NYPD Community Outreach

NEW YORK CITY
POLICE DEPARTMENT
SUPPLY AND SERVICE
Request for Proposals

Issued by the:
NYPD Contract Administration Unit
FOR FURNISHING ALL EXPERTISE, LABOR, MATERIAL AND

FACILITIES NECESSARY AND REQUIRED FOR:
Pin# 056170001150; E-PIN # 05617P0001;

COMMUNICATIONS AND PUBLIC RELATIONS CAMPAIGN/
COMMUNITY OUTREACH
Proposal Due Date & Time: Tuesday, January 17, 2017 at 2:00 P.M.
Send Proposals in Accordance with the Proposal Submission Requirements to:
ATTN: Frank Bello, Assistant Commissioner/ACCO
90 Church Street, Suite 1206
New York, N.Y. 10007
THE CITY OF NEW YORK
NEW YORK CITY POLICE DEPARTMENT
REQUEST FOR PROPOSALS

TITLE: COMMUNICATIONS AND PUBLIC RELATIONS CAMPAIGN/
COMMUNITY OUTREACH
PIN #: 056170001150; E-PIN # 05617P0001;
TABLE OF CONTENTS:
PAGE#
SECTION I - TIMETABLE
2
SECTION II - SUMMARY OF THE REQUEST FOR PROPOSALS
4
SECTION III - SCOPE OF SERVICES AND MWBE REQUIREMENTS
6
SECTION IV - FORMAT AND CONTENT OF THE PROPOSAL
12
SECTION V - PROPOSAL EVALUATION AND CONTRACT AWARD
PROCEDURES
20
SECTION VI: AVAILABILITY OF PARTS OF SOLICITATION IN WORD/ EXCEL
FORMAT
21
SECTION VII - GENERAL INFORMATION TO PROPOSERS
21
-------------------------------------------------------------------------------------------------------------------Attachment A: Proposal Cover Letter
Attachment B: NOTICE TO ALL PROSPECTIVE CONTRACTORS - (M/WBE
CONTRACT PROVISIONS) & SCHEDULE B M/WBE UTILIZATION PLAN
Attachment C: Price Proposal - Part I and Part II
Attachment D: Affirmation
Attachment E: Acknowledgement of Addenda
Attachment F: Doing Business Data Form
Attachment G: Iran Contract Compliance Rider
Attachment H: Whistleblower Protection Expansion Act Notice and Rider
Attachment I: Subcontractor Compliance Notice
Attachment J: Electronic Funds Transfer (EFT) Vendor Payment Enrollment Form
Attachment K: Hiring and Employment Rider: HIRENYC and Reporting Requirements
Attachment L: Paid Sick Leave Law Contract Rider
APPENDIX A - General Provision Governing Contracts for Consultants, Professional and
Technical Services
APPENDIX B SMART CITIES NYC17 Brochure
AUTHORIZED DEPARTMENT CONTACT PERSON:
Proposers are advised that the Authorized Department Contact Person for all matters
concerning this Request for Proposals is:
Name:
Title:
Mailing Address:
Telephone #:
E-Mail Address:
Frank Bello
Assistant Commissioner
(646) 610-5753 / Fax #: (646) 610-5224
[email protected]
Printed on paper containing 30% post-consumer material
SECTION I - TIMETABLE
A. Release Date of this Request for Proposals: December 6, 2016

All questions and requests for additional information concerning this RFP should be directed
to:
Frank Bello Assistant Commissioner, the Authorized Department Contact Person, at:
Telephone #:
Fax #:
E-Mail Address:
(646) 610-5753
(646) 610-5224
[email protected] and [email protected]
B. Pre-Proposal Conference:
Date:
Time:
Location:
Tuesday, December 13, 2016

10:00 A.M.
NYPD Press Room 2nd Floor
1 Police Plaza (NYPD Police Dept. Headquarters)
New York, New York 10038
Attendance by proposers is optional, but highly recommended by the Department. If

attending, please RSVP to Frank Bello, Assistant Commissioner by no later than Friday,
December 9, 2016 at 5:00PM at either (646) 610-5753 or [email protected].
C. Final Questions:
Tuesday, December 20, 2016 at 5:00PM
Address: Send Questions to the name and Address Listed just Below in Section I.D.
Questions should also be E-Mailed to: [email protected] and
[email protected]
D. Proposal Due Date and Time and Location:

Date:
Time:
Location:
January 17, 2017

2:00 P.M.
Proposals shall be submitted to:
Frank Bello, Assistant Commissioner
E-mailed or faxed proposals will not be accepted by the Department.
Proposals received at this location after the Proposal Due Date and Time are late and
shall not be accepted by the Department, except as provided under New York Citys
Procurement Policy Board Rules. The Department will consider requests made to the
Authorized Department Contact Person to extend the Proposal Due Date and Time
prescribed above. However, unless the Department issues a written addendum to this
RFP which extends the Proposal Due Date and Time for all proposers, the Proposal Due
Date and Time prescribed above shall remain in effect.
E. Anticipated Contract Start Date:
April 1, 2017
SECTION II - SUMMARY OF THE REQUEST FOR PROPOSALS

A.
Purpose of RFP
The New York City Police Department (the Department or NYPD) is seeking an
appropriately qualified vendor to provide a communications plan and public relations campaign
dedicated to improving the NYPDs depth of connection to various communities within the City
of New York, with special emphasis and desired impact within communities of color.
The purpose of the police is to prevent crime and disorder. To accomplish this goal, the NYPD
believes that the police must have public approval, public support, and public collaboration.
Combining crime prevention with peoples consent leads to a true public safety, in which both
safety and the public are equally important.
Since 1990, when crime rates in New York City peaked, crime and disorder have steadily
decreased. The NYPDs efforts and innovations have played an indispensable role in this.
Starting in 1994, the decrease was significantly accelerated by the advent of the CompStat
accountability system and other policing policies. Over the following two years, crime rates
declined at unprecedented rates. Crime continued to decline, at a slower rate, during the first
decade of the 21st Century. However, enforcement efforts (measured by investigative stops,
summonses, and arrests), continued to increase disproportionately. The resultant reduction in the
publics trust in their police department culminated in 2013-2014 with the imposition of a
Federal Monitor, creation of an Inspector General, expanded power of the Civilian Complaint
Review Board, two tragic deaths of civilians in police encounters, and the assassination of two
police officers. This divide was not limited to New York City, and policing across the nation
faced many challenges in maintaining public trust during the time.
In its endeavor to strengthen community policing and trust among law enforcement and the
communities they serve, the NYPD is requesting proposals for ways to improve police-citizen
encounters and encourage the publics trust, support, and collaboration through acknowledging
past and present injustice, supplanting a culture and practice of policing that reflects the values of
protection and promoting dignity of all the people we serve.
In addition, the streets of New York City are conduits for the ideas and innovations changing the
City and the world. The City is planning to host SMART CITIES NYC 17: A four-day event to
be held during the period April 26-29, 2017 at the Brooklyn Navy Yard. This event will be
designed to inspire innovation and built to give voice to human ingenuity. This will be an
exceptional opportunity for organizations across sectors to collaborate, develop, network and
explore innovative ideas that can improve life in the City. It is possible, dependent on the timing
of contract award, that the contractor selected will work with various communities and provide
input to the event regarding issues and concerns that may assist City neighborhoods that may not
be otherwise be represented. If the timing of a contract award lags behind the event dates by one
month or more, the NYPD will issue to the selected contractor a Letter of Intent in which the
contractor may be requested to provide services at their own risk (a contract award and payments
cannot be granted prior to the registration of a contract with the Citys Comptroller).
ATTACHMENT B includes a brochure with preliminary data on the event.
B.
Anticipated Contract Term
It is anticipated that the term of the contract awarded from this RFP will be for five years. In
addition, the contract is anticipated to include two - three-year options to renew at the same
terms and conditions with the possibility for the allowance of modest pricing increases for the
renewal terms.
C.
Anticipated Maximum Available Funding
It is anticipated that the maximum available funding for the contract awarded from this RFP
would be $800,000.00 per year. Greater consideration will be given to proposers that propose
more competitive prices. This is a requirements contract, no minimum or maximum contract
amount or payment is guaranteed, nor is any number of campaigns guaranteed.
D.
Anticipated Payment Structure
It is anticipated that the payment structure for the contract awarded from this RFP will be based
on a combination of line-item reimbursement and performance-based incentive or disincentive
amounts tied to the contractors degree of success with the achievement of the key program goals
and objectives. However, performance-based incentive/disincentive payments need not
necessarily be paid/assessed on a monthly basis.
The final performance-based deliverables and dollar value associated with the payments for each
deliverable will be finalized during contract negotiations.
The Department will consider proposals to structure payment in a different manner and reserves
the right to select any payment structure that is in the Citys best interest.
SECTION III - SCOPE OF SERVICES

A.
Department Goals and Objectives for this RFP
The Departments goals and objectives for this RFP are to further enhance an effective
communications plan and public relations campaign that is dedicated to improving the NYPDs
depth of connection to various communities within the City of New York.
B.
Department Assumptions Regarding Contractor Approach

