request for proposals architectural and engineering ... rumc wind...richmond university medical...

Richmond University Medical Center Control No. AE-408541-001

Request for Proposals

Architectural and Engineering Professional Services for Richmond University Medical Center

Windows, Doors, and Openings Protection Wind Resiliency Project

Control Number: AE-408541-001

RFP Release Date: October 10, 2017 RFP Due Date: November 7, 2017

Richmond University Medical Center 355 Bard Avenue

Staten Island, NY 10310


Table of Contents

Section 1.0 – Introduction............................................................................................................................. 1

1.1 Invitation to Submit Proposals ...................................................................................................... 1

1.2 Request for Proposals Summary ................................................................................................... 2

Section 2.0 - Scope of Services ...................................................................................................................... 4

2.1 Architectural and Engineering Design Services ............................................................................. 4

2.2 Bid Document Services ................................................................................................................. 6

2.3 Design Services During Construction ............................................................................................ 7

2.4 Resident Project Representative Services .................................................................................. 12

2.5 Construction Management Services ........................................................................................... 12

Section 3.0 – Proposal Procedures and Requirements ............................................................................... 16

3.1 Proposal Package ........................................................................................................................ 16

3.2 Proposal Submission Requirements ........................................................................................... 18

3.3 Proposal Evaluation Procedures ................................................................................................. 18

3.4 General Information ................................................................................................................... 20

Section 4.0 – Contract and Payment........................................................................................................... 25

4.1 Term of Contract ......................................................................................................................... 25

4.2 Contract Provisions ...................................................................................................................... 25

4.3 Payment ....................................................................................................................................... 25

Section 5.0 – Appendices ............................................................................................................................ 26

Appendix A: Proposal Package Checklist................................................................................................ 27

Appendix B: Confirmation of Attendance at a Pre-Bid Conference or Site Visit ................................... 28

Appendix C: Non-Collusive Bidding Certification .................................................................................... 29

Appendix D: Offeror’s Affirmation of Understanding of and Agreement with Richmond University Medical Center Procurement Requirements .......................................................................................... 31

Appendix E: Fee Schedule ....................................................................................................................... 32

Appendix F: Schedule .............................................................................................................................. 33

Appendix G: Minimum Qualifications Questionnaire ............................................................................. 34

Appendix H: Certification of Information ............................................................................................... 35


Appendix I: Women and Minority Owned Business Enterprises Participation Plan ............................... 37

I.1 Subcontractor Participation Plan ................................................................................................... 38

Subcontractor Information ................................................................................................................. 39

I.2 Intent to Perform as Subcontractor ............................................................................................... 40

I.3 Self-Perform Statement ................................................................................................................. 41

Appendix J: Contract Conditions ............................................................................................................. 42

J.1 Richmond University Medical Center General Contract Conditions ............................................. 43

J.2 Contract Provisions for Non-Federal Entity Contracts Under Federal Awards ............................. 54

J.3 New York State Standard Contract Clauses ................................................................................... 63

Section 6.0 –Attachments ........................................................................................................................... 69

Attachment 1: FEMA Award Letter ......................................................................................................... 70

Attachment 2: State Historic Preservation Office Conditions ................................................................ 71


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Section 1.0 – Introduction

1.1 Invitation to Submit Proposals

1.1.1 General Background

Richmond University Medical Center (RUMC), an affiliate of The Mount Sinai Hospital and the Icahn School of Medicine, is a 470+ bed healthcare facility and teaching institution serving borough residents as a leader in the areas of acute, medical, and surgical care, including emergency care, surgery, minimally invasive laparoscopic and robotic surgery, gastroenterology, cardiology, pediatrics, podiatry, endocrinology, urology, oncology, orthopedics, neonatal intensive care, and maternal health. With over 2,500 employees, RUMC is one of the largest employers on Staten Island. Its main campus is located at 355 Bard Avenue, Staten Island, New York 10310.

In October 2012, high velocity winds from Hurricane Sandy caused significant impacts to the RUMC Campus, including extensive window, roofing, and exterior structure damage and four days of power loss. Despite these impacts, RUMC continued providing healthcare service at its main hospital campus and emergency locations. Following Hurricane Sandy, Federal Emergency Management Agency (FEMA) awarded RUMC Hazard Mitigation Grant Program (HMGP) funding to harden its facility against high velocity winds by installing impact resistant doors, louvers, windows, and protecting openings in eight of its buildings. This windows, doors, and openings protection project, or “Wind Resiliency Project”, intends to ensure continuity of service as a critical care facility and minimize future structure-related losses.

1.1.2 Project Description

The Wind Resiliency Project consists of installing impact resistant doors, louvers, windows, and protecting openings in eight of RUMC’s buildings: Villa, Cooke, SLB, Spellman, Main, Seton, Residents, and Power Plant. All openings protection must be designed in accordance with the New York City Building Code, which references the American Society of Civil Engineers 7-95 (ASCE 7-95) and 7-10 (ASCE 7-10) wind load provisions, as well as any other relevant Federal, state, and local regulations. RUMC is requesting proposals from an architectural and engineering (A&E) design firm licensed to practice architectural services within the State of New York for project design and construction management services for the Wind Resiliency Project; herein referred to as “the Respondent” or “the Contractor”.

RUMC plans to enter an agreement with one firm with demonstrated expertise in design and construction management. This Respondent must demonstrate professional experience with local, state, and Federal regulations to provide design services and management services. RUMC also encourages respondents to include team members with relevant FEMA hazard mitigation expertise. The selected Respondent will provide all necessary documentation and design services including plans, bid specifications, Contract Documents, permits, approvals and construction management


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services for the Wind Resiliency Project during an estimated period of two years. The selected Respondent will work under the supervision of the Director of Facilities, the Associate Director of Facilities, and in coordination with RUMC’s contracted FEMA Grant Manager.

The total, approved federal grant award for the Wind Resiliency Project is $14,503,818. Section 6.0 – Attachments, Attachment 1 includes the FEMA Award Letter for the project.

1.1.3 Other Requirements

The New York State Division of Homeland Security and Emergency Services (NYS DHSES) has entered into a grant agreement with RUMC to disburse FEMA HMGP funding as the source to compensate the selected Respondent. Therefore, RUMC must meet certain Federal and State regulatory requirements for this project. The selected Respondent must comply with all contract conditions, as this RFP and resulting contract will be subject to the rules and requirements arising from the use of FEMA funding. Respondents should review all contract conditions and be familiar with all terms and conditions set forth therein prior to submitting your proposal.

Planned construction must not interfere with the daily operations of the existing campus; thus, the Contractor must develop a detailed construction sequence and receive written approval from the hospital’s executive and facilities management staff before project execution.

1.2 Request for Proposals Summary

This summary of terms, deadlines, and requirements specific to this RFP is set forth for your immediate reference and convenience only. It does not set forth all the requirements of this RFP, but should be read in conjunction with all sections of this document. Respondents should review and become familiar with all parts of this RFP prior to submitting your proposal.

Immediately notify Jorge Negron at [email protected] upon your decision to intend to submit a proposal in response to this RFP.

1.2.1 Summary of Requirements and Deadlines

Project Name: Richmond University Medical Center Windows, Doors, and Openings Protection - Wind Resiliency Project

Project Location: 355 Bard Avenue, Staten Island, NY, 10310

Type of Service: Architectural and Engineering Professional Services

Point of Contact: Mr. Jorge Negron Administrative Director, Supply Chain Management Richmond University Medical Center 355 Bard Avenue Staten Island, NY 10310

mailto:[email protected]


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[email protected] Tel: 718-818-3836 Fax: 718-818-20334

Anticipated Contract Execution Date:

December 2017

Anticipated Contract Term:

Two (2) years, with two one-year extensions exercisable at RUMC’s sole discretion.

Proposal Submission Deadline:

Tuesday, November 7, 2017 3:00pm Respondents must submit proposals by hand delivery or by express mail to the Point of Contact. RUMC will not accept or consider late or unsealed proposals.

Mandatory Pre-Proposal Meeting and Site Visit: Optional Return Visit

Thursday, October 19, 2017 11:00am Lobby Conference Room Richmond University Medical Center 355 Bard Avenue Staten Island, NY 10310 Thursday, October 26, 2017 Richmond University Medical Center 355 Bard Avenue Staten Island, NY 10310 Only available for pre-proposal meeting and site visit attendees. Schedule optional return visit with the Point of Contact

Deadline for Questions Regarding RFP:

Friday, October 20, 2017 3:00pm Respondents may submit questions at Pre-Proposal Meeting, or in writing to the Point of Contact via the mailing address or email address, as listed.

M/WBE Participation: RUMC encourages respondents to utilize New York State Certified MBEs and WBEs to complete the work under this contract.

RUMC may modify the above schedule at its discretion.



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Section 2.0 - Scope of Services

For design and construction management services for the Wind Resiliency Project, the Contractor shall provide complete architectural/engineering services for design development, construction documents, bidding, and construction phase services. The scope of services is categorized into five categories of services: 1. Architectural and Engineering Design Services; 2. Bid Document Services; 3. Design Services During Construction; 4. Resident Project Representative Services; and 5. Construction Management Services. Where duplication of the scope of services occurs between categories, respondents should demonstrate how they propose to implement the project in an efficient manner at a value to RUMC.

2.1 Architectural and Engineering Design Services 1. The Contractor shall provide architectural and engineering design services, including overall

project coordination, design development, coordination of design and Contract Documents, public approval and permitting as may be required by relevant agencies, cost estimating, and assistance in strategic efforts to develop construction phases for the project.

2. The Contractor shall review design decisions through regularly scheduled meetings. The

Contractor shall administer, coordinate, and document on-site design meetings with RUMC’s project manager and required staff. Meetings shall include presentations and project progress updates. The Contractor shall issue meeting minutes within a reasonable amount of time following each meeting.

3. The Contractor shall provide design documents from Basis of Design Report design through Bid Ready Construction Documents.

4. Design documents shall include architectural and engineering design for all windows, louvers, doors, and openings for each building. The Contractor shall prepare construction documents with the necessary construction details, fully dimensioned and with detailed specifications from which prospective bidders can make accurate and reliable estimates of labor and materials required to complete the project. Construction documents shall include all final designs, specifications, estimates, and other relevant documents.

5. The Contractor shall engage applicable sub-consultants as necessary, to perform hazardous material evaluations and to perform destructive structural integrity and installation evaluations. The presence of lead, asbestos, and PCB, but not limited to other carcinogenic compounds, shall be tested prior to any physical wall testing. The Contractor shall submit report findings to RUMC upon receipt.

6. The Contractor shall provide assistance acquiring approval of construction documents from applicable agencies. The Contractor shall develop and submit drawings for the City of New York


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Department of Buildings, New York City Department of City Planning, Board of Standards and Appeals, New York City Fire Department, New York City Department of Health, New York State Historic Preservation Office, and any other relevant agencies as requested by RUMC for review and approval.

7. Design documents shall be complaint with New York City Building Code and all applicable Federal, State, and local laws and regulations.

a. The Contractor shall obtain approval and permits from the New York City Fire Department, New York City Department of Buildings, New York City Pubic Design Commission, and all other authorities having jurisdiction as applicable.

b. The Contractor shall perform all work necessary to obtain a Certificate(s) of Code Compliance, as applicable.

8. The Contractor shall have a written Quality Control program in place as part of standard office

practices. RUMC may review the Quality Control Program at any time. The Quality Control Program shall apply to all areas of the scope of services, including the review of all drawings prior to submission to RUMC.

9. The Contractor shall provide all project deliverables from the current versions of approved software. In addition, the Contractor shall use the system in accordance with RUMC’s protocol to manage all project related correspondence, transmittals, meeting minutes, requests for information, deliverables, daily logs, project costs, change management, and reporting. The Contractor shall provide timely updates for RUMC to prepare required FEMA/NYS DHSES Quarterly Project Reports.

10. Design Services: a. Basis of Design Memorandum

i. Identify Quantities of Openings Requiring Replacement ii. Identify if Window Operation Requires Modification, e.g. Fixed Window Changing

to Operable iii. Evaluation of Surrounding Wall Integrity; Structural and Construction Integration iv. Hazardous Materials Investigation v. Sequence of Construction as Related to Continued Hospital Operation

vi. Narrative and Schematics vii. Estimate of Probable Construction Costs

b. 30 Percent Construction Documents i. Plans

ii. Specification Index iii. Interior and Exterior Elevations

c. 60 Percent Construction Documents i. Plans

ii. Draft Specifications iii. Temporary Partition Walls, etc.


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d. 90 Percent Construction Documents - (100 Percent Documents Awaiting Final Comments from RUMC)

i. Final Plans ii. Final Specifications

iii. Temporary Partition Walls, etc. iv. Final Details

e. Bid Ready Documents

11. A complete construction cost estimate, including all construction factors, allowances (if any), alternate bid items, contingencies, costs for the Construction Contractor’s “general conditions” and “Division 1” costs, and contractor’s overhead and profit, shall be furnished with each design milestone submittal. RUMC expects that the accuracy of such cost estimates shall increase with each successive milestone submittal. The Contractor will submit three copies of the detailed construction cost estimate at each of the design milestone points defined above. The Contractor shall develop estimates in accordance with Section 2.1.1 below.

2.1.1 Design Development – Construction Cost Estimate

1. The Contractor will develop a Design Development construction cost estimate, based upon a 30 percent +/- design at the end of the 30 Percent Design Development Phase of the project. This shall be a Class 2 cost estimate in accordance with AACE International Recommended Practice 18R-97 (Revised 2011). Provide a Basis of Estimate document in accordance with AACE International Recommended Practice No. 34R-05.

2. The Contractor will develop a Design Development construction cost estimate, based upon a 60 percent +/- design at the end of the 60 Percent Design Development Phase of the project. This shall be a Class 2 cost estimate in accordance with AACE International Recommended Practice 18R-97 (Revised 2011). Provide a Basis of Estimate document in accordance with AACE International Recommended Practice No. 34R-05.

3. The Contractor will develop a Design Development construction cost estimate, based on

the 90 percent +/- design at the end of the 90 Percent Design Development Phase of the project. This shall be a Class 1 cost estimate in accordance with AACE International Recommended Practice 18R-97 (Revised 2011). Provide a Basis of Estimate document in accordance with AACE International Recommended Practice No. 34R-05.”

2.2 Bid Document Services

1. The Contractor shall prepare and supply the necessary original set(s) of Bid Document Packages to RUMC for printing, bidding and eventual award of contracts between RUMC and the Construction Contractor.


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2. The Contractor shall support RUMC to solicit Construction Contractor(s) interest to ensure competitive bidding, and shall keep account of and distribute Bid Document Packages to prospective bidders and provide RUMC with a report of the Bid Document Packages distribution.

3. The Contractor shall support RUMC to investigate questions posed by the Construction Contractor/ bidders relative to bid document packages or any other questions, and after receiving RUMC’s prior written approval, issue written replies to all bidders in the form of addendum.

