOB: Zoning and Egress Gas and Electrical DEP: Water, Sewer and Air Fire Department DOT: Bureau of Highways LPC or PDC Review Others: Specify 8 OMB Value Engineering (if required) 9 DCAS Written Notice to Proceed 45 30 60 45 30 45 (60) * Estimated durations are flexible and vary project to project. They are to be listed in "consecutive calendar days" (ccd). ** Overall durations, including review periods, for each project phase must be agreed upon by the DCAS Project Manager and Consultant when developing the schedule at the beginning of the project. All tasks, concurrent or sequential, required during each particular phase must be completed within this time period. Task durations in parentheses must be added to the overall phase durations when these tasks are required. Task durations not in parentheses are concurrent within each phase of the Work. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 77 APPENDIX A SAMPLE CHECKLIST FOR FINAL DESIGN PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager DCAS Project Manager Sponsor Representative FINAL DESIGN TASK # (modify as appropriate to project) 10 FINAL DESIGN KICKͲOFF 11 DAYS* (ccd) ** DATES START END REMARKS 50% Finals Ͳ Prepare and Submit: Drawings for Each Contract a b c d 12 13 14 Boilerplate Specifications Cost Estimates Schedule Application for Permits & Approvals (Regulatory Agencies and Utilities) Status of Permits with Regulatory Agencies and Utilities 50% Finals Ͳ Review and Comments PreͲConstruction Strategy Site Mtg. Final Site Visit, if required 45 Consultant Review Site Data Finals Ͳ Prepare and Submit: Drawings for Each Contract Detailed Specifications Cost Estimates (by Contract) ApprovalsͲReg. Agencies & Utilities Certification of Completion a Finals Ͳ Review and Comments b Constructability Review 45 18 14 Bid Documents a Completed Drawings and Specs. b Obtain Title Sheet Signatures 15 OMB Approves Final Documents & Prepares Certificate to Proceed (CP) 14 16 Documents Submitted 5 17 Consultant Evaluations 5 * Estimated durations are flexible and vary project to project. They are to be listed in "consecutive calendar days" (ccd). ** Overall durations, including review periods, for each project phase must be agreed upon by the DCAS Project Manager and Consultant when developing the schedule at the beginning of the project. All tasks, concurrent or sequential, required during each particular phase must be completed within this time period. Task durations in parentheses must be added to the overall phase durations when these tasks are required. Task durations not in parentheses are concurrent within each phase of the Work. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 78 APPENDIX A SAMPLE CHECKLIST FOR BID, AWARD AND REGISTRATION PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager TASK # 18 19 DCAS Project Manager Sponsor Representative BID, AWARD, REGISTRATION AND CONSTRUCTION DAYS* (modify as appropriate to project) (ccd) ASSEMBLE BID PACKAGE 15 5 a Bid Package Approval (Law) b Establish Bid Date c Advertise Bid 21 DATES START END REMARKS Bid Opening (GC, Plumbing, HVAC, Electrical, etc.**) a Select Lowest Bids b Approve Low Bidders 20 Construction Awards 11 21 Comptroller Registers Contract 90 * Estimated durations are flexible and vary project to project. They are to be listed in "consecutive calendar days" (ccd). ** If Multiple Contract Bid. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 79 APPENDIX A SAMPLE CHECKLIST FOR CONSTRUCTION PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager DCAS Project Manager Sponsor Representative CONSTRUCTION TASK # (modify as appropriate to project) 22 CONSTRUCTION DAYS* (ccd) * DATES START END REMARKS a Construction KickͲoff Meeting b Shop Drawing Schedules c Contractors Submit Detailed Cost Breakdowns d Start of Construction e Submittal & Review of Shop Drawings f Basic Services During Construction g h i j k l 23 Progress Meetings & Minutes RFI Submittals, Responses & Logs Field Visits: Field Visit Reports Quality Control Statements Schedule Progress Statements Special Inspections Change Orders Commissioning Punch List Ͳ Construction (by Contract) Punch List Ͳ Furniture Substantial Completion AsͲbuilts Submittal & Review Consultant Evaluation * Estimated durations are flexible and vary project to project. They are to be listed in "consecutive calendar days" (ccd). END OF APPENDIX A GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX A APRIL 2015 PAGE 80 APPENDIX B SAMPLE Progress Reports: 1. Progress Report: Projection and Summary 2. Progress Report: Individual Drawings GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX B APRIL 2015 PAGE 81 APPENDIX B SAMPLE PROGRESS REPORT: PROJECTION AND SUMMARY PROJECT TITLE PROJECT LOCATION REPORT DATE DCAS NO. SPONSOR AGENCY COST ESTIMATE PHASES (CHECK CURRENT PHASE): Survey, Study and Report / / Schematic Design / / Design Development / / Final Design / / Current Phase % Completion _____________________ Overall Project % Completion _____________________ SUBMISSION AND REVIEW MEETING DATES: Survey, Study & Report Submission Schematic Design Submission Design Development Submission 50% Final Submission Final Design Submission Bid Document Submission Project Phase By Item (% Complete) Survey, Study & Report Drawings Estimates Analysis / Reports Schematic Design Drawings Estimates Analysis / Reports Design Development Drawings Estimates Outline Specifications Presentation Documents Final Design Drawings Estimates Specifications GC Plumbing HVAC Electrical Other (Specify) Bid Documents Drawings Specifications 1 _____________________ _____________________ _____________________ _____________________ _____________________ _____________________ 2 3 4 5 Review Meeting ___________________ Review Meeting ___________________ Review Meeting ___________________ Review Meeting ___________________ Review Meeting ___________________ Review Meeting ___________________ Time in Months 6 7 GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX B 8 9 10 11 12 APRIL 2015 PAGE 82 APPENDIX B SAMPLE PROGRESS REPORT: INDIVIDUAL DRAWINGS PROJECT TITLE PROJECT LOCATION REPORT DATE DCAS NO. SPONSOR AGENCY COST ESTIMATE PHASES (CHECK CURRENT PHASE): Survey, Study and Report / / Schematic Design / / Design Development / / Final Design / / Overall Project % Completion Current Phase % Completion CONTRACT (USE A SEPARATE SHEET FOR EACH CONTRACT) GC / / Plumbing / / HVAC / / Electrical / / Other (Specify) DWG# Description / Title Dates Start End 1 2 % Complete 3 4 5 6 End of APPENDIX B GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX B APRIL 2015 PAGE 83 APPENDIX C A. Regulatory Agencies and Utilities B. Sample Project Approvals Report (PAR) for Preliminary Design, Final Design and Special Inspections (PARͲ1 Form) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 84 APPENDIX C A. REGULATORY AGENCIES AND UTILITIES 1. a. The Consultant is responsible for filing complete applications and documentation, and for obtaining all approvals for the project in accordance with current requirements of the appropriate Regulatory Agencies and Utility Companies. It is the responsibility of the Consultant to advise her/himself and comply with all regulatory requirements. b. The Consultant is responsible for verifying that all initial application procedures which may influence the design and schedule of the project have been completed. These include the Uniform Land Use Review Procedure (ULURP), City Environmental Quality Review (CEQR), Environmental Impact Statement (EIS), special permits and zoning changes. c. Approvals shall be scheduled and identified in the project schedule, on the project checklist and the Project Approvals Report (PARͲ1 Form), and shall be discussed at the design kickͲoff meeting. d. The Consultant shall obtain approvals as early as project development allows, in accordance with the requirements of the Preliminary Design Phase, Final Design Phase and construction scheduling, phasing and final project closeͲout. e. The Consultant shall file for all service requests at the earliest possible time. Should preliminary cost assumptions be based on estimates, they can be subsequently revised. Reply can be expected from eight (8) to fourteen (14) weeks after filing. Where the same utility company provides electric, gas, and steam service, requests for all such services must be made at the same time. The Consultant shall include plot plans of the proposed building with the desired points of service entry measured from some fixed existing point. The Consultant will submit a copy of complete service requests to the DCAS/AM Project Manager. f. Immediately upon filing any application, the Consultant is to submit copies to the DCAS/AM Project Manager. The Consultant is advised to file applications as early as possible. The Consultant must follow through to insure rapid handling and examination so as to minimize time loss. The Consultant must notify the DCAS/AM Project Manager if any delays occur. Copies of responses from the regulatory agencies and utilities must be submitted to the DCAS/AM Project Manager. g. Where approvals have been received and changes are subsequently made affecting the work covered by approvals, the Consultant shall arrange to file amendments and receive approvals for the revised work. The DCAS/AM Project Manager shall be advised in writing of all such amendments prior to filing and shall receive copies of the approved GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 85 documents. Amendments shall be filed expeditiously so as to permit work to continue without delay. h. Requirements 1) Shown at the end of Appendix C, Regulatory Agencies and Utilities, is the Sample Project Approvals Report, PARͲ1 Form for use on all projects. This form will be given to the Consultant by the DCAS/AM Project Manager at the design kickͲoff meeting. The Consultant must complete the heading, indicate which regulatory agency approvals or utility service changes will be required for the project and their corresponding application/service description. The Consultant shall submit the completed form as a requirement for, the initial design fee payment. The PARͲ1 Form must be revised accordingly whenever the change in Scope of Work mandates, including any revision that may be brought about by design change orders issued to Consultants. 2) As the applications are submitted and approvals obtained, the PARͲ1 Form must be filled out and maintained as a record to be reviewed at all Progress Meetings. By the fifty percent (50%) Meeting of the Final Design phase, all required applications must have been filed and, when possible, approvals obtained from the regulatory agencies and utilities. Copies of these applications and the PARͲ1 Form will be submitted to DCAS/AM Project Manager. When complete, these will serve as the final record of all required approvals. 3) Required submissions to DCAS/AM shall include copies of all regulatory agency approvals (both plans and applications). CD or USB drive submission to DCAS /AM must be submitted by the time Final Design documents are submitted for review. Payments for Final documents will not be authorized until the above requirements are met. Fire Department approved plans and applications are also required to be submitted on CD or USB drive. 4) Consultants are required to file Amendments for changes implemented during construction which differ from the originally obtained approvals from regulatory agencies. CD or USB drive of such amendments must also be submitted. 5) Consultant may be required to retain a Special Inspection Agency and or perform the DOB required special inspections during construction. Consultant services may or may not be required during signoff and Certificate of Occupancy phase. These services, if requested for a particular project, are addressed in the specific project requirements. 6) Consultant shall be responsible for coordinating with the contractor all project closeͲ out inspections and professional signͲoffs for all applications. The final payment for the Consultant Services during Construction Phase will not be authorized until all regulatory signͲoffs are obtained and utility changes have been completed. The DCAS/AM Project Manager shall notify the Consultant within two weeks of the construction start the amount of the Construction Services fee to be held for final payment; in no case shall it exceed fifteen percent (15%) of the Construction Service phase fee. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 86 7) The notes below supplement the PARͲ1 Form and are to be used for general information only, relating to the areas of jurisdiction of some of the regulatory agencies. Specific project requirements may vary and additional approvals may be required. 2. CITY COUNCIL (LAND USE COMMITTEE) a. Appeal on use and/or bulk of buildings b. Appeal on Administrative Building Code 3. CITY PLANNING COMMISSION AND THE DEPARTMENT OF CITY PLANNING a. Zoning change b. Variances or Special Permits c. Uniform Land Use Review Procedures (ULURP) ULURP applies to changes, approvals, contracts, consents, permits, and authorizations by City government concerning such areas as City Map changes, zoning map changes, and landfills. d. City Environmental Quality Review (CEQR) Department of City Planning (DCP) and the Department of Environmental Protection (DEP) are the lead agencies. 4. DEPARTMENT OF BUILDINGS (DOB) a. Responsibilities: 1) Enforcement of Administrative Building Code, Zoning Resolution, Multiple Dwelling Laws, and labor laws. 2) Enforcement of regulations relating to construction, alteration, maintenance, use, occupancy, safety, and sanitary conditions of buildings in NYC. 3) Issuance of violations for nonͲcompliance with the Building Code. b. For applicable items, Department of Environmental Protection approval required. c. For asbestos abatement, the Consultant must file the appropriate DEP form along with other DOB applications. These are, specifically, the ACPͲ5 form if little or no asbestos exists, or, the ACPͲ7 form if asbestos is present. The Consultant must provide the GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 87 information required on the appropriate form, but the form will be completed by DCAS/AM or an independent vendor to DCAS. d. Building Department Work Types: 1) Alteration Type I Ͳ Major Alterations requiring new or revised Certificate of Occupancy may or may not involve architectural, plumbing, mechanical, or electrical items. Note that playground and parking lots also require Certificates of Occupancy. Amendments and/or additions can be filed under this application. 2) Alteration Type II Ͳ Minor or major Alterations which will not require change of Certificate of Occupancy change of zoning, use, or egress. These may involve architectural, plumbing, mechanical, boiler, fuel burning equipment, fuel storage, standpipe, sprinkler, fire alarm, fire suppression, or construction equipment items. Note that Amendments and/or additions can be filed under this type of application. 3) Alteration Type III Ͳ Minor work types not covered by Alteration Types I or II. Minor architectural or construction equipment or curb cut, etc. Note that Amendments and additions cannot be filed under this type of application. 4) Plumbing Repair Application (PRA) Ͳ Minor plumbing work with a maximum cost of eighteen thousand dollars ($18,000) can be filed solely by a Licensed Plumber. e. Equipment Use Permits Applications for equipment use permits need to be filed for installation of Mechanical Equipment" including air conditioning, refrigeration, and fire suppression systems (ANSUL) for kitchens. f. Material and Equipment Approval (MEA) Equipment, both designed and selected, requires MEA resolution and approval by the MEA Division of the DOB. g. Certificate of Occupancy The Certificate of Occupancy is issued upon completion of construction, submission, and approval of all required documentation, so as to have a building safe for occupancy. h. Public Assembly Permit The Public Assembly Permit is issued upon satisfactory completion, inspection, and all required documentation, so as to be able to accommodate more than seventy four (74) people in one (1) given space or room. i. Bureau of Electrical Control (BEC) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 88 The Bureau of Electrical Control is a separate department, under the jurisdiction of the DOB, which issues permits and certificates for all electrical work. 5. DEPARTMENT OF TRANSPORTATION (DOT) a. Responsible for all functions and operations of New York City relating to transportation. 1) Issues permits relating to the construction, maintenance, and repair of public roads and streets. 2) Approves paving plans. Paving plan must show sidewalks, street trees, curbs, roadway work, street modifications, sidewalk vaults, roadway vaults, drainage across sidewalks, and planned legal sidewalk elevations as established by the Department of Transportation (or official waiver of legally established grades). Street and sidewalk certificates are required for permanent Certificate of Occupancy. 3) Certain construction activities may require permits such as construction operation, street closing, sidewalk construction, etc. These permits are required to be taken out by the Contractor. b. Approval from the DOT is required for any construction extending beyond the property line, either above or below street level. It is also required for other work, including the construction of bridges over streets, and for tunnels or utilities under roadways. 6. TRANSIT AUTHORITY (MTA) If the proposed construction work infringes upon or adversely affects the structure of the subway system, it may be necessary to receive the approval of the Transit Authority prior to the DOB. 7. FIRE DEPARTMENT (BUREAU OF FIRE PREVENTION) a. The Bureau of Fire Prevention enforces all laws and roles pertaining to the prevention offices and issues a variety of permits including blasting permits and certificates of fitness. This Office also issues violations for nonͲcompliance with the Fire Code. The Bureau of Fire Prevention reviews and approves fire alarms, smoke detectors, gasoline and diesel tanks, halon systems and fire suppression systems (ANSUL) for kitchens. b. Applications must first be filed with the Buildings Department, then with the Fire Department for review and approval. Approval of plans and applications by the Fire Department is required in order to request inspections of installations. 8. DEPARTMENT OF ENVIRONMENTAL PROTECTION (NYC & NYS) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 89 a. Approves any use of equipment (such as boilers over three hundred fifty thousand (350,000) BTU) which involves emission into the atmosphere of smoke, dust, or other particulate substance, or odoriferous, toxic, or noxious matter. b. Approves design of detention and retention tanks and new sanitary/storm sewer connections. Note that this approval, if applicable to project, is required, in order to obtain DOB approval. c. Approves new service for water connections and provides water pressure tests for new connections of sprinkler system and approves backflow preventer installations whenever required. d. If the project requires filing with DOB, and ACPͲ5 form (little or no asbestos present) or an ACPͲ7 form (asbestos present) will be transmitted to the Department of Environmental Protection through the DOB. If the project requires no filing with the Building Department the Consultant must file the appropriate Asbestos Control Program form directly with DEP. 9. LANDMARKS PRESERVATION COMMISSION (LPC) LPC approves any work being performed on a landmark building, or a building which lies within a historic or landmark district. Submission is prepared by the Consultant, whose presence is also required at meetings. Note that the review and report from the Landmarks Preservation Commission is a prerequisite in obtaining DOB approvals. 10. PUBLIC DESIGN COMMISSION (PDC) PDC approves all architectural or engineering work on or around the exterior of a building on City property, as well as all site work and artwork. This includes, but is not limited to, new buildings, additions, exterior ramps, window replacements, exterior lighting, signage, street furniture, decorative sidewalks, and landscaping. Only routine maintenance work and replacements in kind projects usually do not require Public Design Commission approval. Submission to the Public Design Commission will be made by DCAS/AM with material prepared by the Consultant. The Consultant is required to attend and make presentations, as necessary, at Public Design Commission submittal dates, along with completed Public Design Commission application forms indicating DCAS as applicant. Note that the review and report from the Public Design Commission is a prerequisite in obtaining DOB approvals. 11. DEPARTMENT OF PARKS AND RECREATION (DPR) DPR approves projects within parks, street trees, and planting regulations. 12. DEPARTMENT OF HEALTH & MENTAL HYGIENE (DOHMH) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 90 DOHMH approves food handling equipment, swimming pool facilities, septic systems, and sewage disposal systems when sanitary or combined sewers are not available. Department of Health & Mental Hygiene regulations pertain to other particular facilities such as child care centers, etc. 13. DEPARTMENT OF SANITATION (DSNY) DSNY approves refuse disposal methods, including disposal of special refuse. 13. DEPARTMENT OF SMALL BUSINESS SERVICES (SBS) SBS reviews and approves all construction within or adjacent to the waterfront. 14. UTILITY SERVICES Applications for electric, gas, and steam service and water and sewer connections. Consultants are also expected to be aware of and apply for energy conservation incentive programs. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 91 B. Sample Project Approvals Report (PAR) for Preliminary and Final Design Special Inspections and Signoffs (PARͲ1 Form) APPENDIX C SAMPLE PROJECT APPROVALS REPORT (PARͲ1) PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DESIGN CONSULTANT PHASES (CHECK CURRENT PHASE): Survey, Study and Report / / DCAS NO. SPONSOR AGENCY COST ESTIMATE REPORT DATE Schematic Design / / Current Phase % Completion ITEM # REGULATORY AGENCY / UTILITY PROVIDER DOB WORK TYPE Final Design / / Design Development / / Overall Project % Completion APPLICATION / SERVICE DESCRIPTION (1) APPLICATION # DCAS SUBMISSION APPROVAL SUBMISSION DATE DATE (2) DATE SIGNOFF DATE (3) THIRD PARTY / SPECIAL INSPECTIONS REPORT REQUIREMENT (1) PARͲ1 Submission required prior to initial fee payment approval (2) PARͲ1 Submission with Application #'s and approval dates required prior to fee payment for 100% Final Design documents (3) PARͲ1 Submission with ALL Regulatory Agency Signoffs required prior to fee payment for 100% Construction Services REMARKS / ACTION END OF APPENDIX C GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX C APRIL 2015 PAGE 92 APPENDIX D A. Cost Estimates B. SAMPLE Blank Cost Estimate Form GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX D APRIL 2015 PAGE 93 A. COST ESTIMATES 1. GENERAL a. Cost estimates are required at the end of each phase of the project. In addition, intermediate cost estimates may be required by the DCAS/AM Project Manager if significant changes occur during the course of the project. Cost estimates for alternatives may be required at various project stages. b. Provide a grand summation at the end of each estimate, to include, as appropriate: 1) 2) 3) 4) 5) 6) 7) 8) 9) Total material and labor cost for each Contract. Total material and labor cost for the project. General conditions. Overhead and profit at fifteen percent (15%). Design contingency at ten percent (10%), except for the Cost Estimate at Final Design when design contingency is eliminated. Total Construction Cost as of date of estimate. Total Construction Cost as of the projected date of the midpoint of construction, as agreed upon by DCAS/AM in accordance with the project schedule. If construction is to be accomplished in phases, all estimates shall be organized and projected to correspond to the appropriate phased midpoints of the construction phases. Total construction cost per square foot and total construction cost per cubic foot, both as of date of estimate and projected to the midpoint of construction. Operating and maintenance costs, where applicable, including staffing. c. In addition to the above, review estimate requirements with the DCAS/AM Estimator. d. Prepare estimate in accordance with Sample of Cost Estimate Form in this Appendix. 2. SURVEY, STUDY AND REPORT COST ESTIMATE a. A cost estimate must be submitted for each Survey, Study & Report alternative presented, with an indication of the preferred approach. b. For each item or combination of items in the cost estimate, identify the quantity required, the unit of measurement and the total cost. c. Provide a summation of construction cost for each section of the estimate, as appropriate to the project. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX D APRIL 2015 PAGE 94 d. Include a ten percent (10%) design contingency in the estimate. 3. PRELIMINARY DESIGN PHASE: SCHEMATIC DESIGN COST ESTIMATE a. A cost estimate must be submitted for each Schematic Design alternative presented, with an indication of the preferred scheme. b. For each item in the cost estimate identify the quantity required, the unit of measurement, the unit cost inͲplace for material, the total material cost, the unit cost inͲplace for labor, the total labor cost and the total combined material and labor cost. c. Provide a summation of construction cost for each section of the estimate, as appropriate to the project. d. Include a ten percent (10%) design contingency in the estimate. 4. PRELIMINARY DESIGN PHASE: DESIGN DEVELOPMENT COST ESTIMATE Requirements are the same as for the Schematic Design Cost Estimate above, along with the following: a. Coordinate estimate with Construction Specification Institute (CSI) specification sections, providing a summation to correspond to each Contract required by the project. b. For each specification section, break out and itemize project elements in detail, for example: 1) Concrete Masonry Units – four inch (4”) units, eight inch (8”) units, twelve inch (12”) units, special shapes, etc. 2) Reinforcing SteelͲ 6X6ͲW1.4xW1.4 welded wire fabric, etc. 3) Electrical Wiring Ͳ THHN #8, THHN #12, use #000, etc. c. Include a ten percent (10%) design contingency in the estimate. d. Organize the estimate according to the Contracts required by this project, as listed under Section III, Paragraph E of this Guide, "Multiple Construction Contracts." 5. FINAL COST ESTIMATE Requirements are the same as for the Design Development Cost Estimate above, except that there shall be no design contingency indicated in the Final Cost Estimate. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX D APRIL 2015 PAGE 95 6. DEFINITION OF GROSS AND NET SQUARE FEET a. Gross Area: The area of all floors, measured to the outside of the building walls, in square feet. b. Net Area: The cumulative usable space within the partitions of each area required to perform the project functions as determined by the City of New York and the Design Consultant. Access spaces, service spaces, shafts, wall thickness and structural elements are not included. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX D APRIL 2015 PAGE 96 B. SAMPLE Blank Cost Estimate Form APPENDIX D SAMPLE BLANK COST ESTIMATE FORM * PROJECT TITLE PROJECT LOCATION DCAS PROJECT MANAGER DESIGN CONSULTANT PROJECT BUDGET PHASES (CHECK CURRENT PHASE): Survey, Study and Report / / DCAS NO. SPONSOR AGENCY CONSTRUCTION CONTRACT METHOD ESTIMATED BY COST ESTIMATE DATE Schematic Design / / Design Development / / Current Phase % Completion Item # Description Subtotal + General Conditions Subtotal + Overhead & Profit Subtotal + Contingency Final Design / / Overall Project % Completion Quantity Unit Unit Cost Total Cost Unit Cost Total Cost of Labor of Total Cost of of & Materials Labor Material Material of Labor 5% (Materials & Labor) (of Subtotal above) 15% (of Subtotal with GC) 10% (of Subtotal with O&P) Total** $ $ $ $ $ $ $ *Format to be based on the construction contractor selection method (PLA, unit pricing and nonͲunit pricing for RC's, multiple contracts, etc.) ** 1) Add phasing of 15% on Labor only if applicable 2) Add escalation to midpoint of construction 3) No design contingency required after approval of Design Development END OF APPENDIX D GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX D APRIL 2015 PAGE 97 APPENDIX E SAMPLE PROJECT FACT SHEET PROJECT TITLE PROJECT LOCATION PROJECT BUDGET DCAS NO. SPONSOR AGENCY COST ESTIMATE Design Consultant Consultant Project Manager DCAS Project Manager Sponsor Representative 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Net Programmed Area Net Designed Area Gross Programed Area Gross Designed Area # of Stories Total Perimeter Glass Area as % of Total Exterior Wall Area Basement Area as % of Ground Floor Typical Span Between Columns in Each Direction Supported Slab Ͳ Dead & Live Load Combined Roof Ͳ Dead & Live Load Combined Storm Water Flow, If Controlled Flow NSF NSF GSF GSF Each LF % % LF PSF PSF Outflow GPM Retention Gallons Soil Bearing Capacity, if Applicable PSF Pile Loading Capacity, if Applicable Tons Existing Heating and Air Conditioning Systems (check all that apply) COOLING SOURCE HEATING SOURCE DX Coils DX Coils (Heat Pump) Chilled Water Hot Water Steam Electric System description (perimeter/interior spaces): Existing Electrical Service Utility Co. Service Feed(s) #: Main Switchboard # /Capacity Location @ Service Feed(s) Configuration Other: Service Protection Rated Building Power Distribution # Panel Boards Rated Capacity # Circuits # Spare Circuits Other Existing Generator Ͳ Capacity/Location Fuel Type / Tank Capacity / Location Existing Fire Protection Sprinklers Fire Alarm 208Y/120V 3P 4Wire Fuses Ampere DEFINITION OF NET AND GROSS SQUARE FEET: Net Area: the cumulative usable space, within the partitions of each area, required to perform the project functions as determined by the City of New York and the Design Consultant. Access spaces, service spaces, shafts, wall thickness and structural elements are not included. Gross Area: the area of all floors, measured to the outside of the building walls, in square feet. END OF APPENDIX E GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX E APRIL 2015 PAGE 98 APPENDIX F Shop Drawings, Samples and Product Data A. Shop Drawing Flow Diagram B. SAMPLE Shop Drawing Log C. SAMPLE Shop Drawing Stamp D. SAMPLE Shop Drawing Transmittal GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 99 SHOP DRAWINGS, SAMPLES AND PRODUCT DATA A. SHOP DRAWINGS ARE: 1. Original drawings, prepared by the Contractor, Subcontractor, Supplier or Distributor, which illustrate some portion of the work, showing fabrication, layout and setting details. 