The Departments assumptions regarding which approach will most likely achieve the goals
and objectives set out above are:
Experience
The selected proposer will have an adequate amount of experience to achieve the
objectives set forth in this RFP. Specifically, the proposer shall address the
following:
The proposer and each subcontractor, if any, would demonstrate their substantial
and successful experience with providing the same or similar services as those
required in this solicitation, including the establishment of other communications
plans and public relations campaigns that the proposer has conducted for other
public or private entities.
The proposer should demonstrate that the key persons assigned to the contract
would have relevant experience and qualifications and guarantee the qualification
levels and experience of all such key persons. The proposer should provide
documentation corroborating the education, experience, and relevant training of
key staff. A resume including a description of the qualifications of the key staff
positions should also be provided.
Organizational Capability
The selected proposer will have the organizational capability to provide adequate
work to achieve the objectives set forth in this RFP. Specifically, the proposer shall
address the following:
The proposer would be capable of carrying out the requirements of the RFP (i.e.,
manpower, creativity, resources, managerial and financial), and explain how the
proposed program will fit into the proposers overall professional commitments.
The proposer would provide a background statement that includes the name and
address of their organization and each subcontractor(s), if any, the location where
contract work will be performed, if the proposer is incorporated and in which
state. Please also include any relevant litigation the proposer is currently involved
in that may affect your ability to perform the work required and/or that may affect
the Departments ability to consider your firm a responsible vendor.
C.
The contractor would be fiscally sound and capable of managing the proposed
program.
Specifications Regarding Scope of Services
The following specifications regarding the scope of services to be provided will be included and
made part of the final contract agreement. The Contractor (the successful and awarded
respondent to this RFP) shall be required to perform the necessary services in accordance with
these specifications.
The Contractor shall provide the following services:
The proposal should delineate a mechanism for communicating with the public and
conveying the NYPDs current programs and policies, as well as their results. Over the
past two-and-a-half years, the NYPD has renewed its commitment to positive
engagement through its plan of action as reflected in the five key areas, of tackling crime,
trust, training, technology, and terrorism prevention (a.k.a. Five Ts). In the midst of the
largest sustained decrease in violent crime in more than a decade, it is important to
maintain strong and meaningful relationships with the community. The NYPD has
reached a peace dividend- the point where crime levels and enforcement are both able to
remain low. Precision policing helps the NYPD keep enforcement levels low is by
focusing on the very small percentage of offenders responsible for the largest portion of
crime. This helps our officers focus on taking enforcement action against criminals for
the sake of reducing crime, not enforcing minor offenses against otherwise law-abiding
citizens for the sake of numbers.
Precision Policing hinges on:
a new unified investigations model
new units like the Strategic Response Group
new technology like the mobile-digital smartphones
new training like Continuing Professional Education and the Crisis Intervention
Team
community outreach like Collaborative Policing and the Community Partners
Program
organizational transparency with data (CompStat 2.0) and policy
the Neighborhood Policing Program
This last program is essential to the Departments change agenda. It is a radical restructuring of
the NYPDs core competency, patrol, within which public engagement acknowledging the
critical importance of shared responsibility of police and community is the norm in the 21st
Century policing model. The public is now an essential component of the Departments new
patrol model.
A successful proposal will describe a plan for eliciting the publics participation in this
new patrol model in a manner that accurately penetrates and settles in the public
consciousness. Routine positive engagement between the police and the public is the
primary goal of this plan.
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Proposals should include a timeline and anticipated milestones (development, pilot,

evaluation, roll-out, etc.)
Proposals should include a design for a means to measure this plan and its efficacy, and
propose a mode/ method of implementing the measurement.
Proposals should identify communities across the city and an evaluation of the current
state of trust between the identified communities and the police according to a universally
applied scale (ie, non-existent trust by both community and police; strong trust by
community and frayed trust by police, etc.)
Scheduled progress should be prioritized by targeting communities with lowest trust

immediately.
Proposals should be tailored to account for the often subtle differences among
communities which disproportionately cause their sentiment to be worlds apart.
In effecting a communications plan and public relations campaign dedicated to improving

the NYPDs depth of connection to various communities within the City of New York,
the proposal should include but not necessarily be limited to some or all of the following:
paid media outputs (such as print, television, and radio); social media outputs; public
events; endorsements by influencers; testimonials; magazine and newspaper editorials.
The successful bidder will implement these as outlined in the proposal.
Proposals should also incorporate making effective Use of the Tools/ Facilities To Be
Provided by the NYPD. To facilitate implementing the successful proposal, the NYPD
will provide the successful proposer with access to NYPD facilities, data, equipment, and
personnel, including senior-level management. The NYPD will also provide to-bedetermined access to its existing owned media and owned media channels. These are
operated by the NYPDs Office of Strategic Communications. The NYPDs existing
owned media include the NYPDs website (www.nyc.gov/nypd, which is currently being
overhauled), the NYPDs news site (www.NYPDnews.com), the NYPDs social media
(including its Facebook page and 110+ precinct-based Twitter accounts), and the
Departments internal magazine (Spring 3100, a professionally produced glossy with
controlled circulation of 50,000+).
D. Department Assumptions Regarding Payment Structure

Department assumptions regarding a performance-based payment structure would assure that the
selected proposer will perform the work under the contract awarded from this RFP in a manner
that is cost effective for the Department and most likely to achieve the Departments goals and
objectives. The Department reserves the right to apply liquidated damages provisions for the
Contractors failure to perform tasks required under the contract.
It is anticipated that a portion of the payments to the Contractor under this contract would
be made as key milestones are reached in setting up and establishing the effective
communications plan and public relations campaign. It is also anticipated that once the
communications plan/ public relations campaign is set up that payments would be made
on a monthly basis for the effective continuation of the plan / campaign.
It is also anticipated that at least some payments would be tied to objective measures of the
efficacy of the plan. As stated in the specifications, the proposals should include a design for a
means to measure this plan and its efficacy, and propose a mode/ method of implementing the
measurement.
E.
Participation by Minority Owned and Women Owned Business Enterprises in City
Procurement
The contract resulting from this Request for Proposals will be subject to M/WBE participation
requirements under Section 6-129 of the Administrative Code of the City of New York (Local
Law 1 of 2013), as indicated by the inclusion of Schedule B M/WBE Utilization Plan
(Attachment B) and the Participation Goals indicated in Part I thereof, proposers must complete
the Schedule B M/WBE Utilization Plan and submit it with their proposal. Please refer to the
Schedule B M/WBE Utilization Plan and the Notice to All Prospective Contractors
(Attachment B) for information on the M/WBE requirements established for this solicitation and
instructions on how to complete the required forms. If the proposer intends to seek a full or
partial waiver of the Participation Goals on the grounds described in Section 10 of the Notice to
All Prospective Contractors, including but not limited to, proposers intention to use its own
forces to perform any or all of the required contract work that would result in a failure to attain
the Participation Goals, the proposer must request and obtain from the Agency a full or partial
waiver of the Participation Goals (M/WBE Utilization Plan, Part III) in advance of proposal
submission and submit the waiver determination with the proposal. Please note that if a partial
waiver is obtained, the proposer is required to submit a completed Schedule B- M/WBE
Utilization Plan based on the revised Participation Goals in order to be found responsive.
NOTE: As fully explained in the Notice to All Prospective Contractors Attachment B if
you are planning to file a waiver of the Participation Goals, then the waiver must be
submitted to the NYPD no later than seven days prior to the proposal due date and time in
order to be timely considered.
F.
Compliance with Local Law 34 of 2007
Pursuant to Local Law 34 of 2007, amending the City's Campaign Finance Law, the City is
required to establish a computerized database containing the names of any "person" that has
"business dealings with the city" as such terms are defined in the Local Law. In order for the
City to obtain necessary information to establish the required database, vendors responding to
this solicitation are required to complete the attached Doing Business Data Form (Attachment
F) and return it with their proposals and should do so in a separate envelope. (If the responding
vendor is a proposed joint venture, the entities that comprise the proposed joint venture must
each complete a Data Form.) If the City determines that a vendor has failed to submit a Data
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Form or has submitted a Data Form that is not complete, the vendor will be notified by the
Department and will be given four (4) calendar days from receipt of notification to cure the
specified deficiencies and return a complete Data Form to the Department. Failure to do so will
result in a determination that the proposal is non-responsive. Receipt of notification is defined as
the day notice is e-mailed or faxed (if the vendor has provided an e-mail address or fax number),
or no later than five (5) days from the date of mailing or upon delivery, if delivered.
G. Iran Contract Compliance Rider
Pursuant to State Finance Law Section 165-a and General Municipal Law Section 103-g, the
City is prohibited from entering into contracts with persons engaged in investment activities in
the energy sector of Iran. Each applicant is required to complete the attached Bidders
Certification of Compliance with the Iran Divestment Act (Attachment G), certifying that it is
not on a list of entities engaged in investments activities in Iran created by the Commissioner of
the NYS Office of General Services. If an applicant appears on that list, the Agency/Department
will be able to award a contract to such applicant only in situations where the applicant is taking
steps to cease its investments in Iran or where the applicant is a necessary sole source. Please
refer to Attachment for information on the Iran Divestment Act required for this solicitation and
instructions on how to complete the required form and to
http://www.ogs.ny.gov/About/regs/ida.asp for additional information concerning the list of
entities. This completed form should be sent along with the Technical Application in a separate
envelope.
H. Whistleblower Protection Expansion Act Rider
Pursuant to Local Law Nos. 30-2012 and 33-2012, certain provisions have been added to New
York City Local Law concerning the protection of employees for whistleblowing activities.
Pursuant to these Local Laws, please read Attachment H carefully.
I.
Subcontractor Compliance Notice
The selected vendor will be required to utilize the Citys web based system to identify all
subcontractors in order to obtain subcontractor approval pursuant to PPB Rule section 4-13, and
will also be required to enter all subcontractor payment information and other related
information in such system during the contract term. Please read Attachment I, the
subcontractor compliance notice as it relates to competitive solicitations. The Citys new web
based subcontractor reporting system will be located on line at the Payee Information Portal at:
https://a127-pip.nyc.gov/webapp/PRDPCW/SelfService.
J.
Electronic Funds Transfer (EFT)
The selected vendor agrees to accept payments under this Agreement from the City by electronic
funds transfer. An electronic funds transfer is any transfer of funds, other than a transaction
originated by check, draft, or similar paper instrument, which is initiated through an electronic
terminal, telephonic instrument or computer or magnetic tape so as to order, instruct, or authorize
a financial institution to debit or credit an account. (See Appendix A, Sect.11.02 & Attachment
J Electronic Funds Transfer (EFT) Form.)
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K.
HIRENYC and Reporting Requirements
The Hiring and Employment Rider shall apply to contracts valued at $1 million or more for all
goods, services and construction except human services contracts that are subject to the Public
Assistance Hiring Commitment Rider. The Rider describes the Hire NYC process and
obligations, including reporting requirements throughout the life of the contract. The Hire NYC
process requires contractors to enroll with the Hire NYC system within thirty days after the
registration of the contract subject to this solicitation, to provide information regarding all entry
to mid-level job opportunities arising from this contract and located in New York City, and to
agree to interview qualified candidates from HireNYC for those opportunities. The Rider also
includes reporting requirements unrelated to HireNYC. (See Attachment K - Hiring and
Employment Rider: HIRENYC and Reporting Requirements)
L.
Paid Sick Leave Law Contract Rider
The Contract resulting from this solicitation will also be subject to New York Citys Paid Sick
Leave Law. This attached Paid Sick Leave Contract Rider (Attachment L) will be part of the
Contract resulting from this solicitation.
M.
Acceptance of City of New York Terms and Conditions
Appendix A, and Sections VII of the Solicitation below contain the City of New Yorks legal
terms and conditions for the proposed contract. The final contract will substantially contain all
of these terms and conditions. Applicants who cannot meet all or some of these terms and
conditions must state so in their Technical Application, being as specific as possible. This means
that all Applicants should have their legal representative(s) review the terms before submission
of their Applications.
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SECTION IV - FORMAT AND CONTENT OF THE PROPOSAL