4. The Contractor shall attend any pre-bid meeting(s) scheduled by RUMC.

5. The Contractor shall assist RUMC and RUMC’s Consultants in reviewing and analyzing the bids, including research into the quotations and capabilities of the apparent low bidders to determine that the apparent low bidders can fulfill all bid requirements, vetting the lowest bidder, and make recommendations to RUMC as to the award of the contracts.

6. The Contractor shall submit documentation evidencing a building permit, or an approval of the project to have a permit issued from the authority having jurisdiction.

2.3 Design Services During Construction 1. The engineering design services during construction, commissioning, and close-out services will

generally consist of the following: review submittals; review and respond to requests for information (RFIs) and requests for clarification; interpret Contract Documents; conduct periodic site visits; attend and facilitate construction project meetings; review progress of construction; develop requests for proposals, Change Orders, and Work Change Directives; review and evaluate Change Order proposals; prepare Change Orders, maintain logs for submittals, RFIs, Change Order proposals and Change Orders; provide technical support; monitor contractor’s general conformance with the Contract Documents; provide field support during start-up; participate in technical inspections of the project, substantial completion inspection, and final walk-through; review punch list; prepare record drawings; and participate in close-out meeting with the Construction Contractor(s) and RUMC and their representatives.

2.3.1 Engineering Services During Construction

1. The Contractor shall provide general architectural and engineering services during construction for the duration of the construction phase of the project. The Contractor shall attend all project meetings (pre-construction, progress), coordinate attendance, and prepare for agenda items and meeting minutes as required, unless otherwise noted.

2. The duration of the Contractor’s engineering services during construction will coincide with the duration of the contract for construction.


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2.3.2 Project Management

1. Task includes monthly reports, invoicing, team coordination and supervision, contract communications, scheduling, and oversight. The duration for overall project management shall be the anticipated duration of construction. It is anticipated that there may be periods of inactivity during this timeframe while the Contractor awaits façade opening fabrication.

2. The Contractor shall provide consultation and advice during construction, and provide technical engineering support during construction activities. The Contractor will update and modify the Contract Documents to meet changed project conditions as necessary to supplement and/or provide clarity to the Contract Documents during the construction phase of the project (to address RFIs, change orders, and other issues requiring modified Contract Documents). This does not include revisions required for Record Drawings as required in subsequent sections of this Scope.

2.3.3 Attend Pre-Construction Conference

1. A meeting will be held between the Construction Contractor, RUMC, and the Contractor prior to the start of construction to coordinate the start of construction, review any issues that may have arisen, and discuss the expectations of the parties involved. The Contractor shall coordinate the preparation of meeting documents, such as the agenda, with the RUMC, distribute information prior to the meeting, and record meeting minutes. The Contractor shall assume two attendees at this meeting.

2.3.4 Construction Progress Meetings

1. The Contractor shall assume one-hour progress meetings, held once per month, as deemed necessary by RUMC and the Contractor. The Contractor shall assume one attendee at this meeting.

2. In addition to attendance at the progress meetings, the Contractor shall facilitate the meetings, prepare a package for each meeting containing agenda, a summary of open submittals, RFIs, and Change Orders to be reviewed at each meeting, and a three-week look ahead schedule (to be provided by the Construction Contractor), and other documentation that may be required for meetings that are not specified. The Contractor will prepare meeting minutes and provide them to RUMC within five business days.

2.3.5 Issue Resolution and Staging Meetings

1. The Contractor shall assume that construction related issues and coordination of sequencing will arise that may require formal meetings between the Construction


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Contractor(s) and RUMC to reach an agreeable resolution. The Contractor shall assume six one-hour meetings with two attendees.

2.3.6 Periodic Field Visits

1. The Contractor shall assume that periodic visits to the site will be required to observe progress and assure compliance with the Contract Documents and design intent. The Contractor shall assume a total of 15 half day visits, each attended by one representative.

2. The Contractor shall make visits to the site at intervals appropriate to the various stages of construction, as deemed necessary, to monitor the Construction Contractor's work for compliance with the Contract Documents, as outlined above. The visits may coincide with the progress meetings. Such visits and observations are not intended to be exhaustive or to extend to every aspect of the work in progress, or to involve detailed inspections of the work beyond the responsibilities specifically assigned to the Contractor in this scope of services and the Contract Documents, but rather are to be limited to spot checking, and similar methods of general observation of the work based on the Contractor’ exercise of professional judgment as assisted by RUMC. Based on information obtained during such visits and such observations, and from RUMC, the Contractor shall determine, in general, if such work is proceeding in accordance with the Contract Documents, and shall keep RUMC informed of the progress of the work.

3. During the site visits, the Contractor shall notify RUMC if the Contractor believes that

work should be rejected because such work will not produce a completed project that conforms to the Contract Documents, or that it will prejudice the integrity of the design concept of the completed Project as a functioning whole as indicated in the Contract Documents.

4. The Contractor shall coordinate with the Resident Project Representative (Resident) and

review the Resident’s logs, notes, and punch-lists as part of the site visits. The Contractor shall assume a minimum of two half-day punch lists reviews.

2.3.7 Review of Submittals and Shop Drawings

1. The Contractor shall review all shop drawing submittals prepared by the Construction Contractor(s) along with associated illustrations, samples, and other submittals required by the Contract Documents. The Contractor shall assume 25 submittals require review.

2. The Contractor shall review and respond to all submittals, shop drawings, and samples within 14 calendar days. The Contractor shall coordinate and track submittals, including preparing and maintaining a submittal log. The Contractor will distribute the shop


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drawings and submittals. Copies of each submittal including subsequent revisions shall be provided to RUMC.

2.3.8 Respond to Requests for Information (RFIs)

1. The Contractor shall respond to RFIs submitted by the Construction Contractor. The Contractor shall assume six RFIs responses.

2. The Contractor shall coordinate and track RFIs, including preparing and maintaining an RFI log. Copies of each RFI including responses and subsequent revisions shall be provided to RUMC.

2.3.9 Contractor Change Orders

1. The Contractor shall review Construction Contractor(s) Change Orders and provide a recommendation to RUMC as appropriate. The Contractor shall assist RUMC in the preparation of the final Change Order document, review and evaluate Change Orders proposed by the Construction Contractor, and provide a response. The Contractor shall assume two proposed Change Order reviews.

2.3.10 Review Vendor Supplied Material

1. The Contractor shall review vendor supplied equipment operations and maintenance manuals, installation reports, and test and certification reports for conformance with the Contract Documents.

2.3.11 Applications for Payment – Resident Project Representative

1. RUMC and the Resident will perform the review and recommendation of approval of payment requisitions issued by the Construction Contractor. However, the Contractor shall provide assistance when clarification or interpretations of the Contract Documents are necessary. In addition, the Contractor shall review the Schedule of Values which serves as the basis for the Payment Applications when submitted by the Construction Contractor.

2.3.12 Startup Services

1. The Contractor shall provide commissioning services during project startup, and take the lead role in planning, scheduling, and coordinating commissioning activities.

2.3.13 Field Support During Installation Acceptance

1. The Contractor shall provide on-site personnel during window, door, louver, etc. installation acceptance to provide assistance to the Construction Contractor(s) and


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product vendors, as needed, and to confirm that components are performing as designed and expected. The Contractor shall assume six four-hour site visits by one person for this task.

2.3.14 Close Out

1. The Contractor shall provide close out services for the project. This will include receiving, reviewing, and transmitting to RUMC written comments, maintenance and operating instructions, schedules, guarantees, certificates of inspection, tests and approvals, and marked-up record documents (including Shop Drawings, Samples and other approved data, and marked-up record Drawings), which the Contractor will assemble in accordance with the Contract Documents to obtain final payment. The Contractor shall prepare record drawings based on the marked-up documents provided by RUMC.

2.3.15 Record Drawings

1. The Contractor shall prepare record drawings that reflect as-built conditions based on information provided by RUMC, the Construction Contractor, and the Contractor’s own on-site inspections. The Contractor shall reconcile and log that all construction document changes (i.e., shop drawings, RFIs, Field Change Orders, etc.) have been incorporated into the record drawings.

2.3.15 Substantial Completion

1. Following notice from the Construction Contractor(s) that the entire work is ready for its intended use, the Contractor, RUMC, and the Construction Contractor, shall conduct an inspection to determine if the work is substantially complete. The Contractor shall deliver a report on the determination of substantial completion to RUMC. After the resolution of any objections of RUMC, the Contractor shall report a determination of substantial completion.

2. Before the Contractor issues a determination of substantial completion, it will submit to the Construction Contractor(s) a list of observed items requiring completion or correction (Punch list).

2.3.16 Final Site Inspection and Project Close-Out

1. The Contractor shall perform a final site inspection and walk-through of all the project areas with RUMC, the Resident, and the Construction Contractor(s) to determine final completion status. Warranty procedures will be finalized. The Contractor shall prepare a final report and submit it to RUMC for review and acceptance.


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2.4 Resident Project Representative Services

1. The Contractor shall provide a Resident who is qualified to perform the required duties. RUMC shall review and accept the representative that the Contractor proposes for this assignment. The Resident shall have current OSHA 10 Hour Construction Site Safety Awareness certification, as required by the project and RUMC, and shall obtain all required safety training required by RUMC. The purpose of the Resident will be to provide RUMC with a greater degree of confidence that the completed work will conform generally to the Contract Documents, and that the integrity of the design concept as reflected in the Contract Documents has been implemented and preserved by the Contractor.

2. The Resident is the Contractor's agent at the site, and will act as directed by and under the supervision of the Contractor and RUMC. The Resident will confer with the Contractor and RUMC regarding their actions. The Resident's dealings in matters pertaining to the on-site work shall, in general, be with the Contractor and Construction Contractor, but keeping RUMC advised as indicated below and as appropriate. Resident's dealings with subcontractors shall only be through or with the full knowledge and approval of Construction Contractor, including their superintendent. The Resident shall generally communicate with RUMC with the knowledge of and under the direction of the Contractor.

2.5 Construction Management Services

1. The Contractor shall provide all services necessary and required for the inspection, management, coordination, and administration of the project, so that the required construction work is properly executed, completed in a timely fashion, and conforms to the requirements of the construction contract and to good construction practice. The Contractor shall provide such services from project commencement through substantial completion, final acceptance, and project close-out.

2.5.1 Data Management

1. The Contractor shall provide and maintain throughout the project a digital data management system and collaboration platform for communication and sharing of all project files and documents. Such data management and collaboration platform shall have varying levels of access for all project participants, including Construction Contractor(s), sub-contractors, design consultant(s), grant managers, and RUMC. Such data management and collaboration platform shall be organized to manage all project related data in a manner consistent with industry practice.

2.5.2 Services During Pre-Construction

1. Review and evaluate the overall budget for the project, taking into account all funds available or to be made available, and identify amounts, including contingencies, available


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for each major activity, including design, construction, and construction management. The budget for the project must take into consideration any anticipated increases in the cost of labor and/or material. The Contractor shall provide monthly reports to RUMC updating the budget for the project, including a comparison of the original budget with current disbursements and the estimated cost to complete.

2. Schedule and conduct meetings with RUMC representatives and any other entities or

individuals involved with the project. The Contractor shall prepare minutes of such meetings in a format authorized by RUMC and shall distribute such minutes to all attendees.

3. Prepare correspondence or other communications to contractors as required in order to

advance the project. 4. Take appropriate action to ensure that all required filings with regulatory agencies with

respect to the design have been made.

5. Provide reports with respect to design documents at various stages of the design process, as directed by RUMC.

6. Review and evaluate the qualifications and prior experience of Construction Contractor(s)

seeking to be included on the project, if applicable. 7. Following the receipt of construction bids, make recommendations to RUMC as to the

capabilities and qualifications of bidders for the project, as well as any subcontractors and/or suppliers of equipment and materials proposed by them.

2.5.3 Services During Construction

1. Prior to the commencement of the work, obtain or verify that the Construction Contractor(s) have obtained all necessary permits, certificates, licenses or approvals, required for the performance of the work. Assure that no work proceeds in the absence of such necessary permits, certificates, licenses, or approvals.

2. Make recommendations to RUMC regarding the approval of proposed subcontractors

and material vendors. Implement procedures to be followed by Construction Contractor(s) for the expeditious processing of submittals.

3. Provide technical inspection, supervision, and coordination of the work on the project

until final completion of the work and final acceptance by RUMC, verifying that the materials furnished and work performed are in accordance with all requirements of the construction documents, and that work on the project is progressing on schedule.


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4. Review, monitor, and coordinate proposed progress schedule, and any updates

submitted by the Construction Contractor(s) and as required by RUMC. Support review of baseline construction schedule submitted by contractor and assist with baseline construction schedule approval process.

5. Review and evaluate the means and methods of construction proposed by the

Construction Contractor(s) and advise RUMC in the event the Contractor reasonably believes that such proposed means and methods of construction will constitute or create a hazard to the work, or persons or property, or will not produce finished work in accordance with the Construction Documents.

6. The Contractor shall perform a daily inspection of the safety of the project site and shall

issue directives to the Construction Contractor(s) to correct any deficiencies which may be identified. Promptly notify RUMC and the Construction Contractor(s) if the Contractor observes any hazardous conditions at the site. Monitor the activities of the Construction Contractor(s) and conditions at the site to ensure that a clean and safe environment is maintained at the site.

7. Keep accurate and detailed written records of the progress of the project during all

stages of design and construction. Maintain accurate, orderly, and detailed files and written records and documents regarding the project, including without limitation, correspondence, minutes and/or reports of job conferences, progress reports, shop drawings and other submissions, construction Contract Documents, including all addenda, Change Orders, supplemental drawings, and all other project-related documents.

8. Monitor compliance by the Construction Contractor(s) with the following requirements

applicable to the work: New York State Labor Law; Americans with Disabilities Act (ADA) and requirements for the participation of MWBEs.

9. Review and verify all requisitions for payments submitted by the Construction

Contractor(s), including without limitation partial payments, payments for extra work, substantial completion, and final payments. Make recommendations to RUMC for approval or disapproval of all requisitions for payment.

10. Review, evaluate and prepare a recommended determination with respect to disputes

filed by the Construction Contractor(s). The Contractor’s recommendation shall be in writing, and shall contain a clearly stated, reasoned explanation for the determination based upon the information and evidence presented by the contractor, as well as the requirements of the construction contract and the Construction Documents.


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11. Review and evaluate all requests for Change Orders from the Construction Contractor(s). Prepare a recommendation of approval or disapproval of the requested Change Order.

12. Schedule and conduct meetings with the Construction Contractor(s) and RUMC to

discuss procedures, performance, progress, problems, coordination, scheduling, and related issues. The Contractor shall prepare minutes of such meetings and shall distribute such minutes to all attendees.