2. Shop Drawings shall identify details by reference to sheet number and detail number indicated on the Contract Drawings. B. SAMPLES ARE: 1. To be processed as Shop Drawings. 2. Physical examples which illustrate materials, equipment, or workmanship, in order to establish standards by which completed work may be evaluated. 3. To be of sufficient size and quantity to clearly illustrate the functional characteristics of the product or material, with integrally related range of color samples. 4. Illustrative of the full range of color samples. 5. Able to be used, after review, in the construction of the project. C. PRODUCT DATA ARE: 1. To be processed as Shop Drawings. 2. Able to be manufacturer’s standard drawings which: a. Modify drawings to delete information which is not applicable to project. b. Supplement standard information to provide additional information applicable to project. 3. Manufacturers catalogue sheets, brochures, diagrams, schedules, performance charts, illustrations and other standard descriptive data and shall: a. Clearly mark each copy to identify pertinent materials, products or models. b. Show dimensions and clearances required. c. Show performance characteristics and capacities. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 100 d. Show wiring diagrams and controls. D. SUBMITTAL PROCESS FOR SHOP DRAWINGS, SAMPLES AND PRODUCT DATA 1. First Submittal 2. One (1) sepia (or AutoCAD on CD or USB drive) and one (1) print of each shop drawing shall be transmitted by the Contractor to the Consultant. Unapproved Shop Drawings shall be marked up accordingly and the sepias/AutoCAD returned to the Contractor for corrections. The Consultant shall retain one (1) copy for the Consultant's own file. 3. Final Approval a. One (1) sepia or AutoCAD and one (1) print of each corrected shop drawing shall go from the Contractor to the Consultant. b. When Shop Drawings are approved and stamped, the Consultant shall make hard copies along with scanned (all AutoCAD submissions to remain and distributed in AutoCAD format) and: c. Retain one (1) copy for Consultant's own file d. Retain one (1) copy in a separate file the Consultant will transmit to DCAS for the Sponsor Agency at Substantial Completion e. Transmit one (1) copy and the scanned and AutoCAD documents to the DCAS/AM Project and Construction Manager/ Resident Engineer for use at the job site f. Transmit one (1) copy each to appropriate SubͲconsultants. g. Transmit the approved/stamped sepia and the scanned and AutoCAD documents to the Contractor 4. The Consultants in approving Shop Drawings shall: a. Notify the DCAS/AM Project Manager, make recommendations and receive written approval before accepting Shop Drawings which contain modifications from the contract requirements. b. Recommend, as necessary, change orders 5. The Consultant, in stamping Shop Drawings, shall: GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 101 a. Stamp appropriately as: APPROVED, APPROVED AS NOTED, DISAPPROVED OR REVISE & RESUBMIT. b. Check and stamp Shop Drawings which have been checked and stamped by the SubͲconsultants as applicable. c. Use a stamp with the required wording as shown in this Appendix. 6. When a Contractor requests permission by means other than Shop Drawings to furnish material or equipment different from contract requirements, the Consultant shall make recommendations and obtain written approval from the DCAS/AM Project Manager prior to giving such permission. 7. The Consultant shall fill out and submit the Shop Drawing, Sample and Product Data Log (as shown in this Appendix) during Preliminary Design. Updated copies shall be submitted periodically by the Consultant during construction as per Section VI, Paragraph A of this Guide. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 102 APPENDIX F SHOP DRAWING FLOW DIAGRAM 1 PRINT AFTER APPROVAL 1 PRINT 1 PDF 1 SEPIA (or AutoCAD) 1 PRINT CONTRACTOR ONE PRINT FOR CONSULTANT FILES ONE PRINT FOR SPONSOR AGENCY AT SUBSTANTIAL COMPLETION CONSULTANT AFTER APPROVAL ONE PRINT FOR DCAS/AM 1 PRINT, 1 PDF PROJECT MANAGER & AutoCAD (FIELD COPY) AFTER APPROVAL 1 PRINT EACH ONE PRINT FOR EACH SUBCONTRACTOR (IF NECESSARY) 1 SEPIA (or AutoCAD & stamped pdf) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 103 APPENDIX F SAMPLE SHOP DRAWING LOG Report Date Spec. # Title DCAS NO. Design Consultant PROJECT TITLE Shop Drawing Log & Schedule PROJECT LOCATION Submission Required Fabrication Submittal Type Date Del. Date Type Shop Sample Cat. Cut Receive Return Note to Consultants: Maximum two week turn around on all submittals GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F CONTRACTOR CONTRACT # TRADE Submissions Action Receive Return Action APRIL 2015 PAGE 104 APPENDIX F SAMPLE SHOP DRAWING STAMP SHOP DRAWINGS, MATERIAL SAMPLES AND CATELOG CUT SUBMITTALS, AFTER HAVING BEEN REVIEWED BY CONSULTANT, MUST CARRY THE APPROVAL DESIGNATIONS AND THE TEXT BELOW: APPROVED DISAPPROVED APPROVED AS NOTED REVISE & RESUBMIT 1) This approval is given to any corrections noted on the drawing, and subject to the condition that the Contractor is not relieved of the responsibility for correct measurements, dimensions, quantities, material, proper connection or requisite fitting of parts either to adjacent work or to parts of the same work, or for fully complying with the requirements of the contract drawing and specifications. 2) Drawings have been checked for conformance with overall design requirements and in particular, where applicable, as to structural strength of permanent structure and electrical current characteristics of electrically operated equipment. 3) All measurements and conditions shall be checked and verified by the Contractor at the site. 4) Corrections shown on this drawing shall not be deemed an order for extra work. 5) No change shall be made on any approved drawing without the written authorization of the DCAS. CONSULTANT NAME CONSULTANT ADDRESS CONSULTANT TELEPHONE FAX CONSULTANT REVIEW BY EMAIL CONSULTANT REVIEW DATE GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 105 APPENDIX F SAMPLE SHOP DRAWING TRANSMITTAL FOR USE BY CONSULTANT IN SUBMITTING REVIEWED SHOP DRAWINGS, OR USE APPROVED CONSULTANT TRANSMITTAL FORM WITH SAME GENERAL INFORMATION, AS APPROVED BY THE DCAS/AM PROJECT MANAGER To: (Name), Deputy Commissioner, Asset Management [or DCAS/AM assigned representative] Department of Citywide Administrative Services One Centre Street, 20th Floor New York, New York 10007 DATE DCAS NO. PROJECT TITLE PROJECT LOCATION TRADE We are sending you the following: SHOP DRAWINGS SAMPLES PRODUCT CATELOG CUTS ENCLOSED HEREWITH BY MESSENGER UNDER SEPARATE COVER By means of: As listed below: Spec. # Contractor/Manufacturer Description Note to Consultants: All shop drawings, submittals and transmittals must be identified by Project Title and DCAS NO. All submissions to be scanned and submitted separately to DCAS Remarks: END OF APPENDIX F GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 106 APPENDIX G DESIGN CRITERIA DCAS seeks the highest quality of design on all of its projects. Project objectives shall be confirmed at the outset of design among all participants. The objectives form the basis for all subsequent design decisions and tradeͲoffs among priorities. A. ARCHITECTURAL DESIGN CRITERIA 1. Site design shall respond to the character of the site, zoning requirements, adjacent properties and open spaces, vehicle and pedestrian circulation requirements and approved master plans. 2. Exterior design and materials shall be appropriate to the building type, respond to existing construction and adjacent buildings, be permanent, durable and easily maintained, and in building modifications be consistent with the quality of existing materials. 3. Interior space planning shall promote clear circulation of the public and the users, be functionally logical and efficient, provide spaces in character with the activities they contain, and produce room configurations that permit logical furniture layouts. Office spaces shall comply with the current DCAS Space Guidelines. Service and utility spaces shall be located logically and efficiently with respect to the needs they serve, and to avoid conflicts or potential hazards likely to be caused by inappropriate juxtaposition of services. 4. Interior materials shall respond to the character of the building, its spaces and activities, be permanent, durable, easily maintained, appropriate to public buildings, and shall not diminish the quality of original interiors in renovation projects. 5. Access and accommodation for the disabled shall be provided in accordance with applicable statutes and regulations. 6. The Consultant shall employ standard methods and practices currently used in the construction industry with regard to dimensions, materials and the installation of building components. 7. The Consultant shall avoid incorporating into the design any materials or custom components whose delivery will prevent or disrupt regular sequencing of construction or which will extend the duration of construction. 8. The design shall be responsive to guidelines for energy efficiency and natural day light. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 107 B. LANDSCAPE ARCHITECTURE DESIGN CRITERIA 1. Sites shall be analyzed in the early stage of Schematic Design. Analysis should include functional relationships of programmed site uses; site pedestrian and vehicular circulation; adjacent offͲsite uses and conditions; existing site amenities and constraints; and subsurface conditions based on site visits, J probes, borings and topographic surveys. 2. Provide an appropriate site and landscape design based on the program and the site analysis. Unless otherwise indicated, all site design shall be as maintenance free as possible. Generally, plazas and courts are desirable due to the urban character of many projects. 3. Projects shall generally provide new or repaired street sidewalks, curbs, roadway, pavements and street trees. All such work shall conform to the latest standards of the New York City Department of Transportation. The street trees shall be approved by, and conform to the latest standards of the NYC Department of Parks and Recreation. 4. Appropriate landscaping plans shall be provided to meet the programmed needs of the project. Landscapes should include lawns, trees, shrubs, ground covers, climbing plants and/or seasonal plantings as required. Plants shall be selected based on the conditions of the site, such as soil characteristics, moisture, temperature extremes, wind and light. Common/ noninvasive and locally available plants shall be specified unless the specific project requirements identify otherwise. Provide visual screening and framing of the site, and/or the building, and/or site features. 5. All surface storm water runoff shall be collected on site in an underground drainage system. Area grading shall provide for drainage away from buildings. Runoff shall be reduced by minimizing paved and other impervious surfaces. 6. Appropriate pavement and curb systems shall be provided that meet the requirements of the type, volume and circulation patterns of the pedestrian and vehicular traffic for the site. Decorative paving is encouraged. Provide site fencing & gates, walls, retaining walls, stairs, ramps and railings as the site program and budget require. All site work shall conform to the latest ADA requirements and all local laws. 7. The base of all site work footings and/or foundations shall be set at least three feet six inches (3’Ͳ6”) below finished grade, or as required by New York City Building Code. Where practical, subsurface soil deͲwatering footing drains shall be provided. 8. Generally provide site lighting and outdoor electrical outlet systems. Some projects of significance may warrant exterior building accent illumination. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 108 9. Decorative site furnishings are encouraged within the limits of budget and program. Such site furnishings can include: benches, tree grates or guards, fences, gates, waste bins, light fixtures, ratings, signage, flag poles, kiosks, bulletin boards, art work, trellis works, play equipment, etc. Site metal works shall generally be solid metal rather than tubular construction, especially dimensioned metal one inch (1”) or less. 10. Site water facilities should be provided for maintenance cleaning and planting irrigation. The minimum requirement shall be hose bibs provided at a spacing that allows a one hundred foot (100') hose to reach all parts of the site. Irrigation systems will only be required where indicated in the specific project requirements or when requested by the DCAS/AM Project Manager or the Sponsor Agency. 11. Site security and keyed systems shall be provided when indicated in the specific project requirements or when requested by the DCAS/AM Project Manager or the Sponsor Agency. 12. Inclusion of decorative site art work is encouraged. Incorporating art work as part of the PercentͲforͲArt Program will sometimes be required. 13. When proposing decorative fountains and pools, the Consultant shall identify the required maintenance, water consumption, shut down and winter season issues. 14. Generally all parking lots will be paved with asphalt and stalls marked with pavement graphics. Provide handicapped stalls based on zoning analysis and building codes. 15. When a project is in or immediately adjacent to a New York City park, the project's design will need to be reviewed and approved by the NYC Department of Parks and Recreation unless otherwise directed by the DCAS/AM Project Manager. 16. Historic and landmark designated sites will require historic research of site use, design and materials. Special probes may be required. The requirements for landmark sites will be as indicated in the specific project requirements. Landmark Preservation Commission review will be required. 17. Where practical, recycled materials usage shall be encouraged. Conversely, removal of demolished site materials shall be used for recycling where practical. If a project generates excess excavation material of five hundred (500) cubic yards or greater, this material shall be delivered according to the Department of Sanitation requirements. 18. If hazardous materials are suspected on site, the DCAS/AM Project Manager and the DCAS Environmental Unit shall be notified, during the early design phases by the Consultant. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 109 19. For substantial planting designs, a written maintenance manual and schedule should be prepared by the Consultant for the institutional users and submitted at the completion of construction. 20. Playground and resilient play surfacing design shall meet the requirements and guidelines of the United States Consumer Products Safety Commission (CPSC), ASTMF1487 and all local codes. Generally, safe fall zones shall be provided as per CPSC. Playground design should be analyzed for age group usage as well as ADA compliance. C. STRUCTURAL DESIGN CRITERIA 1. The structural design shall be based on the Building Code of the City of New York. The design shall also meet the latest proposed earthquake load amendments to the Code. 2. Minimum strength for all structural and exposed concrete including slabs on ground shall be four thousand (4,000) pounds per square inch (psi). All concrete exposed to weather or earth shall be airͲentrained. 3. Where soils are unsuitable for supporting ground floor on grade, such floor systems shall be structurally framed to the building columns and foundations or supported on controlled compacted fill of sufficient depth to eliminate detrimental settlement. The floor systems selected shall be based on lowest estimated construction cost. 4. Piles shall be designed for any additional negative skin motion loads from actively consolidating soils. 5. Use epoxy coated reinforcing bars in all concrete subject to water and chloride penetration, such as garage and firehouse apparatus floor slabs. Waterproof overlays or sealers shall also be employed if additional protection is required. 6. Provide for adequate shrinkage and temperature crack control in all slabs on the ground and topping slabs by providing necessary contraction, control, and expansion joints, and sufficient reinforcing to resist subgrade drag stresses. 7. Use pipe sections for alit roofͲtop posts supporting mechanical equipment drainage, to facilitate adequate flashing at roof slab interface. 8. Fences, flagpoles, signs, and similar appurtenances may not be supported on unreinforced masonry parapets and exterior walls unless Consultant's structural design calculations clearly indicate that masonry stresses, particularly due to lateral loading are within allowable values. D. PLUMBING AND FIRE PROTECTION DESIGN CRITERIA GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 110 1. These criteria are for the services required for a new building. If the Work Order scope indicates an alteration or addition to an existing building, "design" shall mean "modify, extend and redesign”. Design Separate sanitary and storm drainage systems. a. Determine availability of public utilities. b. Design each system to connect to its respective street system. c. Design and specify duplex sewage ejectors for those fixtures subject to backflow. d. Design and specify storm water detention/retention system as required. 2. Design cold water, hot water, and hot water circulating systems and their accessories. 3. Design and specify connections and plumbing fixtures. 4. Specify toilet room accessories. 5. Specify piping and piping accessories. 6. Design and specify fire standpipe in accordance with hydrant flow test report. Provide water service up to and including the detector check valve for required sprinkler systems and combined sprinkler/standpipe systems. 7. Design and specify temporary water supply and sanitary facilities during construction. 8. Design and specify gas supply. 9. Design all plumbing systems to avoid inappropriate juxtaposition with other utilities, especially electrical services. 10. Show water and drainage riser diagram indicating the following: a. Elevations in feet above Mean High Water; b. Fixtures keyed to Symbols List and Schedule of Fixtures; c. Pipe sizes; and d. Vent stack, stack vent, vent and soil lines. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 111 11. Show typical and atypical plumbing chases or shafts where the design shall include all dimensions, plans, sections and elevations. 12. Show all spaces with designations to include same room names and numbers as on architectural drawings and same column numbers as on architectural drawings. 13. Reference Standards include the New York City Administrative Code, the New York State Energy Conservation Construction Code, and all other codes having jurisdiction. 14. An analysis of all applicable codes, local laws and regulatory agency requirements as they pertain to the provision of a complete system of fire protection for the project 15. The report shall also present the Consultant's recommendations for work necessary to place the fire protection system in first class, efficient and safe operating condition. If the existing equipment must be replaced, the report shall include estimated construction cost. 16. Consultant shall provide drain piping for each preͲaction valve assembly and each sprinkler control valve assembly. E. HVAC DESIGN CRITERIA 1. Design Criteria for Survey, Study & Reports, Schematic Design, Design Development, Survey of Existing Conditions, and all subsequent design phases. As required to meet the program description outlined in the scope of work, the Consultant shall adhere to the following design criteria: a. In addition to other requirements as outlined in the Guide for Design Consultants, reports shall include the following: 1) An evaluation of several alternative schemes for the building/space to satisfy the project intent. 2) An analysis setting forth the advantages, disadvantages, annual owning and operating cost and construction cost of not less than three (3) applicable schemes, including a recommended scheme. 3) An analysis of requirements for operating personnel (i.e., if the refrigeration horsepower based on the above requirements requires licensed operating personnel to meet Fire Code provisions). In addition to the multiple schemes considered for each project, Consultant shall investigate and propose mechanical systems which could eliminate the requirement to have licensed operating personnel (i.e., smaller units, units with multiple compressors, nonͲrefrigerant type systems, etc.). 4) For all projects whose Scope of Work includes either the installation of new air conditioning and refrigeration equipment, or where replacement of and/or life GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 112 cycle cost studies for existing air conditioning and refrigeration equipment are required, the Consultant shall present to DCAS a complete report outlining the requirements, restrictions, advantages, disadvantages, cost and other implications of the EPA laws and guidelines with respect to the use of CFC, HCFC, and HFC refrigerants. Consultant shall analyze the types of equipment and alternate refrigerant types which are available (from multiple manufacturers) to suit the specific project, tabulate same, and present his recommendations to DCAS and Sponsor for review and approval. 5) Provide definitive analysis of the automatic controls systems, and proposals for all necessary modifications and/or upgrading. The control systems shall provide for seven (7) day programming, with night and weekend temperature setͲback Use of building energy management systems shall be included in the analysis as an alternative. b. Include in the report a building survey including its heating and cooling plant, chimney, and ventilating systems. The survey shall comprise a complete record of all equipment and conditions, including age and physical condition of all heating and cooling equipment (boilers, piping, insulation, etc.) and the operating results being achieved through its use. c. The report shall also present the Consultant's recommendations for work necessary to place the HVAC system in first class, efficient and safe operating condition. If the existing equipment must be replaced, the report shall include estimated construction cost. d. The report shall state if the new equipment installation is connecting to an existing system, and, if so, whether the existing equipment is to be refurbished before the connections are made between the existing and new equipment. The Consultant shall provide all design work for the required modifications and refurbishment during design phase. e. For existing equipment to be overhauled or replaced, the Consultant shall make a complete schedule of these units and ancillary equipment, such as automatic valves and dampers, automatic controls, coils, filters, reheat, etc., and determine their working condition, requirements for repair, and approximate potential useful life. f. A separate report shall be included regarding the existence of all underground fuel tanks (heating oil or diesel oil) describing their condition, age and code requirements for testing. The report shall provide recommendations for the removal and replacement of tanks and contaminated soil as required suiting the project. 2. General Design Criteria a. Acoustical Design GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 113 The Consultant is responsible for providing all acoustical design services as required to assure that the mechanical systems perform within the guidelines set forth by ASHRAE, 'Recommended Indoor Design Goals for Air Conditioning System Sound Control'. In addition, the entire mechanical installation, including all exterior and/or roof mounted equipment, i.e. air cooled chillers, air cooled refrigerant condensers, cooling towers, fans, air handling units, etc., shall meet the noise control requirements of the New York City Building Code; Department of Environmental Protection New York City Noise Control Code, and all other applicable codes and local laws. If, in the opinion of DCAS/AM the Consultant does not have adequate experience or expertise "inͲhouse" the DCAS/AM reserves the right to direct the Consultant to engage an approved Acoustical Consultant to perform the required design services, at no additional cost to the City. b. Equipment Capacities/Redundancy All equipment capacities and redundancy for heating systems, air conditioning plant and equipment and all other major systems shall be reviewed and approved during schematic and design development (Preliminary phase) prior to proceeding with final design. c. Ventilation for Acceptable Indoor Air Quality It is the intent to design systems with outdoor (ventilation) air quantities in accordance with ASHRAE Standard 62, latest revision when differential costs above a system conforming to the NYC Building Code are acceptable to the City. To provide for such a determination the Consultant shall clearly identify the impact (i.e.: heating and cooling loads, construction costs and operating costs) of conforming to the ASHRAE recommendation during the Schematics phase. DCAS shall review and approve the Consultant's recommended system including outdoor air quantities prior to the Design Development phase. d. Heating Systems / Oil Storage 1) Boiler systems shall supply heat and domestic hot water. Boiler selection shall be determined based on space conditions and simplicity of operation. The Consultant shall analyze standard or modular type boilers depending on each particular building application. Consultant Engineer shall fully coordinate requirements prior to final system selection. The use of heat pump systems shall be analyzed as an alternative. 2) The heating system shall be, preferably, twoͲpipe forced hot water, zoned as required with each zone having its own circulating pump or other means of providing independent control for each exposure and occupancy. Provide standͲby pumping capacity. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 114 3) Heating equipment (Boilers) shall be sized for one hundred fifty percent (150%) of required capacity, i.e. two (2) at seventy five percent (75%) each, or three (3) at fifty percent (50%) each, or as approved by DCAS during Schematic Design. 4) Oil Storage (for heating) sufficient for one (1) month supply shall be designed as per the latest New York State DEC regulations and all other applicable codes. (Review parameters of each project and obtain DCAS approval prior to proceeding with Final Design phase). Oil storage capacity for emergency generators must be reviewed and approved by DCAS prior to proceeding with Final Design. Unless otherwise directed, Consultant shall provide independent storage tank for emergency generator fuel storage (Consultant sha1l review space limitations and/or budget constraints during Preliminary Design phase). i. Consultant design for buried fuel oil tanks and related ancillary equipment, such as piping and cathode protection, shall be based on standard manufacturer's data for either double wall steel tanks or double wall fiberglass tanks. Contractors bidding on Consultant's design documents will be allowed to substitute (i.e.: steel for fiberglass, or fiberglass for steel) as an "approved equal" submission. 5) During the Schematic Design phase where applicable, the Consultant shall investigate feasibility of providing dual fuel burners for all (new or existing to be replaced) boiler equipment. e. Codes and Standards Design to meet the requirements and recommendations of the Sheet Metal and Air Conditioning Contractors National Association (SMACNA), all ASHRAE Handbooks, the New York City Building Code, the New York State Energy Conservation Construction Code, New York City Fire Protection Code, New York State Department of Environmenta1 Conservation, and all agencies having jurisdiction. f. Ductwork, Air Distribution Systems and Miscellaneous Equipment As applicable, Consultant shall provide: 1) Diffusers and registers in lieu of grilles. 2) (For security applications) Framed security bars in ducts nine inch x nine inch (9”x9”) or larger. 3) Locations of all duct smoke detectors, shown on drawings. 4) Motorized dampers at outlets of kitchen range hood fans. 5) Fire dampers adjacent to each, intake louver, gooseneck and penthouse. 6) Bird screen for each exterior wall louver. 7) Motorized damper adjacent to each exterior wall louver. 8) Motorized damper in lieu of back draft damper. 9) Motorized damper at each roof penetration for HVAC units. 10) Locations of all fire dampers, shown on drawings. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 115 11) Double thickness turning vanes in lieu of single thickness. 