RFPP for Stephenson Brook Drainage_Final.pdf

Alvaro Alfonzo-Larrain, P.E., M.Eng. Alexander Oliveira Commissioner Deputy Commissioner

City of New Rochelle Department of Public Works

515 North Avenue, New Rochelle, NY 10801 ● (914) 654-2130 ● (914) 654-2195 (fax)

Request for proposals for the

Stephenson Brook Resiliency Planning Project

DPW Project # 25-035 / SPEC # 5793

May 12th 2025

1. General:

The City of New Rochelle (City) is issuing this Request for Proposals (RFP) from qualified engineering firms for Stephenson Brook Resiliency Planning Project which will develop the drainage improvements at

Paine Lake/Valley Rd (the Project). The Project generally entails the performance of field investigations and hydrologic and hydraulic analysis of the drainage watershed associated with the drainage systems upstream of Paine Lake and the lake itself for the design of drainage improvements to alleviate recurring flooding conditions at these locations.

Interested parties shall submit their proposal no later than Wednesday, June 11th 2025 at 3:00 PM in a sealed envelope plainly marked “Stephenson Brook Resiliency Project / Spec # 5793” to the address shown below:

Purchasing Department

515 North Avenue

New Rochelle, NY 10801

Bids will be publicly open at the Ground Floor Purchasing Office at the aforementioned date/time and a

Notice of Award is anticipated to be issued to the successful firm on or before June 18th 2025.

This RFP along with any relevant communication pertaining to this procurement will be available for direct download from the City’s website at http://www.newrochelleny.com/bids.aspx under Bid

Opportunities. It is the interested parties’ responsibility to check for updates and/or addendums through this channel.

A pre-submission conference call is scheduled for Monday, May 19th 2025 at 11 am. Please use telephone number (929) 242 8427 access code 819 946 772#. This conference call will be the only opportunity for all prospective firms to clarify any questions regarding this RFP.

Note that firms certified as Minority Business Enterprises (MBE) and Women Business Enterprises (WBE), and/or Service-Disabled Veteran-Owned Business Enterprises (SDVOB) are strongly encouraged to participate. The City of New Rochelle is also a supporter of the Westchester Affirmative Action Equal

Employment Opportunity requirements and agreements and encourages employment of New Rochelle residents.

The City has acquired a grant under the Resilient Investments through Support and Capital (RISC) program from the Housing Trust Fund Corporation, represented by the New York State (NYS) Homes and Community Renewal (HCR) Office of Resilient Homes and Communities (ORHC), that is funded by a United States Department of Housing and Urban Development Community (HUD) Development Block

Grant Disaster Recovery (CDBG-DR) allocation to NYS to support long-term recovery efforts in response to Hurricane Ida (FEMA DR-4615). The work undertaken will be in accordance with the

TASK

No.

TASK NAME

SCOPE

(includes but is not limited to)

DELIVERABLES

1 Field Investigations

Scoping and preperation of topographic and bathymetric surveys, CCTV inspections of existing drainage infrastructure, field investigations to assess feasibility and to assist design.

Signed/sealed surveys, field investigation maps, percolation tests, test pit logs, boring logs, inspection reports, etc…if applicable

Hydrologic and Hydraulic

Analysis, BCR Analysis, and Permit Review

Civil Engineering, hydrologic and hydraulic analysis/modeling to verify feasibility and effectiveness of conceptual drainage improvements previously formulated, and detailed design of discrete drainage improvements.

Signed/sealed engineering report summarizing the results from the site constraint and hydrologic/hydraulic analyses, scope of recommended drainage improvement along with their associated/estimated construction cost, benefit cost racio, and listing of the anticipated permit requirements for implementation/construction of the proposed drainage improvements

3 Preliminary Design

Development of engineering plans showing limits of work and configuration of the recommended/selected drainage improvements

10% design development level engineering plans showing the layout of the proposed drainage improvements.

Plans shall include planimetry, limits of work, and preliminary system elevations standard requirements and conditions described in Attachment F: IDA Subrecipient Agreement (SRA) to this RFP that are applicable to contractors and subcontractors. This includes but is not limited to Sections

“10(B) Subcontracting” and the MBE, WBE, SDVOB and other participation goals and reporting requirements outlined in Appendix 1 to the SRA.

2. Background and Purpose:

The City of New Rochelle completed a Citywide Drainage Study to identify potential drainage projects to help mitigate recurring flooding conditions at various locations through ought the City. The Stephenson

Brook Watershed Report was developed as part of this initial effort and identified Sub-Basins 4A and 4B as problem drainage systems upstream of Paine Lake. The Stephenson Brook Watershed Report also provided concept solutions to improve drainage conditions in this area, which is subject to recurring flooding that has historically resulted in health and safety concerns and damage to public and private infrastructure.

The goal of this Project is to investigate the feasibility of the conceptual drainage improvements for Sub-basins 4A and 4B previously recommended/formulated, to verify the anticipated drainage benefit, and to design the actual drainage improvements required to adequately convey stormwater runoff and minimize flooding conditions at Paine Lake and its neighboring areas.

For additional information Refer to Attachment E – Watershed Report (available online).

3. Scope of Work:

Phase 001 Pre-Planning Activities

This phase of work will be funded by a RISC grant and includes pre-planning activities required to further advance the drainage improvement concepts previously formulated. Specifically, the following table provides a summary of the various tasks to be completed under this phase of work.