13. Submit written progress reports to RUMC on a monthly basis, unless otherwise directed.

Such reports shall be based upon the most current information and shall include: work completed, progress schedule, budget for the project, compliance with MWBE requirements; and progress photographs.

14. Take pre-construction condition photographs and photographs during construction to

document the progress of the construction work. Such photographs shall be included in each monthly progress report.

15. Inspect the project in conjunction with the Construction Contractor(s) and RUMC at the

time of substantial completion. Furnish a report to RUMC and the Construction Contractor(s) setting forth any discrepancies or deficiencies in the finished work. Make recommendations to RUMC regarding a determination of substantial completion. Prepare and/or finalize all necessary punch lists, including completion dates for all items.

16. Inspect the project in conjunction with the Construction Contractor(s) and RUMC at the

time of final acceptance. Make recommendations in a final report o RUMC regarding a determination of final acceptance. Assemble and deliver to RUMC all as-built drawings. The Contractor shall review the as-built drawings and verify that such drawings are accurate and complete.

2.5.3 Services Following Construction

1. Submit to RUMC originals of all final project records, including without limitation, all reports for the project; all certificates, warranties and guarantees from manufacturers; all original records with respect to payments; as-builts, in hard copy, as well as in digital form; progress photographs of the construction; the final and complete schedule, final cost report; and any other project records required by RUMC.


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Section 3.0 – Proposal Procedures and Requirements

3.1 Proposal Package

Firms interested in responding to this solicitation should submit a proposal package with the following elements in the order listed below:

1. Cover Letter: The Respondent shall submit a cover letter transmitting its proposal package to the Primary Point of Contact identified in Section 1.2.1. The cover letter shall be signed and dated by an individual authorized to enter into a contract with RUMC on behalf of the Respondent, and shall acknowledge receipt of all addenda, if applicable.

2. Title Page: The title page should include the proposal title, the document control number (AE-408541-001), name, address, tax ID number, and phone number of the Respondent and its principal contact.

3. Executive Summary: The 1-2-page summary should encapsulate the plan of action or approach to meet the requirements of this RFP, deliverables, if appropriate, and a summary of the cost information.

4. Table of Contents: The table of contents should facilitate locating all key points in the proposal.

5. Firm Background and Experience: A brief history of the Respondent, including a description of the company’s experience in the last five years, and any relevant licenses.

a. Provide an organizational chart of the firm; include the names, background, education, and experience of all principals. Indicate number and specialty of all technical employees in your firm. Include any sub-consultants in the organizational chart.

b. Indicate the number and value of active projects now being handled by your firm.

c. Please state if your firm is currently or has been involved in any litigation and reasons for

said involvement.

d. Include any other information which you believe would be important to our consideration of your proposal. Please do not provide general marketing material or brochures, only relevant information for proposal evaluation.

e. Complete the Minimum Qualifications Questionnaire (Appendix G)


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6. Technical Proposal: Complete plan of operation and implementation for the services addressed in the submitted proposal. The Technical Proposal is a narrative that addresses the Scope of Work described in Section 2.0. The technical proposal should include the following, as necessary:

a. Identification of key personnel responsible for the contract, and those who will work on

the contract. Also, include the name, title, and telephone number of the person authorized to act on behalf of the firm.

b. Provide resumes of all personnel proposed for this work and copies of licenses.

c. Indicate which firms you will employ as sub-consultants for certain portions of this work. Identify the firm(s) you are considering along with their role and qualifications of the key staff.

d. Indicate the amount of time required to mobilize when so requested.

e. Provide a description of a minimum of five (5) comparable projects indicating dollar value, date of project completion, including names, addresses and phone numbers of references.

7. Fee Proposal: In accordance with Appendix E.

8. Acknowledgment of any Addenda: Respondent shall acknowledge in the transmittal letter the

number of addenda issued.

9. Exceptions to the General Contract Terms and Conditions: Exceptions to the General Contract Provisions, set forth in Appendix I should be stated in this section.

10. Confidential/Proprietary Information: Respondents may specifically include in their response a section entitled “Confidential, Proprietary Information or Trade Secrets.” This section shall indicate the exact location in the proposal of all information claimed by the firm to be confidential or trade secrets. The firm shall also provide a justification as to why such material, upon request, should not be disclosed by RUMC. Such information deemed by the Respondent to be confidential/proprietary shall be easily separable from the non-confidential or non-proprietary sections of the proposal.

11. Required Forms: Respondents must submit any Appendix to this RFP requiring signature.


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3.2 Proposal Submission Requirements

1. Proposals are due on or before Tuesday, November 7, 2017, at or before 3:00 pm local time. RUMC will not consider proposals that are late or unsealed. RUMC reserves the right to accept late proposals when it is in the best interest of RUMC and the reason for the lateness of the proposal is deemed non-material.

2. Respondents shall deliver one (1) original and six (6) copies of the proposal package. Respondents hall include one (1) CD/DVD in PDF format – in a single PDF file of the proposal package

3. Respondents are advised that there is a twenty (20) page limitation for proposals. This limitation does not include required forms or cover pages.

4. The outer envelope, which must be sealed, enclosing any materials submitted in response to this RFP shall be addressed as follows:

Mr. Jorge Negron Administrative Director, Supply Chain Management Richmond University Medical Center 355 Bard Avenue Staten Island, N.Y. 10310

5. Appendix A: Proposal Package Checklist, which itemizes each component/document that is to be submitted as part of the proposal package.

3.3 Proposal Evaluation Procedures

3.3.1 Evaluation Committee

1. The Evaluation Committee shall be comprised of a minimum of five (5) persons who will evaluate the components of this solicitation. The Evaluation Committee shall evaluate and rate all proposals meeting the Minimum Qualification Requirements. All proposals will be evaluated in accordance with the criteria described in Section 3.3.2.

2. The Evaluation Committee will decide to: 1) award a contract based on initial proposals from all or a "short list" of Respondents; or 2) conduct discussions/negotiations with all or a "short list" of Respondents.

3. RUMC may require Respondents to give oral or visual presentations in support of their

proposals or to exhibit or otherwise demonstrate the information contained therein.


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4. If it is in the best interest of RUMC, the Evaluation Committee reserves the right to waive or modify any mistakes in proposals that are deemed by the Evaluation Committee to be not material.

5. A contract shall be awarded to the highest rated Respondent based on the evaluation criteria set forth in the RFP subject to RUMC’s right to reject all proposals.

6. The Evaluation Committee shall evaluate all proposals received on or before the Proposal Due

Date and Time and at the location specified in the RFP to determine whether the Respondents meet the Minimum Qualifications Requirements based on:

a. Submission of completed Appendix G: Minimum Qualifications Questionnaire

b. Demonstration of experience providing architectural and engineering services for at

least three (3) projects relating to hospital campuses or equivalent sites.

3.3.2 Evaluation Criteria

1. Proposals must be responsive to all the material requirements of the RFP. The Committee will evaluate and rate the proposals of qualified firms on their technical merits by applying the evaluation criteria:

a. The Respondent’s experience in providing services similar to the scope of services

described herein; the quality of the respondent’s management, reputation, and references; and the terms under which the respondent will commit its personnel without transfers and changes. [40 percent]

b. The quality of the proposal and the degree to which it demonstrates the respondent’s approach and full understanding of and the ability to perform the services to be rendered and the content of the proposal demonstrating the consultant’s full understanding of the project schedule and budget. [30 percent]

c. The Respondent’s history, if any, in contracting or doing business with healthcare

organizations and hospitals. [20 percent]

d. The Respondent’s ability to include M/WBE Firms. Respondents are encouraged to utilize New York State Certified MBEs and WBEs to complete the work under this contract. [10 percent]


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3.4 General Information

3.4.1 Status of Information

1. RUMC shall not be bound by any oral or written information released prior to the issuance of the RFP.

2. RUMC shall not be bound by any oral or written representations, statements, or

explanations other than those made: 1) in this RFP, or 2) in formal written addenda issued to this RFP.

3.4.2 Proposals

1. The Respondent has verified the costs submitted in their proposal are all-inclusive, and further understands that RUMC will not be liable or accountable for any errors or omissions made therein. It is further agreed that all increases in labor rates and/or material prices that may develop during the life of the contract are included herein.

2. RUMC reserves the right to reject any or all proposals and to waive all formalities in connection therewith. It is agreed that this proposal may not be withdrawn for a period of fifteen (15) days after it has been submitted, without written consent of RUMC.

3. If written notice of the acceptance of this proposal is mailed or delivered to the

Respondent within five (5) days after the date set for opening of this proposal, or any time there after before it is withdrawn, the Contractor will execute the work in accordance with this proposal as accepted.

3.4.2 Communication

1. Respondents are advised that, from the date this RFP is issued until the award of the

contract, no contact with RUMC or other RUMC personnel related to this solicitation is permitted, except with Mr. Jorge Negron, Administrative Director Supply Chain Management, who has been designated as the contact person.

2. Do not contact RUMC nor their sub-contractors, vendors, operators, architects, engineers nor any other team members regarding this RFP. If discrepancies in, or omissions from, the drawings or documents are observed, or if the Respondent shall be in doubt as to their meaning, the Respondent shall contact the designated representative in writing.


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3.4.3 Respondent Inquires

1. All inquiries regarding this solicitation shall be addressed to the contact person named in this proposal. All substantive questions should be sent in writing or by email to the contact person. The contact person may orally respond to inquiries of a non-substantive nature.

2. Respondents are advised that there will be a mandatory Site Visit and Pre-proposal

Conference held on Thursday, October 19, at 11:00 am. at RUMC. The Site Visit and the Pre-proposal Conference are not mandatory. Please confirm attendance by submitting Appendix B on or before Wednesday, October 18, 2017 by 3:00pm.

3. Respondents are advised that RUMC cannot ensure a response to inquiries received later

than Thursday, October 19, 2017, before 3:00 pm.

3.4.4 Addenda to the RFP

1. RUMC shall issue responses to inquiries related to substantive issues and any other corrections or amendments to the RFP it deems necessary prior to the Proposal Due Date in the form of written addenda.

2. It is the Respondent's responsibility to assure receipt of all addenda. The Respondent should verify with the designated contact person prior to submitting a proposal that all addenda have been received, and shall acknowledge in the transmittal letter the number of addenda issued.

3.4.5 Modified Proposals

1. A Respondent may submit a modified proposal to replace all or any portion of a previously submitted proposal up until the Proposal Due Date and Time.

2. The Evaluation Committee shall consider only the latest timely version of the proposal.

3.4.6 Respondents Offer

1. A proposal may be withdrawn in writing only prior to the Proposal Due Date and Time.

2. A Respondent’s offer shall be irrevocable until contract award.

3.4.6 Late Proposals, Late Modifications, and Late Withdrawals

1. Proposals received after the Proposal Due Date and Time are late and shall not be considered; except that RUMC reserves the right to accept late proposals if the lateness of the proposal is deemed non- material.


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2. Modifications and Withdrawals received after the Proposal Due Date and Time are late

and shall not be considered.

3.4.7 Costs Incurred by Respondents

1. RUMC shall not be liable for any costs incurred by Respondents in the preparation of proposals or for any work performed in connection therewith.

3.4.8 Oral Presentations

1. RUMC may require Respondents to give oral presentations in support of their proposals or to exhibit or otherwise demonstrate the information contained therein.

3.4.9 Discussions and Negotiations

1. RUMC reserves the right to award a contract on the basis of initial offers received, without discussions. Therefore, each initial offer should contain the Respondent’s best terms from a programmatic and cost standpoint.

3.4.10 Respondent Acceptance of RFP and Contract Provisions

1. Submission of a proposal signifies to RUMC the Respondent’s intention to compete for the award of a contract to provide architectural and engineering professional services and that the Respondent understands and accepts that the terms and conditions as specified in this RFP and in the General Contract Provisions (Appendix I) shall become part of the final contract.

2. Respondents shall specifically include in their RFP response a section titled “Exceptions to Terms and Conditions Specified in the RFP and Appendix I, General Contract Provisions,” in which the company shall explicitly indicate all terms and conditions specified Appendix I, General Contract Provisions, to which the company takes exception. This section shall be listed in the Table of Contents.

3.4.11 Contract Award

1. RUMC reserves the right to award a contract to a firm other than the Respondent offering the lowest overall cost.

2. The contract resulting from this solicitation shall be awarded to the highest-rated responsible Respondent based on the evaluation factors set forth in the RFP. The award of a contract does not commit RUMC to use the equipment or services of the selected firm.


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3. Any proposed contract award shall be subject to all required oversight approvals. Including RUMC Board of Directors’ approval, the Respondent’s execution of the contract, and approval by RUMC’s President/Chief Executive Officer.

4. The selected Respondent will submit a contract to RUMC outlining standard and unique

conditions for the project. RUMC will review and come to a mutual agreement prior to issuing a Purchase Order to commence design

5. The Respondent has verified all the costs submitted in their proposal are all-inclusive, and further understands that RUMC will not be liable or accountable for any errors or omissions made therein. It is further agreed that all increases in labor rates and/or material prices that may develop during the life of the contract are included herein.

3.4.12 Equal Employment Opportunity Requirements and Minority / Women Business Enterprise Participation for this RFP

1. In accordance with the New York State Executive Law, Article 15-A, service contracts awarded with fees in excess of twenty- five thousand dollars ($25,000) must comply with equal employment opportunity requirements. Proposing firms are encouraged to utilize New York State-certified MBEs and WBEs as subcontractors to complete the work under this contract.

3.4.13 Background Checks for Contractors Employees, Agents, and Independent Contractors

1. Unless waived by RUMC in writing, prior to assigning any employee, agent, or independent contractor to perform services on-site at a RUMC health care facility or administrative office, the Contractor shall conduct a criminal history background check on such person covering the three years prior to such proposed assignment. Such record check must include, for New York State residents, a search of the NYS Office of Court Administration’s records for all 62 New York State counties, and, in addition, a search of the records of any other state in which the person resided in the last three (3) years. RUMC may require the Contractor to perform a more extensive background check on direct service providers working with mentally ill, elderly, or minor patients or in certain other special situations.

3.4.14 Non-Collusion and Affirmation

1. In response to this RFP, Respondents are required to submit a statement of non-collusion that contains the language set forth in General Municipal Law 103-d[a]. All respondents must disclose on Appendix C, developed by RUMC, any finding of non-responsibility made by a government entity within the previous four (4) years based on either impermissible contacts under 139-j of the State Finance Law or the intentional provision of false or


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incomplete information to a governmental entity in connection with a government procurement.

2. All Respondents must complete an affirmation on Appendix D, developed by RUMC attesting to the respondent’s understanding of, and agreement to comply with, procurement requirements.

3. The disclosure and affirmation forms must be periodically updated during the term of any

contract resulting from the RFP. Respondents must submit both of these forms, properly completed, as part of their bid, proposal, or quote.