12) Quadrant or opposed blade dampers for balancing in lieu of splitter dampers. 13) Sheetmetal ductwork only Ͳ no fiberglass ductwork. 14) External thermal duct insulation in lieu of internal insulation. g. Piping Systems, Heating Systems, Miscellaneous Equipment. As applicable, Consultant shall provide: 1) 2) 3) 4) 5) 6) 7) 8) Condensate drain piping for all cooling coils, with deep sea trap. Reverse return piping systems for hot water heating elements. Three (3) valve bypass for each float and thermostatic, bucket type trap. All steam coils shall be of the freeze proof construction type. Circulating freeze pump protection for all hot water heating coils. Heating coils to temper all outdoor air intakes. Three (3) valve bypass for each control valve. Thermostat or aqua stat for each unit neater, cabinet heater, V A V box & air curtain. 9) Refrigerant piping schematic flow diagrams (with all required strainers, pressure relief valves, filterͲdriers, solenoid valves, flexible connections, receivers, sight glasses, etc.). Pipe routing to and from interconnected pieces of equipment shall be sized and shown on the mechanical plans. 10) Provide complete system(s) for water treatment, with a oneͲyear Service Contract. 11) Preferably steam or hot water for unit heaters, cabinet heaters, air curtains, etc. in lieu of electric. 12) Heat trace all piping subject to outdoor or freezing temperatures. 13) 'WarmͲup’ valves for all steam services, as required. 14) Blow off valves at all strainers. h. Emergency Generator 1) Provide selfͲactivating exhaust fan in connection with the Emergency Generator Room, including fresh air and discharge ductwork for radiator. 2) The fuel supply system shall include an electric transfer pump, an emergency hand pump, a day tank and an alarm activated by high and low level switches in the day tank. 3) The engine room ventilation system shall be capable of providing sufficient air for engine cooling and combustion. The ventilation system shall include motorized dampers and a thermostatically controlled bypass for engine room temperature control. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 116 i. Miscellaneous 1) Provide make up air source for each exhaust fan. 2) Door louvers or door undercut shall be provided for each room being exhausted or ventilated. Door undercut for less than seventy five (75) cfm; door louver for seventy five (75) cfm or greater. 3) All louver designations shall indicate net free area. j. Drawing Presentation 1) Equipment schedules should indicate, as a minimum; motor brake horsepower, motor horsepower, voltage, phases, frequency, manufacturer, model number and MEA number. Heating element or fin tube schedules shall include length and capacity. 2) Indicate system number for each (duct and piping) riser on each floor plan. 3) All floor plans to include all room names, column numbers and north arrow key plan. F. ELECTRICAL DESIGN CRITERIA The Consultant is expected to be thoroughly familiar with the DCAS "General Electrical Requirements” and the design are to reflect their requirements as is the checking of Shop Drawings. 1. Survey of Existing Conditions: For existing buildings, survey and make recommendations for the reͲuse, replacement or modification of the following: a. Lighting fixtures, referring to illumination levels, and energy efficient lamping and controls. b. Electrical services, with reference to new loads. c. Recommendations for reuse, modification, or replacement of existing systems. 2. Electrical Service Submit Site Plan with information required for Utility Services. Break down estimates to indicate existing and new load requirements. The Consultant is to submit all required information to the Utility Company as early as possible. 3. General Design Elements a. If the building is existing, show all existing lighting and power panels by plan location and schedule. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 117 1) Check for reuse or modification; and 2) Make recommendations. b. For all buildings, new or existing, show conduit and wire. 1) The Consultant shall devise the most efficient and least expensive routing for conduit runs. 2) For existing building reuse existing conduit and wire where practical. 3) New conduit shall be galvanized rigid pipe, concealed in finished areas and exposed in unfinished areas. 4) In existing areas, it may be permitted that new wire be run in surface metal raceway, but this must be kept to a minimum in keeping with the type of building. c. Design complete power distribution. Voltage drops shall not exceed limits permitted by the New York City Electrical Code. d. CoͲordinate mechanical, plumbing and electrical requirements. Design electrical systems to avoid inappropriate juxtaposition with other utilities. e. Design and specify power for motors and controls. f. Design for emergency systems, new or modify existing if in existing buildings. g. For existing buildings specifies continuity of service for power, light, and emergency systems if the user plans to continue occupancy during alteration. Assume continuity of service unless otherwise indicated in the specific project requirements or when requested by the DCAS/AM Project Manager or the Sponsor Agency. h. Design and specify the removal and relocation of existing equipment as required. i. Specify Temporary Light and Power to be provided under the Electrical Contract. j. Investigate "Load Shedding" from the aspect of cost and benefit. The costs will be associated with the shedding, equipment, and wiring; and the benefits will be associated with the reduced energy bill from demand. k. Specify lighting and power panels for three (3) poles, four (4) wire service, and sixty (60) hertz. Show complete schedules with the following: 1) Circuit number. 2) Circuit breaker type and trip rating. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 118 l. 3) Load / watts, and designated use. 4) Provide twenty five (25) spare circuit breakers and feeder capacity. Detail requirements in plan on separate lighting and power drawings. m. Design adequate electrical and communication closets, to conform to the requirements of the New York City Electrical Code. n. Convenience outlets in offices and storage areas shall be spread approximately eight feet (8’) on center around the room. o. Provide surge suppressor outlets for computers and other sensitive electronic equipment. 4. Lighting Fixtures and Illumination Levels. a. Design and specify lighting fixtures complete: 1) Include lamps; 2) Use energy efficient LED type for normal applications; i. ii. iii. With virgin acrylic lens, Class I as approved; or parabolic diffuser. With acceptable color rendering index, rapid start lamps. With "class P" thermal and "Class AU” sound rated high frequency ballasts. 3) Use high pressure metal halide, or mercury vapor for high bay, exterior, and flood lighting. b. Design for illumination levels established by the Illuminating Engineering Society (IES) as promulgated in their handbook, unless otherwise noted in the specific project requirements or by DCAS/AM or as required by the New York State Energy Conservation Construction Code. Submit calculations of light levels: 1) Make preliminary submittal for approval, 2) Use Illumination Engineers Society (IES) techniques, 3) Make calculations for typical areas. ADD: Fire Safety Coordination i. ii. Establish with DCAS/AM Project Manager the current building Fire Safety design and future projects for changes to the “backbone”. Verify capacity of existing building Fire Alarm system. Include modifications as required GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 119 5. Fire Safety Coordination a. Establish with DCAS/AM Project Manager the current building Fire Safety design and future projects for changes to the “backbone”. b. Verify capacity of existing building Fire Alarm system. Include modifications as required. 6. Reference Standards a. Design all parts of the electrical systems to meet the requirements of the most recent editions of the following: 1) New York City Electrical Code and National Electrical Code, whichever is more stringent. 2) New York State Energy Conservation Construction Code. 3) Standards of DCAS as specified under the title "The General Electrical Requirements of the General Conditions Covering All Contracts". 4) All other codes having jurisdiction: b. Bring to the attention of the DCAS/AM Project Manager apparent conflicts in overlapping codes. G. HISTORIC PRESERVATION DESIGN CRITERIA Historic Preservation Design Criteria can apply to an entire project, large or small, including all trades and engineering disciplines, or to any part of a project that includes preservation and conservation components. The criteria apply to projects on sites, structures, interiors and works of art that are officially protected under the City, State or Federal preservation law and subject to regulatory agency reviews and approvals. They also establish the guidelines for projects which involve sites, structures, interiors and works of art that may not be designated but are either eligible for designation or deemed of Landmark Quality by the City. The types of projects described above shall be referred to hereafter as Preservation Projects. The paragraphs below set forth the criteria as they apply to both categories: 1. Proposed work on structures, sites, interiors and works of art which are designated by the New York City Landmarks Preservation Commission, or which are on the State and/or National Register shall conform to The Secretary of the Interior's Standards for Historic Preservation Projects (hereafter referred to as The Standards). The goals of the project (protection, stabilization, rehabilitation, restoration or reconstruction) will determine the corresponding standards which apply. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 120 2. Proposed work on structures and sites which are Landmark Quality (eligible for listing in the National or State Register or having historic, cultural, artistic and/or architectural features of merit and significance), shall be guided by "The Standards", and every effort shall be made to achieve full compliance and to protect their future eligibility for historic status. 3. A Preservation Project requires that the Consultant provide a full range of preservation and conservation services by qualified experts for every phase of the project. The Consultant is therefore required to have on his team all the specialists who are needed to carry out the scope of the work, such as Historian, Archaeologist, Architectural Conservator, Art Conservator, Materials Specialist, Historic Systems Engineer, etc. 4. The services which are nominally expected during a Preservation Project include: a. Documentary, historic and field research sufficient to inform the scope and intent of the project, and to verify conditions which are exposed during construction. b. An assessment report of features which are significant with respect to preservation, including an inventory and description of special elements, spaces, materials, systems, details, furnishings, equipment, etc. c. An evaluation of existing conditions based on probes and tests that are necessary to achieve accurate construction documents and a detailed cost estimate. The Consultant is expected to identify and plan the probes and tests. Upon approval, tests and or probes that require specialized equipment, scaffolding, laboratory conditions, etc., may be performed under an allowance for additional work. The Consultant remains responsible for planning, supervision and coordination of the work and for the submittal of an illustrated report documenting the procedures the results and the interpretation. d. In the absence of existing measured drawings, the Consultant shall produce a set of base measured drawings for the areas of work included in the scope, and shall provide photographic documentation of existing conditions, the work in progress and AsͲBuilt conditions. The Consultant shall also keep a record of changes to the specifications which are approved during construction and document them in descriptive memoranda. The above documentation shall become a part of the official project history for DCAS Archives to facilitate evaluation of methods and materials over time, and to monitor future projects and maintenance procedures. e. All of the preservation services which are rendered as part of the project shall be documented in a way suitable for inclusion in a historic structures report noting all sources of information, written and graphic. The specific project requirements of a GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 121 project may require the Consultant to produce a complete historic structures report as part of the project scope. f. The Consultant may be required to prepare an application for eligibility for the National or State Register, when the City decides to seek this status as part of the project. For example, in the case of ADA compliance, "eligibility" status may modify the application of the law and mitigate the effect on the historic fabric. g. During the Bid & Award phase and during construction, the Consultant shall assist the DCAS team in the review, verification and evaluation of the Special Experience Requirements and Qualifications submitted by the Contractor and his proposed Subcontractors. The Consultant is expected to participate in visits to sites of sample of work, to verify quality and applicability to the project and to recommend appropriate action based on project requirements. h. The services described above are considered usual for all Preservation Projects. Their extent may vary according to the overall Scope of Work. In special cases, other services may be required and more fully described in the specific project requirements or when requested by the DCAS/AM Project Manager or the Sponsor Agency. 5. Alternative plans for preservation treatment should include at least one (1) proposal which addresses complete conformance with "The Standards". Each proposal, including the one (1) just described, must fully explain the approach and the consequences for preservation issues, and must be accompanied by a cost estimate so that a full range of options are explored in an effort to arrive at a sensitive and appropriate solution. 6. The above criteria apply to the entire Contract, including all phases of both design and construction. The Consultant is expected to retain the services of specialists for the duration of the contract including those required during construction. If additional or unforeseen services of specialists are required during construction, it is the responsibility of the Consultant to bring this to the attention of the DCAS/AM Project Manager and the Historic Preservation representative, and to provide for these services as part of the construction requirements or in another appropriate manner. END OF APPENDIX G GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX F APRIL 2015 PAGE 122 APPENDIX H DRAWING STANDARDS A. SIZE Drawings shall be on industry standard or CAD standard sheet sizes with minimum borders of two inches (2”) on the left side, and oneͲhalf inch (1/2”) on the right side, and on the top and bottom. Other sheet sizes will be permitted, if required by specific project needs and approved in writing by the DCAS/AM Project Manager. B. NUMERATION OF DRAWINGS: 1. Drawing numbers shall be consecutive within each contract/discipline; contract for RC construction projects, Multiple Contract Bid or discipline for General Construction Bid contracts, and be prefixed by the letter indicating the contract/discipline to which the Drawings are applicable. Use the following code: “T” indicates Title drawing. "A" indicates Architectural drawing. "L" indicates Landscape Architecture (Site work) drawing. "S" indicates Structural drawing. "I" indicates Interiors/Furniture drawing. "P" indicates Plumbing drawing. "SP" indicates Fire Protection/Sprinklers. "M" indicates HVAC drawing. “E" indicates Electrical drawing. “FA” indicates Fire Alarm drawing “SEC” indicates Security drawing. “AV” indicates Audio Visual drawing. “SN” indicates Signage drawing. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX H APRIL 2015 PAGE 123 “H” indicates Hazardous Materials Abatement drawing. “T" indicates Topographical and Property Line drawing. "B” indicates Record of Borings drawing. 2. Addenda drawings are issued prior to bids being received and are consecutive within each Contract/Discipline. 3. Supplementary drawings are issued after bids have been received and are consecutive within each Contract/Discipline. C. TITLE BLOCKS AND SIGNATURES Shall appear on drawings in locations as specified. D. LETTERING Shall be a minimum of five thirty second inches (5/32”). E. ADDENDA AND SUPPLEMENTARY DRAWINGS Shall be in pencil, the notation "PRELIMINARY Ͳ NOT FOR CONSTRUCTION" which will be removed by DCAS prior to inclusion in the Contract Documents. F. MEDIA TYPE CAD G. DRAWING FORMATS See diagrams in this Appendix. Use Drawing Standard Number One (1) for content of Title Sheet on all Design Drawings. Use Drawing Standard Number Two (2) for content of Title Block on all Design Drawings. Addenda and Supplementary Drawings are to be formatted by the Consultant. Renderings or illustrations are to be formatted by the Consultant. However, note that DCAS and Sponsor Agency names and logos are to appear on the front of all presentation materials along with those of the Design Consultant. Lettering on the rendering is at the discretion of the Consultant, except that all letters shall be at least three quarter inch (3/4”) high to allow for legibility after possible reduction to eight and one half inch x eleven (8Ͳ1/2”x11”) inch format. No words shall be abbreviated. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX H APRIL 2015 PAGE 124 GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX H APRIL 2015 PAGE 125 End of APPENDIX H GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX H APRIL 2015 PAGE 126 APPENDIX I EXISTING CONDITIONS DRAWINGS A. Unless otherwise indicated in the specific project requirements, the Consultant shall: 1. Provide Existing Conditions Drawings of all parts of the building affected by the proposed work, field measuring and probing the buildings as necessary, and/or, 2. Review Existing Conditions Drawings prepared by others and provide a statement with regard to their adequacy and accuracy, verifying with field measurements and probes if necessary. 3. Reconcile Existing Conditions Drawings with other documents listed in the specific project requirements or issued by the DCAS/AM Project Manager, and prepare a statement with respect to their correlation. 4. Augment Existing Conditions Drawings prepared by others to provide a complete set to meet the stipulations of the specific project requirements and the Building Code of the City of New York. B. EXISTING CONDITIONS DRAWINGS 1. General Requirements: a. Documents shall be the property of the DCAS. A complete set of scalable electronic reproducibles shall be delivered to the DCAS/AM Project Manager at the completion of the Contract. b. Drawings shall meet the applicable requirements of the New York City Administrative Code (Building Code). c. Drawings shall locate, indicate, and identify items in accordance with an appropriate legend. 2. Architectural Existing Conditions Shall, at a minimum, meet the requirements of the latest edition of the New York City Administrative Code for the following: a. Administration and enforcement b. Definitions GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX I APRIL 2015 PAGE 127 c. Occupancy and construction classification d. Building limitations e. Fire protection f. Means of egress g. Special uses and occupancies h. Places of assembly 3. HVAC Existing Conditions Shall, at a minimum, meet the requirements of the following: a. Air Conditioning and Ventilating Systems except for index of ventilation b. Elevator locations c. Fuel burning and fuel oil storage equipment d. Refrigerating Systems e. Heating System Ͳ all items broken down by system and subsystem f. Boilers g. Standpipe h. Sprinkler System Ͳ risers, pumps, and valves, and note the areas’ sprinkler 4. Plumbing Existing Conditions Shall, at a minimum, meet the requirements of the following, unless noted otherwise: a. Single line plan Ͳ except summation of loads b. Typical layout (not required) c. Riser diagram (not required) d. New plans (not required) GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX I APRIL 2015 PAGE 128 e. All appurtenant equipment 5. Electrical Existing Conditions Shall, at a minimum, indicate the following according to the accepted IEEE legend of indications: a. a Service drop (AC), (DC), (Size) b. Meters (demand), (AC), (DC) c. Main switch gear d. Motor controllers and motors e. Feeders (sizes) f. Panel boards g. Fire alarms and smoke detectors h. Safety controls, alarms and systems i. Lighting fixtures and wiring devices 6. Structural Existing Conditions Shall, at a minimum, meet the requirements of the following: a. Loads b. Structural work c. Foundations C. PROCEDURE 1. Reproduce existing drawings photographically to produce a scalable electronic record 2. Produce Architectural Existing Conditions Drawings as Master Background 3. From Master Background make all other Existing Conditions Drawings required 4. Use typical title blocks as approved GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX I APRIL 2015 PAGE 129 5. Execute other Existing Conditions Drawings as required END OF APPENDIX I GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX I APRIL 2015 PAGE 130 APPENDIX J PROGRAMMING SPACE REQUIREMENTS AND TEST FITS A. ASSUMPTIONS Space requirements are a function of the methods of operation as well as the number of personnel scheduled to occupy the facility. Therefore, the Consultant shall explore the implications for physical plant requirements of alternate assumptions or methods of operation, whenever relevant, and make recommendations. B. DATA AND RECOMENDATIONS Shall be submitted for comments as directed by the DCAS/AM Project Manager, and must be approved by DCAS/AM before the final report is prepared. C. FINAL REPORT Shall contain the following: 1. A Space Program Summary summarizing the holistic use of the space, total square footage requirements, key program elements, work space types, collaborative and dedicated meeting spaces, shared files counts, new program functions and other operational issues and recommendations to assist in determining appropriateness of a specific site. 2. Graphic and descriptive documentation by activity of present and future personnel by space needs. 3. Appropriate space standards for each applicable activity for present and future personnel. 4. A determination and listing of space requirements for all special uses and common use functions. 5. Individual work space standards. 6. Flow diagrams that indicate the required circulation patterns and physical relationships of both internal and external agency functions within the project. 7. A projected space program noting the functions, space allocations, occupancy (staff and visitors) and size of new facilities. The report shall provide a listing of usable net area and gross area tabulations complete for each of the functional requirements for the GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX J APRIL 2015 PAGE 131 proposed project. The net area tabulations shall be broken down into individual spaces and areas within each unit. 8. Preliminary construction costs of the project based on the proposed program requirements. 9. A schedule outlining a time program for planning, constructing and occupying the recommended new facilities to guide the City of New York in implementing its programming and budgeting system. 10. Zoning analysis and recommendations. 11. Furniture list and equipment list required for use in each typical and atypical space. 12. Inventory and use of all existing spaces, anticipated growth or decline, adjacency of work flow requirements, special purpose areas, facilities to be shared in common, building service areas and building service requirements. 13. Test Fit plans prepared for specific locations. D. RECOMENDATIONS The Consultant shall prepare and submit four (4) hard copies and two (2) digital copies of the Final Report containing descriptive and graphic justification data in support of recommendations made concerning the new facility, which will serve as a public record in support of future building program decisions. Cost savings suggestions, such as offͲsite storage space for appropriate functions like central or dead files, storage and /or special nonͲcritical facilities shall be included. E. EXECUTION The Consultant shall execute the analyses and recommendations as follows: 1. Liaison and Schedules: Confer with designated officials to establish proper liaison and schedules to obtain an understanding of the operations under their jurisdiction. All information prepared by the Sponsor Agency shall be verified by the Design Consultant through interviews with the end user managers and visits to their respective present locations. 2. Inventory of the Use of All Existing Spaces: Survey and prepare an inventory of the use of existing spaces and all unit activities for the functions included in the scope of this program. A detailed analysis shall be made of the functional and area requirements of each of these activities. Compare by linear juxtaposition the existing space (net square foot area) with the proposed space. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX J APRIL 2015 PAGE 132 3. Anticipated Growth or Decline: Study and analyze space and area requirements based on anticipated growth or decline. Time periods for projecting future needs shall be approved by DCAS/AM. 4. Individual Work Spaces: The operational task of each individual personnel function shall be analyzed by the Design Consultant who shall identify for the Sponsor Agency and DCAS/AM appropriate workspace size and type with dedicated filing requirements to insure uniformity of treatment and efficient space utilization. 5. Adjacency and Work Flow Requirements: Determine the adjacency and work patterns during normal and peak use periods for the various activities within the proposed facility. 6. Special Purpose Areas: Develop space requirements for special purpose areas. 7. Facilities to Be Shared in Common: Prepare a functional analysis of the requirements for facilities to be shared in common such as conference rooms, locker rooms and food service areas. Conference rooms shall be substantiated by information on average number of meetings per week, average number of attendees and average length of meetings and then allocated to be shared by all units, as reasonably appropriate. 8. Building Service Areas: Develop requirements for the building service areas, to allow for proper operation and maintenance of proposed building, including receiving areas, supply and storage areas, waste disposal and delivery systems. 9. Service/Mechanical Requirements: Establish the requirements for building management, telephones, communications, electrical, plumbing and mechanical needs, special lighting and acoustical treatments and the like. Space provisions shall be programmed for heating, ventilating, and air conditioning equipment of sufficient capacity to serve the facility. 10. Utilization: Analyze proposed utilization, e.g. five (5) days per week; 9:00 Ͳ 5:00 implies a two thousand (2,000) hour year, typical for an office space. An outdoor swimming pool, on the other hand, would have a typical utilization of at most, six (6) days, 9:00 Ͳ 9:00 implying a one thousand (1,000) hour year. Analysis shall identify the typical year, and the proposed utilization as a percentage of that. Where proposed utilization is under fifty percent (50%), appropriate justification and written approval from the DCAS/AM Project Manager will be required. 11. Test Fits: Prior to final approval of the Space Program, DCAS may request the Design Consultant to develop Test Fit plans for up to three (3) proposed sites to assure appropriateness of each site. The plans shall be 1/8” to 1’Ͳ0” scale and include proposed GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX J APRIL 2015 PAGE 133 boundaries of the Sponsor Agency space, primary and secondary circulation, work spaces, common files, meeting rooms, all spaces over fifty square feet and blocks of smaller spaces of like use including building services areas. END OF APPENDIX J GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX J APRIL 2015 PAGE 134 APPENDIX K GUIDELINES FOR MULTIPLE CONTRACTS Consultant shall familiarize themselves with the Unit Pricing in the current Requirements Contracts for the required trades. If appropriate, selections and design criteria shall be made for the City to benefit from the preͲdetermined items. A. ELECTRICAL WORK ASSOCIATED WITH HVAC 1. Power wiring to starters, motors, and inͲsight disconnects are to be furnished and installed by the Electrical Contractor. 2. Starters and disconnects, unless integral with the equipment, are to be furnished by the HVAC Contractor and installed by the Electrical Contractor. 3. The furnishing and installation of all control devices and all control and interlock wiring for equipment furnished under the HVAC contract shall be by that Contractor, including any power required for any control device. This power is to originate from a four (4) circuit panel in each mechanical equipment room. If there is no electric panel in the room, the Electrical Contractor is to furnish and install this panel. 4. Boiler Room: The Electrical Contractor is to provide a feed terminating in a junction box or disconnect. The HVAC Contractor is to do all wiring from junction box or disconnect to boiler room equipment. 