Instructions: Proposers should provide all information required in the format below. The
proposal should be typed on both sides of 8 " X 11 paper. The City of New York requests
that all proposals be submitted on paper with no less than 30% postconsumer material content,
i.e., the minimum recovered fiber content level for reprographic papers recommended by the
United States Environmental Protection Department (for any changes to that standard please
consult: http://www.epa.gov/cpg/products/printing.htm). Pages should be paginated. The
proposal will be evaluated on the basis of its content, not length. Failure to comply with any of
these instructions will not make the proposal non-responsive.
A. Proposal Format
1. Proposal Cover Letter
The Proposal Cover Letter form (Attachment A) transmits the proposers Proposal Package
to the Department. It should be completed, signed and dated by an authorized representative
of the proposer.
2. Technical Proposal
The Technical Proposal is a clear, concise narrative which addresses the following:
a. Experience
Describe the successful relevant experience of the proposer, each proposed subcontractor if any, and the proposed key staff in providing the work described in Section
III of this RFP. Specifically address the following:
Attach a listing of all communications plans and public relations campaigns that
the proposer has conducted for other public or private entities that qualify the
proposer to undertake the subject program.
Attach a listing of at least three relevant references, including the name of the
reference entity, a brief statement describing the relationship between the
proposer or proposed sub-contractor, as applicable, and the reference entity, and
the name, title, and telephone number of a contact person at the reference entity,
for the proposer and each proposed sub-contractor, if any. References should
preferably be from other entities for which the proposer has conducted successful
communications plans / public relations campaigns.
For each proposed key staff position for this project and for all key staff positions
that will or may be assigned to the project, attach a resume that includes a
description of the qualifications of these individuals for this project. Evidence of
the availability and willingness of all proposed key staff to participate in the
program should also be included. Proposals should also specifically identify the
persons who will be responsible for directing the work to be performed under the
contract and make sure to include their resumes.
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b. Organizational Capability
Demonstrate the proposers organizational (i.e., technical, managerial and financial)
capability to provide the work described in Section III. Specifically address the
following:
Demonstrate the proposers organizational (i.e., technical, managerial and

financial) capability to carry out the program described in Section III, Scope of
Services, of this RFP. Demonstration how your company would be capable of
carrying out the requirements of the RFP (i.e., manpower, creativity, resources,
managerial and financial), and explain how the proposed program will fit into the
proposers overall professional commitments.
Provide a background statement that includes:

o The full name and address of the proposer and, if applicable, the branch
office, each subcontractor(s) or other subordinate units or divisions that will
perform or assist in performing the contracted work. If a corporation, indicate
the state in which incorporated; and, if appropriate, state whether the firm is
licensed to operate in New York.
In addition, attach the following:
An organizational chart showing where, or an explanation of how, the proposed

services will fit into the proposers organization.
Attach a copy of the proposers latest audit report or certified financial statement,
or a statement as to why no report or statement is available.
Please also include any relevant litigation the proposer is currently involved in
that may affect your ability to perform the work required and/or that may affect
the Departments ability to consider your firm a responsible vendor.
The contractor would be fiscally sound and capable of managing the proposed
program.
c. Proposed Approach
Describe in detail how the proposer will provide the work described in Section III.C of
this RFP and demonstrate that the proposers approach will fulfill the Departments goals
and objectives. Specifically address the following:
Description of Services to be Provided

o A detailed description of the mechanisms and plan for communicating with
the public and conveying the NYPDs current programs and policies, as well
as anticipated results.
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o A plan for eliciting the publics participation in the NYPDs new operational
model as described in III.C.
o Include your proposed timeline and anticipated milestones (development,
pilot, evaluation, roll-out, etc.)
o Include your design for a means to measure this plan and its efficacy and the
proposed mode/method of implementing the measurement.
o Identify communities across New York City and provide your evaluation of
the current state of trust between the identified communities and the police
according to a universally applied scale.
o Explain how you will identify and prioritize targeted communities with the
lowest trust including describing the often subtle differences amount
communities which disproportionately cause their sentiment to be worlds
apart.
o Provide your planned communications plan and public relations campaign
dedicated to improving the NYPDs depth of connection to various
communities with NYC.
o Include, but not limited to, your recommended media outputs (such as print,
television, and radio), social media outputs, public events, endorsements by
high profile influencers or others, testimonials, magazine and newspaper
editorials.
o Describe how you incorporate and effectively use the Use of the
Tools/Facilities to be provided by the NYPD.
Successful Proposals should also address the following points in this Section on
their Proposed Approach:
Identify and connect with the populations of New York City that have historically
experienced a disconnect with the Department.
Communicate the Departments new direction in community policing as specified
and implemented within its plan of action through the Five Ts.
Create an overall sense the NYPD is making every possible effort to increase the
trust between the police and community by providing a sample public campaign.
The Departments assumptions regarding Contractor program approach represent what

the Department believes to be most likely to achieve its goals and objectives. However,
proposers are encouraged to propose an approach that they believe will most likely
achieve the Departments goals and objectives. Proposers may also propose more than
one approach. However, if an alternative approach affects other areas of the proposal
such as experience, organizational capability or price, that alternative approach should be
submitted as a complete and separate proposal providing all the information specified in
Section IV of this RFP.
d. Public Relations Campaign Assignment Requirement
In addition to the requirements of the technical proposal described above, all proposers
must submit a detailed sample public relations campaign to enhance NYPDs depth of
connection to various communities within the City of New York, with special emphasis
and desired impact within communities of color.
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The Public Relations Campaign Assignment is for comparison purposes only.

Public Relations Campaign Assignment :
One 10-week public relations campaign in New York City. This campaign will promote
the Departments efforts to increase mutual trust between police officers and the
community. Specifically, the campaign will deliver the Police Commissioners message
of public service, community involvement, and positive human relations with a sustained,
primary focus within communities of color.
The media budget must support all advertising efforts, including direct mail, online
advertising, etc. Announcements in all suggested markets should be at a spending level
commensurate with their probable success of increasing effective community relations.
The proposed media assignment should include a comprehensive description of the
following elements:
Target group profile.
A description of each type of media to be used at what times, with a

detailed rationale for the overall and individual media plans proposed.
Gross rating point objectives with reach/frequency and efficiency analysis

for a 6 week period.
Length of broadcast units and sizes/showings of other media.
On-going scheduling by markets.
In addition, proposers should clearly demonstrate how each media element would be
integrated for greatest impact and cost effectiveness. This demonstration should also
include how media will be bought, monitored and analyzed to ensure maximum cost
savings for the NYPD.
All facets of the NYPD public relations campaign being proposed in terms of concept,
theme, creative format, media type and visibility as well as the development of any
display materials, website capabilities, direct response advertising and special events
marketing efforts should be described in detail. Production costs should be inclusive of
all advertising, including talent and residual expenses, for the general and selected target
markets, displays, website development hours, direct response production/postage/hours,
special events materials/hours, player research, personnel costs and any miscellaneous
expenses (including any commissions and any other costs).
Finally, it is important that proposers understand that any NYPD public relations message
has to be in good taste appropriate to the Departments image of law enforcement
credibility and integrity. This information is intended as general creative guidance and
should not limit the creativity of proposals.
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When submitting the creative assignment, materials may be provided on CD or DVD

ROM (eight copies). All submissions will not be returned to the proposers and will
become the property of NYPD.
The Departments assumptions regarding Contractor program approach represent what
the Department believes to be most likely to achieve its goals and objectives. However,
proposers are encouraged to propose an approach that they believe will most likely
achieve the Departments goals and objectives. Proposers may also propose more than
one approach. However, if an alternative approach affects other areas of the proposal
such as experience, organizational capability or price, that alternative approach should be
submitted as a complete and separate proposal providing all the information specified in
Section IV of this RFP.
3. Price Proposal
Proposers should submit their price proposals using the Price Proposal Form- Attachment
C (Part I and Part II) of this RFP. However, proposers may choose to propose innovative
payment structures. The Department reserved the right to select any payment structure that
is in the Citys best interest. For the purposes of comparison, proposers should submit
Price Proposals that meet the standards of Sections IV(3)(a) and IV(3)(b), below.
In addition to the Price Proposal form, proposers must submit a price proposal narrative
that explains each line item included in their Price Proposal forms.
a. Proposed Pricing
The Price Proposal should include the following for providing the work described in
Section III of this RFP:
1. A completed Price Proposal Campaign Assignment Form (Attachment C
Part I) and an accompanying price proposal narrative. Proposers are requested
to submit pricing for one 10 week sample public relations campaign
assignment, as described in Section IV(d). Proposers are requested to provide
the following:
Price per Service Area

Commission Fee
Price and Commission Fee
The total number of public relations/community outreach campaigns
that can be provided by the vendor based on the NYPDs annual
budget of $800,000.00.
2. A completed Price Proposal Campaign Assignment Form (Attachment C

Part II). Based on the pricing provided in Attachment C Part I for the sample
public relations campaign assignment, Proposers are requested to provide the
following:
A 5-year detailed line item budget for each Service Area.