Fee: Consultants shall propose a lump sum fee for each task for a lump sum grand total for Phase 001

Pre-Planning Activities. The lump sum fees shall be inclusive of any anticipated reimbursables and sub-consultant fees.

Schedule: This phase of work, inclusive of Tasks 1 through 3, shall be completed on or before October 1st

2025.

Phase 002 – Design and Development of Bid Documents

The goal of this phase is to advance the preliminary design from Phase 001 into final design and development of Bid Documents suitable for permitting, bidding and construction.

Bid documents shall consist of a Project Manual (front-end and technical specifications) and Project

Drawings (signed and sealed by a NYSPE). The City will provide the consultant with the front-end sections for assembly of the bid documents. The bid form shall be prepared by the consultant and embedded into the front-end section.

Deliverables: milestone deliverables including 50% Design Development and 100% Design

Development, and Final Bid Documents. The City will review and provide comments within one calendar week from submission of a milestone deliverable.

Fees: We recognize that the scope of work for this phase will remain ill-defined until Phase 001 is complete. Therefore, consultants are required to submit proposed billing rates by staff title, and a not-to-exceed estimate based on staff hourly allocations for an assumed effort. The not-to-exceed estimate will help the City with the budgeting of this future phase of work.

Schedule: Implementation of this phase would occur in 2026 and be contingent on the results of Phase

001, anticipated cost, and budget availability

▪ 50% Design Development: TBD

▪ 100% Design Development: TBD

▪ Final Bid Documents: TBD

Phase 003 – Engineering Support During Construction

Under this phase of work, the Consultant will provide engineering support services during construction on a time and material basis. Services to be completed under this phase include, but are not limited to, review of submittals, milestone inspections, and miscellaneous technical support.

Fee: Provide hourly rates and anticipated not to exceed value, based on assumptions. The not-to-exceed estimate will help the City with the budgeting of this future phase of work.

Deliverable: Review of submittals, response to RFIs, etc…

Schedule: Implementation of this phase would occur in 2026 and be contingent on the results of Phase

001, anticipated cost, and budget availability

4. Proposal Format

Proposals shall be submitted in printed paper and electronically in PDF format in a dedicated USB drive.

The consultant’s proposal shall include the following sections:

Section 1 - Firm Qualifications and Availability

This section shall include information on the Firm’s technical expertise and relevant experience and key staff to be assigned to the project, including their resumes. This section shall also acknowledge and comment on the firm’s ability to meet the Project schedule.

Section 2 – Project Scope of Work and Fee

Provide a narrative and/or description of the project understanding, proposed approach and work to be completed under each phase of work, and outline of assumptions for the estimated effort, along with the proposed fees as follows:

• For Phase 001; provide a lump sum fee total with task fee breakdown, as well as proposed bill rates by staff title that will remain in effect for the duration of Phase 001 to be utilized for any additional work authorized by the City under this Phase.

• For Phase 002; provide the proposed billing rates by staff title

• For Phase 003; provide the proposed billing rates by staff title

In addition to scope and fee, all proposals shall include signed Vendor Responsibility Forms in

Attachment A of this RFP.

5. Bid Evaluation, Acceptance or Rejection

The selection of the successful bidder will be based on qualifications, expertise, project approach and understanding, fees and availability. Specifically, the City will review and grade all proposals in accordance with the following criteria:

• Qualifications and expertise (Max. 20 points)

• Project approach and understanding (Max. 50 points)

• Consultant fees (Max. 30 points)

The City of New Rochelle reserves the right to reject any or all proposals and to negotiate with any bidder.

6. Professional Services Agreement

Selected firms will be required to execute a Professional Services Agreement prior to commencement of the work. A copy of the City’s standard Professional Service Agreement can be found as Attachment B of this RFP. Be advised that the City will not entertain any changes to this document.

7. Insurance Requirements

Insurance requirements for this project are prescribed in Attachment C of this RFP. Selected firms must demonstrate adequate proof of insurance for the execution of an Agreement. Be advised that the City will not relax insurance coverage limits.

8. Vendor Responsibility Questionnaire

Interested parties shall submit with their proposal a Vendor Responsibility Questionnaire (VRQ) which is accessible through the Office of the New York State Comptroller via the VendRep system available online at: https://www.osc.ny.gov/state-vendors/vendrep/file-your-vendor-responsibility-questionnaire.

Interested parties must submit a copy of the VRQ itself, not a certification of filing.

9. Additional Contract Requirements

Additional contract requirements are included in Attachment D of this RFP. All bidders must acknowledge and be familiar with these requirements prior to submitting a proposal.

Attachments:

➢ Attachment A: Vendor Responsibility Forms

➢ Attachment B: Professional Service Agreement

➢ Attachment C: Insurance Requirements

➢ Attachment D: Additional Contract Requirements

➢ Attachment E: Stephenson Brook Watershed Analysis Report (available online at https://newrochelleny.com/DocumentCenter/View/17725/Stephenson-Brook-Drainage-Basin-

Final-Report)

➢ Attachment F: IDA Subrecipient Agreement (SRA) https://www.osc.ny.gov/state-vendors/vendrep/file-your-vendor-responsibility-questionnaire https://newrochelleny.com/DocumentCenter/View/17725/Stephenson-Brook-Drainage-Basin-Final-Report https://newrochelleny.com/DocumentCenter/View/17725/Stephenson-Brook-Drainage-Basin-Final-Report

By signing in the space provided below, the undersigned certifies that the respondent (i) has read and understands and accepts the scope and requirements of this project and all of the attachments; (ii) has the capacity to execute this project; (iii) agrees to accept payment in accordance with the requirements of this Proposal and the standard construction services contract, and (iv) will, if its proposal is accepted, enter into a standard agreement with the

City of New Rochelle.