5. Boiler Plants: Where the Electrical Contractor is to do power wiring to specific equipment, details of that electrical work are to be shown on the electrical drawings. 6. Motor Control Centers may be furnished by either the HVAC Contractor or the Electrical Contractor (it is desirable that they be furnished by the Electrical Contractor), but must be installed and wired by the Electrical Contractor except for external control wiring, which shall be by the HVAC Contractor. 7. Sprinkler System including flow and tamper switches are to be furnished and installed by the HVAC Contractor. Sprinkler Alarm Panel and all wiring are to be by the Electrical Contractor and must be shown on the electrical drawings. B. ELECTRICAL EQUIPMENT FURNISHED UNDER GENERAL CONTRACTOR AND PLUMBING: All power and control wiring is to be by the Electrical Contractor and must be shown on the electrical drawings. C. LUMINOUS CEILING GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX K APRIL 2015 PAGE 135 To be furnished and installed by the Electrical Contractor. D. LIGHTING FIXTURE SUPPORTS To be furnished by the Electrical Contractor and installed by the General Contractor. E. ELEVATOR WORK 1. The Electrical Contractor is to provide disconnect near the machine room entrance and the feeder to it and to the controller, the rest is to be provided by the Elevator Subcontractor. 2. The Electrical Contractor is to provide an electrical outlet box and telephone junction box at the midpoint of the shaft. Telephone junction box is to be connected with empty conduit to the nearest telephone strip box. F. STANDPIPE/SPRINKLER RESPONSIBILITIES 1. The Plumbing Contractor is to provide water service for sprinkler, standpipe and combined standpipe/sprinkler systems from the main up to and including the first OS& Y valve and the detector check valve. 2. The Plumbing Contractor is to provide standpipes combined sprinkler/standpipe system and separate sprinkler system from detector check valve and including fire and booster pumps. 3. The Electrical Contractor is to provide wiring. 4. Coordinate all requirements with DCAS as these requirements relate to union jurisdictions in New York City. G. FUEL TANKS 1. Fuel tanks and their associated piping and miscellaneous controls are to be by the HVAC Contractor for heating oil or emergency generators. 2. Power for any required pumps is to be provided by the Electrical Contractor. Excavation, gravel backfill, support pads, and manhole access may be by the General Contractor, the HVAC Contractor, or the Plumbing Contractor. A decision will be made by DCAS in conjunction with the Consultant. H. RESPONSIBILITY OF EACH CONTRACTOR GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX K APRIL 2015 PAGE 136 Each Contractor is to do all necessary rigging, cutting and patching, excavation and backfill for the work of their Contract, unless otherwise specifically noted on plans and specifications by the Consultant. I. ACCESS DOORS Access doors are to be furnished by the respective trades for installation by the General Contractor as directed. END OF APPENDIX K GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX K APRIL 2015 PAGE 137 APPENDIX L SPECIFICATIONS A. PROCEDURES FOR PRELIMINARY PHASE 1. Design KickͲoff 2. The Consultant receives boilerplate specifications material and is alerted to frequently changed articles, e.g.: a. Schedule “A" b. Temporary Services, Toilets, Water, etc. c. Trailer d. General Electrical Requirements e. Progress Photos f. Guarantees g. Security Guards h. Project Sign 3. Specification Format C.S.I. 3ͲPart/General/Products Execution is preferred. 4. Preliminary Submission 5. The Consultant submits Outline Specifications (see Appendix L, Specifications). All elements of construction must be indicated (General Construction, HVAC, Plumbing and Electrical). The Consultant verifies with the DCAS/AM Project Manager that the separation of contracts is appropriate for the project. The Consultant shall also discuss separation of contracts with specification section, if necessary. The Outline Specification shall conform to PLA requirements if applicable. B. PROCEDURES FOR FINAL DESIGN 1. Fifty Percent (50%) Submission Consultant submits for review the Specifications as complete as possible, including technical sections, boilerplate material, General Conditions and Specific Requirements GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX L APRIL 2015 PAGE 138 for each Construction Contract, if applicable, Information to Bidders, Agreements and Wage Rates. A meeting might be necessary if comments are substantial. 2. Final Submission The Consultant submits complete specification incorporating previously made comments. 3. Bid Document Submission The Consultant resubmits complete Specifications, incorporating any remaining comments, and submits cameraͲready copy suitable for bidding, including completed CD or USB drives in original Microsoft Software and pdf format for DCAS master file. C. OUTLINE FOR PREPARATION OF A MULTIͲCONTRACT JOB The following is a summary of items to review and check and may not be allͲinclusive for a particular project. 1. Bid Booklet a. Booklet 1) Front cover sheet: Complete project number (DCAS Number), contract numbers and titles, name, address and zip code of project, and borough. 2) On the line ''FOR THE”Ͳ list Sponsor Agency. 3) On the line ''PREPARED BY Ͳ list Consultant's name, address, telephone and fax numbers. 4) At bottom of page, complete current date (month, day, and year). b. There shall be a Bid Form (pages 4 through 8) for each Contract. On Page 4, complete the contract number and title, and name and address of job, including zip code. If job is lump sum, use page 7. If not, still use page 7, but include, as an item, Allowance for Asbestos Abatement. Complete items that may be required as separate bid items. 2. Specifications a. Front cover sheet 1) Complete project number (DCAS Number), contract numbers and titles, name, address and zip code of project. 2) On the line ''FOR THE”, list Sponsor Agency. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX L APRIL 2015 PAGE 139 3) On the line "PREPARED BY”, list Consultant's name, address, telephone and fax numbers. 4) At bottom of page, complete current date (month, day, and year). b. After Table of Contents, complete Table of Contents for General Conditions and Specifications for each contract, including page numbers. c. Cover sheet for General Conditions: Revise titles of contracts, if required, and complete name and address of job. d. Description of Project: Complete with a brief narrative description of project. List Contracts, if required. e. Liquidated Damages (for Multiple Contracts): consecutive calendar days for each Contract (use current work sheet from Specifications Section to obtain information). Revise titles of contracts, if required. If boiler insurance is required, mark parenthesis with (X). If Asbestos removal is included, mark parenthesis with (X). If boiler insurance is required, complete section number and paragraph number. f. Contract Drawings: List Contract Drawings for this job after the Table of Contents. g. Include all construction General Conditions sections that pertain to the specific project. h. Guarantees: Revise paragraph if required. If items are to be guaranteed over one (1) year, complete article number and section number; title of section, and number of years each item is to be guaranteed. i. Shop Drawings and Materials Sample Schedule: Complete Shop Drawings, Sample and Product Data Log for each Contract. j. Complete title sheet for Specifications for each Contract. Complete name and address of the job, including zip codes. k. Technical Specification: If applicable, substitute language for an existing building, obtained from Specifications Section. l. Technical Specification: If required in each Contract, add Section Allowance for Incidental Asbestos Abatement. m. Back Cover Sheet: Revise contract names and numbers, if required. Complete name and address of job. D. OUTLINE FOR PREPARATION OF A SINGLE CONTRACT JOB GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX L APRIL 2015 PAGE 140 The following is a summary of items to review and check and may not be allͲinclusive for a particular project. 1. Bid Booklet a. Booklet 1) Front cover sheet: Complete project number (CAPIS ID Number), contract number and title, name, address and zip code of job, and borough. 2) On the line "FOR THE ___" list Sponsor Agency. 3) On the line "PREPARED BY ___” list Consultant's name, address, telephone and fax numbers. 4) At bottom of page, complete current date (month, day, and year). b. Page 4 Ͳ complete name and address of job including zip code. c. If job is a lump sum only, use page 7. If not, still use pages 7, but include, as an item, Allowance for Asbestos Abatement. Complete items that may be required as separate bid items. 2. Specifications a. Front cover sheet: 1) Complete project number (CAPIS ID Number), contract number and title, name, address, and zip code of job and borough. 2) On the line "FOR THE II list Sponsor Agency. 3) On the line "PREPARED BY” list Consultant's name, address, telephone and fax numbers. 4) At bottom of page, complete current date (month, day, and year). b. After Page iii, Table of Contents, complete Table of Contents for General Conditions and Specifications, including page numbers. c. Cover Sheet for General Conditions: Complete name and address of job. d. Liquidated Damages (for a single contract): consecutive calendar days (use current work sheet from Specifications Section to obtain information). e. Contract Drawings: List Contract Drawings for this job after the Table of Contents. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX L APRIL 2015 PAGE 141 f. Guarantees: List items that are required to be guaranteed. If items are required to be guaranteed over one (1) year, complete article number and section number, title of section, and number of years each item is to be guaranteed. g. Shop Drawings and Material Samples Schedule. h. Complete Shop Drawings, Sample and Production Data Log. i. Complete title sheet for Specifications. Complete name and address of the job, including zip code. 1) Technical Specification: Section 01010 Ͳ Specific Requirements. 2) If job is an alteration, obtain language for an Existing Building from Specifications Section. j. If Section Allowance for Incidental Asbestos Abatement is required, number section and insert allowance. k. Back Cover Sheet: complete name and address of job. END OF APPENDIX L GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX L APRIL 2015 PAGE 142 APPENDIX M CITY OF NEW YORK REAL ESTATE MEASUREMENTS A. REAL ESTATE MEASUREMENT GUIDELINES The definitions and measurement procedures described herein are intended solely for use in determining square footage for the City of New York (hereafter referred to as City). See Sample Space Measurement Analysis Worksheet in this Appendix. 1. All building plans used for space measurement to be field verified. 2. Demised premises are to be demarked. 3. All plans used for space measurements to be attached including but not limited to areas used for shafts, building common areas (Equipment rooms, Meter rooms, Central AC rooms, Roof Cooling Tower etc.). 4. Submit all calculations and fill in the Space Measurement Analysis Worksheet. 5. All AutoCAD drawing submissions must be accompanied by a copy of the original building drawing. B. DEFINITIONS The following definitions and abbreviations are used for real estate measurement terms by the City of New York: 1. RENTABLE SQUARE FOOTAGE (RSF) The RSF is used as the basis for Tenant rental payments to the Landlord for all real estate transactions with the City of New York. Measurement of the RSF is to the exterior surface of each exterior building wall or to the outside surface of the glass for a predominantly (greater than 50%) fenestrated wall, and to the centerline of any building perimeter party or common wall with an adjoining structure. Any open shaftways or open courtyards (open to the elements) are excluded unless such space is used for Tenant functions. Roof measurements are only of Tenant utilized portions, such as mechanical areas or roof antennas and the proportionate share of required access to those areas. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 143 Multiple height areas, such as lobbies, covered atriums, auditoriums and boiler rooms are measured and counted as one level only. All shaftways and floor penetrations including building air, electrical, and elevator shafts are to be measured and counted only one time. All such deductions are measured from the facing surface of the enclosing walls. (Stairs and stairwells are to be measured as floor area on each floor.) a. Building Common and Shared Area (BCSA) The Building Common and Shared Area is the sum of all areas that serve the entire building and all Tenants. This area is excluded from all Floor Rentable and Floor Tenant Rentable calculations. b. Floor Rentable (FR) The Floor Rentable includes all remaining areas after deducting the Building Common and Shared Area. The Floor Rentable includes Tenant spaces and areas that are shared only on a floor. c. Floor Tenant Rentable (FTR) The Floor Tenant Rentable is the Floor Rentable apportioned to an individual tenant of a multiͲtenant floor. For single Tenant floors the Floor Tenant Rentable is equal to the Floor Rentable. d. Building Rentable (BR) The Building Rentable contains all rentable areas of the building, including all Tenant Rentable plus all building common and shared areas. e. Building Tenant Rentable (BTR) The Building Tenant Rentable is the Floor Tenant rentable plus the apportioned share of the building common and shared areas. 2. USABLE SQUARE FOOTAGE (USF): The USF definition is designed to comply with the Real Estate Board of New York recommended measurement method for Usable Square Feet. The USF is used to reach consensus on building measurements between the Tenant and the Landlord in any real estate transactions with the City of New York. For each floor the measurement is taken from the outside surface of the building or from the outside surface of the glass for a predominantly (greater than 50%) fenestrated wall from the centerline of any building perimeter party of common wall with adjoining structure. The following are then subtracted: Elevator shafts, elevator machine rooms and their enclosing walls; stairwells and their enclosing walls; heating, ventilating and air conditioning facilities (including ducts and shafts) and their enclosing walls, unless they serve the floor or space in question; fire towers and fire tower courts and their enclosing walls; main telephone equipment rooms and main electric switchgear rooms and their enclosing walls, unless they serve the floor or space in question. For below grade and cellar space, all spaces devoted to GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 144 servicing the operation of the building including mechanical, electrical and telephone rooms plus cleaning, storage, maintenance and building office areas are also subtracted. a. Building Usable and Building Common and Shared Usable Area are not calculated. b. Floor Common and Shared Usable (FCSU) The Floor Common and Shared Usable area includes all areas of a floor not deducted above and which are not restricted to a Tenant's programs, personnel or dedicated mechanical spaces. These are spaces that are shared only on a floor. Measurements exclude the enclosing walls of such spaces. This only applies to multiple Tenant floors. c. Tenant Net Usable (TNU) The Tenant Net Usable includes all areas restricted to a Tenant's program, personnel or dedicated mechanical spaces. For single Tenant floors, the Tenant Net Usable is equal to the Tenant Usable Square Footage. d. Tenant Usable Square Footage (TUSF) For multiple Tenant floors, the Tenant Usable Square Footage is the Tenant Net Usable plus the apportioned share of the Floor Common and Shared Usable Area. 3. CARPETABLE SQUARE FOOTAGE (CSF) The CSF is used to demise and evaluate space for occupancy and use by a Tenant program(s). The Carpetable Square Footage is that portion of the floor which can be occupied, used and restricted to a Tenant's programs and personnel. All public corridors and spaces are excluded from this measurement. Primary egress circulation as required by code is excluded from this measurement, including in all cases corridors connecting elevators to fire stairs. Obstructions within the Tenant's space are deducted, including perimeter and structural walls, major structural elements, electrical, telephone and data, mechanical and HVAC spaces, shaftways and their wall, restrooms and building custodial spaces, convectors and/or radiators and any other floor obstruction other than nonͲload bearing interior partitions and columns. 4. PERCENTAGE OF BUILDING OCCUPANCY (PBO) The Percentage of Building Occupancy is the portion of occupancy by the Tenant and is used to apportion the share for the Tenant of the building real estate taxes and operating expenses. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 145 It is calculated from the RSF figures listed in published Real Estate Directories. In the event a site is not included in a published Real Estate Directory, the PBO may be based on the Tenant's proportion of the measured Floor Tenant Rentable for the building. 5. LOSS FACTOR (LF) The Usable Loss Factor (ULF) is percentage of difference between the final Tenant RSF and USF; the Carpetable Loss Factor (CLF) is the difference between the final Tenant RSF and CSF. These are used to evaluate the efficiency of a building or space and are useful in comparing alternate sites. C. FLOOR PLAN MEASUREMENT PROCEDURES FOR LEASED SPACE Upon finding a potential lease site, Leasing submits floor plans for evaluation and measurement to Design & Project Management (D&PM). D&PM evaluates the site against the program requirements and then measures the site based on the submitted plans and discussions with the Lease Negotiator. The Measurements will consist of Rentable, Usable and Carpetable Square Footages. The evaluations may include comments on or suggestions for required work or alterations to accommodate the Tenant's needs. For all partial building leases, prior to the project being submitted to ARC (an internal City review process), Leasing will request that D&PM calculate the Tenant's Percentage of Building Occupancy to determine the Tenant's share of the building real estate taxes and operating expenses. In the event the subject building is not included in a published Real Estate Directory, Leasing may request from the Landlord floor plans of the entire building for submission to D&PM. In the event D&PM is requested to review a Landlord's submitted measurement, Leasing must provide a copy of the real estate owner's measurements for RSF and USF for the potential Tenant space, including all calculations and the loss factor from RSF to USF. At special request by Leasing, the Building Common and Shared Area may be apportioned and added to the Floor Tenant Rentable, producing the Building Tenant Rentable for the area(s) to be leased. 1. MEASUREMENT FORMULAS FOR LEASE OF AN ENTIRE BUILDING a. RENTABLE SQUARE FOOTAGE (RSF) 1) For each floor measure to the exterior surface of each building wall or to the outside surface of the glass for a predominantly fenestrated wall, and to the centerline of any building perimeter party or common wall. Exclude any open shaftways or open courtyards unless such space is used for Tenant functions. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 146 2) Measure only roof areas that service the building and the required access. 3) Multiple height areas are measured and counted as one level only. All shaftways and floor penetrations are measured and counted only one time. All such deductions are measurements from the facing surface of the enclosing walls. b. USABLE SQUARE FOOTAGE (USF) 1) From the RSF measurement for each floor Subtract each of the following: 2) Elevator shafts, elevator machine rooms, stairwells and their enclosing walls. 3) Fire towers and fire tower courts and their enclosing walls. 4) For below grade and cellar space subtract all space devoted to servicing the operation of the building. c. CARPETABLE SQUARE FOOTAGE (CSF) The CSF is that portion of the space which can be occupied, used and is restricted to a Tenant's programs and personnel. d. LOSS FACTOR (LF) 1) Usable Loss Factor (ULF): Subtract USF from RSF, and then divide by the RSF. Multiply the products by 100. The result is the percentage of lost RSF to USF. 2) Carpetable Loss Factor (CLF): Subtract CSF from RSF, and then divide by the RSF. Multiply the product by 100. The result is the percentage of lost RSF to CSF. 2. MEASUREMENT FORMULAS FOR LEASE OF A PORTION OF A BUILDING SINGLE TENANT FLOORS a. RENTABLE SQUARE FOOTAGE (RSF): Floor Rentable (FR) 1) For each floor, measure to the exterior surface of each exterior building wall or to the outside surface of the glass for a predominantly fenestrated wall, and to the centerline of any building perimeter party or common wall. Exclude any open shaftways or open courtyards unless such space is used for Tenant functions. 2) Multiple height areas are measured and counted as one level only. All shaftways and floor penetrations are measured and counted only one time. All such deductions are measured from the facing surface of the enclosing walls. 3) Building common and shared areas are excluded from the Floor Rentable measurement. b. USABLE SQUARE FOOTAGE (USF) From the RSF measurement Subtract each of the following: 1) Elevator shafts, elevator machine rooms, stairwells and their enclosing walls. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 147 2) HVAC facilities and their enclosing walls, unless such equipment or mechanical room space serves the floor in question. 3) Fire towers and fire tower courts and their enclosing walls. 4) Telephone and electric rooms and their enclosing walls, except those serving the floor exclusively. 5) For below grade and cellar space subtract all space devoted to servicing the operation of the building. c. CARPETABLE SQUARE FOOTAGE (CSF) The CSF is that portion of the space which can be occupied, used and is restricted to a Tenant's programs and personnel. d. PERCENTAGE OF BUILDING OCCUPANCY (PBO) 1) From a published Real Estate Directory divide the Tenant Rentable by Building Rentable and multiply by 100. Or, if the site is not included in a Directory, divide the Floor Tenant Rentable by the Floor Tenant Rentable for the entire building. Multiply by 100. 2) Use the Percentage of Building Occupancy as a percentage multiplier to calculate the Tenant's Proportionate Share for taxes and operating Expenses. Formula: (TR divided by total TR for building) times 100 = PBO e. CALCULATION OF BUILDING TENANT RENTABLE (BTR) 1) Measure the Building Common and Shared Area (BCSA). 2) Multiply the Building Common and Shared Area by the Tenant's Percentage of Building Occupancy to apportion Square Footage. 3) Add the Tenant's portion of the Building Common and Shared Area to the Floor Rentable previously calculated. (The practicality of this procedure needs to be evaluated on a case by case basis.) Formula: (BCSA times PBO) plus FR = BTR f. LOSS FACTOR (LF) 1) Usable Loss Factor (ULF): Subtract USF from RSF, and then divide by the RSF. Multiply the product by 100. The result is the percentage of lost RSF to USF. 2) Carpetable Loss Factor (CLF): Subtract CSF from RSF, and then divide by the RSF. Multiply product by 100. The result is the percentage of lost RSF to CSF. 3. MEASUREMENT FORMULAS FOR LEASE OF A PORTION OF A BUILDING GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 148 MULTIPLE TENANT FLOORS a. RENTABLE SQUARE FOOTAGE (RSF) 1) Floor Rentable (FR) i. For each floor, measure to the exterior surface of each exterior building wall or to the outside surface of the glass for a predominantly fenestrated wall, and to the centerline of any building perimeter party or common wall. Exclude any open shaftways or open courtyards unless such space is used for Tenant functions. ii. Multiple height areas are measured and counted as one level only. All shaftways and floor penetrations are measured and counted only one time. All such deductions are measured from the facing surface of the enclosing walls. iii. Building common and shared areas are excluded from the Floor Rentable measurement. 2) Floor Tenant Rentable (FTR) i. To apportion the Floor Rentable to a Tenant, multiply the Floor Rentable by the product of ii. The Tenant Net Usable divided by the sum of all the floors, TNU areas. Formula: FR times (TNU divided by total TNU for floor) = FTR b. USABLE SQUARE FOOTAGE (FTR) 1) Floor Usable (FU) i. From the Floor Rentable measurement Subtract each of the following: ii. Elevator shafts, elevator machine rooms, stairwells and their enclosing walls. iii. HVAC facilities and their enclosing walls; unless such equipment or mechanical room space serves the floor in question. iv. Fire towers and fire tower courts and their enclosing walls. v. Telephone and electric rooms and their enclosing walls, except those serving the floor exclusively. vi. For below grade and cellar space subtract all space devoted to servicing the operation of the building. vii. Building common and shared areas are excluded from the Floor Usable measurement. 2) Tenant Usable Square Footage (TUSF) i. To determine the Tenant Usable Square Footage for a Tenant on the floor: ii. Measure the Floor Common and Shared Usable area (FCSU). iii. Measure the Tenant Net Usable area (TNU). iv. Divide the Tenant Net Usable area by the sum of all Tenant Net Usable areas on the floor. v. Multiply the Floor Common and Shared Usable area by the product of the Tenant Net Usable divided by the sum of all Tenant Net Usable GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 149 areas on the floor. Add this to the Tenant Net Usable area; this end product is the Tenant Usable Square Footage. Formula: (FCSU times (TNU divided by total TNU for floor)) plus TNU = TUSF c. CARPETABLE SQUARE FOOTAGE (CSF) The CSF is that portion of the space which can be occupied, used and is restricted to a Tenant's programs and personnel. d. PERCENTAGE OF BUILDING OCCUPANCY (PBO) 1) From a published Real Estate Directory divide the Tenant Rentable by Building Rentable and multiply by 100. Or, if the site is not included in a Directory, divide the Floor Tenant Rentable by the Floor Tenant Rentable for the entire building. Multiply by 100. 2) Use the Percentage of Building Occupancy as a percentage multiplier to calculate the Tenant's Proportionate Share for taxes and operating expenses. Formula: (TR divided by total TR for building) times 100 = PBO e. CALCULATION OF BUILDING TENANT RENTABLE (BTR) 1) Measure the Building Common and Shared Area (BCSA). 2) Multiply the Building Common and Shared Area by the Tenant's Percentage of Building Occupancy to apportion Square Footage. 3) Add the Tenant's portion of the Building Common and Shared Area to the Floor Tenant Rentable previously calculated. (The practicality of this procedure needs to be evaluated on a case by case basis.) Formula: (BCSA times PBO) plus FTR = BTR f. LOSS FACTOR (LF) 1) Usable Loss Factor (ULF): Subtract USF from RSF, then divide by the RSF. Multiply the product by 100. The result is the percentage of lost RSF to CSF. 2) Carpetable Loss Factor (CLF): Subtract CSF from RSF, then divide by the RSF. Multiply the product by 100. The result is the percentage of RSF to CSF. 4. MEASUREMENT FORMULAS FOR LEASE OF AN EXTERIOR AREA The following measurement formulas apply only to exterior space other than Daycare Centers. The primary program application for these measurement formulas are parking lots. Any permanent structure that provides a service to the program space should be measured by the measurement formulas for lease of a building or portion of a building. GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 150 a. b. c. d. RENTABLE SQUARE FOOTAGE (RSF) 1) Measure only areas that will be used specifically by a Tenant's program(s) and the proportionate share of required access to the exterior program area. Exterior access to a building is not counted or measured. 2) Measure to the exterior surface of any enclosing fence, wall or parapet, or to the limit of program and access areas. 3) Deduct any obstructions or obstacles to program occupancy (such as pillars) unless such spaces provide a service to the program space (such as light poles). USABLE SQUARE FOOTAGE (USF) The USF shall match the RSF for exterior spaces. CARPETABLE SQUARE FOOTAGE (CSF) The CSF, if applicable, is that portion of the exterior space which can be occupied, used and is restricted to a Tenant's program(s) and personnel. All obstructions are deducted. PERCENTAGE OF OCCUPANCY (PO) 1) Percentage of Occupancy (PO): divide the exterior Tenant Rentable by the exterior lot of space total Rentable. Multiply the product by 100. The result is the Tenant's Percentage of Occupancy for exterior space. 