16
Proposers may also attach sheet(s) to their Price Proposals which specify suggested
Performance Based measures that they are proposing.
As an alternative to completing and submitting Attachment C, Price Proposal form, and
an accompanying narrative, proposers may propose, and the NYPD may consider,
alternative price proposals that structure payment in a different manner than that set forth
in Attachment C. The Department reserves the right to select any payment structure that
is in the Citys best interest.
b. Performance Outcome Measures & Financial Incentives and/or Disincentives
List specific performance measures upon which the proposed program should be
evaluated by participants and by the NYPD and how payments for this program
should be, at least in part, tied to the measurements of success of the plan and its
efficacy.
The Departments assumptions regarding performance outcome measures and

related financial incentives and/or disincentives (discussed in Section II(C) &
Section III (D)) represent what the Department believes to be the best approach.
However, proposers are encouraged to propose measures, incentives and
disincentives that they believe will best achieve the Departments program goals
and objectives in a cost effective manner. Proposers may also propose more than
one approach. While the proposers proposed performance outcome measures
and related financial incentives and/or disincentives will not be scored by the
Departments Evaluation Committee, they may be considered by the Department
in awarding the contract and structuring its payments to contractors.
4. Acknowledgment of Addenda
The Acknowledgment of Addenda form (Attachment E) serves as the proposers
acknowledgment of the receipt of any addenda to this RFP which may have been issued by
the Department prior to the Proposal Due Date and Time, as set forth in Section I (D) of this
RFP. The proposer should complete this form as instructed on the form.
5.
Affirmation
The Affirmation (Attachment D) serves as the proposers affirmation with respect to debts,
contracts, or taxes that may be owed to New York City and whether the proposer is a
defaulter, as surety or otherwise, upon any obligation to New York City. The affirmation also
requests each proposer to certify whether it has been declared non-responsible or disqualified
by any New York City agency or whether there is any proceeding or pending proceeding
relating to the responsibility or qualification of the proposer to receive public contracts.
17
Proposal Package Contents (Checklist)
B.
The Proposal Package should contain the following materials. Proposers should utilize this
section as a checklist to assure completeness prior to submitting their proposal to the
Department.
1. A sealed inner envelope labeled Technical Proposal, containing one original set and
eight (8)
duplicate sets of the documents listed below in the following order. NOTE: Do NOT
include any pricing information in the Technical Proposal. As stated below, the
Price Proposal should be contained in a separate sealed inner envelope.
Proposal Cover Letter Form (Attachment A)

Technical Proposal
oo Narrative (which should cover and include all information and items requested in
the Technical Proposal Section of this RFP (Section IV.A.2))
oo Eight (8) CD-ROM/DVD or USB Sample public relations campaign assignment
and applicable materials included as hard copies.
oo References for the Proposer and, if applicable, each Sub-Contractor
oo Resumes and/or Description of Qualifications for Key Staff Positions
oo Organizational Chart
oo Audit Report or Certified Financial Statement or a statement as to why no report
or statement is available.
Affirmation (Attachment D)
Acknowledgment of Addenda Form (Attachment E)
2. A separate sealed inner envelope labeled Price Proposal containing one original set and
eight (8) duplicate sets of the Price Proposal form (Attachment C Part I and Part II); and, if
applicable, any alternative price proposal.
3. A third separate sealed inner envelope labeled Doing Business Data Form containing
an original, completed Doing Business Data Form (Attachment F).
4. A fourth separate sealed inner envelope labeled M/WBE Materials containing:
Subcontractor Utilization Plan (Attachment B, Schedule B, Part II) or;

Approved Waiver of Target Subcontracting Percentage (Attachment B, Schedule B,
Part III) or;
Subcontractor Utilization Plan (Attachment B, Schedule B, Part II) and Approved
Partial Waiver of Target Subcontracting Percentage (Attachment B, Schedule B, Part
III);
5. A sealed outer envelope (or box), enclosing the four sealed inner envelopes. The sealed
outer envelope (or box) should have two labels containing:
The proposers name and address, the Title and PIN # of this RFP and the name and
telephone number of the Proposers Contact Person.
18
The name, title and address of the Authorized Department Contact Person. (See Page
One of this RFP for Authorized Department Contract Person information.)
Note: Additional Forms / Notices that are part of the Solicitation Package and which are
not specifically mentioned above in the numbered subsections of Section IV.B (i.e.
Attachments G, H, I, J, K & L) do not need to be returned with the Solicitation package.
Any of these Attachments (i.e. Attachments G, H, I, J, K & L) that would need to be
completed could be completed at a later time by the selected vendor.
19
SECTION V - PROPOSAL EVALUATION AND CONTRACT AWARD

PROCEDURES
A. Evaluation Procedures
All proposals accepted by the Department will be reviewed to determine whether they are
responsive or non-responsive to the requisites of this RFP. Proposals that are determined by the
Department to be non-responsive will be rejected. The Departments Evaluation Committee will
evaluate and rate all remaining proposals based on the Evaluation Criteria prescribed below.
The Department reserves the right to conduct site visits and/or interviews and/or to request that
proposers make presentations and/or demonstrations, as the Department deems applicable and
appropriate. Although discussions may be conducted with proposers submitting acceptable
proposals, the Department reserves the right to award contracts on the basis of initial proposals
received, without discussions; therefore, the proposers initial proposal should contain its best
technical and price terms.
B. Evaluation Criteria
Demonstrated quantity and quality of successful relevant experience.

40%
Demonstrated level of organizational capability.
20%
Quality of proposed approach.
40%
C. Basis for Contract Award

A contract will be awarded to the responsible proposer whose proposal is determined to be
the most advantageous to the City, taking into consideration the price and such other factors
or criteria which are set forth in this RFP. The rating committee will first review and rate
each technical proposal. The proposals will then be ranked in order of highest to lowest
technical score. The technical ranking will be reviewed to determine the cutoff line for
technically viable proposals based on the natural break in the ranking. The NYPD reserves
the right to first do clarifications and/ or technical BAFOs and to do technical rescoring(s)
before establishing the final short list and opening pricing. The Agency reserves the right to
only open/ consider the Price Proposals of Proposers that have submitted technically viable
Proposals. In considering price among the technically viable proposals, the Agency will
review the price proposals of the highest technically ranked firms (i.e. those above the cutoff
line for technically viable proposals), and may request Best and Final Offers (a BAFO). In
considering price, the Department reserves the right to make appropriate adjustments for
Price Proposals which are not based upon the same level of services. The Agency will
review proposers price proposals for the contract period to determine the best overall value
for the City. Award selection will be based on the proposal (technical and pricing) which is
the most advantageous to the City. Contract award shall be subject to the timely completion
of contract negotiations between the Department and the selected proposer.
20
SECTION VI: AVAILABILITY OF PARTS OF SOLICITATION IN WORD/ EXCEL

FORMAT
Upon request, the main portion of the Solicitation, the Appendix A, and the Price Proposal Form
are available to potential applicants in Microsoft Word Format/ Excel Format (as applicable).
Please e-mail Frank Bello, Assistant Commissioner at [email protected] to request these
documents in Word/ Excel (as applicable).
SECTION VII - GENERAL INFORMATION TO PROPOSERS

A. Complaints. The New York City Comptroller is charged with the audit of contracts in New
York City. Any proposer who believes that there has been unfairness, favoritism or impropriety
in the proposal process should inform the Comptroller, Office of Contract Administration, 1
Centre Street, Room 835, New York, NY 10007; the telephone number is (212) 669-3000. In
addition, the New York City Department of Investigation should be informed of such complaints
at its Investigations Division, 80 Maiden Lane, New York, NY 10038; the telephone number is
(212) 825-5959.
B. Applicable Laws. This Request for Proposals and the resulting contract award(s), if any,
unless otherwise stated, are subject to all applicable provisions of New York State Law, the New
York City Administrative Code, New York City Charter and New York City Procurement Policy
Board (PPB) Rules. A copy of the PPB Rules may be obtained by contacting the PPB at (212)
788-7820.
C. General Contract Provisions. Contracts shall be subject to New York Citys general
contract provisions, in substantially the form that they appear in Appendix AGeneral
Provisions Governing Contracts for Consultants, Professional and Technical Services or, if the
Department utilizes other than the formal Appendix A, in substantially the form that they appear
in the Departments general contract provisions. A copy of the applicable document is available
through the Authorized Department Contact Person.
D. Contract Award. Contract award is subject to each of the following applicable conditions
and any others that may apply: New York City Fair Share Criteria; New York City MacBride
Principles Law; submission by the proposer of the requisite New York City Department of
Business Services/Division of Labor Services Employment Report and certification by that
office; submission by the proposer of the requisite VENDEX Questionnaires/Affidavits of No
Change and review of the information contained therein by the New York City Department of
Investigation; all other required oversight approvals; applicable provisions of federal, state and
local laws and executive orders requiring affirmative action and equal employment opportunity;
and Section 6-108.1 of the New York City Administrative Code relating to the Local Based
Enterprises program and its implementation rules.
E. Proposer Appeal Rights. Pursuant to New York Citys Procurement Policy Board Rules,
proposers have the right to appeal Department non-responsiveness determinations and
Department non-responsibility determinations and to protest an Departments determination
regarding the solicitation or award of a contract.
21
F. Multi-Year Contracts. Multi-year contracts are subject to modification or cancellation if