3.4.15 Confidentiality

1. This document is furnished to the Respondent for the sole purpose of enabling him/her

to determine if he/she can provide the services described herein to RUMC, which will meet the criteria established in this document. Any disclosure, publication, release or transfer of this document, any provision thereof, or any information contained therein, to any person (other than Respondent’s personnel to whom disclosure is necessary for the preparation of a response, all of whom must be bound to observe this prohibition) without the prior written consent of RUMC is prohibited. RUMC reserves the right to release or disclose any of the attached information to its associated divisions, partners, contractors, or any of its subsidiaries.

2. Disclosure is permitted to the extent necessary to comply with law or valid order of a

governmental agency, regulatory authority or court of competent jurisdiction; provided that the party making such disclosure shall seek confidential treatment of said information; and as a part of any normal reporting and review procedure with its auditors and it’s lawyers, or with any outside investor or lender, or with any proposed or actual successor in interest, provided that prior to such discloser the third party shall agree to maintain the confidentiality of such disclosure.

3.4.15 RFP Postponement or Cancellation

1. RUMC reserves the right to postpone or cancel this RFP and to reject all proposals.


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Section 4.0 – Contract and Payment

The selected Respondent will submit a contract to RUMC outlining standard and unique conditions for the project. RUMC will review and come to a mutual agreement prior to issuing a Notice to Proceed to commence design

4.1 Term of Contract

1. Two (2) years, with two one year extensions exercisable at RUMC’s sole discretion.

4.2 Contract Provisions

1. The contract to be entered into between the selected proposer and RUMC shall contain negotiated provisions based upon the specific requirements set forth in this RFP and the selected firm’s proposal, as well as RUMC’s General Contract Provisions (Appendix I). Such General Contract Provisions are intended to generally indicate certain contract provisions which will be required by RUMC; it is not intended to be all-inclusive or provide for final terms, and may need to be expanded or revised, where necessary, in the contract.

2. In addition, the contract will include a business associate agreement (“BAA”) if RUMC determines that it is required for compliance with the privacy standards and other requirements relating to protected health information as defined in the administrative simplification provisions of the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”).

3. No modifications may be made to said Business Associate Agreement, which, if required, is non-negotiable and must be executed as drafted.

4.3 Payment

1. The selected firm shall be paid in accordance with the fee schedule based on the percentage of work completed for each phase. Additional services will be paid on a negotiated lump sum basis or on an hourly basis as approved by the RUMC. Reimbursable expenses will be paid on an actual cost basis and as approved by the RUMC. Travel expenses are not allowed unless traveling out of town and as approved by the RUMC.


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Section 5.0 – Appendices


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Appendix A: Proposal Package Checklist Sealed Envelope (Late or Unsealed Proposals will not be considered):

Addressed to: Richmond University Medical Center Attn: Jorge Negron Purchasing and Supply Chain Management 355 Bard Avenue Staten Island, NY 10310 FROM: Proposer Name and Address

DOC CONTROL #: AE-408541-001

Request for Proposals: Architectural and Engineering Professional Services for Richmond University Medical Center, Windows, Doors, and Openings Protection, Wind Resiliency Project

a. One (1) hard set originals; b. Five (5) sets of hard copies; c. One (1) CD/DVD in PDF format – in a single PDF file of the Proposal Package that include

each of the following: i. Proposal Cover Letter;

ii. Title Page; iii. Executive Summary; iv. Table of Contents; v. Firm Background and Experience

vi. Technical Proposal; vii. Acknowledgement of Addenda, if any;

viii. Exceptions to the Terms and Conditions Specified in the RFP and General Contract Provisions;

ix. Confidential/Proprietary Information (if applicable); x. Appendix A: Proposal Package Checklist;

xi. Appendix B: Confirmation of Attendance at Pre-Bid Conference or Site Visit; xii. Appendix C: Non-Collusive Bidding Certification;

xiii. Appendix D: Offeror’s Affirmation of Understanding of and Agreement with Richmond University Medical Center Procurement Requirements;

xiv. Appendix E: Fee Schedule xv. Appendix F: Schedule

xvi. Appendix G: Minimum Qualifications Questionnaire xvii. Appendix H: Certification of Information

xviii. Appendix I: Women and Minority Business Enterprise Participation Plan xix. Appendix J: Contract Conditions


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Appendix B: Confirmation of Attendance at a Pre-Bid Conference or Site Visit

This will confirm my attendance at the RFP Pre-Proposal Conference to be held at 11:00 am on Thursday, October 19 at the Lobby Conference Room, Richmond University Medical Center, 355 Bard Avenue, Staten Island NY 10310. Please note that attendance is mandatory.

NAME OF FIRM ____________________________________________________

ADDRESS ____________________________________________________

____________________________________________________

____________________________________________________

CONTACT PERSON ____________________________________________________

TELEPHONE NUMBER ____________________________________________________

FAX NUMBER ____________________________________________________

EMAIL ADDRESS ____________________________________________________

NAME(S) OF ATTENDEES ____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

THIS FORM SHOULD BE EMAILED OR FAXED TO 718-818-2034

ATTN: Mr. Jorge Negron Administrative Director, Supply Chain Management Richmond University Medical Center 355 Bard Avenue Staten Island, NY 10310 [email protected]


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Appendix C: Non-Collusive Bidding Certification

NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State

Finance Law, if this contract was awarded based upon the submission of bids, Contractor

affirms, under penalty of perjury, that its bid was arrived at independently and without

collusion aimed at restricting competition. Contractor further affirms that, at the time

Contractor submitted its bid, an authorized and responsible person executed and delivered

to RUMC a non-collusive bidding certification on Contractor's behalf.

1. The prices of this bid have been arrived at independently, without collusion,

consultation, communication, or agreement, for the purposes of restricting

competition, as to any manner relating to such prices with any other Bidder or with

any competitor;

2. Unless otherwise required by law, the prices which have been quoted in this bid have

not knowingly been disclosed by the Bidder and will not knowingly be disclosed by

the Bidder prior to opening, directly or indirectly, to any other Bidder or to any

competitor; and

3. No attempt has been made or will be made by the Bidder to induce any other person,

partnership, or corporation to submit or not to submit a bid to restricting

competition.

4. No attempt has been made or will be made by the Bidder to improperly communicate

or consult with any employee or agent of RUMC, or to induce any agent or employee

of RUMC, to gain an advantage which would restrict competition.

A bid shall not be considered for award nor shall any award be made where (1), (2), (3)

and (4) above have not been complied with; provided however, that if in any case the

bidder(s) cannot make the foregoing certification, the Bidder shall so state and shall

furnish below a signed statement which sets forth in detail the reasons therefore.

Subscribed to under penalty of perjury under the law of the State of New York, this

________ day of __________________, 20_______ as the act and deed of said

corporation f partnership.


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IF BIDDER(S) (ARE) A CORPORATION, COMPLETE THE FOLLOWING:

NAME LEGAL RESIDENCE

--------------------------------------- -------------------------------------------------------------------- President

--------------------------------------- -------------------------------------------------------------------- Secretary

--------------------------------------- -------------------------------------------------------------------- Treasurer

Identifying Data:

Potential Contractor: _________________________________________________________________

Address: _________________________________________________________________

_________________________________________________________________

Telephone: __________________________________ Title: __________________________

If applicable, Responsible Corporate Officer

Name: _________________________________________ Title: __________________________

Signature: ___________________________________

Joint or combined bids by companies or firms must be certified on behalf of each participant.

Legal Name of Person or Corporation: ____________________________________________________

By: _________________________________________ Title: __________________________

Address: ___________________________________ City, ST __________________________


By: _________________________________________ Title: __________________________

Address: ___________________________________ City, ST __________________________


By: _________________________________________ Title: __________________________

Address: ___________________________________ City, ST __________________________


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Appendix D: Offeror’s Affirmation of Understanding of and Agreement with Richmond University Medical Center Procurement Requirements

AFFIRMATION

Offeror affirms that it understands and agrees to comply with the procedures of Richmond University Medical Center relative to permissible Contacts as required by New York State Finance Law §139-j (3) and § 139-j (6) (b).

By: __________________________________________________ Date: ___________________

Name: __________________________________________________ Title: ___________________

Contractor Name: _________________________________________________________________

Contractor Address: _________________________________________________________________

_________________________________________________________________


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Appendix E: Fee Schedule The Respondent shall complete and submit a Fee Schedule. The proposed Fee Schedule shall provide a fixed price for all services associated with each phase of the Wind Resiliency Project.

Phase Percentage of

Professional Service Proposed Fee

1 Architectural and Engineering Design Services

a Basis of Design Memorandum b 30 Percent Construction Documents and

Construction Cost Estimate

c. 60 Percent Construction Documents and Construction Cost Estimate

d 90 Percent Construction Documents - (100 percent Documents awaiting final comments from RUMC) and Construction Cost Estimate

e Bid Ready Documents 2 Bid Document Services

3 Design Services During Construction

4 Resident Project Representative Services

5 Construction Management 100

* Include $10,000 fee for subcontractor's services as required to investigate wall opening integrity. Services shall include both physical investigation and repair.

$10,000

Total Proposed Fee

All project expenses unless otherwise identified shall not be reimbursable under this contract, including travel, permits, tolls, meals, reproduction, lodging, mail, or courier services, unless previously approved by RUMC.


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Appendix F: Schedule Provide a milestone design schedule including the critical dates you would require in order to meet the project schedule. The following represents the anticipated schedule durations as proposed for the design phase of the project.

Anticipated Project Schedule Durations

Task Timeframe Schematic Design / Design Development and Meeting

30 days

30 Percent Construction Documents and Meeting

30 days


60 days


30 days

Bid/ Contract Documents and Meeting

15 days

Opinion of Probable Cost

30 days

Permitting and Approval

60 -90 days

Total Anticipated Duration (Design Phase)

9- 10 months


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Appendix G: Minimum Qualifications Questionnaire

MINIMUM QUALIFICATIONS QUESTIONAIRE Criteria Description / Location in Proposal

The ability and resources to perform the scope of services, including at least five (5) years’ experience in providing design services similar to those called for in the scope of services; provide references of specific projects as part of the proposal.

Consultant shall have served as lead design contractor overseeing consultants of various disciplines and have experience managing multidisciplinary teams on large scale healthcare facilities projects completed within the five (5) years immediately preceding this RFP.

Experience with programs that utilize Federal or State funding and the ability and resources to ensure compliance with all applicable funding requirements.

While experience working within City of New York is preferred it is not required; however, comparable experience working with the private or public sector, within or outside New York City, is required.

By: __________________________________________________ Date: ___________________

Name: __________________________________________________ Title: ___________________

Contractor Name: _________________________________________________________________


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Appendix H: Certification of Information The undersigned, on behalf of the company named below, hereby represents and certifies to RUMC to the best of their knowledge that:

1. The information contained in the enclosed response is accurate and truthful as it relates to this Request for Proposal for Design Professional Services.

2. Compliance to all applicable laws, regulation, or ordinances of applicable Federal, State, and other governmental or regulatory agencies, which have jurisdiction, will continually be maintained.

3. Unless fully disclosed in the response, the information submitted was not prepared in conjunction or cooperation with any other company and or individual.

4. The firm named below unconditionally accepts all terms and conditions listed in this request for proposal, unless fully disclosed in the response.

5. They have examined the Request for Proposal, drawings, and related documents, and hereby submit the following Proposal for Design Professional Services and doing all things necessary for the satisfactory completion of the work in accordance with said documents required for the analysis and design of renovations and expansions at the project premises.

6. The individual signing this form is an officer of the firm and is authorized to sign agreements on behalf of the company.

7. They agree to commence work under this contract within five (5) days of receipt of written “Notice to Proceed” from RUMC and to substantially complete the entire work of the contract as specified.

8. This proposal shall hold for and may not be withdrawn for a period of fifteen (15) calendar days from the Proposal due date.

9. They have received of all addenda to the Request for Proposal, all of the provisions and requirements of which addenda have been taken into consideration in preparation of this Proposal.

10. No claim will be made on account of any increased wage, scale, material prices, taxes, insurance, cost indexes, or material prices.

11. RUMC reserves the right to reject any or all bids and to waive any formality in the bidding.


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Date: _______________________________________________________ Signed: _______________________________________________________ Name: _______________________________________________________ Title: _______________________________________________________ Name of Firm: _______________________________________________________ Organized as a (mark one): __________Proprietorship __________Partnership __________Corporation Under the Law of the State of: __________________________________________ Legal Address: _______________________________________________________ Telephone: _______________________________________________________ Facsimile: _______________________________________________________ Web: _______________________________________________________ If a corporation, indicate the state of incorporation, if a partnership, enumerate all partners. Current, valid Insurance Certificates and Union Cards for all trades are required for this project, and must be forwarded to the Director of Facilities for file record following award.


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Appendix I: Women and Minority Owned Business Enterprises Participation Plan


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I.1 Subcontractor Participation Plan Check one: ☐ Initial Plan ☐ Amended Plan

The purpose of this form is to ensure that appropriate planning and consideration go into the subcontractor utilization process, and to serve as documentation of your commitment to comply with MWBE requirements for this project. Please complete and sign this form, and submit with the proposal package.

I affirm the following statements are true and accurate:

1. I have read and understand the MWBE requirements of the project.

2. I will make and thoroughly document good faith efforts to meet MWBE requirements.

3. This Subcontractor Participation Plan lists all subcontractors I intend to use, including non-MWBE firms. I understand the Intent to Perform as Subcontractor form, which verifies subcontractors have been contacted and intend to participate in this project, must be submitted for each contractor with this form.

4. I understand that I must submit an amended Subcontractor Participation Plan if there are any changes to the information provided herein.

5. Upon request, I will provide New York State Division of Homeland Security and Emergency Services (DHSES) with proof of payments made to subcontractors.

6. FOR CONSTRUCTION CONTRACTS ONLY. I must submit a separate Subcontractor Participation Plan for each direct subcontractor listed below who will retain second-tier subcontractors. Each direct subcontractor plan should be received prior to the date that subcontractor commences work on the project. If a direct subcontractor on this form is not subcontracting out part of its work, it must submit a Self-Perform Statement in lieu of a plan.

__________________________________________________ ____________________

Authorized Person Date


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Subcontractor Information

Business Name MWBE Certified

(Y/N)

Award Amount

Services to be Provided

Anticipated Start Date


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I.2 Intent to Perform as Subcontractor

Respondent/ Prime Contractor Subcontractor Name

Name

Address

Address

Phone Phone

Federal Id Number

Federal Id Number

Contract Number

C000772

Projected Start Date

Projected Completion Date

Work to be Performed

Price of Work to be Performed

Certification The Contractor hereby commits to hiring the Subcontractor, and the Subcontractor hereby affirms its intent to participate on the project. The Contractor must notify Richmond University Medical Center of any changes to the information provided herein. By signing below, each party certifies that the above information is true and accurate. Providing false or misleading information shall be grounds for the application of any applicable criminal and/or civil penalties for perjury.