2) Use the Percentage of Occupancy as a percentage multiplier to calculate the Tenant's Proportionate Share of exterior space for taxes and operating expenses. Formula: (Tenant Rentable divided by total lot Rentable) times 100 = PO GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APRIL 2015 PAGE 151 (SF) Gross Area Color Code: Floor Average core (SF) Shafts Total BCSA BCSA Bldg. com/ shared area (SF) Total FR/FTR FR/FTR Floor Rentable (SF) (SF) Apportion of BCSA Total BTR/RSF BTR/RSF Bldg. Tenant Rentable (SF) END OF APPENDIX M END OF GUIDE FOR DESIGN CONSULTANTS Yellow—Outline demised premises BlueͲAll penetration, include elevator shafts... RedͲBuilding Common/Shared Area GUIDE FOR DESIGN CONSULTANTS DCAS ASSET MANAGEMENT SECTION VII APPENDIX M APPENDIX M SAMPLE REAL ESTATE SPACE MEASUREMENT ANALYSIS WORKSHEET (SF) Misc. spaces Incl. stairs Total BTR/RSF TNU/USF Tenant Net Usable (SF) APRIL 2015 PAGE 152 Total Carpetable (SF) Carpetable ATTACHMENT A PROPOSAL COVER LETTER RFP TITLE: The Americans with Disabilities Act (“ADA”) Compliance for DCAS-Managed Court Buildings throughout the City of New York E-PIN #:85616P0005 Proposer: Name: ______________________________________________________________________________ Address: ____________________________________________________________________________ ___________________________________________________________________________ Tax Identification #: ________________________________ Proposer’s Contact Person: Name: ______________________________________________________________________________ Title: ______________________________________________________________________________ Telephone #: _________________________________ E-mail: _______________________________ Certification of Compliance with Minimum Qualification Requirement(s) Proposer’s Authorized Representative: Name: ____________________________________________________________________________ Title: ____________________________________________________________________________ Signature: ____________________________________________________________________________ Date: ___________________________________ Is the response printed on both sides, on recycled paper containing the minimum percentage of recovered fiber content as requested by the City in the instructions to this solicitation? Yes No Printed on paper containing 30% post-consumer material. 32 ATTACHMENT B PRICE PROPOSAL FORM/CONSULTANT FEE CURVE If the DCAS Estimate or awarded construction cost falls between the values shown, the fee shall be interpolated on a straight line basis; this shall not include any Allowances, change orders, Additional Services (except as otherwise specified in the Agreement), construction change orders resulting from Consultant’s error(s) and omission(s), and Reimbursable Services, as defined and described in Attachment G and the Agreement. Item # a. b. c. d. e. f. g. h. i. j. k. l. m. n. o. p. q. r. Estimated/ Awarded Construction Cost Under $ 25,000 $ 25,000 $ 50,000 $ 75,000 $ 100,000 $ 200,000 $ 300,000 $ 400,000 $ 500,000 $ 600,000 $ 700,000 $ 800,000 $ 900,000 $ 1,000,000 $ 1,250.000 $ 1,500,000 $ 2,000,000 Over $ 2,000,000 Design Fee as a Percent of Construction Cost Flat Rate Amount of Design Fee TBD per Project estimate cost NOTE CONSULTANT SHALL NOT LEAVE ANY BLANKS ANY OMISSION MAY RESULT IN DISQUALIFICATION AS NON RESPONSIVE __________________________________________________________________ Signature of Principal __________________ Date Printed on paper containing 30% post-consumer material. 33 ATTACHMENT C ALL INCLUSIVE HOURLY RATES (Hourly Rate x Multiplier) Item (a) Estimated Time Card Hours TITLE ** (b) Hourly Rate* (c) Multiplier (a) x (b) x (c) Estimated amount per Title Architectural Design 1. Principal (Partner or Officer) 100 x x 1.00 = 2. Principal-in-charge of Project 500 x x = 3. Senior ***Architect (Chief Architect) 400 x x = 4. Project Manager (Licensed Professional) 800 x x = 5. Senior ***Architectural Designer 400 x x = 6. Junior Architectural Designer 600 x x = 7. Senior ***Interior Designer 300 x x = 8. Junior Interior Designer 500 x x = 9. Programming Specialist 400 x x = 10. Senior ***Landscape Architect 100 x x = 11. Junior Landscape Architect 200 x x = 12. Acoustician 300 x x = 13. Senior Draftsman/ CAD 500 x x = 14. Junior Draftsman/ CAD 1200 x x = 15. Preservationist/Conservationist 100 x x = 16. Architectural Total $ Note: Consultant shall not leave any blanks Notes: * Consultant shall not leave any blanks; any omission will result in disqualification as non-responsive. ** Substitution of Title subject to DCAS negotiated approval. ***A professional in a “Senior” position shall have a minimum of five (5) years direct experience in Printed on paper containing 30% post-consumer material. 34 performing that type of service consistently at that pay scale. The Minimum Requirements Per Title are set forth in Attachment M to this RFP. Printed on paper containing 30% post-consumer material. 35 ATTACHMENT C ALL INCLUSIVE HOURLY RATES (Hourly Rate x Multiplier) Item (a) Estimated Time Card Hours TITLE ** (b) Hourly Rate * (c) Multiplier (a) x (b) x (c) Estimated amount per Title Engineering Design 17. Principal (Partner or Officer) 50 x x 18. Principal-in-charge of Project 500 x x = 19. Senior*** Engineer (Chief Engineer) 200 x x = 20. Project Manager (Squad Leader) 200 x x = 21. Senior*** Structural Designer 200 x x = 22. Senior*** HVAC Engineer 400 x x = 23. Senior*** Electrical Designer 400 x x = 24. Senior*** Plumbing Designer 400 x x = 25. Structural Designer 300 x x = 26. Electrical Designer 500 x x = 27. Plumbing Designer 500 x x = 28. HVAC Designer 500 x x = 29. Engineer Technician 600 x x = 30. Senior Engineering Draftsperson/ CAD 600 x x = 31. Junior Engineering Draftsperson/ CAD 1000 x x = 32. Specialty Engineering for Audio/Visual; Fire Alarm; Security and Surveillance 300 x x = 33. Civil Engineer 50 x x = 34. Engineering Total Note: Consultant shall not leave any blanks 1.00 = $ Notes: * Consultant shall not leave any blanks; any omission will result in disqualification as non-responsive. ** Substitution of Title subject to DCAS negotiated approval. Printed on paper containing 30% post-consumer material. 36 ***A professional in a “Senior” position shall have a minimum of five (5) years direct experience in performing that type of service consistently at that pay scale. The Minimum Requirements per Title are set forth in Attachment M to this RFP. Printed on paper containing 30% post-consumer material. 37 ATTACHMENT C ALL INCLUSIVE HOURLY RATES (Hourly Rate x Multiplier) Item (a) Estimated Time Card Hours TITLE ** (b) Hourly Rate * (c) Multiplier (a) x (b) x (c) Estimated amount per Title Technical Design 35. Senior*** Estimator 50 x x = 36. Estimator 300 x x = 37. Senior*** Specification Writer 150 x x = 38. Junior Specification Writer 200 x x = 39. Historic Preservationist Writer 300 x x = 40. Expediter 300 x x 41. Technical Support Total = $ Note: Consultant shall not leave any blanks (Add all estimate amounts per title from pages RFP # 34 through # 38). 42. Grand Total Estimated Time Card Fee $ The respondent is alerted that the estimate set forth in the Direct Salary Rates on Attachment C, line #1 to #42 inclusive, on pages #34 through #38 of this RFP are estimates only, given solely to be used as a uniform basis for the comparison of proposals and is not to be considered part of the Agreement. The man-hours actually required to complete the Project may be more or less than so estimated, and if so, no action for damage or loss of projects shall accrue to the Consultant by reason thereof. _________________________________ Signature of Principal ____________________ Date Notes: * Consultant shall not leave any blanks; any omission will result in disqualification as non-responsive ** Substitution of Title subject to DCAS negotiated approval. ***A professional in a “Senior” position shall have a minimum of five (5) years direct experience in performing that type of service consistently at that pay scale. The Minimum Requirements per Title are set forth in Attachment M to this RFP. Printed on paper containing 30% post-consumer material. 38 ATTACHMENT D NOTICE TO ALL PROSPECTIVE CONTRACTORS Printed on paper containing 30% post-consumer material. 39 06/2013 NOTICE TO ALL PROSPECTIVE CONTRACTORS PARTICIPATION BY MINORITY-OWNED AND WOMEN-OWNED BUSINESS ENTERPRISES IN CITY PROCUREMENT ARTICLE I. M/WBE PROGRAM Local Law No. 129 of 2005 added and Local Law 1 of 2013 amended Section 6-129 of the Administrative Code of the City of New York (hereinafter “Section 6-129”). Section 6-129 establishes the program for participation in City procurement (“M/WBE Program”) by minorityowned business enterprises (“MBEs”) and women-owned business enterprises (“WBEs”), certified in accordance with Section 1304 of the New York City Charter. As stated in Section 6129, the intent of the program is to address the impact of discrimination on the City’s procurement process, and to promote the public interest in avoiding fraud and favoritism in the procurement process, increasing competition for City business, and lowering contract costs. The contract provisions contained herein are pursuant to Section 6-129, and the rules of the Department of Small Business Services (“DSBS”) promulgated thereunder. If this Contract is subject to the M/WBE Program established by Section 6-129, the specific requirements of MBE and/or WBE participation for this Contract are set forth in Schedule B of the Contract (entitled the “M/WBE Utilization Plan”), and are detailed below. The Contractor must comply with all applicable MBE and WBE requirements for this Contract. All provisions of Section 6-129 are hereby incorporated in the Contract by reference and all terms used herein that are not defined herein shall have the meanings given such terms in Section 6-129. Article I, Part A, below, sets forth provisions related to the participation goals for construction, standard and professional services contracts. Article I, Part B, below, sets forth miscellaneous provisions related to the M/WBE Program. PART A PARTICIPATION GOALS FOR CONSTRUCTION, STANDARD AND PROFESSIONAL SERVICES CONTRACTS OR TASK ORDERS 1. The MBE and/or WBE Participation Goals established for this Contract or Task Orders issued pursuant to this Contract, (“Participation Goals”), as applicable, are set forth on Schedule B, Part I to this Contract (see Page 1, line 1 Total Participation Goals) or will be set forth on Schedule B, Part I to Task Orders issued pursuant to this Contract, as applicable. 1 06/2013 The Participation Goals represent a percentage of the total dollar value of the Contract or Task Order, as applicable, that may be achieved by awarding subcontracts to firms certified with New York City Department of Small Business Services as MBEs and/or WBEs, and/or by crediting the participation of prime contractors and/or qualified joint ventures as provided in Section 3 below, unless the goals have been waived or modified by Agency in accordance with Section 6129 and Part A, Sections 10 and 11 below, respectively. 2. If Participation Goals have been established for this Contract or Task Orders issued pursuant to this Contract, Contractor agrees or shall agree as a material term of the Contract that Contractor shall be subject to the Participation Goals, unless the goals are waived or modified by Agency in accordance with Section 6-129 and Part A, Sections 10 and 11 below, respectively. 3. If Participation Goals have been established for this Contract or Task Order issued pursuant to this Contract, a Contractor that is an MBE and/or WBE shall be permitted to count its own participation toward fulfillment of the relevant Participation Goal, provided that in accordance with Section 6-129 the value of Contractor’s participation shall be determined by subtracting from the total value of the Contract or Task Order, as applicable, any amounts that the Contractor pays to direct subcontractors (as defined in Section 6-129(c)(13)), and provided further that a Contractor that is certified as both an MBE and a WBE may count its own participation either toward the goal for MBEs or the goal for WBEs, but not both. A Contractor that is a qualified joint venture (as defined in Section 6-129(c)(30)) shall be permitted to count a percentage of its own participation toward fulfillment of the relevant Participation Goal. In accordance with Section 6-129, the value of Contractor’s participation shall be determined by subtracting from the total value of the Contract or Task Order, as applicable, any amounts that Contractor pays to direct subcontractors, and then multiplying the remainder by the percentage to be applied to total profit to determine the amount to which an MBE or WBE is entitled pursuant to the joint venture agreement, provided that where a participant in a joint venture is certified as both an MBE and a WBE, such amount shall be counted either toward the goal for MBEs or the goal for WBEs, but not both. 4. A. If Participation Goals have been established for this Contract, a prospective contractor shall be required to submit with its bid or proposal, as applicable, a completed Schedule B, M/WBE Utilization Plan, Part II (see Pages 2-4) indicating: (a) whether the contractor is an MBE or WBE, or qualified joint venture; (b) the percentage of work it intends to award to direct subcontractors; and (c) in cases where the contractor intends to award direct subcontracts, a description of the type and dollar value of work designated for participation by MBEs and/or WBEs, and the time frames in which such work is scheduled to begin and end. In the event that this M/WBE Utilization Plan indicates that the bidder or proposer, as applicable, does not intend to meet the Participation Goals, the bid or proposal, as applicable, shall be deemed non-responsive, unless Agency has granted the bidder or proposer, as applicable, a preaward waiver of the Participation Goals in accordance with Section 6-129 and Part A, Section 10 below. B. (i) If this Contract is for a master services agreement or other requirements type contract that will result in the issuance of Task Orders that will be individually registered (“Master Services Agreement”) and is subject to M/WBE Participation Goals, a prospective 2 06/2013 contractor shall be required to submit with its bid or proposal, as applicable, a completed Schedule B, M/WBE Participation Requirements for Master Services Agreements That Will Require Individually Registered Task Orders, Part II (page 2) indicating the prospective contractor’s certification and required affirmations to make all reasonable good faith efforts to meet participation goals established on each individual Task Order issued pursuant to this Contract, or if a partial waiver is obtained or such goals are modified by the Agency, to meet the modified Participation Goals by soliciting and obtaining the participation of certified MBE and/or WBE firms. In the event that the Schedule B indicates that the bidder or proposer, as applicable, does not intend to meet the Participation Goals that may be established on Task Orders issued pursuant to this Contract, the bid or proposal, as applicable, shall be deemed nonresponsive. (ii) Participation Goals on a Master Services Agreement will be established for individual Task Orders issued after the Master Services Agreement is awarded. If Participation Goals have been established on a Task Order, a contractor shall be required to submit a Schedule B – M/WBE Utilization Plan For Independently Registered Task Orders That Are Issued Pursuant to Master Services Agreements, Part II (see Pages 2-4) indicating: (a) whether the contractor is an MBE or WBE, or qualified joint venture; (b) the percentage of work it intends to award to direct subcontractors; and (c) in cases where the contractor intends to award direct subcontracts, a description of the type and dollar value of work designated for participation by MBEs and/or WBEs, and the time frames in which such work is scheduled to begin and end. The contractor must engage in good faith efforts to meet the Participation Goals as established for the Task Order unless Agency has granted the contractor a pre-award waiver of the Participation Goals in accordance with Section 6-129 and Part A, Section 10 below. C. THE BIDDER/PROPOSER MUST COMPLETE THE SCHEDULE B INCLUDED HEREIN (SCHEDULE B, PART II). A SCHEDULE B SUBMITTED BY THE BIDDER/PROPOSER WHICH DOES NOT INCLUDE THE VENDOR CERTIFICATION AND REQUIRED AFFIRMATIONS (SEE SECTION V OF PART II) WILL BE DEEMED TO BE NON-RESPONSIVE, UNLESS A FULL WAIVER OF THE PARTICIPATION GOALS IS GRANTED (SCHEDULE B, PART III). IN THE EVENT THAT THE CITY DETERMINES THAT THE BIDDER/PROPOSER HAS SUBMITTED A SCHEDULE B WHERE THE VENDOR CERTIFICATION AND REQUIRED AFFIRMATIONS ARE COMPLETED BUT OTHER ASPECTS OF THE SCHEDULE B ARE NOT COMPLETE, OR CONTAIN A COPY OR COMPUTATION ERROR THAT IS AT ODDS WITH THE VENDOR CERTIFICATION AND AFFIRMATIONS, THE BIDDER/PROPOSER WILL BE NOTIFIED BY THE AGENCY AND WILL BE GIVEN FOUR (4) CALENDAR DAYS FROM RECEIPT OF NOTIFICATION TO CURE THE SPECIFIED DEFICIENCIES AND RETURN A COMPLETED SCHEDULE B TO THE AGENCY. FAILURE TO DO SO WILL RESULT IN A DETERMINATION THAT THE BID/PROPOSAL IS NON-RESPONSIVE. RECEIPT OF NOTIFICATION IS DEFINED AS THE DATE NOTICE IS E-MAILED OR FAXED (IF THE BIDDER/PROPOSER HAS PROVIDED AN E-MAIL ADDRESS OR FAX NUMBER), OR NO LATER THAN FIVE (5) CALENDAR DAYS FROM THE DATE OF MAILING OR UPON DELIVERY, IF DELIVERED. 5. Where an M/WBE Utilization Plan has been submitted, the Contractor shall, within 30 days of issuance by Agency of a notice to proceed, submit a list of proposed persons or entities to which it intends to award subcontracts within the subsequent 12 months. In the case of multiyear contracts, such list shall also be submitted every year thereafter. The Agency may also require the Contractor to report periodically about the contracts awarded by its direct 3 06/2013 Subcontractors to indirect subcontractors (as defined in Section 6-129(c) (22)). PLEASE NOTE: If this Contract is a public works project subject to GML §101(5) (i.e., a contract valued at or below $3M for projects in New York City) or if the Contract is subject to a project labor agreement in accordance with Labor Law §222, and the bidder is required to identify at the time of bid submission its intended subcontractors for the Wicks trades (plumbing and gas fitting; steam heating, hot water heating, ventilating and air conditioning (HVAC); and electric wiring), the Contractor must identify all those to which it intends to award construction subcontracts for any portion of the Wicks trade work at the time of bid submission, regardless of what point in the life of the contract such subcontracts will occur. In identifying intended subcontractors in the bid submission, bidders may satisfy any Participation Goals established for this Contract by proposing one or more subcontractors that are MBEs and/or WBEs for any portion of the Wicks trade work. In the event that the Contractor’s selection of a subcontractor is disapproved, the Contractor shall have a reasonable time to propose alternate subcontractors. 6. MBE and WBE firms must be certified by DSBS in order for the Contractor to credit such firms’ participation toward the attainment of the Participation Goals. Such certification must occur prior to the firms’ commencement of work. A list of MBE and WBE firms may be obtained from the DSBS website at www.nyc.gov/buycertified, by emailing DSBS at buyer@sbs.nyc.gov, by calling (212) 513-6356, or by visiting or writing DSBS at 110 William St., New York, New York, 10038, 7th floor. Eligible firms that have not yet been certified may contact DSBS in order to seek certification by visiting www.nyc.gov/getcertified, emailing MWBE@sbs.nyc.gov, or calling the DSBS certification helpline at (212) 513-6311. A firm that is certified as both an MBE and a WBE may be counted either toward the goal for MBEs or the goal for WBEs, but not both. No credit shall be given for participation by a graduate MBE or graduate WBE, as defined in Section 6-129(c)(20). 7. Where an M/WBE Utilization Plan has been submitted, the Contractor shall, with each voucher for payment, and/or periodically as Agency may require, submit statements, certified under penalty of perjury, which shall include, but not be limited to,: the total amount the Contractor paid to its direct subcontractors, and, where applicable pursuant to Section 6-129(j), the total amount direct subcontractors paid to indirect subcontractors; the names, addresses and contact numbers of each MBE or WBE hired as a subcontractor by the Contractor, and, where applicable, hired by any of the Contractor’s direct subcontractors; and the dates and amounts paid to each MBE or WBE. The Contractor shall also submit, along with its voucher for final payment: the total amount it paid to subcontractors, and, where applicable pursuant to Section 6129(j), the total amount its direct subcontractors paid directly to their indirect subcontractors; and a final list, certified under penalty of perjury, which shall include the name, address and contact information of each subcontractor that is an MBE or WBE, the work performed by, and the dates and amounts paid to each. 8. If payments made to, or work performed by, MBEs or WBEs are less than the amount specified in the Contractor’s M/WBE Utilization Plan, Agency shall take appropriate action, in accordance with Section 6-129 and Article II below, unless the Contractor has obtained a modification of its M/WBE Utilization Plan in accordance with Section 6-129 and Part A, Section 11 below. 4 06/2013 9. Where an M/WBE Utilization Plan has been submitted, and the Contractor requests a change order the value of which exceeds the greater of 10 percent of the Contract or Task Order, as applicable, or $500,000, Agency shall review the scope of work for the Contract or Task Order, as applicable, and the scale and types of work involved in the change order, and determine whether the Participation Goals should be modified. 10. Pre-award waiver of the Participation Goals. (a) A bidder or proposer, or contractor with respect to a Task Order, may seek a pre-award full or partial waiver of the Participation Goals in accordance with Section 6-129, which requests that Agency change one or more Participation Goals on the grounds that the Participation Goals are unreasonable in light of the availability of certified firms to perform the services required, or by demonstrating that it has legitimate business reasons for proposing a lower level of subcontracting in its M/WBE Utilization Plan. (b) To apply for a full or partial waiver of the Participation Goals, a bidder, proposer, or contractor, as applicable, must complete Part III (Page 5) of Schedule B and submit such request no later than seven (7) calendar days prior to the date and time the bids, proposals, or Task Orders are due, in writing to the Agency by email at dbenjamin@dcas.nyc.gov or via facsimile at (646)500-7155 Bidders, proposers, or contractors, as applicable, who have submitted requests will receive an Agency response by no later than two (2) calendar days prior to the due date for bids, proposals, or Task Orders; provided, however, that if that date would fall on a weekend or holiday, an Agency response will be provided by close-of-business on the business day before such weekend or holiday date. (c) If the Agency determines that the Participation Goals are unreasonable in light of the availability of certified firms to perform the services required, it shall revise the solicitation and extend the deadline for bids and proposals, or revise the Task Order, as applicable. (d) Agency may grant a full or partial waiver of the Participation Goals to a bidder, proposer or contractor, as applicable, who demonstrates—before submission of the bid, proposal or Task Order, as applicable—that it has legitimate business reasons for proposing the level of subcontracting in its M/WBE Utilization Plan. In making its determination, Agency shall consider factors that shall include, but not be limited to, whether the bidder, proposer or contractor, as applicable, has the capacity and the bona fide intention to perform the Contract without any subcontracting, or to perform the Contract without awarding the amount of subcontracts represented by the Participation Goals. In making such determination, Agency may consider whether the M/WBE Utilization Plan is consistent with past subcontracting practices of the bidder, proposer or contractor, as applicable, whether the bidder, proposer or contractor, as applicable, has made efforts to form a joint venture with a certified firm, and whether the bidder, proposer, or contractor, as applicable, has made good faith efforts to identify other portions of the Contract that it intends to subcontract. 11. Modification of M/WBE Utilization Plan. (a) A Contractor may request a modification of its M/WBE Utilization Plan after award of this Contract. PLEASE NOTE: If this Contract is a public works project subject to GML §101(5) (i.e., a contract valued at or below $3M for projects in New York City) or if the Contract is subject to a project labor agreement in accordance with Labor Law §222, and the bidder is required to identify at the time of bid 5 06/2013 submission its intended subcontractors for the Wicks trades (plumbing and gas fitting; steam heating, hot water heating, ventilating and air conditioning (HVAC); and electric wiring), the Contractor may request a Modification of its M/WBE Utilization Plan as part of its bid submission. The Agency may grant a request for Modification of a Contractor’s M/WBE Utilization Plan if it determines that the Contractor has established, with appropriate documentary and other evidence, that it made reasonable, good faith efforts to meet the Participation Goals. In making such determination, Agency shall consider evidence of the following efforts, as applicable, along with any other relevant factors: (i) The Contractor advertised opportunities to participate in the Contract, where appropriate, in general circulation media, trade and professional association publications and small business media, and publications of minority and women’s business organizations; (ii) The Contractor provided notice of specific opportunities to participate in the Contract, in a timely manner, to minority and women’s business organizations; (iii) The Contractor sent written notices, by certified mail or facsimile, in a timely manner, to advise MBEs or WBEs that their interest in the Contract was solicited; (iv) The Contractor made efforts to identify portions of the work that could be substituted for portions originally designated for participation by MBEs and/or WBEs in the M/WBE Utilization Plan, and for which the Contractor claims an inability to retain MBEs or WBEs; (v) The Contractor held meetings with MBEs and/or WBEs prior to the date their bids or proposals were due, for the purpose of explaining in detail the scope and requirements of the work for which their bids or proposals were solicited; (vi) The Contractor made efforts to negotiate with MBEs and/or WBEs as relevant to perform specific subcontracts, or act as suppliers or service providers; (vii) Timely written requests for assistance made by the Contractor to Agency’s M/WBE liaison officer and to DSBS; (viii) Description of how recommendations made by DSBS and Agency were acted upon and an explanation of why action upon such recommendations did not lead to the desired level of participation of MBEs and/or WBEs. Agency’s M/WBE officer shall provide written notice to the Contractor of the determination. (b) The Agency may modify the Participation Goals when the scope of the work has been changed by the Agency in a manner that affects the scale and types of work that the Contractor indicated in its M/WBE Utilization Plan would be awarded to subcontractors. 6 06/2013 12. If this Contract is for an indefinite quantity of construction, standard or professional services or is a requirements type contract and the Contractor has submitted an M/WBE Utilization Plan and has committed to subcontract work to MBEs and/or WBEs in order to meet the Participation Goals, the Contractor will not be deemed in violation of the M/WBE Program requirements for this Contract with regard to any work which was intended to be subcontracted to an MBE and/or WBE to the extent that the Agency has determined that such work is not needed. 13. If Participation Goals have been established for this Contract or a Task Order issued pursuant to this Contract, at least once annually during the term of the Contract or Task Order, as applicable, Agency shall review the Contractor’s progress toward attainment of its M/WBE Utilization Plan, including but not limited to, by reviewing the percentage of work the Contractor has actually awarded to MBE and/or WBE subcontractors and the payments the Contractor made to such subcontractors. 14. If Participation Goals have been established for this Contract or a Task Order issued pursuant to this Contract, Agency shall evaluate and assess the Contractor’s performance in meeting those goals, and such evaluation and assessment shall become part of the Contractor’s overall contract performance evaluation. PART B MISCELLANEOUS 1. The Contractor shall take notice that, if this solicitation requires the establishment of a M/WBE Utilization Plan, the resulting contract may be audited by DSBS to determine compliance with Section 6-129. See §6-129(e)(10). Furthermore, such resulting contract may also be examined by the City’s Comptroller to assess compliance with the M/WBE Utilization Plan. 2. Pursuant to DSBS rules, construction contracts that include a requirement for a M/WBE Utilization Plan shall not be subject to the law governing Locally Based Enterprises set forth in Section 6-108.1 of the Administrative Code of the City of New York. 3. DSBS is available to assist contractors and potential contractors in determining the availability of MBEs and/or WBEs to participate as subcontractors, and in identifying opportunities that are appropriate for participation by MBEs and/or WBEs in contracts. 4. Prospective contractors are encouraged to enter into qualified joint venture agreements with MBEs and/or WBEs as defined by Section 6-129(c)(30). 