adequate funds are not appropriated to the Department to support continuation of performance in
any City fiscal year succeeding the first fiscal year and/or if the contractors performance is not
satisfactory. The Department will notify the contractor as soon as is practicable that the funds
are, or are not, available for the continuation of the multi-year contract for each succeeding City
fiscal year. In the event of cancellation, the contractor will be reimbursed for those costs, if any,
which are so provided for in the contract.
G. Prompt Payment Policy. Pursuant to the New York Citys Procurement Policy Board
Rules, it is the policy of the City to process contract payments efficiently and expeditiously.
H. Prices Irrevocable. Prices proposed by the proposer shall be irrevocable until contract
award, unless the proposal is withdrawn. Proposals may only be withdrawn by submitting a
written request to the Department prior to contract award but after the expiration of 90 days after
the opening of proposals. This shall not limit the discretion of the Department to request
proposers to revise proposed prices through the submission of best and final offers and/or the
conduct of negotiations.
I. Confidential, Proprietary Information or Trade Secrets. Proposers should give specific
attention to the identification of those portions of their proposals that they deem to be
confidential, proprietary information or trade secrets and provide any justification of why such
materials, upon request, should not be disclosed by the City. Such information must be easily
separable from the non-confidential sections of the proposal. All information not so identified
may be disclosed by the City.
J. RFP Postponement/Cancellation. The Department reserves the right to postpone or cancel
this RFP, in whole or in part, and to reject all proposals.
K. Proposer Costs. Proposers will not be reimbursed for any costs incurred to prepare
proposals.
L. Vendex Fees. Pursuant to PPB Rule 2-08(f)(2), the contractor will be charged a fee for
the administration of the VENDEX system, including the Vendor Name Check process, if a
Vendor Name Check review is required to be conducted by the Department of
Investigation. The contractor shall also be required to pay the applicable required fees for any of
its subcontractors for which Vendor Name Check reviews are required. The fee(s) will
be deducted from payments made to the contractor under the contract. For contracts with an
estimated value of less than or equal to $1,000,000, the fee will be $175. For contracts with an
estimated value of greater than $1,000,000, the fee will be $350. The estimated value for each
contract resulting from this Solicitation is estimated to be greater than $1 million.
M. Legal Contract
The proposer affirms and declares:
a.The said proposer is of lawful age and the only one interested in this solicitation; and that no
person, firm or corporation other than the entity submitting the proposal has any interest in this
solicitation, or in the Contract proposed to be taken.
b.By submission of this proposal, each applicant and each person signing on behalf of any
proposer organization certified, and in the case of a joint proposal, each party, thereto certifies as
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Message from the New York City Vendor Enrollment Center
Get on mailing lists for New York City contract opportunities!

Submit a NYC-FMS Vendor Application - Call 212/857-1680
Message from New York Citys Department of Small Business Services
The Department of Small Business Services (SBS) offers One-on-One Technical Assistance to
businesses that are interested in bidding on City contracts for the following goods and services:
construction, construction related, standardized and architectural and engineering. If you plan on
bidding on this or any other City contract, contact SBS to schedule an appointment. The
Department of Small Business Services will meet with you to review your particular proposal,
application or submission, and provide feedback and guidance to help you submit the best
proposal, application, or submission possible.
To schedule One-on-One Technical Assistance, email [email protected] and an SBS
representative will contact you.
23
ATTACHMENT A
PROPOSAL COVER LETTER
RFP TITLE:
COMMUNICATIONS AND PUBLIC RELATIONS/

CAMPAIGNCOMMUNITY OUTREACH
PIN: 056170001150; EPIN: 05617P0001

Proposer:
Name:
__________________________________________________________________
Address:
__________________________________________________________________
__________________________________________________________________
Tax Identification #:
________________________________
Proposers Contact Person:

Name:
__________________________________________________________________
Title:
__________________________________________________________________
Telephone #:
E-Mail:
____________________________________________________________
______________________________________________
Proposers Authorized Representative (if same as Proposers Contact person listed

directly above, just note same and sign):
Name: ____________________________________________________________________
Title: ______________________________________________________________________
Signature: __________________________________________________________________
Date:
__________________________________
Is the response printed on both sides, on recycled paper containing the minimum percentage of
recovered fiber content as requested by the City in the instructions to this solicitation?
Yes
No
24
ATTACHMENT B
NOTICE TO PROPOSERS REGARDING PARTICIPATION BY MINORITY-OWNED
AND WOMEN-OWNED BUSINESS ENTERPRISES IN CITY PROCUREMENT
NOTICE TO ALL PROSPECTIVE CONTRACTORS
PARTICIPATION BY MINORITY-OWNED AND WOMEN-OWNED BUSINESS

ENTERPRISES IN CITY PROCUREMENT
ARTICLE I.
M/WBE PROGRAM
Local Law No. 129 of 2005 added Section 6-129 to the Administrative Code of the City
of New York. The local law creates a program for participation by minority-owned and
women-owned business enterprises (MBEs and WBEs) in City procurement. As stated in the
Section 6-129, the intent of the program is to address the impact of discrimination on the Citys
procurement process, and to promote the public interest in avoiding fraud and favoritism in the
procurement process, increasing competition for City business, and lowering contract costs.
The contract provisions contained herein are made pursuant to Local Law 129, and the rules of
the Department of Small Business Services (DSBS) promulgated thereunder.
If this Contract is subject to the Minority-Owned and Women-Owned Business
Enterprise (M/WBE) program created by Local Law 129, the specific requirements of
M/WBE participation for this Contract are set forth in Schedule B of the Contract
(entitled the Subcontractor Utilization Plan), and are detailed below.
The contractor must comply with all applicable M/WBE requirements for this
Contract.
Article I, Part A, below, sets forth provisions related to the participation goals for
construction and professional services contracts.
Article I, Part B, below, sets forth miscellaneous provisions related to the M/WBE
program.
PART A
PARTICIPATION GOALS FOR CONSTRUCTION
AND PROFESSIONAL SERVICES CONTRACTS
1. The Target Subcontracting Percentage applicable to this Contract is set forth on
Schedule B, Part I to this Contract (see Page 1, line (1)).
The Target Subcontracting Percentage is the percentage of the total Contract which
Agency anticipates that the prime contractor for this Contract would in the normal course of
business award to one or more subcontractors for amounts under $1 million for construction
and professional services.
25
A prospective contractor may seek a full or partial pre-award waiver of the Target
Subcontracting Percentage in accordance with Local Law 129 and Part A, Section 10 below.
To apply for the a full or partial waiver of the Target Subcontracting Percentage, a
prospective contractor must complete Part III (Page 4) of Schedule B, and must submit such
request no later than seven (7) days prior to the date and time the bids or proposals are due, in
writing to the Agency by e-mail at _____________________or via facsimile at (___)
___________________. Bidders/proposers who have submitted requests will receive a
response by no later than two (2) calendar days prior to the date bids or proposals are due,
provided, however, that if that date would fall on a weekend or holiday, a response will be
provided by close-of-business on the business day before such weekend or holiday date.
2. The Subcontractor Participation Goals established for this Contract are set forth on
Schedule B, Part I to this Contract (see Page 1, line (2) and/or line (3)).
The Subcontractor Participation Goals represent a percentage of the total dollar value of all
construction and/or professional services subcontracts under this Agreement for amounts under
$1 million.
3. If Subcontractor Participation Goals have been established for this Contract, contractor
agrees or shall agree as a material term of the Agreement that, with respect to the total amount
of the Agreement to be awarded to one or more subcontractors pursuant to subcontracts for
amounts under $1 million, contractor shall be subject to the Subcontractor Participation
Goals, unless the goals are modified by Agency in accordance with Local Law 129 and Part A,
Section 11 below.
4. If Subcontractor Participation Goals have been established for this Contract, a
prospective contractor shall be required to submit with its bid or proposal, as applicable, a
completed Schedule B, Part II Subcontractor Utilization Plan (see Page 2-3) indicating: (a) the
percentage of work it intends to subcontract; (b) the percentage of work it intends to award to
subcontractors for amounts under $1 million; (c) in cases where the prospective contractor
intends to award subcontracts for amounts under $1 million, a description of the type and
dollar value of work designated for participation by MBEs and/or WBEs; and (d) the general
time frames in which such work by MBEs and/or WBEs is scheduled to occur. In the event
that this Subcontractor Utilization Plan indicates that the bidder or proposer, as applicable,
does not intend to award the Target Subcontracting Percentage, the bid or proposal, as
applicable, shall be deemed non-responsive, unless Agency has granted the bidder or proposer,
as applicable, a pre-award waiver of the Target Subcontracting Percentage in accordance
with Local Law 129 and Part A, Section 10 below.
THE
BIDDER/PROPOSER MUST FULLY COMPLETE THE SUBCONTRACTOR UTILIZATION PLAN