The undersigned further stipulates that the information in this proposal is, to the best of knowledge and belief, true and accurate and pricing has been prepared independently without collusion, consultation, communication or agreement, for the purpose of restricting or influencing competition, as to any matter relating to such prices with any other bidder or competitor.

Name of Firm/Consultant

By: ____________________________

Signature of Partner or Corporate Officer Date

Print Name Title

Telephone / Fax #’s EIN #

Address E-mail address

ADDENDUM ACKNOWLEDGEMENT:

Addendum Number Received By

(Name to Acknowledge Receipt of Addendum reviewed for this proposal, if applicable)

ATTACHMENT A: VENDOR RESPONSIBILITY FORM

PROFESSIONAL SERVICES AGREEMENT

THIS PROFESSIONAL SERVICES AGREEMENT (“Agreement”) is made and entered into as of the date of the last signature below (“Effective Date”), by and between the CITY

OF NEW ROCHELLE, a municipal corporation of the State of New York, having offices at City

Hall, 515 North Avenue, New Rochelle, New York 10801 (“City”), and

_____________________________________________________, a corporation duly organized, validly existing and in good standing under the law of the State of New York, having offices at

_________________________________________________________________ (“Consultant”).

W I T N E S S E T H:

WHEREAS, the City issued Request for Proposals, Specification No. ____ (“RFP”), seeking professional and qualified engineering consultants to provide design plans, construction bid documents, and construction assistance for

______________________________________________ at _____________________

(“Project”); and

WHEREAS, Consultant submitted a proposal dated _______________________

(“Proposal”) to undertake the scope of work necessary to meet the City’s objectives and advance the Project; and

WHEREAS, the City is of the opinion that Consultant has the qualifications to effectively and efficiently provide said consulting services, and Consultant is agreeable to provide such services pursuant to the terms and conditions set forth in this Agreement.

NOW, THEREFORE, in consideration of the foregoing recitals, the following mutual covenants and agreements, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties agree as follows:

1. Consultant shall perform the services and tasks and furnish the deliverables set forth and in accordance with the City’s RFP, annexed hereto and made a part hereof as Schedule A

(“Services”), and Consultant’s Proposal in response thereto, annexed hereto and make a part hereof as Schedule B (sometimes referred to collectively herein as the “Consulting Services”), and the terms of this Agreement to the satisfaction of the City’s Commissioner of Public Works

(“Commissioner”) or his authorized designee.

2. Consultant shall provide all necessary labor, supervision, equipment, facilities, materials, supplies, and incidentals necessary to perform the Consulting Services in a safe, competent and professional manner consistent with the prevailing standards in the industry.

3. For the satisfactory provision of the Consulting Services, Consultant shall be paid a sum not-to-exceed _________________________________Dollars ($________). All services shall be billed in accordance with the rates set forth in Schedule B. Progress invoices and supporting documentation shall be submitted to the satisfaction of the City, and payment shall be made by the

City within thirty (30) days of receipt and approval of such invoice by the City. There shall be no aalfonzo Text Box

SAMPLE AGREEMENT

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ATTACHMENT B: PROFESSIONAL SERVICE AGREEMENT

payment for out-of-pocket expenses or disbursements made in connection with the services hereunder, including but not limited to, vehicle usage, travel expenses, lodging, mileage, meals, phone, equipment or reproduction costs, unless pre-approved in writing by the Commissioner.

4. No payment for changed or additional services shall be made unless the changed or additional services have first been approved by the Commissioner in a written change order or amendment, and the parties have agreed upon the appropriate adjustment, if any, to the maximum payment amount and/or rates for the changed or additional services. Any change order or amendment shall not render ineffective or invalidate unaffected portions of this Agreement.

5. Consultant shall commence the Consulting Services promptly upon the written direction of the Commissioner and shall perform and complete said services in accordance with the work schedule prescribed in Schedule A. Consultant shall promptly inform the Commissioner in writing of any cause for delay in the performance of its obligations under this Agreement. TIME IS OF

THE ESSENCE to this Agreement.

6. All documents, data, records, reports or other materials produced in conjunction with this Agreement shall be delivered to and become the property of the City. Consultant shall maintain any and all ledgers, books of account, invoices, vouchers, cancelled checks, and other records or documents evidencing or relating to the performance of and charges for the services hereunder, including expenditures and disbursements charged to the City, for a minimum period of six (6) years, or for any longer period as required by law, from the date of final payment to

Consultant under this Agreement.

7. Consultant represents that it has no interest and will not acquire any interest, direct or indirect, that would conflict with the performance of this Agreement.

8. Consultant acknowledges and agrees that it is retained by the City only for the purposes and to the extent set forth in this Agreement, and that its relationship to the City shall, during all periods of service hereunder, be that of an independent contractor. Consultant acknowledges that it will not hold itself, its officers, employees, and/or agents out as employees of the City.