5. By submitting a bid or proposal the Contractor hereby acknowledges its understanding of the M/WBE Program requirements set forth herein and the pertinent provisions of Section 6-129, and any rules promulgated thereunder, and if awarded this Contract, the Contractor hereby agrees to comply with the M/WBE Program requirements of this Contract and pertinent provisions of Section 6-129, and any rules promulgated thereunder, all of which shall be deemed to be material terms of this Contract. The Contractor hereby agrees to make all reasonable, good 7 06/2013 faith efforts to solicit and obtain the participation of MBEs and/or WBEs to meet the required Participation Goals. ARTICLE II. ENFORCEMENT 1. If Agency determines that a bidder or proposer, as applicable, has, in relation to this procurement, violated Section 6-129 or the DSBS rules promulgated pursuant to Section 6-129, Agency may disqualify such bidder or proposer, as applicable, from competing for this Contract and the Agency may revoke such bidder’s or proposer’s prequalification status, if applicable. 2. Whenever Agency believes that the Contractor or a subcontractor is not in compliance with Section 6-129 or the DSBS rules promulgated pursuant to Section 6-129, or any provision of this Contract that implements Section 6-129, including, but not limited to any M/WBE Utilization Plan, Agency shall send a written notice to the Contractor describing the alleged noncompliance and offering the Contractor an opportunity to be heard. Agency shall then conduct an investigation to determine whether such Contractor or subcontractor is in compliance. 3. In the event that the Contractor has been found to have violated Section 6-129, the DSBS rules promulgated pursuant to Section 6-129, or any provision of this Contract that implements Section 6-129, including, but not limited to, any M/WBE Utilization Plan, Agency may determine that one of the following actions should be taken: (a) entering into an agreement with the Contractor allowing the Contractor to cure the violation; (b) revoking the Contractor's pre-qualification to bid or make proposals for future contracts; (c) making a finding that the Contractor is in default of the Contract; (d) terminating the Contract; (e) declaring the Contractor to be in breach of Contract; (f) withholding payment or reimbursement; (g) determining not to renew the Contract; (h) assessing actual and consequential damages; (i) assessing liquidated damages or reducing fees, provided that liquidated damages may be based on amounts representing costs of delays in carrying out the purposes of the M/WBE Program, or in meeting the purposes of the Contract, the costs of meeting utilization goals through additional procurements, the administrative costs of investigation and enforcement, or other factors set forth in the Contract; 8 06/2013 (j) exercising rights under the Contract to procure goods, services or construction from another contractor and charge the cost of such contract to the Contractor that has been found to be in noncompliance; or (k) taking any other appropriate remedy. 4. If an M/WBE Utilization Plan has been submitted, and pursuant to this Article II, Section 3, the Contractor has been found to have failed to fulfill its Participation Goals contained in its M/WBE Utilization Plan or the Participation Goals as modified by Agency pursuant to Article I, Part A, Section 11, Agency may assess liquidated damages in the amount of ten percent (10%) of the difference between the dollar amount of work required to be awarded to MBE and/or WBE firms to meet the Participation Goals and the dollar amount the Contractor actually awarded and paid, and/or credited, to MBE and/or WBE firms. In view of the difficulty of accurately ascertaining the loss which the City will suffer by reason of Contractor’s failure to meet the Participation Goals, the foregoing amount is hereby fixed and agreed as the liquidated damages that the City will suffer by reason of such failure, and not as a penalty. Agency may deduct and retain out of any monies which may become due under this Contract the amount of any such liquidated damages; and in case the amount which may become due under this Contract shall be less than the amount of liquidated damages suffered by the City, the Contractor shall be liable to pay the difference. 5. Whenever Agency has reason to believe that an MBE and/or WBE is not qualified for certification, or is participating in a contract in a manner that does not serve a commercially useful function (as defined in Section 6-129(c)(8)), or has violated any provision of Section 6129, Agency shall notify the Commissioner of DSBS who shall determine whether the certification of such business enterprise should be revoked. 6. Statements made in any instrument submitted to Agency pursuant to Section 6-129 shall be submitted under penalty of perjury and any false or misleading statement or omission shall be grounds for the application of any applicable criminal and/or civil penalties for perjury. The making of a false or fraudulent statement by an MBE and/or WBE in any instrument submitted pursuant to Section 6-129 shall, in addition, be grounds for revocation of its certification. 7. The Contractor's record in implementing its M/WBE Utilization Plan shall be a factor in the evaluation of its performance. Whenever Agency determines that a Contractor's compliance with an M/WBE Utilization Plan has been unsatisfactory, Agency shall, after consultation with the City Chief Procurement Officer, file an advice of caution form for inclusion in VENDEX as caution data. 9 ATTACHMENT E SCHEDULE B: SUBCONTRACTOR UTILIZATION PLAN/WAIVER APPLICATION Printed on paper containing 30% post-consumer material. 40 APT EPIN #: Tax ID #: 85616P0005 SCHEDULE B – M/WBE Utilization Plan Part I: M/WBE Participation Goals Part I to be completed by contracting agency Contract Overview APT E- Pin # Project Title/ Agency PIN # FMS Project ID#: 85616P0005 Consulting Engineering/Architectural ADA Design Services at DCAS Managed Court Buildings throughout the Five (5) Boroughs of the City of New York. Bid/Proposal Response Date Contracting Agency NYC DEPARTMENT OF CITYWIDE ADMINISTRATIVE SERVICES Agency Address ONE CENTRE STREET Contact Person Diana A. Benjamin Title M/WBE OFFICER Telephone # (212) 386-0465 Email dbenjamin@dcas.nyc.gov City NEW YORK State NY Zip Code 10007 Project Description (attach additional pages if necessary) Consulting Engineering/Architectural ADA Design Services at DCAS Managed Court Buildings throughout the Five (5) Boroughs of the City of New York. M/WBE Participation Goals for Services Enter the percentage amount for each group or for an unspecified goal. Please note that there are no goals for Asian Americans in Professional Services. Prime Contract Industry: Professional CCon____________ Group Percentage Unspecified or Black American Hispanic American Asian American Women 37 % Total Participation Goals 37 % % % % % Page 1 of 6 (June 2013) Line 1 APT EPIN #: Tax ID #: 85616P0005 SCHEDULE B - Part II: M/WBE Participation Plan Part II to be completed by the bidder/proposer. Please note: For Non-M/WBE Prime Contractors who will NOT subcontract any services and will self-perform the entire contract; you must obtain a FULL waiver by completing the Waiver Application on pages 5 and 6 and timely submitting it to the contracting agency pursuant to the Notice to Prospective Contractors. Once a FULL WAIVER is granted, it must be included with your bid or proposal and you do not have to complete or submit this form with your bid or proposal. Section I: Prime Contractor Contact Information Tax ID # FMS Vendor ID # Business Name Contact Person Address Telephone # Email Section II: M/WBE Utilization Goal Calculation: Check the applicable box and complete subsection. PRIME CONTRACTOR ADOPTING AGENCY M/WBE PARTICIPATION GOALS Total Bid/Proposal Value For Prime Contractors (including Qualified Joint Ventures and M/WBE firms) adopting Agency M/WBE Participation Goals. Agency Total Participation Goals (Line 1, Page 1) Calculated M/WBE Participation Amount Calculate the total dollar value of your total bid that you agree will be awarded to M/WBE subcontractors for services and/or credited to an M/WBE prime contractor or Qualified Joint Venture. Please review the Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation. $ X = $ Line 2 PRIME CONTRACTOR OBTAINED PARTIAL WAIVER APPROVAL: ADOPTING MODIFIED M/WBE PARTICIPATION GOALS Total Bid/Proposal Value For Prime Contractors (including Qualified Joint Ventures and M/WBE firms) adopting Modified M/WBE Participation Goals. Adjusted Participation Goal (From Partial Waiver) Calculated M/WBE Participation Amount Calculate the total dollar value of your total bid that you agree will be awarded to M/WBE subcontractors for services and/or credited to an M/WBE prime contractor or Qualified Joint Venture. Please review the Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation. $ X Page 2 of 6 (June 2013) = $ Line 3 APT EPIN #: Tax ID #: 85616P0005 Section III: M/WBE Utilization Plan: How Proposer/Bidder Will Fulfill M/WBE Participation Goals. Please review the Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation. Check applicable box. The Proposer or Bidder will fulfill the M/WBE Participation Goals: As an M/WBE Prime Contractor that will self-perform and/or subcontract to other M/WBE firms a portion of the contract the value of which is at least the amount located on Lines 2 or 3 above, as applicable. The value of any work subcontracted to non-M/WBE firms will not be credited towards fulfillment of M/WBE Participation Goals. Please check all that apply to Prime Contractor: MBE WBE As a Qualified Joint Venture with an M/WBE partner, in which the value of the M/WBE partner’s participation and/or the value of any work subcontracted to other M/WBE firms is at least the amount located on Lines 2 or 3 above, as applicable. The value of any work subcontracted to non M/WBE firms will not be credited towards fulfillment of M/WBE Participation Goals. As a non M/WBE Prime Contractor that will enter into subcontracts with M/WBE firms the value of which is at least the amount located on Lines 2 or 3 above, as applicable. Section IV: General Contract Information What is the expected percentage of the total contract dollar value that you expect to award in subcontracts for services, regardless of M/WBE status? % ____ Enter brief description of the type(s) and dollar value of subcontracts for all/any services you plan on subcontracting if awarded this contract. For each item, indicate whether the work is designated for participation by MBEs and/or WBEs and the time frame in which such work is scheduled to begin and end. Use additional sheets if necessary.  Scopes of Subcontract Work 1._________________________________________________________ 2._________________________________________________________ 3._________________________________________________________ 4._________________________________________________________ 5._________________________________________________________ 6._________________________________________________________ 7._________________________________________________________ 8._________________________________________________________ 9. _________________________________________________________ 10.________________________________________________________ 11.________________________________________________________ 12.________________________________________________________ 13.________________________________________________________ 14.________________________________________________________ 15.________________________________________________________ 16.________________________________________________________ 17._________________________________________________________ Page 3 of 6 (June 2013) APT EPIN #: Tax ID #: 85616P0005 Section V: Vendor Certification and Required Affirmations I hereby: 1) acknowledge my understanding of the M/WBE participation requirements as set forth herein and the pertinent provisions of Section 6-129 of the Administrative Code of the City of New York (“Section 6-129”), and the rules promulgated thereunder; 2) affirm that the information supplied in support of this M/WBE Utilization Plan is true and correct; 3) agree, if awarded this Contract, to comply with the M/WBE participation requirements of this Contract, the pertinent provisions of Section 6-129, and the rules promulgated thereunder, all of which shall be deemed to be material terms of this Contract; 4) agree and affirm that it is a material term of this Contract that the Vendor will award the total dollar value of the M/WBE Participation Goals to certified MBEs and/or WBEs, unless a full waiver is obtained or such goals are modified by the Agency; and 5) agree and affirm, if awarded this Contract, to make all reasonable, good faith efforts to meet the M/WBE Participation Goals, or If a partial waiver is obtained or such goals are modified by the Agency, to meet the modified Participation Goals by soliciting and obtaining the participation of certified MBE and/or WBE firms. Signature Date Print Name Title Page 4 of 6 (June 2013) SCHEDULE B – PART III – REQUEST FOR WAIVER OF M/WBE PARTICIPATION REQUIREMENT M/WBE PARTICIPATION GOALS Contract Overview Tax ID # Business Name Contact Name Type of Procurement FMS Vendor ID # Telephone # Competitive Sealed Bids Other APT E-PIN # (for this procurement):_______________________________ Email Bid/Response Due Date Contracting Agency: ___________________________ M/WBE Participation Goals as described in bid/solicitation documents % Agency M/WBE Participation Goal Proposed M/WBE Participation Goal as anticipated by vendor seeking waiver % of the total contract value anticipated in good faith by the bidder/proposer to be subcontracted for services and/or credited to an M/WBE Prime Contractor or Qualified Joint Venture. Basis for Waiver Request: Check appropriate box & explain in detail below (attach additional pages if needed) Vendor does not subcontract services, and has the capacity and good faith intention to perform all such work itself with its own employees. Vendor subcontracts some of this type of work but at a lower % than bid/solicitation describes, and has the capacity and good faith intention to do so on this contract. (Attach subcontracting plan outlining services that the vendor will self-perform and subcontract to other vendors or consultants.) Vendor has other legitimate business reasons for proposing the M/WBE Participation Goal above. Explain under separate cover. References List 3 most recent contracts performed for NYC agencies (if any). Include information for each subcontract awarded in performance of such contracts. Add more pages if necessary. CONTRACT NO. Total Contract Amount $ Item of Work Subcontracted and Value of subcontract CONTRACT NO. Total Contract Amount $ AGENCY DATE COMPLETED Total Amount Subcontracted $ Item of Work Subcontracted and Value of subcontract Item of Work Subcontracted and Value of subcontract AGENCY DATE COMPLETED Total Amount Subcontracted $ Item of Work Subcontracted and Value of subcontract Item of Work Subcontracted and Value of subcontract Item of Work Subcontracted and Value of subcontract CONTRACT NO. AGENCY DATE COMPLETED Total Contract Amount $ Item of Work Subcontracted and Value of subcontract Total Amount Subcontracted $ Item of Work Subcontracted and Value of subcontract Page 5 of 6 (June 2013) Item of Work Subcontracted and Value of subcontract List 3 most recent contracts performed for other entities. Include information for each subcontract awarded in performance of such contracts. Add more pages if necessary. (Complete ONLY if vendor has performed fewer than 3 New York City contracts.) TYPE OF Contract ENTITY DATE COMPLETED Manager at entity that hired vendor (Name/Phone No./Email) Total Contract Amount $ Total Amount Subcontracted $ Type of Work Subcontracted TYPE OF Contract AGENCY/ENTITY DATE COMPLETED Manager at agency/entity that hired vendor (Name/Phone No./Email) Total Contract Amount $ Item of Work Subcontracted and Value of subcontract Total Amount Subcontracted $ Item of Work Subcontracted and Value of subcontract TYPE OF Contract Item of Work Subcontracted and Value of subcontract AGENCY/ENTITY DATE COMPLETED Manager at entity that hired vendor (Name/Phone No./Email) Total Contract Amount $ Item of Work Subcontracted and Value of subcontract Total Amount Subcontracted $ Item of Work Subcontracted and Value of subcontract Item of Work Subcontracted and Value of subcontract VENDOR CERTIFICATION: I hereby affirm that the information supplied in support of this waiver request is true and correct, and that this request is made in good faith. Signature: Date: Print Name: Title: Shaded area below is for agency completion only AGENCY CHIEF CONTRACTING OFFICER APPROVAL Signature: Date: CITY CHIEF PROCUREMENT OFFICER APPROVAL Signature: _______________________________________________ Date: _____________________________ Waiver Determination Full Waiver Approved: Waiver Denied: Partial Waiver Approved: Revised Participation Goal:_____% Page 6 of 6 (June 2013) ATTACHMENT F WHISTLEBLOWER PROTECTION EXPANSION ACT RIDER Printed on paper containing 30% post-consumer material. 41 ATTACHMENT F- WHISTLEBLOWER PROTECTION EXPANSION ACT RIDER 1. In accordance with Local Law Nos. 30-2012 and 33-2012, codified at sections 6-132 and 12-113 of the New York City Administrative Code, respectively, (a) Contractor shall not take an adverse personnel action with respect to an officer or employee in retaliation for such officer or employee making a report of information concerning conduct which such officer or employee knows or reasonably believes to involve corruption, criminal activity, conflict of interest, gross mismanagement or abuse of authority by any officer or employee relating to this Contract to (i) the Commissioner of the Department of Investigation, (ii) a member of the New York City Council, the Public Advocate, or the Comptroller, or (iii) the City Chief Procurement Officer, ACCO, Agency head, or Commissioner. (b) If any of Contractor’s officers or employees believes that he or she has been the subject of an adverse personnel action in violation of subparagraph (a) of paragraph 1 of this rider, he or she shall be entitled to bring a cause of action against Contractor to recover all relief necessary to make him or her whole. Such relief may include but is not limited to: (i) an injunction to restrain continued retaliation, (ii) reinstatement to the position such employee would have had but for the retaliation or to an equivalent position, (iii) reinstatement of full fringe benefits and seniority rights, (iv) payment of two times back pay, plus interest, and (v) compensation for any special damages sustained as a result of the retaliation, including litigation costs and reasonable attorney’s fees. (c) Contractor shall post a notice provided by the City in a prominent and accessible place on any site where work pursuant to the Contract is performed that contains information about: (i) how its employees can report to the New York City Department of Investigation allegations of fraud, false claims, criminality or corruption arising out of or in connection with the Contract; and (ii) the rights and remedies afforded to its employees under New York City Administrative Code sections 7-805 (the New York City False Claims Act) and 12113 (the Whistleblower Protection Expansion Act) for lawful acts taken in connection with the reporting of allegations of fraud, false claims, criminality or corruption in connection with the Contract. (d) For the purposes of this rider, “adverse personnel action” includes dismissal, demotion, suspension, disciplinary action, negative performance evaluation, any action resulting in loss of staff, office space, equipment or other benefit, failure to appoint, failure to promote, or any transfer or assignment or failure to transfer or assign against the wishes of the affected officer or employee. (e) This rider is applicable to all of Contractor’s subcontractors having subcontracts with a value in excess of $100,000; accordingly, Contractor shall include this rider in all subcontracts with a value a value in excess of $100,000. 2. Paragraph 1 is not applicable to this Contract if it is valued at $100,000 or less. Subparagraphs (a), (b), (d), and (e) of paragraph 1 are not applicable to this Contract if it was solicited pursuant to a finding of an emergency. Subparagraph (c) of paragraph 1 is neither applicable to this Contract if it was solicited prior to October 18, 2012 nor if it is a renewal of a contract executed prior to October 18, 2012. ATTACHMENT G ADDITIONAL TERMS AND CONDITIONS 1. Definitions 1.1 “Additional Services” shall be professional services which the Commissioner determines in her or his sole discretion are required for the Project and are in addition to the Work Order scope of work and/or beyond the necessary and usual services in connection with design services as set forth in the Agreement. 1.2 "Agency" shall mean the Department of Citywide Administrative Services (“DCAS”). 1.3 "Agreement" shall mean the Contract which has been signed by the parties, including (1) the Request for Proposals for the contract, (2) the Consultant’s negotiated and accepted proposal for the awarded contract, (3) the Guide for Design Consultants, and (4) the Exhibits set forth below. In the event of any conflict between the Request for Proposals, the Consultant’s proposal, the Guide for Design Consultants and the contract and Appendix A, the contract and Appendix A shall prevail. Exhibit A Exhibit B Exhibit C Exhibit D Exhibit E Exhibit F Exhibit G Exhibit H Contract Information Subconsultants Fee Curve for Design Fee Staffing Requirements: All Inclusive Hourly Rates Minimum Requirements Per Title Guide for Design Consultants M/WBE Subcontractor Utilization Plan Appendix A: General Provisions Governing Contracts for Consultants, Professional, Technical, Human and Client Services 1.4 “All Inclusive Hourly Rate” or “All Inclusive Salary Rate” or “Direct Salary Rate with Multiplier” shall mean the Direct Salary Rate per title times the Salary Multiplier, which becomes the maximum billable rate per title for each individual for the contract and covers all labor, materials, any and all elements of overhead and profit, and all direct and indirect costs of the Consultant including, without limitation, all costs and expenses listed under the definition of “Multiplier” except as otherwise provided in the Agreement. 1.5 “Allowance” or “Allowances” shall mean a sum of money which DCAS may include in the total amount of the contract and will be referenced in individual “Work Orders” (as this term is hereinafter defined) for such specific contingencies as DCAS believes may be necessary to complete the work, and for which the Consultant will be paid on the basis of stipulated unit prices or a formula set forth in the Agreement or negotiated between the parties provided, however, that if the Consultant is not directed to use the Allowance, the Consultant shall have no right to such money and it shall be deducted from the total amount of the Agreement. 1.6 “Basic Services” shall be the full scope project, as further detailed in the Guide, and shall be paid for on the basis of the Fee Curve. Printed on paper containing 30% post-consumer material. 42 1.7 "Department" or "DCAS" shall mean the Department of Citywide Administrative Services of the City of New York acting by and through the Commissioner thereof, or her or his duly authorized representative. 1.8 “Design Fee” or “design fee” shall mean an amount which shall cover all costs and expenses incurred by the Consultant and/or its Subconsultant(s) in the performance of Design Services. 1.9 “Design Services” or “design services” shall mean all necessary and usual components, work and services in connection with the design for the Project including, without limitation, services for the investigation and documentation of site conditions, and development of the scope of work during all phases of design and construction to completion of all work under the Agreement including, without limitation, all drafting (including plans and specifications), reviews, regulatory sign-offs and filings (including those required for the construction contractor to achieve final acceptance under the construction contract, which may include, without limitation, any and all requests for re-inspection under the construction contract and final payment to the construction contractor), and utility changes, as further detailed in the Agreement. 1.10 “Direct Salary Rate” shall mean the maximum direct salary costs for technical and professional employees for actual time spent on projects (i.e. the hourly rate for actual staff hours spent on Projects). The direct salary rate shall not include amounts for vacation, other compensation, or fringe benefits whatsoever, which shall be deemed to be included in the “Multiplier”. 1.11 “Fee Curve” shall mean the schedule of the Design Fee as a Percent of Construction Costs proposed by the Consultant and agreed to by DCAS. The Fee Curve is the rate at which the Consultant is compensated on a per Project basis for providing all required design services to successfully complete the Project. It is all inclusive and shall be deemed to include, without limitation, all items listed under the definition of “Multiplier”. 1.12 “Law” or “Laws” shall mean the Constitution of the State of New York, the New York City Charter, the New York City Administrative Code, a statute of the United States or of the State of New York, a local law of the City of New York, or any ordinance, rule or regulation having the force of law, or common law. 1.13 “Multiplier” or “Salary Multiplier” shall mean the number which, when applied to the Direct Salary Rate, covers any and all business costs including, without limitation, fringes, vacations, operating costs, overhead, profit and all of the following costs and expenses: (a) Compensation to all officers, principals, project executives, employees, persons and personnel working on behalf of the Consultant, in whatever capacity including, without limitation, all: (i) wages, salaries, bonuses and commissions; and (ii) all payments mandated by law including, without limitation, Social Security and Medicare, taxes, insurance (Worker’s Compensation, Employers’ Liability, Unemployment); and (iii) employer contributions, if any, to retirement plans including, without limitation, pension and/or deferred compensation plans; and (iv) all payments for compensated absence time including, without limitation, vacation time, sick time, personal time and holidays; and (v) costs for any and all other fringe and supplemental benefits or payments. Printed on paper containing 30% post-consumer material. 43 (b) All costs and expenses incurred by the Consultant in connection with the performance of all required services including, without limitation: (i) expenses for any and all related services; and (ii) meals; and (iii) lodging; and (iv) expediting costs; (c) All costs and expenses incurred by the Consultant with respect to its office facilities including, without limitation, rental costs, mortgage payments or depreciation factors, light, heat and water, telephone and electronic communication charges, including all charges for calls to the job site and DCAS (except for long distance calls to other locations as specifically required by the Commissioner), sales, estimating expenses, accounting fees and bookkeeping expenses, electronic data processing services and transmissions, whether provided by in-house personnel or outsourced, computers, monitors, printers, scanners, faxes and related equipment, whether owned or rented, computer programs, computer programming, dues and subscriptions, stationery, printing for required submissions, postage, and any other office or miscellaneous expenses; (d) As is more particularly set forth in the Agreement, all costs and expenses incurred by the Consultant with respect to applicable taxes of any kind whatsoever including, without limitation, federal, state and local income tax and any franchise or other business taxes or sales taxes on consumables; (e) All insurance coverage determined by the Consultant to be necessary for the performance of all required services hereunder including, without limitation: (1) all insurance required by Appendix A (except for Builder's Risk insurance approved by DCAS); (2) all insurance required by Law, and (3) all other insurance maintained by the Consultant in the course of its business including, without limitation, burglary and theft, general fidelity and payroll insurance; (f) Any losses for theft, damage, vandalism or robbery sustained by the Consultant while performing the services required hereunder; (g) All expenses incurred by the Consultant with respect to fixed capital, including interest thereon or on moneys borrowed; (h) All expenses incurred by the Consultant with respect to legal, accounting or other professional services; (i) All expenses incurred by the Consultant with respect to management and oversight, and all administrative and overhead expenses, of any kind or nature whatsoever incurred by the Consultant, including such expenses incurred in the performance of Additional Services or the procuring of miscellaneous items hereunder; (j) Time spent in negotiations with respect to any and all matters and issues arising out of the Agreement; (k) All expenses related to overhead and any anticipated profit of any kind or nature whatsoever Printed on paper containing 30% post-consumer material. 44 (l) All expenses incurred by the Consultant in connection with providing the non-reimbursable items and/or services set forth in Article 6 of the Contract; (m) Statutory or contractual costs or expenses that the Consultant must pay on behalf of its employees including, without limitation, all payments mandated by federal, State or local Laws, rules and regulations and modifications, revisions and additions thereto; and (n) Costs or expenses incurred by the Consultant if it subcontracts any part of the work including, without limitation, all expenses incurred by the Consultant or its Subconsultants in the performance of all required services for the Project on a Time Card basis. Salary Multipliers may equal, but may not exceed, the auditable multiplier for respective titles. The auditable multiplier is the rate comparably charged to non-profit, not-for-profit, and government entities; that rate can and may be audited. Should DCAS determine, in its sole discretion, that a field office is warranted, the costs thereof shall be negotiated with the Consultant in accordance with the Agreement. 