INCLUDED HEREIN (SCHEDULE B, PART II). BIDS/PROPOSALS WHICH DO NOT INCLUDE A
COMPLETED SUBCONTRACTOR UTILIZATION PLAN WILL BE DEEMED TO BE NONRESPONSIVE, UNLESS A FULL WAIVER OF THE TARGET SUBCONTRACTING PERCENTAGE IS
GRANTED (SCHEDULE B, PART III).
IN THE EVENT THAT THE SUBCONTRACTOR
UTILIZATION PLAN (SCHEDULE B, PART II) INDICATES THAT THE BIDDER/PROPOSER DOES
NOT INTEND TO AWARD THE TARGET SUBCONTRACTING PERCENTAGE, THE BID/PROPOSAL
WILL BE DEEMED TO BE NON-RESPONSIVE, UNLESS THE AGENCY HAS GRANTED A WAIVER OF
THE TARGET SUBCONTRACTING PERCENTAGE (SCHEDULE B, PART III).
26
5. Where a Subcontractor Utilization Plan has been submitted, the contractor shall, within
30 days of issuance by Agency of a notice to proceed, submit a list of proposed persons or
entities to which it intends to award subcontracts within the subsequent 12 months. In the case
of multi-year contracts, such list shall also be submitted every year thereafter. In the event that
the contractors selection of a subcontractor is disapproved, the contractor shall have a
reasonable time to propose alternate subcontractors.
6. M/WBE firms must be certified by DSBS in order for the contractor to credit such firms
participation toward the attainment of the M/WBE participation goals. Such certification must
occur prior to the firms commencement of work as subcontractors. A list of M/WBE firms
may be obtained from the DSBS website at www.nyc.gov/getcertified, by emailing DSBS at
[email protected], by calling the DSBS certification hotline at (212) 513-6311, or by
visiting or writing DSBS at 110 William St., New York, New York, 10038, 7th floor. Eligible
firms that have not yet been certified may contact DSBS (as indicated above) in order to seek
certification.
7. Where a Subcontractor Utilization Plan has been submitted, the contractor shall, with
each voucher for payment, and/or periodically as Agency may require, submit statements,
certified under penalty of perjury, which shall include, but not be limited to, the total amount
paid to subcontractors (including subcontractors that are not MBEs or WBEs); the names,
addresses and contact numbers of each MBE or WBE hired as a subcontractor pursuant to such
plan as well as the dates and amounts paid to each MBE or WBE. The contractor shall also
submit, along with its voucher for final payment, the total amount paid to subcontractors
(including subcontractors that are not MBEs or WBEs); and a final list, certified under penalty
of perjury, which shall include the name, address and contact information of each
subcontractor that is an MBE or WBE hired pursuant to such plan, the work performed by, and
the dates and amounts paid to each.
8. If payments made to, or work performed by, MBEs or WBEs are less than the amount
specified in the contractors Subcontractor Utilization Plan, Agency shall take appropriate
action, in accordance with Local Law 129 and Article II below, unless the contractor has
obtained a modification of its Subcontractor Utilization Plan in accordance with Local Law
129 and Part A, Section 11 below.
9. Where a Subcontractor Utilization Plan has been submitted, and the contractor requests a
change order the value of which exceeds 10 percent of the Agreement, Agency shall establish
participation goals for the work to be performed pursuant to the change order.
10. Pre-award waiver of Target Subcontracting Percentage. Agency may grant a full or
partial waiver of the Target Subcontracting Percentage to a bidder or proposer, as
applicable, who demonstratesbefore submission of the bid or proposalthat it has legitimate
business reasons for proposing the level of subcontracting in its Subcontractor Utilization Plan.
In making its determination, Agency shall consider factors that shall include, but not be limited
to, whether the bidder or proposer, as applicable, has the capacity and the bona fide intention to
perform the Contract without any subcontracting, or to perform the Contract without awarding
the amount of subcontracts for under one million dollars represented by the Target
Subcontracting Percentage. In making such determination, Agency may consider whether
the Subcontractor Utilization Plan is consistent with past subcontracting practices of the bidder
27
or proposer, as applicable, and whether the bidder or proposer, as applicable, has made good
faith efforts to identify portions of the Contract that it intends to subcontract.
11. Modification of Subcontractor Utilization Plan. A contractor may request a modification
of its Subcontractor Utilization Plan (Subcontractor Participation Goals) after award of this
Contract. The Agency may grant such request if it determines that the contractor has
established, with appropriate documentary and other evidence, that it made reasonable, good
faith efforts to meet the Subcontractor Participation Goals. In making such determination,
Agency shall consider evidence of the following efforts, as applicable, along with any other
relevant factors:
(a) The contractor advertised opportunities to participate in the Contract, where
appropriate, in general circulation media, trade and professional association publications and
small business media, and publications of minority and womens business organizations;
(b) The contractor provided notice of specific opportunities to participate in the
Contract, in a timely manner, to minority and womens business organizations;
(c) The contractor sent written notices, by certified mail or facsimile, in a timely
manner, to advise MBEs and WBEs that their interest in the Contract was solicited;
(d) The contractor made efforts to identify portions of the work that could be
substituted for portions originally designated for participation by MBEs and/or WBEs in the
Subcontractor Utilization Plan, and for which the contractor claims an inability to retain MBEs
or WBEs;
(e) The contractor held meetings with MBEs and/or WBEs prior to the date their bids
or proposals were due, for the purpose of explaining in detail the scope and requirements of the
work for which their bids or proposals were solicited;
(f) The contractor made efforts to negotiate with MBEs and/or WBEs as relevant to
perform specific subcontracts;
(g) Timely written requests for assistance made by the contractor to Agencys
M/WBE liaison officer and to DSBS;
(h) Description of how recommendations made by DSBS and Agency were acted
upon and an explanation of why action upon such recommendations did not lead to the desired
level of participation of MBEs and/or WBEs.
Agencys M/WBE officer shall provide written notice to the contractor of the determination.
12. If Subcontractor Participation Goals have been established for this Contract, Agency
shall evaluate and assess the contractors performance in meeting those goals, and such
evaluation and assessment shall become part of the contractors overall contract performance
evaluation.
28
PART B
MISCELLANEOUS
1. The contractor shall take notice that, if this solicitation requires the establishment of a
Subcontractor Utilization Plan, the resulting contract may be audited by DSBS to determine
compliance with Section 6-129. See 6-129(e)(10). Furthermore, such resulting contract may
also be examined by the Citys Comptroller to assess compliance with the Subcontractor
Utilization Plan.
2. Pursuant to DSBS rules, construction contracts that include a requirement for a
Subcontractor Utilization Plan shall not be subject to the law governing Locally Based
Enterprises set forth in Administrative Code Section 6-108.1.
3. DSBS is available to assist contractors and potential contractors in determining the
availability of MBEs and WBEs to participate as subcontractors, and in identifying
opportunities that are appropriate for participation by MBEs and WBEs in contracts.
4. Prospective contractors are encouraged to enter into joint ventures with MBEs and
WBEs.
5. By submitting a bid or proposal the contractor hereby acknowledges its understanding of
the M/WBE requirements set forth herein and the pertinent provisions of Local Law 129 of
2005, and any rules promulgated thereunder, and if awarded this Contract, the contractor
hereby agrees to comply with the M/WBE requirements of this Contract and pertinent
provisions of Local Law 129 of 2005, and any rules promulgated thereunder, all of which shall
be deemed to be material terms of this Contract. The contractor hereby agrees to make all
reasonable, good faith efforts to solicit and obtain the participation of M/WBEs to meet the
required Subcontractor Participation Goals.
ARTICLE II.
ENFORCEMENT
1. If Agency determines that a bidder or proposer, as applicable, has, in relation to this

procurement, violated Section 6-129 or the DSBS rules promulgated pursuant to Section 6-129,
Agency may disqualify such bidder or proposer, as applicable, from competing for this
Contract and the Agency may revoke such bidders or proposers prequalification status, if
applicable.
2. Whenever Agency believes that the contractor or a subcontractor is not in compliance
with Section 6-129 or the DSBS rules promulgated pursuant to Section 6-129, or any provision
of this Contract that implements Section 6-129, including, but not limited to any Subcontractor
Utilization Plan, Agency shall send a written notice to the contractor describing the alleged
noncompliance and offering an opportunity to be heard. Agency shall then conduct an
investigation to determine whether such contractor or subcontractor is in compliance.
3. In the event that the contractor has been found to have violated Section 6-129, the DSBS
rules promulgated pursuant to Section 6-129, or any provision of this Contract that implements
this Section 6-129, including, but not limited any Subcontractor Utilization Plan, Agency may
determine that one of the following actions should be taken:
29
(a) entering into an agreement with the contractor allowing the contractor to cure the
violation;
(b) revoking the contractor's pre-qualification to bid or make proposals for future
contracts;
(c) making a finding that the contractor is in default of the Contract;
(d) terminating the Contract;
(e) declaring the contractor to be in breach of Contract;
(f) withholding payment or reimbursement;
(g) determining not to renew the Contract;
(h) assessing actual and consequential damages;
(i) assess liquidated damages or reduction of fees, provided that liquidated damages
may be based on amounts representing costs of delays in carrying out the purposes of the
program established by Section 6-129, or in meeting the purposes of the Contract, the costs of
meeting utilization goals through additional procurements, the administrative costs of
investigation and enforcement, or other factors set forth in the Contract;
(j) exercise rights under the Contract to procure goods, services or construction from
another contractor and charge the cost of such contract to the contractor that has been found to
be in noncompliance; or
(k) take any other appropriate remedy.
4. Whenever Agency has reason to believe that an MBE or WBE is not qualified for
certification, or is participating in a contract in a manner that does not serve a commercially
useful function (as defined in Section 6-129), or has violated any provision of Section 6-129,
Agency shall notify the commissioner of DSBS who shall determine whether the certification
of such business enterprise should be revoked.
5. Statements made in any instrument submitted to Agency pursuant to Section 6-129 shall
be submitted under penalty of perjury and any false or misleading statement or omission shall
be grounds for the application of any applicable criminal and/or civil penalties for perjury. The
making of a false or fraudulent statement by an MBE or WBE in any instrument submitted
pursuant to Section 6-129 shall, in addition, be grounds for revocation of its certification.
6. The contractor's record in implementing its Subcontractor Utilization Plan shall be a
factor in the evaluation of its performance. Whenever a contracting agency determines that a
contractor's compliance with a Subcontractor Utilization Plan has been unsatisfactory, the
agency shall, after consultation with the city chief procurement officer, file an advice of
caution form for inclusion in VENDEX as caution data.
30
ATTACHMENT B
SCHEDULE B SUBCONTRACTOR/MWBE UTILIZATION PLAN PARTS I, II AND
III
This page left blank intentionally.
31
Tax ID #:
APT E-PIN #:
05617P0001