Consultant shall not be considered as having employee status and shall not be entitled to participate in any of the City’s workers’ compensation, retirement, fringe benefits, unemployment insurance, liability insurance, disability insurance, or other similar employee benefit programs. Similarly, Consultant’s officers, employees, and/or agents shall not be considered as having employee status for the purposes of any rights, privileges or benefits derived from employment by the City.

Consultant agrees that this Agreement does not confer benefits of any nature whatsoever upon it other than payment for services provided herein. Consultant shall not assert any claim for additional benefits of any nature, including, but not limited to, unemployment compensation benefits, by reason of the services to be performed pursuant to this Agreement. Consultant shall not be entitled to assert any claim to entitlements pursuant to any collective bargaining agreement now or hereafter in effect between the City and its employees.

9. Consultant shall not transfer or assign any of its rights, interests or obligations under this Agreement, or contract any of the services to be performed by Consultant under this aalfonzo

SAMPLE AGREEMENT

Agreement to any subcontractor without the express written consent of the City. Any assignment or subcontract shall be subject to all of the terms of this Agreement.

8. Consultant, at its own cost and expense, shall secure and maintain at all times during this Agreement the following minimum limits of insurance:

Workers’ Compensation/

Employers’ Liability Statutory Limits

New York Disability Statutory Limits

Automobile Liability $1,000,000 combined single limit for bodily injury and property damage, including coverage for owned, non-owned, and hired autos (to be stated on certificate)

Commercial General Liability $2,000,000 each occurrence and in the aggregate for bodily injury, personal and advertising injury, and property damage, including contractual liability (to be stated on certificate)

Professional Liability $2,000,000 per occurrence and in the aggregate

CONSULTANT SHALL NAME THE CITY OF NEW ROCHELLE AS AN ADDITIONAL

INSURED ON ALL COMMERICAL GENERAL, AUTOMOBILE, AND

EXCESS/UMBRELLA LIABILITY POLICIES. PRIOR TO COMMENCING THE

CONSULTING SERVICES HEREUNDER, CONSULTANT SHALL PROVIDE

CERTIFICATES OF INSURANCE AND ENDORSEMENTS SATISFACTORY TO THE CITY.

POLICIES PROVIDING ADDITIONAL INSURED COVERAGE SHALL BE PRIMARY AND

NON-CONTRIBUTORY TO ANY OTHER INSURANCE (INCLUDING SELF-INSURANCE)

AVAILABLE TO THE CITY. ALL INSURANCE POLICIES SHALL BE PROVIDED WITH

A MINIMUM OF THIRTY (30) DAYS’ WRITTEN NOTICE TO THE CITY OF

CANCELLATION, REDUCTION OF COVERAGE OR NON-RENEWAL OF SAID

INSURANCE. ALL INSURANCE POLICIES SHALL BE OPEN TO INSPECTION BY THE

CITY, AND COPIES OF POLICIES SHALL BE SUBMITTED TO THE CITY’S

AUTHORIZED REPRESENTATIVE UPON WRITTEN REQUEST.

THIS INSURANCE PROVISION SHALL IN NO WAY LIMIT CONSULTANT’S LIABILITY

UNDER THIS AGREEMENT. CONSULTANT SHALL REQUIRE ITS SUBCONTRACTORS

AND ASSIGNEES TO OBTAIN AND MAINTAIN IN FULL FORCE AND EFFECT DURING

THE TERM OF THIS AGREEMENT THE REQUIRED INSURANCE HEREUNDER.

CONSULTANT WAIVES ALL RIGHTS AGAINST THE CITY, AND ITS OFFICERS,

OFFICIALS, EMPLOYEES, AND AGENTS FOR RECOVERY OF DAMAGES TO THE

EXTENT THESE DAMAGES ARE COVERED BY INSURANCE MAINTAINED PER

REQUIREMENTS STATED ABOVE.

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10. To the fullest extent permitted by law, Consultant shall defend, indemnify and hold the City, its officers, officials, employees and agents, free and harmless from and against any and all claims, demands, suits, liabilities, damages, settlements, judgments, liens, fees, costs, and expenses of whatever kind (including reasonable attorneys’ fees, court costs and disbursements) allegedly arising out of, resulting from or caused by the negligent acts, errors, omissions or willful misconduct of Consultant (or any employee, sub-contractor or third-party under the Consultant’s direction and control) in the performance of this Agreement or failure to comply with any of the provisions of this Agreement or the law. Such costs and expenses shall include all those incurred in defending any underlying claim and those incurred in connection with the enforcement of this provision by way of cross-claim, third-party claim, declaratory action or otherwise. This provision shall survive the expiration or termination of this Agreement.

11. Consultant shall comply with all applicable laws, rules, and regulations in providing the services hereunder. Consultant shall secure and maintain, at its own cost, all applicable approvals, permits, and licensing necessary to carry out the Consulting Services. The City may audit and inspect the books and records of the Consultant and its subcontractors and sub-consultants pertaining to this Agreement upon ten (10) days’ notice in writing to the Consultant.

12. The City may terminate this Agreement immediately for breach of any material term, obligation, and/or non-performance of this Agreement, or at any time for any other reason, without liability, upon thirty (30) days’ written notice to Consultant of such termination, by certified mail return receipt requested, to the address listed above. If this Agreement is terminated without cause, Consultant shall be paid for all approved work satisfactorily completed and delivered up to the date of termination as determined by the City.