__________________________________________________ ____________________ Contractor Signature Date

__________________________________________________ Contractor Title

__________________________________________________ ____________________ Subcontractor Signature Date

__________________________________________________ Subcontractor Title


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I.3 Self-Perform Statement

This project has Minority and Women Owned Business Enterprise (MWBE) goals. Any subcontracting must be reported by filling out the Subcontractor Participation Plan and submitting to your Prime Contractor. If your business will be self-performing all of the work assigned under this contract, an authorized representative must sign below and submit to your Prime Contractor. Signing below is an acknowledgment that if circumstances change and subcontracting does occur, a Subcontractor Participation Plan must be submitted immediately else payment may be withheld.

I have read and understand the above state, and I affirm that business (name of business) ______________________________________________ will be executing 100 percent of the work assigned to it by (Prime Contractor)__________________________________________ under the Wind Resiliency Project, and thus will not be subcontracting any work.

__________________________________________________ ____________________

Authorized Signature Date

__________________________________________________

Print Name

__________________________________________________

Title


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Appendix J: Contract Conditions


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J.1 Richmond University Medical Center General Contract Conditions

I. The Contract

The contract will incorporate provisions of this RFP and portions of the successful proposal to which Richmond University Medical Center (RUMC) agrees. The final contract will also include the RUMC General Contract Conditions set forth in this Attachment and any applicable riders or other information deemed appropriate by RUMC. The properly executed contract shall supersede all proposals, whether written or oral, and any and all negotiations, conversations, and discussions prior to execution of the contract. Final contracts executed pursuant to this RFP shall be subject to RUMC procurement policies and procedures and the review and approval of RUMC’s Office of Legal Affairs and Risk Management.

II. Term of Contract

The proposed term of any new agreement executed pursuant to this RFP is a period of 36 Months commencing on or about November 2017.

III. Acceptance of Terms and Conditions

Vendor must acknowledge that it has read the RUMC Standard Terms and Conditions, as set forth, and that it understands and agrees to be bound by the same, with noted exceptions. Vendor must provide a separate document of exceptions, if any, taken to the RUMC Standard Terms and Conditions. Each exception must reference a specific numbered paragraph of the Standard Terms and Conditions. Vendor shall state a proposed alternative to each exception taken when stating that the term or condition is “unacceptable.” Any exceptions to RUMC Standard Terms and Conditions may disqualify a vendor’s proposal.

IV. Disposition of Proposals

All proposals received by the due date become the property of RUMC and shall not be returned. Any successful proposal may be incorporated into the resulting contract and will become public record. Any proposals received after the due date will be returned to the proposer unopened.

Standard Terms and Conditions

ARTICLE I DEFINITIONS

1.1 Agreement. “Agreement” shall mean the written agreement between RUMC and the successful proposer, if any, awarded a contract to develop and implement the RUMC Openings Protection project.

1.2 Services. “Services” shall mean the architectural and engineering and consultant related services as may be offered by Vendor to RUMC as part of a proposal submitted in response to this RFP.


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1.3 Vendor Representative. “Vendor Representative” shall mean all employees, Vendors, agents,

subcontractors, or representatives of Vendor providing Services on behalf of Vendor at any RUMC site.

ARTICLE II SERVICES AND PAYMENT

2.1 Services. All Services shall be performed in a manner consistent with the generally recognized standards of persons regularly engaged in providing such services. Vendor warrants to RUMC that any Services performed and any materials used by Vendor in connection with the Services shall be free from defects in workmanship and/or materials and agrees that any damage arising from any breach of this warranty shall promptly be remedied by Vendor at its sole expense.

2.2 Conduct. All Vendor Representatives shall, at all times while present at the RUMC campus, comply with RUMC rules and regulations and the lawful directives of RUMC security personnel and RUMC administration. Vendor Representatives shall, at all times while present at the RUMC campus, conduct themselves in accordance with RUMC Policies and Procedures, including the RUMC Code of Conduct, Sexual Harassment Policy, and Anti-Discrimination Policy. The Vendor shall promptly remove from the RUMC campus any Vendor Representative whose conduct RUMC reasonably determines to be objectionable.

2.3 Ownership of Records. All records compiled by Vendor in providing and completing the Services, including but not limited to written reports, studies, computer protocols, graphs, charts, and all other similar recorded data, shall become and remain the property of RUMC. Vendor may retain copies for its own use, all of which shall be subject to all confidentiality requirements set forth herein.

2.4 Payment Terms. RUMC shall pay all properly submitted and undisputed invoices for the Services within ninety (90) days from the date RUMC receives an invoice. All invoices must reference the Contract Number and are to be addressed to RUMC, at the RUMC address provided in each purchase order, to the Attention of the Accounts Payable Department.

2.5 Interest and Other Charges. Any references in any Vendor quotation, invoice or agreement to interest charges, late fees, restocking fees or cancellation charges shall be excluded from and superseded by the Agreement.

2.6 Taxes. RUMC and its facilities are exempt from local, state, and federal taxes (including local and state sales or use taxes). Upon request, RUMC will furnish evidence of such tax-exemption. RUMC shall not be charged or subject to, and shall not pay, any tax, tariff, duty, cost or expense imposed by any taxing authority outside the United States of America and any such tax, tariff, duty, cost, or expense shall be the sole responsibility of the Vendor.

ARTICLE III TERM AND TERMINATION


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3.1 Term. The Agreement shall commence on the Effective Date of the Agreement and shall continue for a period of two (2) years, unless earlier terminated in accordance with this Article III. This agreement may be renewed for up to two (2) one (1) year renewals at the option of RUMC.

3.2 Termination for Cause. Either Vendor or RUMC shall have the right to immediately terminate the Agreement in its entirety in the event of a material breach of the terms of the Agreement by the other party which is not cured within thirty (30) calendar days following receipt of written notice specifying the breach.

3.3 Termination without Cause. Either Vendor or RUMC shall have the right to terminate the Agreement in its entirety without cause by providing the other Party at least sixty (60) days prior written notice.

3.4 Insolvency. If either Party shall be declared insolvent or shall make an assignment for the benefit of creditors, or if a receiver or trustee shall be appointed of, or for, either Party’s property or business, the Agreement may be terminated, at the other Party’s option, without liability hereunder.

3.5 Remedies. Termination by either Party pursuant to the terms of this Article III, whether for default or otherwise, shall be without prejudice to any claims for damages or other rights against the other Party that arose prior to termination.

3.6 Disruption of Patient Care. Notwithstanding the foregoing or any other Agreement between the Parties, if Vendor terminates the Agreement or any provision hereof and such termination, based on the reasonable, good faith determination of RUMC, would likely result in the disruption of patient care, upon written notice from RUMC as to such likely disruption, Vendor shall continue to provide the Services purchased hereunder and receive compensation, as specified in the Agreement or applicable purchase order and in accordance with Article II hereof, until RUMC has secured an alternate supplier of comparable or substantially similar goods, but in no event shall such continued provision of the Services exceed a period of one hundred and twenty (120) days from Vendor’s receipt of RUMC’s notice.

ARTICLE IV GENERAL PROVISIONS

4.1 Confidentiality. For purposes of this Section 4.1 “Confidential Information” shall mean any and all proprietary information, customer lists, patient information, customer purchasing requirements, prices, trade secrets, know-how, processes, documentation, and all other information without limitation which is not generally known to, or readily ascertainable by proper means, by the public or which might reasonably be considered confidential, secret, sensitive, proprietary, or private to either the Vendor or RUMC.


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4.1.1 In performing their respective obligations under the Agreement, the Vendor and RUMC may come into contact with, be given access to, and, in some instances, contribute to each other’s Confidential Information. In consideration of permitting the Vendor and RUMC to have access to each other’s Confidential Information, during the term of the Agreement, the Vendor and RUMC agree that they will not disclose to any third party any Confidential Information of the other Party, except as provided in Section 4.1.3, without the other Party’s prior written consent. The Vendor and RUMC shall only make the Confidential Information of the other Party available to its employees, auditors, attorneys or other professionals or Vendors hired by such Party in the ordinary course, to the extent that their duties, requirements or contract for services require such disclosure on a need-to-know basis, and agree to take appropriate action by written agreement with such individuals permitted access to the Confidential Information to satisfy the obligations under this Section.

4.1.2 The provisions of this Section will not apply to information: (i) developed by the receiving

Party without use of, or access to, the disclosing Party’s Confidential Information; (ii) that is or becomes publicly known without a breach of the Agreement; (iii) disclosed to the receiving Party by a third party not required to maintain such information confidential; or (iv) that is already known to the receiving Party at the time of disclosure. The provisions of this Section 4.1.2 shall not apply to “Protected Health Information” as that term is defined in the Health Insurance Portability and Accountability Act of 1996 and its related regulations, 45 C.F.R. Parts 160 and 164.

4.1.3 If any law, governmental authority, or legal process requires the disclosure of Confidential

Information, the subject Party may disclose such information, provided, that, the other Party is notified of the disclosure.

4.2 Disclosure of Protected Health Information (PHI). If the transaction involves any disclosure of PHI

to the Vendor, and the Vendor is determined to be a Business Associate (as that term is defined in the Health Insurance Portability and Accountability Act of 1996 and its related regulations, 45 C.F.R. Part 160 and 164), the Vendor will execute a RUMC Business Associate Agreement.

4.3 Business in Confidence. Neither Party shall, without first obtaining the written consent of the other Party, advertise, or publish the fact that Vendor has contracted to provide, or RUMC has contracted to purchase, the Services that are the subject of the Agreement.

4.4 Publicity and Trademarks. Each Party will not, and will cause its affiliates not to, use the name or any trademark or service mark of the other Party or any of its affiliates without the prior written consent of the other Party.

4.5 Financing Statements. The Vendor acknowledges and agrees that the filing of any financing statement under the Uniform Commercial Code in connection with any transaction related to the


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Agreement is expressly prohibited unless such filing is agreed to in writing by the Chief Financial Officer of RUMC or such filing is for notification purposes with respect to custodial or other arrangements not intended as a secured transaction in which case such financing statements must expressly state: “This financing statement is filed for notice purposes only and the filing thereof shall not be deemed to create, or to constitute evidence of, a security interest under the Uniform Commercial Code.”

4.6 Safe Harbor Discount. Each Party agrees to comply at all times with the regulations issued by the United States Department of Health and Human Services published at 42 C.F.R. Part 1001, and which relate to the Vendor's obligation to report and disclose discounts, rebates, and other reductions to RUMC Services purchased under the Agreement. Where a discount or other reduction in price of the Services is applicable, the Vendor agrees to comply with the requirements of 42 U.S.C. §1320a-7b(b)(3)(a) and the “safe harbor” regulations regarding discounts or other reductions in price set forth at 42 C.F.R. §1001.952(h). In this regard, the Vendor will satisfy any and all requirements imposed on sellers by the safe harbor and RUMC will satisfy any and all requirements imposed on buyers by the safe harbor. Thus, in cases where the Vendor forwards to RUMC an invoice that does not reflect the net cost of the Services to RUMC, the Vendor shall include the following language, or reasonably comparable language, on such invoice: “This invoice does not reflect the net cost of supplies or services to the Medical Center. Any additional discounts or other reductions in price may be reportable under federal regulations at 42 C.F.R. §1001.952(h).” In cases where the Vendor forwards to RUMC an invoice that does reflect a net cost of the Services after a discount to RUMC, the Vendor shall include the following language, or reasonably comparable language, on such invoice: “This invoice reflects the net cost of Products or Services to the Medical Center. This price constitutes a ‘discount or other reduction in price’ and may be reportable under federal regulations at 42 C.F.R. §1001.952(h).”

4.7 Government Health Program Participation. Each Party represents that it has not been excluded from participating in any “federal health care program,” as defined in 42 U.S.C. § 1320a-7b(f), or in any other federal or state government payment program and that it is eligible to participate in the foregoing programs. If either Party is excluded from participating in, or becomes otherwise ineligible to participate in, any such program during the term of the Agreement, such Party will notify the other Party of that event within thirty (30) days. Upon occurrence of that event, whether or not such notice is given, either Party may terminate the Agreement effective upon written notice to the other Party.

4.8 Debarment. The Vendor represents that (a) it has not been convicted of a criminal offense related to health care; (b) it is not currently listed by a federal agency as debarred or otherwise ineligible for participation in federally funded programs; and (c) it is not currently listed by the State of New York, any political subdivision of the State of New York or any public benefit corporation or public authority as debarred, excluded or otherwise ineligible to contract with such public entity. The Vendor shall promptly notify RUMC, in writing, of any change in this representation during the term of the Agreement. Such change in circumstances shall constitute cause for which RUMC may


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terminate the Agreement pursuant to Article III. For purposes of this Section 4.8, the Vendor is defined as the entity entering into the Agreement, and/or its principals, employees, directors and officers and owners, provided, however, that, if the Vendor is publicly traded, the term “Vendor”, for the purposes of this Section, shall not include persons owning publicly traded shares of Vendor).

4.9 Personal Inducements. The Vendor represents and warrants that no cash, equity interest, merchandise, equipment, services or other forms of remuneration have been offered, shall be offered or will be paid or distributed by or on behalf of the Vendor to RUMC or any physician or physician practice privileged or affiliated with either of them and/or the employees, officers, or directors of any of the foregoing and their immediate family members as an inducement to purchase or to influence the purchase of Services by RUMC from the Vendor. In addition to any other remedy to which RUMC may be entitled and any other sanction to which a Vendor may be liable for a breach of the foregoing representation and warranty, RUMC, at its option, may declare any agreement between the Vendor and RUMC null and void.

4.10 Compliance with Laws and Regulations. In the performance of their duties and obligations hereunder, each Party warrants that it shall comply with all applicable federal and state laws and regulations, including without limitation the Federal Food, Drug and Cosmetic Act, the Prescription Drug Marketing Act, equal-opportunity laws, and fraud and abuse laws. The Vendor further warrants that all Services purchased pursuant to the Agreement will conform and comply with all applicable provisions of governing laws, ordinances, rules, and regulations. The Vendor shall obtain and maintain in full force and effect during the term of the Agreement all licenses, permits, certificates and accreditations as may be required by law or regulation. The Vendor agrees that in the event it receives any written notice of non-compliance with any statute or regulation from any federal or state agency that may materially affect the Vendor’s performance hereunder, the Vendor will promptly notify RUMC in writing of the receipt of such notice and the nature of such notice.