SCHEDULE B M/WBE Utilization Plan
Part I: M/WBE Participation Goals
Part I to be completed by contracting agency

Contract Overview
APT E- Pin #
Project Title/
Agency PIN #
Bid/Proposal
Response Date
Contracting
Agency
Agency Address
05617P0001
Contact Person
Telephone #
Frank Bello
646-610-5220
FMS Project ID#:
PIN 056170001150 - Communications and Public Relations Campaign/Community Outreach
NYPD
1 Police Plaza
City
NY
State
Title
Email
NY
Zip Code
10038
ACCO
[email protected]
Project Description (attach additional pages if necessary)

The New York City Police Department (the Department or NYPD) is seeking an appropriately qualified vendor to provide
a communications plan and public relations campaign dedicated to improving the NYPDs depth of connection to various
communities within the City of New York, with special emphasis and desired impact within communities of color.
M/WBE Participation Goals for Services

Enter the percentage amount for each group or for an unspecified goal. Please note that there are no goals for Asian Americans in Professional Services.
Prime Contract Industry: Professional Services

Group
Percentage
25%
Unspecified
or
Black American
%
Hispanic American
%
Asian American
%
%
Women
Total Participation Goals
25%
Page 1 of 6
Tax ID #:
APT E-PIN #:
05617P0001
SCHEDULE B - Part II: M/WBE Participation Plan

Part II to be completed by the bidder/proposer.
Please note: For Non-M/WBE Prime Contractors who will NOT subcontract any services and will self-perform the entire
contract, you must obtain a FULL waiver by completing the Waiver Application on pages 5 and 6 and timely submitting it to the
contracting agency pursuant to the Notice to Prospective Contractors. Once a FULL WAIVER is granted, it must be included
with your bid or proposal and you do not have to complete or submit this form with your bid or proposal.
Section I: Prime Contractor Contact Information
Tax ID #
FMS Vendor ID #
Business Name
Contact Person
Address
Telephone #
Email
Section II: M/WBE Utilization Goal Calculation: Check the applicable box and complete subsection.
PRIME CONTRACTOR ADOPTING AGENCY M/WBE PARTICIPATION GOALS

For Prime Contractors (including
Qualified Joint Ventures and M/WBE
firms) adopting Agency M/WBE
Participation Goals.
Total Bid/Proposal
Value
Agency Total
Participation Goals
(Line 1, Page 1)
Calculated M/WBE
Participation Amount
Calculate the total dollar value of your total

bid that you agree will be awarded to
M/WBE subcontractors for services and/or
credited to an M/WBE prime contractor or
Qualified Joint Venture.
Please review the Notice to Prospective
Contractors for more information on how to
obtain credit for M/WBE participation.
$
Line 2
PRIME CONTRACTOR OBTAINED PARTIAL WAIVER APPROVAL: ADOPTING MODIFIED

M/WBE PARTICIPATION GOALS
For Prime Contractors (including
Qualified Joint Ventures and M/WBE
firms) adopting Modified M/WBE
Participation Goals.
Adjusted
Participation Goal
(From Partial Waiver)
Total Bid/Proposal
Value
Calculated M/WBE
Participation Amount
Calculate the total dollar value of your total

bid that you agree will be awarded to
M/WBE subcontractors for services and/or
credited to an M/WBE prime contractor or
Qualified Joint Venture.
Please review the Notice to Prospective
Contractors for more information on how to
obtain credit for M/WBE participation.
Page 2 of 6
$
Line 3
Tax ID #:
APT E-PIN #:
05617P0001
Section III: M/WBE Utilization Plan: How Proposer/Bidder Will Fulfill M/WBE Participation Goals. Please review the
Notice to Prospective Contractors for more information on how to obtain credit for M/WBE participation. Check
applicable box. The Proposer or Bidder will fulfill the M/WBE Participation Goals:
As an M/WBE Prime Contractor that will self-perform and/or subcontract to other M/WBE firms a portion of the contract
the value of which is at least the amount located on Lines 2 or 3 above, as applicable. The value of any work subcontracted
to non-M/WBE firms will not be credited towards fulfillment of M/WBE Participation Goals. Please check all that apply to
Prime Contractor:
MBE
WBE
As a Qualified Joint Venture with an M/WBE partner, in which the value of the M/WBE partners participation and/or the
value of any work subcontracted to other M/WBE firms is at least the amount located on Lines 2 or 3 above, as applicable.
The value of any work subcontracted to non M/WBE firms will not be credited towards fulfillment of M/WBE Participation
Goals.
As a non M/WBE Prime Contractor that will enter into subcontracts with M/WBE firms the value of which is at least the
amount located on Lines 2 or 3 above, as applicable.
Section IV: General Contract Information
What is the expected percentage of the total contract dollar value that you expect to award in subcontracts for services,
regardless of M/WBE status? % ____
Enter brief description of the type(s) and dollar value of subcontracts for all/any services you plan on
subcontracting if awarded this contract. For each item, indicate whether the work is designated for participation
by MBEs and/or WBEs and the time frame in which such work is scheduled to begin and end. Use additional
sheets if necessary.
Scopes of Subcontract Work
1._______________________________________________________
2._______________________________________________________
3._______________________________________________________
4._______________________________________________________
5._______________________________________________________
6._______________________________________________________
7._______________________________________________________
8._______________________________________________________
9. ______________________________________________________
10.______________________________________________________
11.______________________________________________________
12.______________________________________________________
13.______________________________________________________
14.______________________________________________________
15.______________________________________________________
16.______________________________________________________
17.______________________________________________________
Page 3 of 6
Tax ID #:
APT E-PIN #:
05617P0001
Section V: Vendor Certification and Required Affirmations

I hereby:
1) acknowledge my understanding of the M/WBE participation requirements as set forth herein and the pertinent
provisions of Section 6-129 of the Administrative Code of the City of New York (Section 6-129), and the rules
promulgated thereunder;
2) affirm that the information supplied in support of this M/WBE Utilization Plan is true and correct;
3) agree, if awarded this Contract, to comply with the M/WBE participation requirements of this Contract, the
pertinent provisions of Section 6-129, and the rules promulgated thereunder, all of which shall be deemed to be
material terms of this Contract;
4) agree and affirm that it is a material term of this Contract that the Vendor will award the total dollar value of
the M/WBE Participation Goals to certified MBEs and/or WBEs, unless a full waiver is obtained or such goals are
modified by the Agency; and
5) agree and affirm, if awarded this Contract, to make all reasonable, good faith efforts to meet the M/WBE
Participation Goals, or If a partial waiver is obtained or such goals are modified by the Agency, to meet the
modified Participation Goals by soliciting and obtaining the participation of certified MBE and/or WBE firms.
Signature
Date
Print Name
Title
Page 4 of 6
Tax ID #:
APT E-PIN #:
05617P0001
SCHEDULE B PART III REQUEST FOR WAIVER OF M/WBE PARTICIPATION REQUIREMENT M/WBE
PARTICIPATION GOALS
Contract Overview
Tax ID #
FMS Vendor ID #
Business Name
Contact Name
Telephone #
Type of Procurement
Competitive Sealed Bids
Other
Email
Bid/Response Due Date
APT E-PIN # (for this procurement):_______05617P0001________________
Contracting Agency: NYPD
M/WBE Participation Goals as described in bid/solicitation documents

25%
Agency M/WBE Participation Goal
Proposed M/WBE Participation Goal as anticipated by vendor seeking waiver
of the total contract value anticipated in good faith by the bidder/proposer to be subcontracted for
services and/or credited to an M/WBE Prime Contractor or Qualified Joint Venture.
Basis for Waiver Request: Check appropriate box & explain in detail below (attach additional pages if needed)
Vendor does not subcontract services, and has the capacity and good faith intention to perform all such work
itself with its own employees.
Vendor subcontracts some of this type of work but at a lower % than bid/solicitation describes, and has the
capacity and good faith intention to do so on this contract. (Attach subcontracting plan outlining services that
the vendor will self-perform and subcontract to other vendors or consultants.)
Vendor has other legitimate business reasons for proposing the M/WBE Participation Goal above. Explain under
separate cover.
References
List 3 most recent contracts performed for NYC agencies (if any). Include information for each subcontract awarded in
performance of such contracts. Add more pages if necessary.
CONTRACT NO.
Total Contract
Amount $
AGENCY
DATE COMPLETED
Total Amount
Subcontracted $
Item of Work
Subcontracted and
Value of subcontract
Item of Work
Subcontracted and
Item of Work
Subcontracted and
CONTRACT NO.
AGENCY
DATE COMPLETED
Total Contract
Amount $
Total Amount
Subcontracted $
Item of Work
Subcontracted and
Item of Work
Subcontracted and
Item of Work
Subcontracted and
CONTRACT NO.
AGENCY
DATE COMPLETED
Total Contract
Amount $
Item of Work
Subcontracted and
Total Amount
Subcontracted $
Item of Work
Subcontracted and
Page 5 of 6
Item of Work
Subcontracted and
Tax ID #:
APT E-PIN #:
05617P0001
List 3 most recent contracts performed for other entities. Include information for each subcontract awarded in performance of
such contracts. Add more pages if necessary.
(Complete ONLY if vendor has performed fewer than 3 New York City contracts.)
TYPE OF Contract
AGENCY/ENTITY
DATE COMPLETED
Manager at agency/entity that hired vendor (Name/Phone No./Email)