13. Consultant agrees to make no claim for damages for delay in the performance of this

Agreement occasioned by any act or omission to act of the City, its officials, employees, agents or contractors, and agrees that any such claim shall be fully compensated for by an extension of time to complete performance of the services hereunder.

14. Consultant shall not discriminate, in any way, against any person on the basis of race, sex, color, age, religion, sexual orientation, actual or perceived gender identity, disability, ethnicity, national origin, military service or weight in connection with or related to the performance of this Agreement.

15. The failure of either party to enforce any of their rights hereunder or at law shall not be deemed a waiver or a continuing waiver of any of rights or remedies against the other party, unless such waiver is in writing.

16. Consultant is familiar with the City’s prohibition against the acceptance of any gift by a City officer or designated employee, which prohibition is found in Section 94.02(3)(a) of the

New Rochelle Municipal Code. Consultant agrees not to offer any City officer or designated employee any gift prohibited by said Code Section. The offer or giving of any gift prohibited by

Section 94.02(3) shall constitute a material breach of this Agreement by Consultant, and in addition to any other remedies the City may have in law or equity, the City may cancel this

Agreement for such breach.

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17. This Agreement shall be construed under the laws of the State of New York without regard to conflict of law principles. All claims, actions, proceedings, and lawsuits brought in connection with, arising out of, related to or seeking enforcement of this Agreement shall be in the

State of New York, with venue in a court of competent jurisdiction in the County of Westchester.

18. If any provision, or part thereof, of this Agreement is judicially declared invalid, void or unenforceable, each and every other provision, or part thereof, nevertheless shall continue in full force and effect, and the unenforceable provision shall be changed or interpreted so as best to accomplish the objectives and the intent of such provision within the limits of applicable law.

19. Any ambiguity, conflict or inconsistency between the documents comprising this

Agreement shall be resolved according to the following order of precedence: (i) this Agreement;

(ii) Schedule A; and (iii) Schedule B.

20. This Agreement (including all schedules, exhibits and/or addenda hereto) constitutes the entire agreement of the parties as to the subject matter hereof and may not be modified or changed except in a writing executed by the City and Consultant.

21. This Agreement may be executed in several counterparts, each of which shall be deemed an original and all of which shall constitute one and the same Agreement. For purposes of this Agreement, a facsimile or electronic copy of a party’s signature shall be deemed an original and sufficient to bind such party.

IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their duly authorized representatives.

CITY OF NEW ROCHELLE

By: ______________________________________ Date: ______________

CITY MANAGER

__________________________ [Consultant Name]

By: _______________________________________ Date: ______________

Print Name: ___________________________________

Title: _______________________________________ aalfonzo

ATTACHMENT C: INSURANCE REQUIREMENTS

The successful bidder shall supply and maintain insurance which defends, indemnifies and holds harmless the City of New Rochelle, its officers, employees and agents from and against any and all liability, damage claims, demands, costs, judgments, fees, attorney’s fees or loss arising directly out of acts or omissions hereunder by the contractor or third party under the direction or control of the contractor. The successful bidder must furnish the City with Certificate of Insurance and Endorsement prior to commencement of work. The required coverage shall not be less than the following:

*** all policies be procured and maintained through NYS licensed carriers and the General Liability and Excess/Umbrella policies be written on a per occurrence basis***

Excess/Umbrella insurance of $1,000,000 per occurrence/$2 million aggregate

Workers Compensation Statutory Requirements NY State Disability Statutory Requirements General Liability $2,000,000 Automobile Liability $1,000,000 “Contractual Liability” Must be printed on Certificate Errors & Omissions $1,000,000

INSURANCE CERTIFICATES SHALL NAME THE CITY OF NEW ROCHELLE AS ADDITIONAL INSURED PARTY AND SHALL STATE THAT ALL COVERAGE SHALL BE PRIMARY TO ANY OTHER INSURANCE COVERAGE HELD BY THE CITY. THE OFFICE OF RESILIENT HOMES AND COMMUNITIES, THE HOUSING TRUST FUND CORPORATION, AND THE STATE OF NEW YORK MUST BE LISTED AS ADDITIONAL INSURED ON ALL

CERTIFICATES.

There is also a requirement that all policies be procured and maintained through NYS licensed carriers and the General Liability and Excess/Umbrella policies be written on a per occurrence basis.

“The City of New Rochelle is named as an additional insured party for all general and excess liability coverage based on the contractual liability of the named insured. Such general and excess liability coverage shall be primary to any other coverage carried by the City of New Rochelle with respects to acts or omissions of the named insured. The Office of Resilient Homes and Communities, the Housing Trust Fund Corporation, and the State of New York are named as additional insured parties for all general and excess liability coverage based on the contractual liability of the named insured. ”

It is intended by the parties hereto that the general and excess liability insurance provided by the contractor shall be primary to any other coverage carried by the City of New Rochelle with respect to liability coverage arising out of any act or omissions by the contractor. The City of New Rochelle will be named as an additional insured. Nothing contained herein shall be construed as making said general and excess liability insurance primary insurance for acts or omissions of the City of New Rochelle.