4.11 Access to Books and Records. To the extent required by law, RUMC and Vendor agree to comply with the Omnibus Reconciliation Act of 1980 (P.L. 96-499) and its implementing regulations (42 CFR, Part 420). Vendor further specifically agrees that until the expiration of four (4) years after furnishing Services pursuant to the Agreement, the Vendor shall make available, upon written request of the Secretary of the Department of Health and Human Services, or upon request of the Comptroller General, or any of their duly authorized representatives, the Agreement and the books, documents and records of the Vendor that are necessary to verify the nature and extent of the costs charged to RUMC hereunder. The Vendor further agrees that if Vendor carries out any of the duties of the Agreement through a subcontract with a value or cost of ten thousand dollars ($10,000) or more over a twelve (12) month period, with a related organization, such subcontract shall contain a clause to the effect that until the expiration of four (4) years after the furnishing of such services pursuant to such subcontract, the related organization shall make available, upon written request to the Secretary, or upon request to the Comptroller General, or


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any of their duly authorized representatives the subcontract, and books and documents and records of such organization that are necessary to verify the nature and extent of such costs.

4.12 Dispute Resolution. Upon the agreement of both Parties, any dispute as to the performance of a Party’s obligations under the Agreement or any related matter may be referred to non-binding mediation by a neutral third party, the rules, and procedures of which shall be mutually agreed to by the Parties. Nothing in this paragraph shall be construed to prevent or delay either Party from exercising, at any time, any and all legal rights available to it in a court of competent jurisdiction. No offer, finding, action, inaction or recommendation made or taken in or as a result of mediation shall be considered for any purpose as an admission of a Party, nor shall it be offered or entered into evidence in any legal proceeding.

4.13 Governing Law and Venue. The Agreement shall be construed, and its performance enforced, under New York law without regard to conflicts of laws principles. The exclusive venue for the purposes of any action, suit or proceeding related to or arising directly or indirectly out of the Agreement shall be in the New York Supreme Court located in Richmond County, New York, or the United States District Court for the Eastern District of New York. To the fullest extent permitted by law, each party waives trial by jury in any action, proceeding or counterclaim brought by or on behalf of either Party with respect to any matter relating to the Agreement.

4.14 Attorney’s Fees. If any action or proceeding is commenced by either Party for the enforcement of or in connection with the Agreement, each Party shall be responsible for its own attorneys’ fees, costs, and disbursements incurred in connection with such action.

4.15 Limitation of Liability. The liability of the Parties to each other for damages in connection with the Agreement, regardless of the form of action, shall not exceed the actual damages incurred by the Party seeking redress. Neither Party shall be liable to the other for any special, consequential, punitive, or exemplary damages arising from the Agreement, including but not limited to damages for loss of future business and/or lost profits. This provision shall not apply to claims raised by third parties against the Vendor or RUMC, or, to claims in which either Party joins the other as a third-party defendant.

4.16 Insurance. The Vendor will maintain insurance against any insurable claims as set forth in Schedule B-1 attached hereto.

4.17 Indemnity.

4.17.1 Indemnification. Each Party shall, to the extent permitted by law, indemnify, defend, and hold harmless the other Party, and its officers, directors, employees, agents, successors, and assigns for, from and against any claim or action brought against, arising out of the acts or omissions of the indemnifying Party, its employees, or agents.


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4.17.2 Notice. It is a condition to each Party’s obligations under this Section 4.17 that the Party seeking indemnification notify the indemnifying Party promptly of the claim, permit the indemnifying Party to control the litigation and settlement of that claim, and cooperate with the indemnifying Party in all matters related thereto, including by making its documents, employees, and agents available as reasonably necessary.

4.17.3 Consent to Settlement. The indemnifying Party may not settle any claim without the

consent of the other Party unless there is no finding or admission that the other Party has violated any law or the rights of any person or entity and the sole relief provided is monetary damages that the indemnifying Party pays in full or injunctive relief enforceable only against the indemnifying Party.

4.18 Representative Access. RUMC reserves the right to require, and Vendor shall upon the request of

RUMC ensure that, any Vendor Representative that will have access to clinical areas of RUMC’s facility shall undergo a pre-placement assessment of health status to make certain that they are free from health impairment which is of potential risk to patients and personnel as indicated by a recorded medical history, physical examination, immunizations, and laboratory testing.

4.19 Background Check. Vendor further agrees that all Vendor Representatives assigned to RUMC hereunder will be subject to a background check substantially similar to the inquiries made by the RUMC with respect to its own employees and that the RUMC has the right to deny any Vendor Representative access to its facilities based on the results of such inquiry.

4.20 Conflicts of Interest. The Vendor represents, to the best of its knowledge, that no employee, officer, or director of, and no physician or physician practice affiliated with, RUMC has a financial interest in the Vendor. The Vendor further agrees that if it discovers or otherwise becomes aware that an employee, officer, or director of, or a physician or physician practice affiliated with, RUMC has a financial interest in the Vendor, Vendor shall promptly disclose that financial interest to RUMC in writing. To the extent that a financial interest is disclosed by Vendor in accordance with this Section, the Parties agree to make good faith efforts to resolve any conflict of interest, provided however, in the event that such conflict of interest cannot be resolved, RUMC, at its option, may declare any agreement between the Vendor and RUMC null and void.

4.20.1 Financial Interest. For purposes of this Section, the term “financial interest” shall include the following transactions or relationships: (a) payment of fees including consulting fees, royalty fees, honoraria, or other emoluments or “in kind” compensation; (b) any gift of more than nominal value; (c) service as an officer or director of Vendor whether or not remuneration is received for such service; or (d) an ownership interest in Vendor, except that a shareholder owning less than a majority of shares of a publicly traded entity shall not be deemed to have a financial interest for the purposes of this Section.


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4.21 Survival. All provisions regarding confidentiality, indemnification, warranty, liability, and limits on liability shall survive termination of the Agreement.

4.22 Force Majeure. Neither Party shall be deemed to be in default of or to have breached any provision of the Agreement as a result of any delay or failure in performance due to reasons beyond such Party’s reasonable control. If such a delay occurs, the affected Party may extend the time for performance by a period of time equal to the delay. Notwithstanding the foregoing, if a force majeure event is claimed by both Parties and such event continues for more than fifteen (15) business days, either Party shall have the right and option to terminate the Agreement

4.23 Entire Agreement. The Agreement shall constitute the entire agreement between the Parties concerning the subject matter of the Agreement and will supersede all prior negotiations and agreements between the Parties concerning the subject matter of the Agreement. The terms of any purchase order, invoice, or similar documents used to implement the Agreement shall be subject to and shall not modify the Agreement.

4.24 Amendment. The Agreement may only be amended by written agreement of the Parties.

4.25 Assignment. Neither Party may assign any of its rights or obligations under the Agreement, either voluntarily or involuntarily (whether by merger, consolidation, dissolution, operation of law, or otherwise), without the prior written consent of the other Party. Any purported assignment in violation of this section will be void. Any request for consent to an assignment to an affiliate of a Party (i.e. an entity that controls, is controlled by, or is under common control with a Party) shall not be unreasonably withheld, conditioned, or delayed by the consenting Party.

4.26 Relationship of the Parties. For purposes of the Agreement, each Party will be an independent contractor. The Agreement will not create a partnership, association, or other business entity. Neither Party has any authority to act for or to bind the other.

4.27 Waiver. No provision of the Agreement may be waived except by a writing signed by the Party against whom the waiver is sought to be enforced. No failure to enforce any provision of the Agreement constitutes a waiver of future enforcement of that provision or of any other provision of the Agreement.

4.28 Other Contractual Obligations. Each Party represents that it is not prohibited from entering into, or performing its obligations under, the Agreement by the terms of any other agreement.

4.29 Counterparts. The Agreement may be executed in two or more counterparts, each of which shall be an original, but all of which together shall constitute one and the same instrument. The Parties agree to accept and be bound by PDF transmitted copies of the Amendment and its counterparts including PDF signatures of the Parties.


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SCHEDULE B-1

INSURANCE REQUIREMENTS

1. Prior to providing the Services hereunder, the Vendor shall obtain at its own cost and expense the insurance required herein from a licensed insurance company, carrying a Best's financial rating of A or better, and shall provide evidence of such insurance to RUMC, which evidence shall be subject to RUMC’s approval. The policies or certificates thereof shall provide that RUMC shall receive thirty (30) days’ written notice prior to cancellation of or material change in the policy, which notice shall name Vendor, identify this Agreement, and be sent via registered mail, return receipt requested. Failure of the Vendor to obtain and maintain any insurance required hereunder shall not relieve the Vendor from any of its obligations hereunder, including but not limited to indemnification, or from any Vendor liability hereunder. All property losses shall be made payable to, and adjusted with, the Corporation. If claims for which Vendor may be liable are filed against either Party, and if such claims exceed the coverage amounts required herein, RUMC may withhold such excess amount from payment due to Vendor until the Vendor furnishes additional security covering such claims in a form satisfactory to the Corporation.

2. The Vendor shall provide proof of the following coverage:

a. Workers’ Compensation. Vendor shall provide to RUMC a certificate form C-105.2 or State

Fund Insurance Company Form U-26.3 as proof of compliance with the New York State Workers' Compensation Law, and State Workers' Compensation Board form DB-120.1 as proof of compliance with the New York State Disability Benefits Law, provided, however, that if Vendor is self-insured for Worker’s Compensation and/or Disability coverage, a New York State Workers' Compensation Board certificate evidencing such fact. Location of operation shall be "All locations in Richmond County, New York."

b. Employer’s liability insurance with a minimum limit of $500,000

c. General liability insurance with a minimum of $1,000,000 combined single limit of liability, naming RUMC as an additional insured. This insurance shall indicate the following coverage on the certificate of insurance:

i. Premises – Operations

ii. Broad Form Contractual.

iii. Independent Contractor and Sub-Contractor.

iv. Products and Completed Operations.

d. Professional liability insurance (“errors and omissions”) on an occurrence or claims made

basis covering the Vendor and its employees and agents, with minimum limits of $5,000,000 per occurrence, $5,000,000 taken together.


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e. Vehicle liability insurance with a minimum limit of liability per occurrence of $1,000,000

combined single limit. This insurance shall include the following coverage for bodily injury and property damage arising out of the use of owned, hired and non-owned vehicles and contain waiver of subrogation on behalf of RUMC.

3. All policies and certificates of insurance required herein shall provide that:

a. The insurer, or Vendor if it is self-insured, shall have no right to recovery or subrogation

against RUMC (including its employees and agents), it being the intention of the Parties that the insurance policies shall protect both Parties and be primary coverage for any and all losses covered by the insurance.

b. The insurer, or Vendor if it is self-insured, shall have no recourse against RUMC (including its employees or agents) for payment of any premiums or for assessments under the policy.

c. Vendor assumes responsibility, and is solely at risk for, any and all deductibles.

d. The clause "other insurance provisions" shall not apply to the Corporation.

4. Vendor insurance will be primary & non-contributory.


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J.2 Contract Provisions for Non-Federal Entity Contracts Under Federal Awards

A. Definitions:

(1) "RUMC" means Richmond University Medical Center.

(2) "Construction" means the building, rehabilitation, alteration, conversion, extension, demolition, painting, or repair of any improvement to real property.

(3) "Contract" refers to the contract or the agreement between the RUMC and the Contractor.

(4) "Contractor" means the entity performing the services pursuant to a Contract.

(5) "Federal Agency" means the U.S. agency or agencies funding this Contract in whole or in part.

(6) "Government" means the U.S. government.

B. Termination and Remedies for Breach of Contract. The following provisions concerning remedies for breach of contract and termination apply to Contracts between RUMC and the Contractor.

(1) Remedies for Breach of Contract. If the Contractor violates or breaches the Contract, RUMC may avail itself of any or all of the remedies provided for elsewhere in this Contract.

(2) Termination for Cause and Convenience. Should RUMC or the Contractor wish to terminate the contract, provisions are provided in RUMC’s Standard Terms and Conditions, Article III Term and Termination and Article IV General Provisions of this Contract.

C. Standard Provisions. The Contractor shall comply with, include in its subcontracts, and cause its subcontractors to comply with the following provisions, as applicable:

(1) Reporting. Contractor shall be required to produce and deliver such reports relating to the services performed under the Contract as may be required by RUMC or any other State or Federal governmental agency with jurisdiction.

(2) Non-Discrimination. Contractor shall not violate any Federal, State, or local law prohibiting discrimination concerning employment, the provision of services, and, if applicable, housing, funded by this Contract.

(3) Environmental Protection. The Contractor shall comply with all applicable standards, orders, or regulations issued under the Clean Air Act (42 U.S.C. § 7401-7671q), Federal Water Pollution Control Act (33 U.S.C. §§ 1251- 1387) Section 508 of the Clean Water Act (33 U.S.C. § 1368), Executive Order 11738, and Environmental Protection Agency regulations (provisions of 40 CFR Part 50 and 2 CFR Part 1532 related to the Clean Air Act and Clean Water Act). Violations must be reported to the Federal Agency and the Regional Office of the Environmental Protection Agency (EPA).


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(a) Clean Air Act

(1) The contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq.

(2) The contractor agrees to report each violation and understands and agrees that the RUMC will, in turn, report each violation as required to assure notification to the State, Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

(3) The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

(b) Federal Water Pollution Control Act

(1) The contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq.

(2) The contractor agrees to report each violation to RUMC and understands and agrees that RUMC will, in turn, report each violation as required to assure notification to the (name of recipient), Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

(3) The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

(4) Energy Efficiency. The Contractor shall comply with mandatory standards and policies relating to energy efficiency that are contained in the New York State energy conservation plan issued in compliance with the Energy Policy Conservation Act (Pub. L. 94-163).

(5) Debarment. The Contractor certifies that neither it nor its principals is currently in a state of debarment, suspension, or other ineligible status as a result of prior performance, failure, fraud, or violation of City laws. The Contractor further certifies that neither it nor its principals is debarred, suspended, otherwise excluded from or ineligible for participation in Federal assistance programs. RUMC reserves the right to terminate this Contract if knowledge of debarment, suspension or other ineligibility has been withheld by the Contractor.

(a) This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such the contractor is required to verify that none of the contractor, its principals (defined at 2 C.F.R. § 180.995), or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935).

(b) The contractor must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into.


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(c) This certification is a material representation of fact relied upon by RUMC. If it is later determined that the contractor did not comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to remedies available to the State, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment.

(d) The bidder or Respondent agrees to comply with the requirements of 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or Respondent further agrees to include a provision requiring such compliance in its lower tier covered transactions.”

(6) Byrd Anti-Lobbying Amendment (31 USC §1352). Contractors who apply or bid for an award of $100,000 or more shall file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant, or any other award covered by 31 U.S.C. § 1352. Each tier shall also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient.

(7) Solid Waste Disposal Act. Pursuant to 2 CFR § 200.322, Contractor must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $ 10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $ 10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.

(a) In the performance of this contract, the Contractor shall make maximum use of products containing recovered materials that are EPA- designated items unless the product cannot be acquired—

(i) Competitively within a timeframe providing for compliance with the contract performance schedule;

(ii) Meeting contract performance requirements; or

(iii) At a reasonable price.