1.14 “Negotiated Fee” shall mean a lump sum monetary amount negotiated and agreed upon by DCAS and the Consultant for payment of work. In no event shall a Negotiated Fee exceed the amount that would be calculated by applying the Fee Curve to the construction cost of work to be designed. 1.15 “Pre-preliminary Services” shall mean services which do not constitute Basic Services or Additional Services, and which may include, without limitation: (a) (b) (c) (d) evaluation of program space requirements for a defined DCAS client; assessment and measurement of DCAS-proposed relocation space(s); space programming and development of an office layout with furniture and equipment placement; and recommendations regarding the suitability of a space for the client’s operational needs. These services, including all work performed in the field, shall be paid on the basis of Time Card or Negotiated Fee, without reimbursement for travel time other than long distance travel, as set forth in the Agreement. 1.16 “Project” shall mean all work for which architectural, engineering and construction related services are required, as specified by the Commissioner on a Work Order basis. 1.17 “Reimbursable Services” shall mean services determined by the Commissioner to be necessary for the Project as set forth in the Agreement. 1.18 "Subconsultant" or “Sub-consultant” shall mean any person, firm, or corporation, other than employees of the Consultant, who or which contracts with the Consultant or his or her subconsultants to furnish, or actually furnishes services, labor, or labor and materials, or labor and equipment hereunder. All Subconsultants are subject to the prior written approval of the Commissioner. 1.19 “Special Project Services for Survey, Study and Report(s)” or “Special Project(s)” shall mean work that includes services beyond the regular Schematic Design requirements. These services may be requested Printed on paper containing 30% post-consumer material. 45 as an independent project with its own Work Order, or at any stage of an existing/defined project with existing Work Orders, for feasibility evaluation of a possible alternate scope, inclusive of budget and scheduling considerations, and/or these services may include existing condition surveys, including measurements and/or evaluations presented in report form, and may not require full scope Design Phase and Construction Phase services. These services may also be requested prior to commencement of a Project, in order to develop a detailed scope and determine the initial budget for that Project. These services, including all work performed in the field, shall be paid on the basis of Time Card or Negotiated Fee, without reimbursement for travel time other than long distance travel, as set forth in the Agreement. 1.20 “Supplemental Work Order” or “Supplementary Work Order” shall mean any and all written amendments, modifications or changes to a Work Order deemed necessary by DCAS, in its sole discretion, in the best interests of the City. Unless required by Law, Supplemental Work Orders need not be registered with the Comptroller. 1.21 “Time Card” or “Time Card Services” shall mean the number of staffing hours billed by the Consultant or an approved Subconsultant that are paid on an All Inclusive Hourly Rate basis, which shall be documented by Time Card and may, at DCAS’ sole discretion, have a Not to Exceed limit or cap or maximum upset fee, as may be specified on the Work Order; all references to Time Card herein shall be deemed to include Time Card Not to Exceed. Where DCAS specifies that work is to be billed for on a Time Card basis, the Consultant shall bill the actual hours of services provided up to the Not to Exceed limit or maximum upset fee, maintain and submit with its payment requisition documented time sheets. 1.22 “Work Order”, “Work Order Letter” or “Task Order” shall mean the particular scope of work assigned to the Consultant under the Contract. 2 Term of Contract/Contract Renewals/Increase in Direct Salary Rates/ Additional Requirements 2.1 As noted in Section II of this RFP, the term of the contract awarded from this RFP shall be 1,825 CCDs (5 years) from the date set forth in the written Notice to Proceed. The contract may be renewed for 1095 CCDs (three (3) years) and/or extended for 365 CCDs (1 year) in accordance with the PPB Rules at the sole discretion of the Commissioner. The Consultant will, upon receipt of such notice, use its best efforts to ensure that the contract is renewed or extended in a timely manner, and shall promptly and completely fill out and submit all documents necessary to effect such renewal or extension including, but not limited to, a VENDEX Certificate of No Change. The Direct Salary Rates and Fee Curve shall remain in full force and effect without any increase throughout the initial, and any renewal, term and extension of the contract, except as set forth in 2.2 below. 2.2 Increase in Direct Salary Rates 2.2.1 In the event the Commissioner renews the contract for one (1) additional term and/or extends the contract for one (1) year as set forth above, the Consultant may request in writing an adjustment to the Direct Salary Rates for the renewal or extended term based Printed on paper containing 30% post-consumer material. 46 upon any increase in the Employment Cost Index for Professional, Specialty and Technical Occupations, compiled and published by the U.S. Department of Labor, Bureau of Labor Statistics (the "Index") or such successor or comparable index as the Commissioner in her or his sole discretion shall select. If the Index declines or shows no increase, the Direct Salary Rates will not be increased. Any applicable rate increase, as determined by DCAS in its sole discretion, will be calculated based on the percentage increase in the rate between the date of registration of the expiring contract and the date of registration of the renewal or extension thereof. In no event will the Direct Salary Rates be greater than that charged by the Consultant as the most favorable rate to other governments and/or not for profit entities and the Consultant must provide written confirmation of this from their Certified Public Accountant in a sworn affidavit made under penalty of perjury, or in such other manner as the Commissioner may require in her or his sole discretion. 2.2.2 The Direct Salary Rates in effect when a Work Order is issued shall remain in effect until all work required by such Work Order is completed, except that: (a) If design services work assigned in one (1) or more Work Order(s) has not been completed by the end of the initial term of the contract and the contract is renewed and/or extended by the Commissioner in accordance with Section 2.1 above, the Direct Salary Rates for that Work Order shall be increased commensurate with the increase effected pursuant to Section 2.2.1 above provided, however, that the Commissioner, in her or his sole discretion, shall have first determined that any delay(s) in the completion of such Work Order(s) was beyond the Consultant’s control or was occasioned by a change in scope approved by DCAS. (b) If design services work assigned in one (1) or more Work Order(s) has not been completed upon expiration of the contract, including the initial term, renewal and extension thereof, such adjustment to the Direct Salary Rates may be applied, in the Commissioner’s sole discretion, upon request by the Consultant (same requirements as aforementioned). The Consultant may request in writing such adjustment for the Commissioner’s consideration, in her or his sole discretion, for the succeeding three (3) year period, upon the third anniversary after expiration of the contract extension and every three (3) years thereafter, in accordance with the requirements and limitations set forth in this section 2.3. Any determination by the Commissioner to increase the Direct Salary Rates for any Work Order as set forth above will be applicable only to that Work Order and will not be interpreted, construed or cited for any other purpose whatsoever. 2.2.3 The Consultant’s request for an adjustment in accordance with the terms and conditions hereof shall be made in writing, within sixty (60) days after the commencement of the renewal or extension term. No increase shall be approved by the Commissioner unless the Commissioner determines in her or his sole discretion that the Consultant has Printed on paper containing 30% post-consumer material. 47 satisfactorily performed its responsibilities under the Agreement and has submitted with its request demonstrative and persuasive evidence that such a percentage increase is warranted. It is expressly understood and agreed that the Commissioner’s decision as to the granting of the increase or amount of the increase, if any, in the Direct Salary Rates shall not be subject to dispute resolution under the contract. The Consultant’s failure to submit any information or documentary evidence requested by the Commissioner shall be deemed a waiver by the Consultant of the request for a percentage increase in such rates. 2.2.4 3. Any increases in Direct Salary Rates shall be applied on a prospective basis only. In no event shall the Multiplier for the Direct Salary Rates or the Fee Curve be increased. Schedule The Consultant’s obligation to provide design services including, without limitation, services during construction shall run until all construction work is complete for each specific location and Project as set forth in the Work Order. Construction services work and all related services extending beyond the term set forth in the Work Order will be deemed to be, and will be paid as, part of services during construction without any increase in compensation, except as set forth in Section 2 above, until all design services work including, without limitation, all services during construction, regulatory sign-offs and utility changes has been obtained and completed. 4. 5. ATTACHMENT B – Price Proposal Form/Consultant Fee Curve 4.1 The Consultant Fee Curve is listed in Attachment B to this RFP. The Consultant shall be compensated on a project by project basis by multiplying the appropriate percentage rate in the Fee Curve proposed by the Consultant and accepted by DCAS by the preliminary estimated cost of construction of the Project. All compensation per Project will be detailed in a Work Order issued by DCAS. The Design Fee will be adjusted as stated in this RFP and the Agreement. 4.2 The Fee Curve shall not include any Allowances, change orders, Additional Services (except as otherwise specified in the Agreement), construction change orders resulting from Consultant’s error(s) and omission(s), and Reimbursable Services. ATTACHMENT C – All Inclusive Hourly Rate 5.1 Each proposing firm shall provide the Multiplier (hourly rate) and estimated amounts per title provided on Attachment C to this RFP. 5.1.1 The “Estimated Time Card Hours” in Attachment C are estimated numbers used for determining a uniform basis of comparison in the RFP process and are not part of the contract nor do they oblige DCAS to order work in such amounts. 5.1.2 The “Estimated amount per Title” in Attachment C is the result of multiplying the maximum “Hourly Rate” and “Estimated Time Card Hours” (weekly). Printed on paper containing 30% post-consumer material. 48 5.1.3 The total of estimated amounts per title is cumulative of each line item of Attachment C for the Consultant personnel rates sheets. This total number gives DCAS a uniform basis for comparison purposes in the RFP process. For purposes of the weekly Estimated Time Card Hours, a work week consists of forty (40) hours allocated in shifts during seven (7) consecutive calendar days of the standard week from Sunday through Saturday. DCAS shall review and determine individual items to be pre-authorized on a case by case and item by item basis for each Project and shall allocate funds for actual or maximum Not to Exceed amounts and Negotiated Fees, where applicable, accordingly. 5.2 The proposing firm is advised that the estimated number of weeks and estimated Time Card Hours set forth in the fee schedules in Attachment C are estimates only. They are provided solely for use as a uniform basis for the analysis of proposals and are not to be considered part of the contract. The actual Time Card hours required to complete the various tasks may be more or less than the estimates, and if so, no action for damages or lost profits shall accrue to the Consultant or sub-consultant(s) by reason thereof. 5.3 The proposing firm shall complete Attachment B – “Consultant Fee Curve”, and Attachment C – “All Inclusive Hourly Rates” in their entirety. Failure to provide a valid number, of provision of an incomplete number, on any line or portion thereof may render the entire price proposal nonresponsive, in which case the proposal shall be rejected. The proposing firms shall specify a fee for each line. An entry of zero (0) is not a valid entry and will result in rejection of the proposal. The estimated total amounts per title will be used for comparison purposes only. Printed on paper containing 30% post-consumer material. 49 ATTACHMENT H IRAN DIVESTMENT ACT COMPLIANCE RIDER FOR NEW YORK CITY CONTRACTORS and BIDDER'S CERTIFICATION OF COMPLIANCE WITH IRAN DIVESTMENT ACT Printed on paper containing 30% post-consumer material. 50 IRAN DIVESTMENT ACT COMPLIANCE RIDER FOR NEW YORK CITY CONTRACTORS The Iran Divestment Act of 2012, effective as of April 12, 2012, is codified at State Finance Law (“SFL”) §165-a and General Municipal Law (“GML”) §103-g. The Iran Divestment Act, with certain exceptions, prohibits municipalities, including the City, from entering into contracts with persons engaged in investment activities in the energy sector of Iran. Pursuant to the terms set forth in SFL §165-a and GML §103-g, a person engages in investment activities in the energy sector of Iran if: (a) the person provides goods or services of twenty million dollars or more in the energy sector of Iran, including a person that provides oil or liquefied natural gas tankers, or products used to construct or maintain pipelines used to transport oil or liquefied natural gas, for the energy sector of Iran; or (b) The person is a financial institution that extends twenty million dollars or more in credit to another person, for forty-five days or more, if that person will use the credit to provide goods or services in the energy sector in Iran and is identified on a list created pursuant to paragraph (b) of subdivision three of Section 165-a of the State Finance Law and maintained by the Commissioner of the Office of General Services. A bid or proposal shall not be considered for award nor shall any award be made where the bidder or proposer fails to submit a signed and verified bidder’s certification. Each bidder or proposer must certify that it is not on the list of entities engaged in investment activities in Iran created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law. In any case where the bidder or proposer cannot certify that they are not on such list, the bidder or proposer shall so state and shall furnish with the bid or proposal a signed statement which sets forth in detail the reasons why such statement cannot be made. The City of New York may award a bid to a bidder who cannot make the certification on a case by case basis if: (1) The investment activities in Iran were made before the effective date of this section (i.e., April 12, 2012), the investment activities in Iran have not been expanded or renewed after the effective date of this section and the person has adopted, publicized and is implementing a formal plan to cease the investment activities in Iran and to refrain from engaging in any new investments in Iran: or (2) The City makes a determination that the goods or services are necessary for the City to perform its functions and that, absent such an exemption, the City would be unable to obtain the goods or services for which the contract is offered. Such determination shall be made in writing and shall be a public document. -2- BIDDER’S CERTIFICATION OF COMPLIANCE WITH IRAN DIVESTMENT ACT Pursuant to General Municipal Law §103-g, which generally prohibits the City from entering into contracts with persons engaged in investment activities in the energy sector of Iran, the bidder/proposer submits the following certification: [Please Check One] BIDDER’S CERTIFICATION By submission of this bid or proposal, each bidder/proposer and each person signing on behalf of any bidder/proposer certifies, and in the case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief, that each bidder/proposer is not on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law. I am unable to certify that my name and the name of the bidder/proposer does not appear on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law. I have attached a signed statement setting forth in detail why I cannot so certify. Dated: _________, New York ______ , 20 __ SIGNATURE PRINTED NAME TITLE Sworn to before me this day of , 20 Notary Public Dated: -3- ATTACHMENT I ACKNOWLEDGEMENT OF ADDENDA The Americans with Disabilities Act (“ADA”) Compliance for DCAS-Managed Court Buildings throughout the City of New York E-PIN: 85616P0005 Directions: Complete Part I or Part II, whichever is applicable, and sign your name in Part III. Part I Listed below are the dates of issue for each Addendum received in connection with this RFP: Addendum # 1, Dated ____________________ ___________________, ____ Addendum # 2, Dated________________________________________, ____ Addendum # 3, Dated________________________________________, ____ Addendum # 4, Dated ______________ _________________________, ____ Addendum # 5, Dated________________________________________, ____ Addendum # 6, Dated________________________________________, ____ Addendum # 7, Dated________________________________________, ____ Addendum # 8, Dated ________________ _______________________, ____ Addendum # 9, Dated ________________ _______________________, ____ Addendum #10, Dated _______________________________________, ____ Part II Acknowledgement of No Receipt __________ No Addenda were received in connection with this RFP Part III Proposer's Name: __________________________________________________________ Proposer’s Authorized Representative: Name: _______________________________________________ Title: _______________________________________________ Signature: ____________________________________________ Date: ______________ Printed on paper containing 30% post-consumer material. 51 ATTACHMENT J DOING BUSINESS DATA FORM Printed on paper containing 30% post-consumer material. 52 The 0" New To be completed by the City Agency prior to distribution - 5 Mayor's Of?ce of Contract Services Doing Business Accountability Project Agency: 355 Transaction Check One: Transaction Type (check one): DOing BUSiness Proposal Concession Contract Economic Development Agreement Data Form 1? Award Franchise Grant Pension Investment Contract Any entity receiving, applying for or preposing on an award. agreement or solicitation must complete a Doing Business Data Form (see sheet for more information). Please either type responses directly into this ?llable form or print answers by hand in black ink, and be sure to ?ll out the certi?cation box on the last page. Submission of a complete and accurate form is required for a proposal to be considered responsive or for any entity to receive an award or enter into an agreement. This Data Form requires information to be provided on principal of?cers, owners and senior managers. The name, employer and title of each person identi?ed on the Data Form will be included in a public database of people who do business with the City of New York; no other information reported on this form will be disclosed to the public. This Data Form is not related to the City's VENDEX requirements. Please return the completed Data Form to the City Agency that supplied it. Please contact the Doing Business Accountability Project at DoingBusiness@cityhall.nyc.gov or 212-788-8104 with any questions regarding this Data Form. Thank you for your cooperation. Section 1: Entitv lnfonnation Entity Name; Entity EINITIN: Entity Filing Status (select one): Entity has never completed a Doing Business Data Form. Fill out the entire form. Change from previous Data Form dated . Fill out only those sections that have changed, and indicate the name of the persons who no longer hold positions with the entity. 1? No Change from previous Data Form dated . Skip to the bottom of the last page. Entity is a Non-Profit: Yes NO Entity Type: 1? Corporation (any type) Joint Venture LLC Partnership (any type) 1" Sole Proprietor Other (specify): Address: City: State: Zip: Phone: Fax: E-mail: - Provide your e-mail address andlor fax number in order to receive notices regarding this form by e-mail or fax. 94.29.9003 For information or assistance. call the Doing Business Accountability Project at 212-788-8104. Doing Business Data Form EINIT IN: Page 2 of 4 Section 2: Principal Of?cers Please ?ll in the required identi?cation information for each of?cer listed below. If the entity has no such of?cer or its equivalent, please check "This position does not exist." if the entity is ?ling a Change Form and the person listed is replacing someone who was previously disclosed. please check "This person and ?ll in the name of the person being replaced so hislher name can be removed from the Doing Business Database, and indicate the date that the change became effective. Chief Executive Officer (CEO) or equivalent of?cer This position does not exist The highest ranking of?cer or manager, such as the President, Executive Director. Sole Proprietor or Chairperson of the Board. First Name: Ml: Last: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone Home Address: This person replaced former CEO: on date: Chief Financial Officer (CFO) or equivalent of?cer This position does not exist The highest ranking ?nancial of?cer, such as the Treasurer. Comptroller, Financial Director or VP for Finance. First Name: Ml: Last: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone Home Address: This person replaced former CFO: on date: Chief Operating Of?cer (COO) or equivalent of?cer This position does not exist The highest ranking operational of?cer, such as the Chief Planning Of?cer, Director of Operations or VP for Operations. First Name: MI: Last: Of?ce Title: Employer (if not empioyed by entity): Birth Date Home Phone #2 Home Address: This person replaced former COO: on date: For information or assistance. call the Doing Business Accountability Project at 212-788-8104. Doing Business Data Form Page 3 of4 Section 3: Principal Owners Please ?ll in the required identi?cation information for all individuals who, through stock shares, partnership agreements or other means, own or control 10% or more of the entity. If no individual owners exist. please check the appropriate box to indicate why and skip to the next page. If the entity is owned by other companies, those companies do not need to be listed. If an owner was identi?ed on the previous page, ?ll in his/her name and write "See above." If the entity is ?ling a Change Form, list any individuals who are no longer owners at the bottom of this page. If more space is needed. attach additional pages labeled "Additional Owners." There are no owners listed because (select one): The entity is not-for?pro?t There are no individual owners No individual owner holds 10% or more shares in the entity Other [explain): Principal Owners (who own or control 10% or more of the entity): First Name: MI: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone Home Address: Last: First Name: MI: Last: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone Home Address: First Name: MI: Last: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone #1 Home Address: Remove the following previously-reported Principal Owners: Name: Removal Date: Name: Removal Date: Name: Removal Date: For information or assistance. call the Doing Business Accountability Project at 212?788-8104. Doing Business Data Form EINIT IN: Page 4 of 4 Section 4: Senior Managers Please ?ll in the required identi?cation information for all senior managers who oversee any of the entity's relevant transactions with the City contract managers if this form is for a contract award/proposal, grant managers if for a grant, etc.). Senior managers include anyone who, either by title or duties, has substantial discretion and high-level oversight regarding the solicitation, letting or administration of any transaction with the City. At least one senior manager must be listed, or the Data Form will be considered incomplete. If a senior manager has been identi?ed on a previous page, ?ll in his/her name and write "See above." If the entity is ?ling a Change Form. list individuals who are no longer senior managers at the bottom of this section. If more space is needed, attach additional pages labeled "Additional Senior Managers." Senior Managers: First Name: MI: Last: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone Home Address: First Name: MI: Of?ce Title: Last Employer (if not employed by entity): Birth Date Home Phone Home Address: First Name: MI: Last: Of?ce Title: Employer (if not employed by entity): Birth Date Home Phone Home Address: Remove the following previously-reported Senior Managers: Name: Removal Date: Name: Removal Date: Certi?cation I certify that the information submitted on these four pages and additional pages is accurate and complete. I understand that willful or fraudulent submission of a materially false statement may result in the entity being found non-responsible and therefore denied future City awards. Name: Signature: Date: Entity Name: Title: Work Phone Return the completed Data Form to the agency that supplied it. For information or assistance, call the Doing Business Accountability Project at 212-788-8104. Printed on paper containing 30% post-consumer material ATTACHMENT K SUB-CONTRACTING COMPLIANCE NOTICE NOTICE TO PROPOSERS As of March 2013 the City has implemented a new web based subcontractor reporting system through the City's Payee Information Portal (PIP), available at www.nyc.gov/pip. In order to use the new system, a PIP account will be required. Detailed instructions on creating a PIP account and using the new system are also available at that site. Additional assistance with PIP may be received by emailing the Financial Information Services Agency Help Desk at pip@fisa.nyc.gov. In order to obtain subcontractor approval under section 3.02 of Appendix A or Article 17 of the Standard Construction Contract and PPB Rule § 4-13 Contractor is required to list the subcontractor in the system. For each subcontractor listed, Contractor is required to provide the following information: maximum contract value, description of subcontractor work, start and end date of the subcontract and identification of the subcontractor’s industry. Thereafter, Contractor will be required to report in the system the payments made to each subcontractor within 30 days of making the payment. If any of the required information changes throughout the term of the contract, Contractor will be required to revise the information in the system. Failure of the Contractor to list a subcontractor and/or to report subcontractor payments in a timely fashion may result in the Agency declaring the Contractor in default of the Contract and will subject Contractor to liquidated damages in the amount of $100 per day for each day that the Contractor fails to identify a subcontractor along with the required information about the subcontractor and/or fails to report payments to a subcontractor, beyond the time frames set forth herein or in the notice from the City. For construction contracts, the provisions of Article 15 of the Standard Construction Contract shall govern the issue of liquidated damages. Contractor hereby agrees to these provisions. Printed on paper containing 30% post-consumer material. 53 ATTACHMENT L – Listing of DCAS-Managed Court Buildings Court Buildings in the Borough of Manhattan: BUILDING NAME BUILDING ADDRESS 1 Manhattan Surrogate’s Court 31 Chambers St., N.Y., N.Y. 10007 2 Manhattan Supreme Court 60 Centre Street, N.Y., N.Y. 10013 3 Harlem Court 170 East 121 Street, N.Y., N.Y. 10035 4 Manhattan Criminal Court 100 Centre Street, N.Y., N.Y. 10013 5 Manhattan Civil Court 111 Centre Street, N.Y., N.Y. 10013 6 Manhattan Family Court 60 Lafayette Street, N.Y., N.Y. 10013 7 Manhattan Appellate Court 27 Madison Avenue, N.Y., N.Y. 10010 8 Louis Lefkowitz Building 80 Centre Street, N.Y., N.Y. 10013 9 Midtown Community Court 314 West 54th Street, NY, NY 10019 Court Buildings in the Borough of Brooklyn : BUILDING NAME BUILDING ADDRESS 1 Brooklyn Central Court 120 Schermerhorn Street, Brooklyn, N.Y. 11201 2 Brooklyn Supreme Court 360 Adams Street, Brooklyn, N.Y. 11201 3 Brooklyn Appellate Court 45 Monroe Place, Brooklyn, N.Y. 11201 4 Brooklyn Supreme and Family Court 330 Jay Street, Brooklyn, N.Y. 11201 Court Buildings in the Borough of Queens: BUILDING NAME BUILDING ADDRESS 1 Long Island City Court House 25-10 Courthouse Square, Long Island City, N.Y. 11101 2 Queens Supreme Court 88-11 Sutphin Boulevard, Jamaica, N.Y. 11435 3 Queens Family Court 151-20 Jamaica Boulevard, Jamaica, N.Y. 11432 4 Queens Criminal Court 125-01 Queens Boulevard, Kew Gardens, N.Y. 11415 5 Queens Civil Court 89-17 Sutphin Boulevard, Jamaica, N.Y. 11432 Printed on paper containing 30% post-consumer material. 