ATTACHMENT D: ADDITIONAL CONTRACT REQUIREMENTS

A. PROHIBITION ON COMMUNICATION

Pursuant to State Finance Law §139-j and §139-k, this solicitation includes and imposes certain restrictions on communications between the City and a Bidder during the procurement process. A Bidder is restricted from contacting, other than designated staff, from the earliest notice of intent to solicit offers through final award and approval of the Procurement Contract by the Designated Contracting Officer ("Restricted Period") unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law §139-j(3)(a). City employees are required to obtain certain information when contacted during the Restricted Period. The designated staff contact is the Deputy Finance Commissioner or his/her representative, telephone (914) 654-2072. Bidders responding to this RFP must familiarize themselves with these State Finance Law requirements and will be expected to affirm that they understand and agree to comply in their Proposal.

B. NEW YORK LAW AND VENUE

The contract/agreement resulting from this RFP shall be construed under the laws of the State of New York. All claims, actions, proceedings, and lawsuits brought in connection with, arising out of, related to, or seeking enforcement of this contract/agreement shall be brought in the Supreme Court of the State of New York, Westchester County.

C. IRAN DIVESTMENT ACT

By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid, each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief that each bidder is not on the list created pursuant to paragraph (b) of subdivision 3 of section 165-a of the state finance law.

D. PROPRIETY INFORMATION

The New York State Freedom of Information Law, Public Officers Law, Article 6, provides for public access to information. Public Officers Law, Section 87(d)(2) provides for exceptions to disclosure for records or portions thereof that are "trade secrets or are submitted to an agency by a commercial enterprise or derived from information obtained from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise." Information that the proposer wishes to have treated as proprietary and confidential trade information should be identified and labeled "Confidential" or "Proprietary" on each page at the time of submittal. This information should include a written request to except it from disclosure, including a written statement of the reasons why the information should be excepted

E. RESTRICTIONS FOR BUSINESSES CONDUCTING BUSINESS OPERATIONS IN RUSSIA

Executive Order No. 16 provides that “all Affected State Entities are directed to refrain from entering into any new contract or renewing any existing contract with an entity conducting business operations in Russia.” The

Executive Order remains in effect while sanctions imposed by the federal government are in effect. Accordingly, vendors who may be excluded from award because of current business operations in Russia are nevertheless encouraged to respond to solicitations to preserve their contracting opportunities in case the sanctions are lifted during a solicitation or even after award in the case of some solicitations.

As defined in Executive Order No. 16, an “entity conducting business operations in Russia” means an institution or company, wherever located, conducting any commercial activity in Russia or transacting business with the

Russian Government or with commercial entities headquartered in Russia or with their principal place of business in Russia in the form of contracting, sales, purchasing, investment, or any business partnership.

CDBG-DR IDA Subrecipient Agreement Page 1 of 46

ATTACHMENT F – IDA SUBRECIPIENT AGREEMENT

NEW YORK STATE

COMMUNITY DEVELOPMENT BLOCK GRANT AGREEMENT

IDA PROGRAM

SUBRECIPIENT AGREEMENT

[Subrecipient Name and Project]

Resilient Investments through Support and Capital

Project No. [__________]

AGREEMENT, made effective as of the [__]th day of [_________], 202_ (“Effective Date”), between the Housing Trust Fund Corporation (“HTFC”), represented by the Office of Resilient Homes and Communities (“RHC” and, together with HTFC, the "Corporation"), with offices at 38-40 State Street, Hampton Plaza, 4th Floor, Albany, New York, 12207, and ("Subrecipient"), a municipal corporation with offices at .

WHEREAS, the United States Department of Housing and Urban Development (HUD) has allocated Community Development Block Grant Disaster Recovery (“CDBG-DR”) funding to the State of New York to support long-term recovery efforts in response to Hurricane Ida (FEMA DR-4615), through the publication of the Federal Register, Vol.87, No. 100, May 24, 2022, as may be amended, (“87 Fed. Reg. 31,636”), and Federal Register, Vol. 88, No. 11, January 18, 2023, as may be amended, (“88 Fed. Reg. 3,198" collectively with 87 Fed. Reg.

31,636 the “Federal Register”); and

WHEREAS, this allocation was made available through the Disaster Relief Supplemental

Appropriations Act, 2022 (Pub. L.117-43) approved September 30, 2021 (the Appropriations Act) and the Continuing Appropriations Act, 2023 (Pub. L. 117-180) approved September 30, 2022 (the “2023 Appropriations Act); for necessary expenses related to disaster relief, long-term recovery, restoration of infrastructure, and housing and economic revitalization in the most impacted and distressed areas resulting from a qualifying major disaster in 2020 or 2021 (Pub. L. 117-43), and 2021 and 2022 (Pub. L. 117-180) , subject to the Federal statutes and regulations governing CDBG grants, as modified by exceptions and waivers previously granted and which may hereafter be granted by HUD; and

WHEREAS, pursuant to the CDBG-DR Grant Program and 87 Fed. Reg. 31,636, the State has received an allocation of CDBG-DR funds from HUD in the amount of $41,262,000; and

WHEREAS, pursuant to the CDBG-DR Grant Program and 88 Fed. Reg. 3,198, the State has received a second allocation of CDBG-DR funds from HUD in the amount of $26,966,000;

and

WHEREAS, eligible applicants are units of local/county government; state agencies and

CDBG-DR IDA Subrecipient Agreement Page 2 of 46 authorities; soil and water conservation districts; public schools (K-12) and universities; first responders, including volunteer fire and EMS districts; and not-for-profit entities eligible to receive federal funds and capable of completing work in one or more eligible counties (Dutchess, Nassau, Orange, Rockland, Suffolk, and Westchester Counties); and

WHEREAS, Subrecipient has applied to the Corporation for CDBG-DR funds to finance activities within its service area, as described in Subrecipient's CDBG-DR grant application;

and

WHEREAS, the Corporation has selected Subrecipient to implement the eligible CDBG- DR activities described herein.