(b) Information about this requirement, along with the list of EPA-designate items, is available at EPA’s Comprehensive Procurement Guidelines web site, https://www.epa.gov/smm/comprehensive-procurement-guideline-cpg-program.”


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(8) Documentation of Costs. All costs shall be supported by properly executed payrolls, time records, invoices, or vouchers, or other official documentation evidencing in proper detail the nature and propriety of the charges. All checks, payrolls, invoices, contracts, vouchers, orders, or other accounting documents, pertaining in whole or in part to the Agreement, shall be clearly identified and regularly accessible.

(9) Records Retention. The Contractor shall retain all books, documents, papers, and records relating to the services performed under the Contract for six years after final payment under the Contract is made and all other pending matters are closed.

(10) Records Access. The Contractor shall grant access to New York State or any other pass-through entity, the Federal Agency, Inspectors General, and/or the Comptroller General of the United States, or any of their duly authorized representatives, to any books, documents, papers, and/or records of the Contractor that are pertinent to the Contract for the purpose of making audits, examinations, excerpts, and transcripts. The right also includes timely and reasonable access to the Contractor's personnel for the purpose of interview and discussion related to such documents. The rights of access in this section are not limited to the required retention period but last as long as the records are retained.

(a) The contractor agrees to provide RUMC, the State, the FEMA Administrator, the Comptroller General of the United States, or any of their authorized representatives access to any books, documents, papers, and records of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts, and transcriptions.

(b) The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed.

(c) The contractor agrees to provide the FEMA Administrator or his authorized representatives access to construction or other work sites pertaining to the work being completed under the contract.

(11) Small Firms, M/WBE Firms, and Labor Surplus Area Firms. Contractor shall take the following affirmative steps in the letting of subcontracts, if subcontracts are to be let, in order to ensure that minority firms, women's business enterprises, and labor surplus area firms are used when possible:

a. Placing qualified small and minority businesses and women's business enterprises on solicitation lists;

b. Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources;

c. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises;

d. Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women's business enterprises; and

e. Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce.


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(12) Intangible Property.

a) Pursuant to 2 CFR § 200.315(d), the Government reserves a royalty-free, non-exclusive, and irrevocable right to obtain, reproduce, publish, or otherwise use, and to authorize others to use, for Government purposes: (a) the copyright in any work developed under the Contract or subcontract; and (b) any rights of copyright to which a Contractor purchases ownership with grant support.

b) Any reports, documents, data, photographs, deliverables, and/or other materials produced pursuant to the Contract ("Copyrightable Materials"), and any and all drafts and/or other preliminary materials in any format related to such items produced pursuant to the contract, shall upon their creation become the exclusive property of RUMC. The Copyrightable Materials shall be considered "work-made-for-hire" within the meaning and purview of Section 101 of the United States Copyright Act, 17 U.S.C. § 101, and RUMC 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 RUMC, 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 Contract without the prior written permission of RUMC. RUMC may grant the Contractor a license to use the Copyrightable Materials on such terms as determined by RUMC and set forth in the license.

c) The Contractor acknowledges that RUMC 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 Contract, copies of which shall be provided to RUMC upon execution of this Contract.

e) The Contractor shall promptly and fully report to RUMC any discovery or invention arising out of or developed in the course of performance of this Contract and the Contractor shall promptly and fully report to the 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


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any patent issued thereon, shall be disposed of and administered in order to protect the public interest.

f) If the Contractor publishes a work dealing with any aspect of performance under this Agreement, or with the results of such performance, RUMC shall have a royalty-free, non-exclusive irrevocable license to reproduce, publish, or otherwise use such work for RUMC’s purposes.

D. Special Provisions for Construction Contracts. If this Contract involves Construction work, design for Construction, or Construction services, all such work or services performed by the Contractor and its subcontractors shall be subject to the following requirements in addition to those set forth above in paragraphs (A), (B), and (C):

(1) Federal Labor Standards. The Contractor will comply with the following:

a) The Davis-Bacon Act (40 U.S.C. §§ 3141-3148): If required by the federal program legislation, in Construction contracts involving an excess of $2000, and subject to any other federal program limitations, all laborers and mechanics must be paid at a rate not less than those determined by the Secretary of Labor to be prevailing for New York City. These wage rates are a federally mandated minimum only, and will be superseded by any State or City requirement mandating higher wage rates. The Contractor also agrees to comply with Department of Labor Regulations pursuant to the Davis-Bacon Act found in 29 CFR Parts 1, 3, 5 and 7 which enforce statutory labor standards provisions.

b) If required by the federal program legislation and subject to any other federal program limitations, Sections 103 and 107 of the Contract Work Hours and Safe Standards Act (40 U.S.C. §§ 3701-3708), which provides that no laborer or mechanic shall be required or permitted to work more than eight hours in a calendar day or in excess of forty hours in any workweek, unless such laborer or mechanic is paid at an overtime rate of 1½ times his/her basic rate of pay for all hours worked in excess of these limits, under any Construction contract costing in excess of $2000. In the event of a violation of this provision, the Contractor shall not only be liable to any affected employee for his/her unpaid wages, but shall be additionally liable to the United States for liquidated damages.

c) The Copeland "Anti-Kickback" Act (18 U.S.C. § 874), as supplemented by the regulations contained in 29 CFR Part 3, requiring that all laborers and mechanics shall be paid unconditionally and not less often than once a week, and prohibiting all but "permissible" salary deductions.

(a) Contractor. The contractor shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be applicable, which are incorporated by reference into this contract.

(b) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clause above and such other clauses as the FEMA may by appropriate instructions require, and also


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a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all of these contract clauses.

(c) Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment as a contractor and subcontractor as provided in 29 C.F.R. § 5.12.”

(2) Equal Employment Opportunity. Executive Order 11246, as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR chapter 60) for Construction contracts or subcontracts in excess of $10,000. During the performance of this contract, the contractor agrees as follows:

(a) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

(b) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin.

(c) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

(d) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

(e) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

(f) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled,


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terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions as may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

(g) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, 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 the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, That in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency the contractor may request the United States to enter into such litigation to protect the interests of the United States.

E. Contract Work Hours and Safety Standards Act. all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. §§ 3702 and 3704, as supplemented by Department of Labor regulations at 29 C.F.R. Part 5. See 2 C.F.R. Part 200, Appendix II, ¶ E.

(1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.

(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1) of this section.

(3) Withholding for unpaid wages and liquidated damages. The (write in the name of the Federal agency or the loan or grant recipient) shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other


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Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this section.

(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this section.”

F. Compliance with Federal Law, Regulations, and Executive Orders. This is an acknowledgement that FEMA financial assistance will be used to fund the contract only. The contractor will comply will all applicable federal law, regulations, executive orders, FEMA policies, procedures, and directives.

G. No Obligation by Federal Government. The Federal Government is not a party to this contract and is not subject to any obligations or liabilities to the non-Federal entity, contractor, or any other party pertaining to any matter resulting from the contract.

H. Program Fraud and False or Fraudulent Statements or Related Acts. The contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) applies to the contractor’s actions pertaining to this contract.


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J.3 New York State Standard Contract Clauses

The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which will be made a part of the contract:

1. Workers Compensation Benefits. In accordance with Section 142 of the State Finance Law, this

contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law.

2. Non-Discrimination Requirements. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex (including gender identity or expression), national origin, sexual orientation, military status, age, disability, predisposing genetic characteristics, marital status or domestic violence victim status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract 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, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex, or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation.

3. Wage and Hours Provisions. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as


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determined by the State Labor Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment.

4. Non-Collusive Bidding Certification. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered a non-collusive bidding certification on Contractor's behalf.

5. Internal Boycott Prohibition. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment, or modification thereto shall be rendered forfeit and void. The Contractor shall so notify within five (5) business days of such conviction, determination, or disposition of appeal (2NYCRR 105.4).

6. Records. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts, and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing, and copying.

7. Equal Employment Opportunities for Minorities and Women. In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition,


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construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then the following shall apply and by signing this agreement the Contractor certifies and affirms that it is Contractor’s equal employment opportunity policy that:

a. The Contractor will not discriminate against employees or applicants for employment

because of race, creed, color, national origin, sex, age, disability or marital status, shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on State contracts and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation;

b. at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein; and

c. the Contractor shall state, in all solicitations or advertisements for employees, that, in the

performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability, or marital status.

Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods, or services unrelated to this contract; or (ii) employment outside New York State. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of


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the Department of Economic Development’s Division of Minority and Women's Business Development pertaining hereto.

8. Governing Law. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise.

9. MacBride Fair Employment Principles. In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles.

10. Omnibus Procurement Act of 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors, and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic Development Division for Small Business Albany, New York 12245 Telephone: 518-292-5100 Fax: 518-292-5884 email: [email protected]

A directory of certified minority and women-owned business enterprises is available from:

NYS Department of Economic Development Division of Minority and Women's Business Development 633 Third Avenue New York, NY 10017 212-803-2414 email: [email protected] https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million:

a. The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-


https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp


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owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

b. The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

c. The Contractor agrees to make reasonable efforts to provide notification to New York State

residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and

d. The Contractor acknowledges notice that the State may seek to obtain offset credits from

foreign countries as a result of this contract and agrees to cooperate with the State in these efforts.

11. Reciprocity and Sanctions Provisions. Bidders are hereby notified that if their principal place of

business is located in a country, nation, province, state, or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana, and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision.

12. Compliance with New York State Information Security Breach and Notification Act. Contractor shall comply with the provisions of the New York State Information Security Breach and Notification Act (General Business Law Section 899-aa; State Technology Law Section 208).

13. Iran Divestment Act. By entering into this Agreement, Contractor certifies in accordance with State Finance Law §165-a that it is not on the “Entities Determined to be Non-Responsive Bidders/Offerors pursuant to the New York State Iran Divestment Act of 2012” (“Prohibited Entities List”) posted at: http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf Contractor further certifies that it will not utilize on this Contract any subcontractor that is identified on the Prohibited Entities List. Contractor agrees that should it seek to renew or extend this Contract, it must provide the same certification at the time the Contract is renewed or extended. Contractor also agrees that any proposed Assignee of this Contract will be required to certify that it is not on the Prohibited Entities List before the contract assignment will be approved by the State.

http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf


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During the term of the Contract, should information be received that a person (as defined in State Finance Law §165-a) is in violation of the above-referenced certifications, such information will be reviewed and offer the person an opportunity to respond. If the person fails to demonstrate that it has ceased its engagement in the investment activity which is in violation of the Act within 90 days after the determination of such violation, then action as may be appropriate and provided for by law, rule, or contract, including, but not limited to, imposing sanctions, seeking compliance, recovering damages, or declaring the Contractor in default. The right to reject any bid, request for assignment, renewal or extension for an entity that appears on the Prohibited Entities List prior to the award, assignment, renewal or extension of a contract, and to pursue a responsibility review with respect to any entity that is awarded a contract and appears on the Prohibited Entities list after contract award is reserved.


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Section 6.0 –Attachments

Attachment 1: FEMA Award Letter

Attachment 2: State Historic Preservation Office Conditions

U.S. Department of Homeland SecurityFederal Emergency Management AgencyNY Sandy Recovery Field Office DR-4085118-35 Queens BoulevardForest Hills, NY 11375

December 8, 2015

Ruth PierpontDeputy State Historic Preservation Officer Division for Historic PreservationPeebles Island State ParkP. O. Box 189Waterford, NY 12188-0189

Applicant: Richmond University Medical Center (RUMC), Wind Resiliency (HMGP #1189) Address: 355 Bard Avenue, Richmond County, Staten Island, New York, 10310

Dear Ms. Pierpont:

The Federal Emergency Management Agency (FEMA) will be providing funds authorized thru the Public Assistance Program in response to the major Disaster Declaration for FEMA-4085-DR-NY, dated October 28, 2012, as amended. FEMA is conducting Section 106 review for the above referenced Undertaking.

Project Information The Undertaking, Richmond University Medical Center (RUMC), is located at 355 Bard Avenue, Richmond County, Staten Island, 10310 (40.63579, -74.10596). The RUMC campus consists of a collection of buildings dating from c.1859-60 to the late twentieth century (see Map Index, Figure 3). Of the 11 buildings on the campus, six of them are 45 years or older. These include: Villa Building (c.1859-60/1903-06), Garner Mansion gatehouse (approximate date of construction c.1859-60), Fitzpatrick Building (1920), Main Building (1929), Spellman Building (1960), and Resident’s Dormitory (1970). Buildings less than 45 years old include: the power plant (1972), Saint Elizabeth Seton Pavilion (1979), Cardinal Cook Pavilion (1981), Murphy Cottage (constructed between 1980-1987), and Sister Loretto Bernard Pavilion (c.1990). Consultation is being conducted for the campus-wide wind resiliency mitigation work. (No work is proposed at the Garner Mansion gatehouse or the Murphy Cottage.)

During Hurricane Sandy, high velocity winds, heavy rain and strong storm surge caused severe flooding throughout the Staten Island Area. During the storm event the entire campus of RUMC sustained damages from heavy winds and wind-driven rain which penetrated both window and door openings as well as caused flooding in the basements of several buildings.

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Description of UndertakingThe scope of work for permanent work to pre-disaster condition and mitigation for this project worksheet meets the description of Tier I Allowance, II.A. and Tier II Allowances II.C.2. and II.C.3. as defined in the 2014 Programmatic Agreement.

The scope of work for this project that does not meet Programmatic Allowances includes the following mitigation proposal:

Install deployable hurricane screens campus-wide that will be stored and deployed at the onset of a storm eventInstall rooftop skylight protective cages (instead of skylight removal or shuttering) at the Villa, Cook, and Fitzpatrick Buildings, as well as the power plant “to preserve the aesthetics and natural light in the interior of the structures”Replace windows campus-wide:

o Install wood-sash with aluminum cladded, double-hung impact windows “that conform to the aesthetics of campus buildings” for the Villa Building (a.k.a. the Garner Mansion with rear addition)

o Install aluminum sash and casement windows for buildings determined noteligible for the National Register of Historic Places (NRHP)

Area of Potential Effects (APE) The APE for standing structures and archaeology has been determined to be the boundaries of the entire RUMC campus in order to encompass all work performed for nine (9) of the eleven (11) buildings. The RUMC campus is bordered by Bard Avenue to the west, Castelton Avenue to the south, hospital parking lots to the north, and a natural buffer of trees to the west (see Map Index, Figures 2 and 3).

Evaluation of Architectural Significance Research conducted by FEMA EHP during the federal review process revealed that the Garner Mansion was listed in NYSHPO Cultural Resources Information System (CRIS) as “undetermined” and the 355 Bard Avenue (the RUMC campus) was listed as not eligible for the National Register. However, per SHPO correspondence dated September 21, 2015, your office made the determination that the Villa Building (consisting of the Garner Mansion and the 1903-06 rear addition) as well as the Garner Mansion gatehouse was eligible for the National Registerof Historic Places (NRHP) under criterion C. The remaining buildings on the RUMC campus were determined by SHPO as not eligible for NRHP listing. Additional research disclosed that the NYC Landmark Preservation Commission (LPC) calendared the Villa Building in 1966 where it remains as a calendared property.