54 6 126-02 82nd Ave. Queens Family Justice Center Court Buildings in the Borough of Staten Island : BUILDING NAME BUILDING ADDRESS 1 Staten Island Supreme Court 18 Richmond Terrace, Staten Island, N.Y. 10301 x 2 Staten Island Family Court 100 Richmond Terrace, Staten Island, N.Y. 10301 x 3 Staten Island Civil Court 927 Castleton Avenue, Staten Island, N.Y. 10304 x Court Buildings in the Borough of the Bronx: BUILDING NAME BUILDING ADDRESS 1 Bronx Family/Criminal Court 215 East 161st. Street, Bronx, N.Y. 10451 2 Bronx County Court 851 Grand Concourse, Bronx, N.Y. 10451 3 Bronx Concourse Plaza 198 East 161st. Street, Bronx, N.Y. 10451 4 Bronx Housing Court 1118 Grand Concourse, Bronx, N.Y. 10456 5 Bronx Hall of Justice 265 East 161st. Street, Bronx, N.Y. 10451 Printed on paper containing 30% post-consumer material. 55 ATTACHMENT M - REQUIREMENTS PER TITLE MINIMUM REQUIREMENTS PER TITLE: Any personnel provided by the Consultant and/or its Sub-consultants must satisfy the Minimum Requirements Per Title set forth below. ARCHITECTURAL PERSONNEL TITLE MINIMUM REQUIREMENTS Number of Years Professional License of Experience Principal……………………………………………………...………. 5 ………………………………. Professional License Principal-in-charge of Project……….……………………. 5 ………………………………. Professional License Senior Project Architect………………………………………. 5 ………………………………. Professional License Project Manager (Architecture)…………….…………….. 5 ………………………………. Professional License Senior Architectural Designer................................. 5 ………………………………………………………..………………. Junior Architectural Designer................................. 3 ………………………………………………………..………………. Architectural Technician......................................... 1 ………………………………………………………..………………. Senior Interior Designer......................................... 5 ………………………………………………………..………………. Junior Interior Designer.......................................... 3 ………………………………………………………..………………. Interiors Technician................................................ 1 ………………………………………………………..………………. Senior Programming Specialist……………………………. 5 ………………………………………………………..………………. Programming Specialist………………………………………. 3 ………………………………………………………..………………. Senior Draftsperson/CAD……………………………………. 5 ………………………………………………………..………………. Junior Draftsperson/CAD…………………………………….. 2 ………………………………………………………..………………. ENGINEERING PERSONNEL TITLE MINIMUM REQUIREMENTS Number of Years of Experience Professional License or Certification Principal……………………………………………………………… 5 ………………………………. Professional License Principal-in-charge of Project……….……………………. 5 ………………………………. Professional License Senior Project Engineer………………………………………. 5 ………………………………. Professional License Project Manager (Engineering)……………………………. 5 ………………………………. Professional License Senior Structural/Civil Engineer…………………………… 5 ………………………………. Professional License Senior HVAC Engineer…………………………………………. 5 ………………………………. Professional License Senior Electrical Designer……………………………………. 5 ………………………………………………………..………………. Printed on paper containing 30% post-consumer material. 56 Senior Plumbing Designer…………………………………… 5 ………………………………………………………..………………. Structural/Civil Engineering Designer………………….. 3 ………………………………………………………..………………. ENGINEERING PERSONNEL continued TITLE MINIMUM REQUIREMENTS Number of Years Professional License of Experience or Certification HVAC Designer……………………………………………………. 3 ………………………………………………………..………………. Electrical Designer………………………………………………. 3 ………………………………………………………..………………. Plumbing Designer………………………………………………. 3 ………………………………………………………..………………. Engineering Technician………………………………..……... 1 ………………………………………………………..………………. Senior Engineering Draftsperson/CAD.................... 5 ………………………………………………………..………………. Junior Engineering Draftsperson/CAD.................... 2 ………………………………………………………..………………. PERSONNEL FOR VARIOUS SPECIALTIES TITLE MINIMUM REQUIREMENTS Number of Years Professional License of Experience or Certification Senior Lighting Specialist…………………………………….. 3 ………………….….. Professional Certification Junior Lighting Specialist……………………………………… 1 ………………………………………………………..………………. Acoustical Specialist……………………………………………. 5 ……………………… Fire Alarm Specialist……………………………………………. 5 ………………………………………………………..………………. Security Specialist……………………………………………….. 5 ………………………………………………………..………………. Audio Visual Specialist………………………………………… 5 ………………………………………………………..………………. Environmental Specialist……………………………………… 5 ……………………… Professional Certification Sustainability Specialist……………………………………….. 5 ……………………… LEED Accredited Professional Vertical Transportation Specialist……………………….. 5 ……………………… Senior Graphic Designer……………………………………… 3 ………………………………………………………..………………. Junior Graphic Designer………………………………………. 1 ………………………………………………………..………………. Senior Specifications Writer……………………………….. 5 ……………………… Junior Specifications Writer……………………………….. 3 ………………………………………………………..………………. Senior Code Specialist…………………………………………. 5 ……………………… Professional Certification Printed on paper containing 30% post-consumer material. 57 PERSONNEL FOR ESTIMATING TITLE MINIMUM REQUIREMENTS Number of Years Professional License of Experience or Certification Principal............................................................. 5 ……………………… Professional Certification Senior Estimator................................................. 5 ………………………………………………………..………………. Junior Estimator................................................. 3 ………………………………………………………..………………. Printed on paper containing 30% post-consumer material. 58 ATTACHMENT N – HIRING AND EMPLOYMENT RIDER: HIRENYC AND REPORTING REQUIREMENTS Introduction This Rider shall apply to all contracts for goods, services, and construction with a value of one million dollars ($1,000,000.00) or more, provided, however, that certain requirements of the Rider shall only apply as indicated below. This Rider addresses the HireNYC process, including reporting obligations under the HireNYC process, and certain other reporting requirements imposed by law. In general, the HireNYC process under this Rider requires the Contractor to enroll with the HireNYC portal for the City of New York (“the City”) found within the Department of Small Business Services’s (“SBS”) website, to disclose all entry to mid-level job opportunities described in this Rider arising from this contract and located in New York City, and to agree to interview qualified candidates from HireNYC for those opportunities. HireNYC Requirements A. Enrollment The Contractor shall enroll with the HireNYC system, found at www.nyc.gov/sbs, within thirty (30) days after the registration of this Contract pursuant to Section 328 of the New York City Charter. The Contractor shall provide information about the business, designate a primary contact and say whether it intends to hire for any entry to mid-level job opportunities arising from this contract and located in New York City, and, if so, the approximate start date of the first hire. B. Job Posting Requirements Once enrolled in HireNYC, the Contractor agrees to update the HireNYC portal with all entry to mid-level job opportunities arising from this contract and located in New York City, if any, which shall be defined as jobs requiring no more than an associate degree, as provided by the New York State Department of Labor (see Column F of https://labor.ny.gov/stats/2012-2022-NYS-Employment-Prospects.xls). The information to be updated includes the types of entry and mid-level positions made available from the work arising from the contract and located in New York City, the number of positions, the anticipated schedule of initiating the hiring process for these positions, and the contact information for the Contractor’s representative charged with overseeing hiring. The Contractor must update the HireNYC portal with any hiring needs arising from the contract and located in New York City, and the requirements of the jobs to be filled, no less than three weeks prior to the intended first day of employment for each new position, except with the permission of SBS, not to be unreasonably withheld, and must also update the HireNYC portal as set forth below. After enrollment through HireNYC and submission of relevant information, SBS will work with the Contractor to develop a recruitment plan which will outline the candidate screening process, and will provide clear instructions as to when, where, and how interviews will take place. HireNYC will screen applicants based on employer requirements and refer applicants whom it believes are qualified to the Contractor for interviews. The Contractor must interview referred applicants whom it believes are qualified. Printed on paper containing 30% post-consumer material. 59 After completing an interview of a candidate referred by HireNYC, the Contractor must provide feedback via the portal within twenty (20) business days to indicate which candidates were interviewed and hired, if any. In addition, the Contractor shall provide the start date of new hires, and additional information reasonably related to such hires, within twenty (20) business days after the start date. In the event the Contractor does not have any job openings covered by this Rider in any given year, the Contractor shall be required to provide an annual update to HireNYC to that effect. For this purpose, the reporting year shall run from the date of the registration of the contract and each anniversary date. These requirements do not limit the Contractor’s ability to assess the qualifications of prospective workers, and to make final hiring and retention decisions. No provision of this Rider shall be interpreted so as to require the Contractor to employ any particular worker. In addition, the provisions of this Rider shall not apply to positions that the Contractor intends to fill with employees employed pursuant to the job retention provision of Section 22-505 of the Administrative Code of the City of New York. The Contractor shall not be required to report such openings with HireNYC. However, the Contractor shall enroll with the HireNYC system pursuant to Section A, above, and, if such positions subsequently become open, then the remaining provisions of this Rider will apply. C. Breach and Liquidated Damages If the Contractor fails to comply with the terms of the contract and this Rider (1) by not enrolling its business with HireNYC; (2) by not informing HireNYC, as required, of open positions; or (3) by failing to interview a qualified candidate, the contracting agency may assess liquidated damages in the amount of two-thousand five hundred dollars ($2,500.00) per breach. For all other events of noncompliance with the terms of this Rider, the agency may assess liquidated damages in the amount of five hundred dollars ($500) per breach. Furthermore, in the event the Contractor breaches the requirements of this Rider during the term of the contract, the City may hold the Contractor in default of this contract. Audit Compliance In addition to the auditing requirements set forth in other parts of the contract, the Contractor shall permit SBS and the City to inspect any and all records concerning or relating to job openings or the hiring of individuals for work arising from the contract and located in New York City. The Contractor shall permit an inspection within seven (7) business days of the request. Other Reporting Requirements The Contractor shall report to the City, on a monthly basis, all information reasonably requested by the City that is necessary for the City to comply with any reporting requirements imposed by law or rule, including any requirement that the City maintain a publicly accessible database. In addition, the Contractor agrees to comply with all reporting requirements imposed by law or rule, or as otherwise requested by the City. Construction Requirements Printed on paper containing 30% post-consumer material. 60 Construction contractors shall comply with the HireNYC requirements set forth above for all non-trades jobs (e.g., for an administrative position arising out of the work of the contract and located in New York City) as set forth above. In addition, construction contractors shall reasonably cooperate with SBS and the City on specific outreach events, including Hire on the Spot events, for the hiring of trades workers for the work of this contract. Further, this contract shall be subject to a project labor agreement if so required elsewhere in this contract. Federal Hiring Requirements The Contractor shall comply with all federal hiring requirements as may be set forth elsewhere in this contract, including, as applicable:  Section 3 of the HUD Act of 1968, which requires, to the greatest extent feasible, economic opportunities for 30 percent of new hires be given to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.  Executive Order 11246, which prohibits discrimination in employment due to race, color, religion, sex or national origin, and requires the implementation of goals for minority and female participation for work involving any Construction trade. Printed on paper containing 30% post-consumer material. 61 ATTACHMENT O – PAID SICK LEAVE LAW CONTRACT RIDER Printed on paper containing 30% post-consumer material. 62 PAID SICK LEAVE LAW CONTRACT RIDER Introduction and General Provisions The Earned Sick Time Act, also known as the Paid Sick Leave Law (“PSLL”), requires covered employees who annually perform more than 80 hours of work in New York City to be provided with paid sick time. 1 Contractors of the City of New York or of other governmental entities may be required to provide sick time pursuant to the PSLL. The PSLL became effective on April 1, 2014, and is codified at Title 20, Chapter 8, of the New York City Administrative Code. It is administered by the City’s Department of Consumer Affairs (“DCA”); DCA’s rules promulgated under the PSLL are codified at Chapter 7 of Title 6 of the Rules of the City of New York (“Rules”). Contractor agrees to comply in all respects with the PSLL and the Rules, and as amended, if applicable, in the performance of this agreement. Contractor further acknowledges that such compliance is a material term of this agreement and that failure to comply with the PSLL in performance of this agreement may result in its termination. Contractor must notify the Agency Chief Contracting Officer of the City agency or other entity with whom it is contracting in writing within ten (10) days of receipt of a complaint (whether oral or written) regarding the PSLL involving the performance of this agreement. Additionally, Contractor must cooperate with DCA’s education efforts and must comply with DCA’s subpoenas and other document demands as set forth in the PSLL and Rules. The PSLL is summarized below for the convenience of Contractor. Contractor is advised to review the PSLL and Rules in their entirety. On the website www.nyc.gov/PaidSickLeave there are links to the PSLL and the associated Rules as well as additional resources for employers, such as Frequently Asked Questions, timekeeping tools and model forms, and an event calendar of upcoming presentations and webinars at which Contractor can get more information about how to comply with the PSLL. Contractor acknowledges that it is responsible for compliance with the PSLL notwithstanding any inconsistent language contained herein. Pursuant to the PSLL and the Rules: Applicability, Accrual, and Use An employee who works within the City of New York for more than eighty hours in any consecutive 12-month period designated by the employer as its “calendar year” pursuant to the PSLL (“Year”) must be provided sick time. Employers must provide a minimum of one hour of sick time for every 30 hours worked by an employee and compensation for such sick time must 1 Pursuant to the PSLL, if fewer than five employees work for the same employer, as determined pursuant to New York City Administrative Code §20-912(g), such employer has the option of providing such employees uncompensated sick time. be provided at the greater of the employee’s regular hourly rate or the minimum wage. Employers are not required to provide more than forty hours of sick time to an employee in any Year. An employee has the right to determine how much sick time he or she will use, provided that employers may set a reasonable minimum increment for the use of sick time not to exceed four hours per day. In addition, an employee may carry over up to forty hours of unused sick time to the following Year, provided that no employer is required to allow the use of more than forty hours of sick time in a Year or carry over unused paid sick time if the employee is paid for such unused sick time and the employer provides the employee with at least the legally required amount of paid sick time for such employee for the immediately subsequent Year on the first day of such Year. An employee entitled to sick time pursuant to the PSLL may use sick time for any of the following: • • • • such employee’s mental illness, physical illness, injury, or health condition or the care of such illness, injury, or condition or such employee’s need for medical diagnosis or preventive medical care; such employee’s care of a family member (an employee’s child, spouse, domestic partner, parent, sibling, grandchild or grandparent, or the child or parent of an employee’s spouse or domestic partner) who has a mental illness, physical illness, injury or health condition or who has a need for medical diagnosis or preventive medical care; closure of such employee’s place of business by order of a public official due to a public health emergency; or such employee’s need to care for a child whose school or childcare provider has been closed due to a public health emergency. An employer must not require an employee, as a condition of taking sick time, to search for a replacement. However, an employer may require an employee to provide: reasonable notice of the need to use sick time; reasonable documentation that the use of sick time was needed for a reason above if for an absence of more than three consecutive work days; and/or written confirmation that an employee used sick time pursuant to the PSLL. However, an employer may not require documentation specifying the nature of a medical condition or otherwise require disclosure of the details of a medical condition as a condition of providing sick time and health information obtained solely due to an employee’s use of sick time pursuant to the PSLL must be treated by the employer as confidential. If an employer chooses to impose any permissible discretionary requirement as a condition of using sick time, it must provide to all employees a written policy containing those requirements, using a delivery method that reasonably ensures that employees receive the policy. If such employer has not provided its written policy, it may not deny sick time to an employee because of non-compliance with such a policy. Sick time to which an employee is entitled must be paid no later than the payday for the next regular payroll period beginning after the sick time was used. -2- Exemptions and Exceptions Notwithstanding the above, the PSLL does not apply to any of the following: • • • • • • • • an independent contractor who does not meet the definition of employee under section 190(2) of the New York State Labor Law; an employee covered by a valid collective bargaining agreement in effect on April 1, 2014 until the termination of such agreement; an employee in the construction or grocery industry covered by a valid collective bargaining agreement if the provisions of the PSLL are expressly waived in such collective bargaining agreement; an employee covered by another valid collective bargaining agreement if such provisions are expressly waived in such agreement and such agreement provides a benefit comparable to that provided by the PSLL for such employee; an audiologist, occupational therapist, physical therapist, or speech language pathologist who is licensed by the New York State Department of Education and who calls in for work assignments at will, determines his or her own schedule, has the ability to reject or accept any assignment referred to him or her, and is paid an average hourly wage that is at least four times the federal minimum wage; an employee in a work study program under Section 2753 of Chapter 42 of the United States Code; an employee whose work is compensated by a qualified scholarship program as that term is defined in the Internal Revenue Code, Section 117 of Chapter 20 of the United States Code; or a participant in a Work Experience Program (WEP) under section 336-c of the New York State Social Services Law. Retaliation Prohibited An employer may not threaten or engage in retaliation against an employee for exercising or attempting in good faith to exercise any right provided by the PSLL. In addition, an employer may not interfere with any investigation, proceeding, or hearing pursuant to the PSLL. Notice of Rights An employer must provide its employees with written notice of their rights pursuant to the PSLL. Such notice must be in English and the primary language spoken by an employee, provided that DCA has made available a translation into such language. Downloadable notices are available on DCA’s website at http://www.nyc.gov/html/dca/html/law/PaidSickLeave.shtml. Any person or entity that willfully violates these notice requirements is subject to a civil penalty in an amount not to exceed fifty dollars for each employee who was not given appropriate notice. Records -3- An employer must retain records documenting its compliance with the PSLL for a period of at least three years, and must allow DCA to access such records in furtherance of an investigation related to an alleged violation of the PSLL. Enforcement and Penalties Upon receiving a complaint alleging a violation of the PSLL, DCA has the right to investigate such complaint and attempt to resolve it through mediation. Within 30 days of written notification of a complaint by DCA, or sooner in certain circumstances, the employer must provide DCA with a written response and such other information as DCA may request. If DCA believes that a violation of the PSLL has occurred, it has the right to issue a notice of violation to the employer. DCA has the power to grant an employee or former employee all appropriate relief as set forth in New York City Administrative Code 20-924(d). Such relief may include, among other remedies, treble damages for the wages that should have been paid, damages for unlawful retaliation, and damages and reinstatement for unlawful discharge. In addition, DCA may impose on an employer found to have violated the PSLL civil penalties not to exceed $500 for a first violation, $750 for a second violation within two years of the first violation, and $1,000 for each succeeding violation within two years of the previous violation. More Generous Polices and Other Legal Requirements Nothing in the PSLL is intended to discourage, prohibit, diminish, or impair the adoption or retention of a more generous sick time policy, or the obligation of an employer to comply with any contract, collective bargaining agreement, employment benefit plan or other agreement providing more generous sick time. The PSLL provides minimum requirements pertaining to sick time and does not preempt, limit or otherwise affect the applicability of any other law, regulation, rule, requirement, policy or standard that provides for greater accrual or use by employees of sick leave or time, whether paid or unpaid, or that extends other protections to employees. The PSLL may not be construed as creating or imposing any requirement in conflict with any federal or state law, rule or regulation. -4- Attachment P - Proposal Return Label E-PIN: 85616P0005 Proposal Submission Date: / / Time: 11:00 A.M. Title/Description: TITLE: ARCHITECTURAL / ENGINEERING ADA DESIGN SERVICES FOR DCAS MANAGED COURT BUILDINGS THROUGHOUT THE CITY OF NEW YORK Authorized Agency Contact Person: Morvette Merchant Phone: 212-386-0457 THE CITY OF NEW YORK DEPARTMENT OF CITYWIDE ADMINISTRATIVE SERVICES OFFICE OF CITYWIDE PROCUREMENT / VENDOR RELATIONS 1 CENTRE STREET – 18TH FLOOR SOUTH NEW YORK, NY 10007-1614 ATTN: 18th FLOOR BID ROOM I 102(? Displacement Determination Form – Pursuant to City Charter § 312(a) (for PSRs or equivalent pre-procurement documents) This form must be used to certify whether or not there is displacement in the instant contracting action, as defined in City Charter § 312(a) (as amended by Local Law 63 of 2011). You can either certify that there is no displacement by completing Part 1 of this form, or you can certify that there is displacement by completing Part 2 of this form. If the contract that you are awarding is a task order contract that does not simultaneously result in the award of a first task order, then you must check the box on the bottom of this page; displacement determinations will be made in conjunction with the issuance of task orders pursuant to the subject contract. If the contract that you are awarding does simultaneously result in the award of a first task order, then the displacement determination for that first task order must be done prior to issuance of the solicitation and you must complete either Part 1 or Part 2 of this form. If you have any questions about Local Law 63 or about completing this form, please contact the Mayor’s Office of Contract Services at APTLL63@cityhall.nyc.gov or (212) 788-0010. Procurement Description: APT EPIN: 85616P0005 Your Name: Erkan Solak Phone: 212-386-0448 Agency: DCAS Email: esolak@dcas.nyc.gov Please specifically identify the service(s) being procured. Consulting Engineering/Architectural ADA Design Services at DCAS Managed Court Buildings throughout the Five (5) Boroughs of the City of New York. __ If the contract to be awarded as a result of this procurement action is a task order contract (multiple or single award and multiple or single agency) that does not simultaneously result in the award of a first task order, then displacement determinations will be made in conjunction with the issuance of task orders pursuant to the subject contract. (Check this box only if you are completing this form for a task order contract that will not simultaneously result in the award of the first task order. If you check this box, do not fill out the remainder of this form.) If the contract to be awarded as a result of this procurement action does simultaneously result in the award of a first task order, then the displacement determination for that first task order must be done prior to issuance of the solicitation and you must complete either Part 1 or Part 2 of this form. Part 1: Certification of No Displacement The Agency has determined that the contract resulting from this procurement action will not result in the displacement of any City employee within this Agency, as defined by Charter § 312(a). X The basis upon which the Agency has made this determination (Please answer all questions under Part 1): Do any civil service and/or job titles within this Agency currently perform the services sought by the proposed contract and/or services of a substantially similar nature or purpose? Yes X No __ If so, list the names of such titles and the extent to which Agency employees within such titles currently perform such services. Administrative Architect - 3Assistant Architect - 4Architect - 11Landscape Architect - 1 Do the services sought by the proposed contract expand, supplement, or replace existing services? Yes __ No X In either event, include a detailed description comparing the services sought by the proposed contract with such existing services. Consulting Engineering/Architectural ADA Design Services at DCAS Managed Court Buildings throughout the Five (5) Boroughs of the City of New York. Is there capacity within the Agency to perform the services sought by the proposed contract? Yes __ No X If not, provide a detailed description specifying the ways in which the Agency lacks such capacity. Consulting Engineering/Architectural ADA Design Services at DCAS Managed Court Buildings throughout the Five (5) Boroughs of the City of New York. For the term of the proposed contract, list the projected headcount of employees within such titles or employees who perform such services and/or services of a substantially similar nature or purpose. 19 X Check this box to confirm that none of the below events have occurred within the Agency in the past three years. ! The displacement of a City employee within the agency who performs or has performed the services sought by the proposed contract and/or services of a substantially similar nature or purpose; or ! The announcement of spending reductions in connection with a budgetary program, including but not limited to a Program to Eliminate the Gap, that could result or has resulted in the displacement of a City employee within the Agency who performs or has performed the services sought by the proposed contract and/or services of a substantially similar nature or purpose; or ! Any other statement by an Agency or by the Mayor of a specific anticipated employment action that could result or has resulted in the displacement of a City employee within the Agency who performs or has performed the services sought by the proposed contract and/or services of a substantially similar nature or purpose. List any other bases for the Agency’s determination that the contract resulting from this procurement action will not result in the displacement of any City employee within this Agency. Part 2: Certification of Displacement __ The agency has determined that displacement, as defined by Charter § 312(a), has or will occur as a result of this contracting action. The agency has performed the required cost-benefit analysis, as described in Charter § 312(a).