NOW, THEREFORE, the Corporation and the Subrecipient (“the Parties”) agree that the Grant Funds (as defined below) will be administered in accordance with the following terms and conditions:

1. Contents of Agreement

The following documents are incorporated by reference into this Agreement as if fully set out herein: (a) the Sub-recipient's approved Application and accompanying submissions, as modified by the terms of this Agreement or any subsequent amendment approved by the Corporation; (b) the Corporation's CDBG Grant Administration Manual and its Program Guidelines (as now in effect and as may be revised from time to time); (c) applicable Federal and State law and regulations, as may be amended, including, but not limited to, Department of Housing and Urban Development ("HUD") regulations found at 24 CFR Part 570; (d) Schedule A “Scope of Work”; Schedule B "Awarded Budget”; Schedule C “Special Conditions”; Schedule D "Period of Affordability"; Schedule E “Federal Award Information”;

and Appendix I “Equal Opportunity Requirements”, attached hereto.

The Subrecipient shall thoroughly familiarize itself with the nature and scope of the Scope of Services under this Agreement (“Services”) and with matters which may affect this Scope of Services, including the Law governing the Scope of Services and this Agreement.

“Law” shall mean all existing and future Federal, State, and local statutes, laws, codes, ordinances, decrees, rules, regulations, requirements, required permits and licenses, and orders of any governmental authority, entity, or agency whether Federal, State, municipal, local, or other government body or subdivision, including the regulations governing CDBG- DR funds and the requirements for contracting with the State of New York. Any failure by the Subrecipient to thoroughly familiarize itself with and understand such matters shall not relieve the Subrecipient of its obligations under this Agreement. Changes in Law which require changes in the Services, or in Subrecipient’s means and methods, shall not entitle Subrecipient to any adjustment in the Price. For the avoidance of doubt, a change in Law shall include a change in the interpretation or administration of any Law, administrative protocols or procedures.

2. Subrecipient Program The Corporation will obligate CDBG-DR funding for, and Subrecipient will be responsible for performing, the activities detailed in the application submitted to the Corporation. Such

CDBG-DR IDA Subrecipient Agreement Page 3 of 46 funding is provided to meet a National Objective in accordance with 24 CFR Part 570 and the Federal Register and to provide the services as set forth in Schedule A.

A. Project Acceptance

The project budget set forth in this agreement specifies allowable funding for administrative costs, program delivery costs, and/or project costs. The Subrecipient shall not engage in, or in any way commit funding for, through a contract or other mechanism, construction or any other activities that could have an environmental impact or limit the choice of reasonable alternatives to the proposed project (“Restricted Activities”).

Prior to undergoing Environmental Review and receiving Authority to Use Grant Funds (each as defined below), the schedule for a proposed project set forth in Schedule A shall provide, with reasonable specificity, a proposed schedule for the proposed project as well as a description and schedule for activities proposed to be conducted in each phase of the proposed project.

B. Environmental Review This project is subject to environmental review under the National Environmental Policy Act (NEPA) and State Environmental Quality Review Act (SEQRA). Corporation environmental clearance must be secured prior to any choice limiting action, as defined by HUD, including but not limited to, site acquisition, tree or brush clearing, soil preparations, demolition, asbestos abatement, or any construction activities. Clearance will not be issued until:

(i) the Corporation has completed a county-wide Tier 1 environmental review;

(ii) the Subrecipient has certified on the HUD Request for Release of Funds prepared by the Corporation that it will comply with any conditions to address issues in the environmental review;

(iii) a Request for Release of Funds has been approved by HUD;

(iv) the Subrecipient has completed the template site-specific Tier 2 documentation and submitted to the Corporation for approval; and

(v) the Corporation issues a site-specific clearance letter stating that the federally required review per the National Environmental Policy Review Act (NEPA), as applicable, is complete, for that specific site.

(vi) As this program allows for reimbursements per [insert provision that allows reimbursement in this program] the reimbursement costs will not be released until a Tier 2 demonstrating compliance with reimbursement requirements is approved by the Corporation.

The Subrecipient shall cooperate and provide any analysis or information reasonably requested by the Corporation to conduct the Environmental Review for the proposed project. The Subrecipient is required to comply and cooperate with the Corporation in meeting all terms and conditions under this Agreement including to obtain the ‘Authority to Use Grant Funds’ and submit the first request for funds to Corporation within 180 days of the date of the effective date of this Agreement.

CDBG-DR IDA Subrecipient Agreement Page 4 of 46

Upon completion of the Environmental Review, the Corporation may: (i) upon HUD’s issuance of the Authority to Use Grant Funds for a proposed project, initiate the proposed project; (ii) approve an alternative or modified project identified through the Environmental Review Process and, notwithstanding anything to the contrary contained in the Agreement, unilaterally adjust the Grant Funds amount accordingly; or (iii) cancel the project and, notwithstanding anything to the contrary contained in the Agreement, unilaterally reduce the Grant Funds by an amount equal to the amount otherwise allocated to construction or other implementation phase of the proposed project.