The Garner Mansion, in the Second Empire style, consists of two-stories with a Mansard roof attic and convex window dormers. It is a rare extant example of pre-Civil War housing in New York City. The exterior is clad in chiseled brownstone with a prominent four-story square tower with paired wooden arched entry doors and windows. The addition that was added to the rear of the Garner Mansion is also two-stories with featured pedimented gables, a columned entry porch with cornice, and double-hung, wood windows with diamond-pattern upper sashes. The two attached buildings are known collectively as the Villa Building.

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Because the Villa Building has been determined eligible for the NRHP and calendared by the LPC, special consideration must be taken to avoid harm to the character defining characteristics of the building. In particular, for this structure, significant elements are original window detailsthat include diamond pane sashes, round and arched frames, thin muntins and a specific number of window panes per sash. The Secretary of the Interior’s Standards for Rehabilitation #6 states “Where the severity of deterioration requires replacement of a distinctive feature, the new feature will match the old in design, color, texture, and, where possible, materials.” Replacementwindows proposed by the Subgrantee must adhere to this standard to avoid any adverse effect to the historic building. The Subgrantee has proposed a material change in order to increase the wind and flood resiliency on the hospital campus and to prevent building damage as a proactive measure in advance of another storm event. The window detail sheets that were provided describe the replacement windows and show that the proposed replacements will visually match the existing windows (see Window Detail sheets).

The hurricane screens that are being proposed for this project are presented as a less intrusive barrier to wind and rain than flood gates or flood barriers. However, in order to not cause harm to historic fabric, installation on the Villa Building must be done in a manner that does not cause damage to exterior finishes including the brownstone exterior and the window and door trim. It appears from the schematic that the screens will be attached to the new window units. If any attachments to the building are considered, the screens should not be installed into the face of stone or other surfaces that may be damaged. To cause the least amount of harm, for example, anchors or other fasteners could only be installed into mortar joints.

The decorative roof skylights appear to be original features of the Villa Building and are not visible from the right-of-way. The Subgrantee is proposing skylight cages as a better alternative to removing or replacing the roof skylights or altering them, which could cause permanent damage to historic fabric. As described, the window cages will be designed to preserve the historic characteristics of the rooftop skylights and allow natural light into the building. Aerial images show roofing materials that are likely not original to the Villa Building (see Map Index).However, care should be taken during installation in order not to harm any remaining historic material of the sky lights. Additionally, caution should be taken to avoid any installation penetrations that could cause harm to interior spaces.

Evaluation of Archaeological Impact No ground disturbing activities are proposed for the project. Therefore, no archaeological resources will be impacted by the project.

Determination of EffectFEMA concurs with SHPO’s determination that the Villa Building, consisting of the Garner Mansion and 1903-06 addition, are eligible for the National Register of Historic Places under Criterion C along with the Garner Mansion gatehouse. FEMA also concurs that the remainingbuildings on the RUMC campus are not eligible for NRHP listing. In addition, the potential to encounter in-situ prehistoric and/or historic period archaeological sites eligible for listing in the NRHP is low as there are no ground disturbance is associated with the project activities.

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Therefore, with regard to the NRHP-eligible Villa Building (The Garner Mansion and addition), if all work to replace windows, install hurricane screens, and install skylight cages is in-keeping with the Secretary of the Interior’s Standards for Rehabilitation and care is taken to avoid harm to intact historic architectural elements of the mansion, the determination of effect for this Undertaking is No Adverse Effect to Historic Properties that are either in, or eligible for inclusion in the State or National Register of Historic Places.

We request concurrence with this determination of effect within fifteen (15) calendar days. Should you need additional information please contact James Zwolak, Historic Preservation Team Lead by email at [email protected] or by phone at (646) 832-6255 and/or Patrick McGinnis, Archaeology Reviewer, by email at [email protected].

Sincerely,

Brock A. Giordano, RPAActing EHP Branch Director4085-DR-NY

BG/jz/pm

cc: Rick Lord, NYS Division of Homeland Security & Emergency ServicesGina Santucci, Director of Environmental Review

Enclosures: Map Index_RUMCPhoto Index_RUMCWindow detail sheets

BROCK A GIORDANO

Digitally signed by BROCK A GIORDANO DN: c=US, o=U.S. Government, ou=Department of Homeland Security, ou=FEMA, ou=People, cn=BROCK A GIORDANO, 0.9.2342.19200300.100.1.1=0296759531.FEMA Date: 2015.12.08 12:56:40 -05'00'

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Map Index Disaster 4085-DR-NY

Richmond University Medical Center (RUMC)

Figure 1: RUMC campus, Richmond County – aerial map

Figure 2: RUMC, Richmond County – CRIS APE map

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Map Index Disaster 4085-DR-NY


Figure 3: RUMC campus, Richmond County – aerial map building locations

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Photo Index Disaster 4085-DR-NY


Photo 3 – Villa Building (Garner Mansion, NE elevation)

Photo 4 – Villa Building (Garner Mansion window detail)

Photo 1 – Villa Building (Garner Mansion tower, west elevation)

Photo 2 – Villa Building (Garner Mansion, south elevation)

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Photo 7 – Villa Building (Garner Mansion addition, window and pediment detail)

Photo 8 – Villa Building (Garner Mansion addition, north elevation)

Photo 5 – Villa Building (Garner Mansion addition, south elevation)

Photo 6 – Villa Building (Garner Mansion addition, door detail)

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Photo 11 – Main Building (north and east elevations)

Photo 9 – Fitzpatrick Building (east elevation)

Photo 10 – Fitzpatrick Building (carriage house, east elevation)

Photo 12 – Main Building (east elevation)

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Photo 15 – Residents (west elevation)

Photo 16 – Residents (east elevation)

Photo 13 – Spellman Building (south elevation)

Photo 14 – Spellman Building (south elevation, detail)

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Photo 19 – Seton Pavilion (NNW elevation)

Photo 17 – Power Plant (west elevation)

Photo 18 – Power Plant (west elevation)

Photo 20 – Seton Pavilion (NNE)

6



Photo 23 – Bernard Pavilion (main entrance, west elevation)

Photo 24 – Bernard Pavilion (west elevation)

Photo 21 – Cook Pavilion (west elevation)

Photo 22 – Cook Pavilion (west and north elevation)

27-01 Queens Plaza North

Suite 800

Long Island City

New York 11101

Tel 718 446 0116

Fax 718 446 4020

Page:

1/5

To:

Sheila Hascall, Grants Manager New York State Division of Homeland Security and Emergency Services

Copies:

Brian Moody Esq., Vice President Richmond University Medical Center

From:

Edward J. Fernandez, CFM ARCADIS

Date: ARCADIS Project No.:

November 13, 2015 1189 – Wind Resiliency

Subject:

Richmond University Medical Center, Historic Preservation Considerations – Original March 3, 2015. Amended November 13, 2015.

The Richmond University Medical Center (RUMC) campus features buildings dating from as early as the nineteenth century and represents an important historical resource of the Staten Island community. In particular, the W.T. Garner Mansion (referred to as the Villa Building) is a structure located on the hospital campus which will require specific historical design considerations. The proposed wind resiliency project will provide protection for the nine buildings of the RUMC campus from damage due to high wind speeds. As part of the project scope, openings in the building envelope must be replaced with impact-resistant glass, louvres, doors, and other impact resistant materials. In order to preserve the historical integrity of the hospital’s appearance, the project scope comprises a number of design factors which include the installation of the following material:

Wood sash with aluminum cladding double hung impact windows that conform to the aesthetics ofcampus buildings (where applicable – i.e. Villa Building);

Deployable hurricane screens which will remain out of sight during normal weather conditions willbe used to protect glazing of historic significance (stained glass, etc.); and

Skylight protective cages (instead of skylight removal or shuttering) to preserve aesthetics andnatural light in the interior of the structures (where applicable).

Each window will be installed with aluminum cladding and a water-treated wood sash interior that is resistant against wood rot and may be stained to match the original finish. All windows will contain impact glass rated to the appropriate wind standards provide in the scope of work. A specification sheet of a comparable material (specific vendor and material will be identified post-award following a procurement) to be installed on the building can be found in Attachment A. The new windows to be installed on the Villa Building (refer to Table 1) will be specially designed to replicate the existing windows installed or may be based on historic photographs to ensure that all historic attributes remain intact or are enriched. Additionally, all architectural

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glass that does not penetrate the building envelope, decorative wooden doors (such as those located at the main entrance of the Villa Building), and all stained glass will remain undisturbed. RUMC is confident that the proposed scope will accomplish the goals of hazard resiliency without compromising the historic fabric of the RUMC campus. Table 1 RUMC Villa Building, Wind Resiliency Project Opening Type and Quantity

Item Qty.

Wood Sash with Aluminum Cladding Double Hung Impact Windows 117 Casement Impact Windows 58 Fixed Aluminum Impact Transom 98 Picture Impact Windows 139 Circle Impact Windows 1 Hurricane Screens 25 Skylight Cages 4 Pre‐Hung Storefront Doors 1 24' Extrusion 1 Steel Doors 7

Figures 1-3 provide an example of an historic structure retrofitted with similar material being proposed for the Villa Building.

Figure 1 Example of Proposed Material, Pre- and Post-Installation

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Figure 2 Example of Proposed Material, Post-Installation

Figure 3 Example of Proposed Material, Post-Installation

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Attachment A Specification Sheets

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Attachment B RUMC Villa Building Photograph Log

PHOTOGRAPH LOG Project Name: Richmond University Medical Center Wind Resiliency Project

Site Location: 355 Bard Avenue, Staten Island, NY 10310 Location of Photo: Villa Building (W.T. Garner Mansion)

Direction of Photo: N

Photo No: 01

Date: 11/10/2015

Description: South Facade



Direction of Photo: N-NE

Photo No: 02

Date: 11/10/2015

Description: Main Entrance, tower and porte-cochere (West façade) Note: Highlighted openings are architectural features and do not penetrate building envelope. These openings are not included in the scope of work.




Photo No: 03

Date: 11/10/2015

Description: South façade Detail




Photo No: 04

Date: 11/10/2015

Description: Tower Detail




Photo No: 05

Date: 11/10/2015

Description: Entrance detail (West Façade) Note: Highlighted openings are architectural features and do not penetrate building envelope. These openings are not included in the scope of work. The main entrance door to the Villa Building has historical significance and is not included in the scope of work.



Direction of Photo: E

Photo No: 06

Date: 11/10/2015

Description: West façade detail



Direction of Photo: S

Photo No: 07

Date: 11/10/2015

Description: West façade Detail Note: Highlighted openings are architectural features and do not penetrate building envelope. These openings are not included in the scope of work.




Photo No: 08

Date: 11/10/2015




Direction of Photo: NW

Photo No: 09

Date: 11/10/2015





Photo No: 10

Date: 11/10/2015

Description: Extension “Garner Building” Note: Highlighted openings are architectural features (stained glass) this glazing will be protected with hurricane impact screens as indicated in the scope of work and cost estimate.



Direction of Photo: W

Photo No: 11

Date: 11/10/2015

Description: Extension “Garner Building” East facade



Direction of Photo: S-SE

Photo No: 12

Date: 11/10/2015

Description: Extension “Garner Building” North facade



Direction of Photo: S-SW

Photo No:13

Date: 11/10/2015

Description: Extension “Garner Building” North facade and connection detail.



Direction of Photo: SW

Photo No: 14

Date: 11/10/2015

Description: Rear detail




Photo No: 15

Date: 11/10/2015

Description: North facade



Direction of Photo: SW

Photo No: 16

Date: 11/10/2015

Description: Rear façade detail




Photo No: 17

Date: 11/10/2015

Description: North façade detail

ENVIRONMENTAL REVIEW

Project number: FEDERAL EMERGENCY MGT AGENCY / 106-R Project: RICHMOND UNIVERSITY MEDICAL CENTER Address: 355 BARD AVENUE, BBL: 5001020001 Date Received: 12/8/2015 [ ] No architectural significance [X] No archaeological significance [ ] Designated New York City Landmark or Within Designated Historic District [ ] Listed on National Register of Historic Places [X ] Appears to be eligible for National Register Listing and New York City Landmark Designation [ ] May be archaeologically significant; requesting additional materials Comments: The Villa Building (Garner Mansion) is calendared for designation as a NYC landmark. LPC defers to the SHPO regarding treatment of this property. Cc: SHPO

12/11/2015 SIGNATURE DATE Gina Santucci, Environmental Review Coordinator File Name: 31049_FSO_GS_12112015.doc

Division for Historic Preservation

P.O. Box 189, Waterford, New York 12188-0189 • (518) 237-8643 • www.nysparks.com

ANDREW M. CUOMO ROSE HARVEY

Governor Commissioner

December 22, 2015

Brock GiordanoFEMA118-35 Queens BoulevardForest Hills, NY 11375

Re: FEMA/ DHSES/ HMGP-02-DR-4085-HMGP-1189Richmond University Medical Center wind resiliency mitigation355 Bard Avenue, Staten Island, Richmond County

15PR07185

Dear Mr. Giordano:

Thank you for requesting the comments of the New York State Historic Preservation Office (SHPO). Wehave reviewed the submitted materials in accordance with Section 106 of the National HistoricPreservation Act of 1966. These comments are those of the SHPO and relate only to Historic/Culturalresources. They do not include other environmental impacts to New York State Parkland that may beinvolved in or near your project. Such impacts must be considered as part of the environmental review ofthe project pursuant to the National Environmental Policy Act and/or the State Environmental QualityReview Act (New York Environmental Conservation Law Article 8).

Based on this review, the SHPO concurs with your agency’s determination that the proposed undertakingwill have No Adverse Effect to Historic Properties in or eligible for inclusion in the State or NationalRegister of Historic Places, with the following conditions:

1. Install hurricane screens campus-wide that will be stored and deployed at the onset of a stormevent.

2. Install rooftop skylight protective cages at the Villa, Cook, and Fitzpatrick Buildings.3. Replace windows at the Villa Building: wood sash with aluminum-clad, double-hung impact

windows that match the existing stile & rail dimensions, muntin profile (if any) and number ofpanes.

4. Install aluminum sash and casement windows for buildings determined not eligible for the NationalRegister of Historic Places.

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Division for Historic Preservation

P.O. Box 189, Waterford, New York 12188-0189 • (518) 237-8643 • www.nysparks.com

If I can be of further assistance, please contact me at (518) 268-2187 or [email protected].

Sincerely,

Larry K Moss, Historic Preservation Technical Specialist

CC: Rick Lord, DHSESTracy NelsonJamie ZwolakGina Santucci, LPC