Subrecipient shall not be reimbursed for any costs until all environmental conditions of 24 CFR Part 58 have been fully satisfied and Corporation has issued the environmental clearance required thereunder, unless the activity is exempt under section 58.34 or falls under a categorical exclusion listed in section 58.35(b), as pre-determined by the Corporation.

Environmental Review will consist of two tiers. Tier 1 will be conducted by the Corporation and generate a Tier 2 template that must be completed by the Subrecipient or its designee and submitted to the Corporation for approval prior to any Choice Limiting Actions related to the site that is the subject of the Tier 2 review. Following the completion of the Tier 1 Environmental Review and approval of the proposed project’s initiation, the Corporation will notify the Subrecipient in writing (“Clearance Letter”) that Subrecipient may commit funds for activities necessary for program implementation.

However, site specific activities cannot commence until the Subrecipient has prepared and submitted, and the Corporation has approved, the Tier 2 review for a particular site.

The Corporation will notify the Subrecipient in writing of Tier 2 approvals.

C. Project Phase If construction/implementation is authorized by the Corporation in the Clearance Letter, Subrecipient must comply with any and all conditions or required mitigation set forth in the Environmental Review documents, and shall document compliance with such measures, as well as any permit requirements, or other applicable requirements of Federal and State environmental laws, including worker health and safety requirements.

The Subrecipient shall provide reports to the Corporation to document compliance with the requirements referenced above for the entirety of the construction phase, including any and all pre-occupancy or final clearance items.

If a proposed project is not completed as proposed by the scope reviewed in either the Tier 1 or Tier 2 environmental review, program delivery and project costs are not eligible as there is no CDBG-eligible activity. Costs incurred and funds disbursed for projects that do not advance are subject to repayment.

The Subrecipient shall comply with the terms of the Special Conditions of this Agreement, as set forth herein as Schedule C. As a cost-incurred program, tasks and deliverables must be conducted in a manner satisfactory to the Corporation and in compliance with applicable Federal and State requirements, laws, and regulations. In

CDBG-DR IDA Subrecipient Agreement Page 5 of 46 the event the Corporation’s funds do not cover 100% of the agreed upon budget (see Section 4 Budget) for the Subrecipient Program Description, Subrecipient must identify committed supplemental funding. Substandard performance or any election by Subrecipient to discontinue work, as reasonably determined by the Corporation in its sole discretion, will constitute noncompliance with this Agreement. If Subrecipient does not take action to correct such substandard performance or discontinuance of work within a reasonable period of time (as determined by the Corporation) after being notified by the Corporation, the Corporation may choose (a) not to reimburse Subrecipient for noncompliant and/or unallowable work, (b) take action to suspend or terminate this Agreement, (c) recapture awarded funds, or (d) other actions as permitted under applicable law. Nothing in this Agreement shall waive or otherwise limit the actions the Corporation may take or the remedies the Corporation may seek as a result of any noncompliance by Subrecipient, including but not limited to suspending or debarring Subrecipient from future State benefits.

D. Supervision of Services.

The Subrecipient shall perform the Scope of Services contained herein in a diligent, safe and workmanlike manner that conforms to generally accepted industry and professional practices, and the care and skill ordinarily exercised, for such Scope of Services. The Subrecipient will perform work under this Agreement by competent personnel under the management, supervision, and direction or employment of the Subrecipient.

Corporation may, upon reasonable prior notification, call meetings which shall be attended by representatives of the Subrecipient. Subrecipient will cooperate with Corporation at all times during the performance of the Scope of Services and promptly review and act upon, as is commercially reasonable, all Corporation recommendations and proposals. Subrecipient will cooperate with Corporation in promptly completing and submitting all documents and records required by Corporation or other authorized representative of Corporation or the State of New York and otherwise comply with all applicable orders, administrative rules, regulations and procedures of Corporation for the proper administration of the Services.

3. Term

The period of performance for all activities (with the exception of those activities required for the close-out and final audit) assisted pursuant to this Agreement shall commence as of the date of this Agreement (“Effective Date”) and shall end two (2) years from the “Effective Date” (“Initial Term”). Thereafter, at Corporation’s sole discretion, Corporation may exercise up to two (2) two-year extensions (“Extension Terms”), at additional cost to Corporation based upon costs to be negotiated, not to exceed a total of six (6) years (inclusive of the Initial Term and all Extension Terms). However, under no circumstances shall the term of this Agreement exceed the period of performance of the grant agreement between HUD and the Corporation. Any extensions of this Agreement shall be mutually agreed to by the Parties in writing through an amendment to the Agreement. Any funds not properly used by the end of the term, including Program Income (as defined herein), unless

CDBG-DR IDA Subrecipient Agreement Page 6 of 46 approved otherwise in writing by the Corporation, promptly shall be remitted, in full and without off-set or deduction, to the Corporation. If approved in writing by the Corporation, the term of this Agreement and the provisions herein shall be extended to cover any additional time period during which the Subrecipient remains in control of CDBG funds or other CDBG assets, including Program Income.

4. Budget

Subrecipient’s budget for the activities detailed in the Subrecipient Program Description is set forth in Schedule B “Awarded Budget”. The Corporation may also require additional budget information, and Subrecipient shall provide such supplementary budget information in a timely fashion in the form and content prescribed by the Corporation.