Total Contract
Amount $
Total Amount
Subcontracted $
Type of Work
Subcontracted
TYPE OF Contract
AGENCY/ENTITY
DATE COMPLETED

Total Contract
Amount $
Total Amount
Subcontracted $
Item of Work
Subcontracted
and Value of
subcontract
Item of Work
Subcontracted
and Value of
subcontract
TYPE OF Contract
Item of Work
Subcontracted and
Value of
subcontract
AGENCY/ENTITY
DATE COMPLETED

Total Contract
Amount $
Total Amount
Subcontracted $
Item of Work
Subcontracted
and Value of
subcontract
Item of Work
Subcontracted
and Value of
subcontract
Item of Work
Subcontracted and
Value of
subcontract
VENDOR CERTIFICATION: I hereby affirm that the information supplied in support of this waiver request is true and correct,
and that this request is made in good faith.
Signature:
Date:
Print Name:
Title:
Shaded area below is for agency completion only
AGENCY CHIEF CONTRACTING OFFICER APPROVAL

Signature:
Date:
CITY CHIEF PROCUREMENT OFFICER APPROVAL

Signature: _______________________________________________
Date: _____________________________
Waiver Determination
Full Waiver Approved:
Waiver Denied:
Partial Waiver Approved:
Revised Participation Goal:_____%
Page 6 of 6
ATTACHMENT C
PRICE PROPOSAL CAMPAIGN ASSIGNMENT FORM PART I
Sample Public Relations Campaign Assignment (10 Week Campaign)
Instructions to Proposers:
The Proposer must complete Attachment C Parts I, and II of the Price Proposal in order to be
considered responsive to this RFP.
1) Insert for each Area of Service, Price and Commission amounts for the NYPD Sample
Public Relations Campaign Assignment. The City of New York will NOT pay
commission charges on travel, postage and messengers.
2) Calculate the subtotals for columns A, B, and C.
Price ($)
Commission Fee
($)
Area of Service
C
Price +
Commission Fee
($)
Creative Development
Account Management
Production (radio, television,

print, internet, promotional
items etc.)
Research
Subtotal
3) Insert the total number of public relations/community outreach campaigns that can be
provided by the vendor yearly based on the NYPDs annual budget of $800,000.00.
______________ Public relations/community outreach campaigns provided annually.

(Number)
32
ATTACHMENT C
PRICE PROPOSAL CAMPAIGN ASSIGNMENT FORM PART II
Sample Public Relations Campaign Assignment (10 week campaign)
1) For all FOUR charts below:
Provide a detailed line item breakdown of the Price inserted in Column A of Price
Proposal FormPart I, for each Area of Service (Creative Development, Account
Management, Production and Research). Note: Year 1 total cost for each Area of
Service should be equal to the Prices inserted in Column A for each Area of
Service of the Price Proposal Form-Part I.
Provide a 5- year budget breakdown for the 10 week sample Public Relations
Campaign Assignment.
Year 1
Year 2
Year 3
Year 4
Year 5
Total 5-year
A. CREATIVE
DEVELOPMENT
PERSONNEL
COSTS
Title
Personnel
Personnel
Personnel
Total Cost:
DETAIL
LINE ITEMS:
Other
(Specify):
Other
(Specify):
Other
(Specify):
Line Item
Total Costs
TOTAL (CREATIVE
DEVELOPMENT):
$
$
$
$
33
B. ACCOUNT
MANAGEMENT
PERSONNEL
COSTS
Year 1
Year 2
Year 3
Year 4
Total 5year
Year 5
Title
Personnel
Personnel
Personnel
Total Cost:
DETAIL
LINE
ITEMS:
Other
(Specify):
Other
(Specify):
Other
(Specify):
Line Item
Total Costs
TOTAL (ACCOUNT
MANAGEMENT):
34
C. PRODUCTION
PERSONNEL
COSTS
Year 1
Year 2
Year 3
Year 4
Total 5year
Year 5
Title
Personnel
Personnel
Personnel
Total Cost:
DETAIL
LINE
ITEMS:
Other
(Specify):
Other
(Specify):
Other
(Specify):
Line Item
Total Costs
TOTAL (PRODUCTION):
35
D. RESEARCH
PERSONNEL
COSTS
Year 1
Year 2
Year 3
Year 4
Total 5year
Year 5
Title
Personnel
Personnel
Personnel
Total Cost:
DETAIL
LINE
ITEMS:
Other
(Specify):
Other
(Specify):
Other
(Specify):
Line Item
Total Costs
TOTAL (RESEARCH):
GRAND TOTAL (A+B+C+D):
36
ATTACHMENT D
AFFIRMATION
The undersigned contractor affirms and declares that said contractor is not in arrears to the City
of New York upon debt, contract or taxes and is not a defaulter, as surety or otherwise, upon
obligation to the City of New York, and has not been declared not responsible, or disqualified,
by any agency of the City of New York, nor is there any proceeding pending relating to the
responsibility or qualification of the proposer or bidder to receive public contracts except:
_______________________________________________________________________.
Full name of contractor:________________________________________________________
Address: ________________________________________________________________
City _________________________ State __________________ Zip Code ___________
CHECK ONE AND INCLUDE APPROPRIATE NUMBER:
A - _____ Individual or Sole Proprietorship*
SOCIAL SECURITY NUMBER _ _ _ -_ _ -_ _ _ _
B-
_____
Partnership, Joint Venture or other non-incorporated organization

EMPLOYER IDENTIFICATION NUMBER _ _ _ _ _ _ _ _ _
C - _____ Corporation (If a corporation place seal below)

EMPLOYER IDENTIFICATION NUMBER _ _ _ _ _ _ _ _ _
* Under the Federal Privacy Act the furnishing of Social Security Numbers by bidders on
City Contracts is voluntary. Failure to provide a Social Security Number will not result in a
bidder's disqualification. Social Security Numbers will be used to identify bidders, proposers or
contractors to ensure their compliance with laws, to assist the City in enforcement of laws as
well as to provide the City a means of identifying businesses that seek City Contracts.
37
ATTACHMENT E
ACKNOWLEDGMENT OF ADDENDA
TITLE OF REQUEST FOR PROPOSALS:
PIN
COMMUNICATIONS AND PUBLIC RELATIONS

CAMPAIGN/COMMUNITY OUTREACH
056170001150
INSTRUCTIONS: The Proposer is to complete Part I or Part II of this Form, whichever

is applicable, and sign and date this form. This form serves as the proposers
acknowledgment of the receipt of Addenda to this Request for Proposals (RFP) which may
have been issued by the Agency prior to the Proposal Due Date and Time. Please include this
completed form with your Technical Proposals.
____ Part I
Listed below are the dates of issue for each Addendum received in connection with this
RFP.
Addendum # 1, dated _____________________________________
Addendum # 2, dated _____________________________________
Addendum # 3, dated _____________________________________
Addendum # 4, dated _____________________________________
Addendum # 5, dated _____________________________________
Addendum # 6, dated _____________________________________
Addendum # 7, dated _____________________________________
Addendum # 8, dated _____________________________________
____ Part II
No Addendum was received in connection with this RFP.
Proposer Name:
Proposers Authorized Representative:
Name: ____________________________________________
Title:
____________________________________________
Signature: _________________________________________
Date:
_________________________________________
38
ATTACHMENT F
DOING BUSINESS DATA FORM
This page is left blank intentionally
39
ATTACHMENT G
IRAN CONTRACT COMPLIANCE RIDER FORM
This page left blank intentionally
40
IRAN DIVESTMENT ACT COMPLIANCE RIDER FOR

NEW YORK CITY CONTRACTORS
The Iran Divestment Act of 2012, effective as of April 12, 2012, is codified at State
Finance Law (SFL) 165-a and General Municipal Law (GML) 103-g. The Iran
Divestment Act, with certain exceptions, prohibits municipalities, including the City, from
entering into contracts with persons engaged in investment activities in the energy sector of
Iran. Pursuant to the terms set forth in SFL 165-a and GML 103-g, a person engages in
investment activities in the energy sector of Iran if:
(a) the person provides goods or services of twenty million dollars or
more in the energy sector of Iran, including a person that provides oil or
liquefied natural gas tankers, or products used to construct or maintain
pipelines used to transport oil or liquefied natural gas, for the energy sector
of Iran; or
(b) The person is a financial institution that extends twenty million
dollars or more in credit to another person, for forty-five days or more, if
that person will use the credit to provide goods or services in the energy
sector in Iran and is identified on a list created pursuant to paragraph (b) of
subdivision three of Section 165-a of the State Finance Law and maintained
by the Commissioner of the Office of General Services.
A bid or proposal shall not be considered for award nor shall any award be made
where the bidder or proposer fails to submit a signed and verified bidders certification.
Each bidder or proposer must certify that it is not on the list of entities engaged in
investment activities in Iran created pursuant to paragraph (b) of subdivision 3 of Section
41
165-a of the State Finance Law. In any case where the bidder or proposer cannot certify
that they are not on such list, the bidder or proposer shall so state and shall furnish with
the bid or proposal a signed statement which sets forth in detail the reasons why such
statement cannot be made. The City of New York may award a bid to a bidder who cannot
make the certification on a case by case basis if:
(1)
The investment activities in Iran were made before the effective date of this section
(i.e., April 12, 2012), the investment activities in Iran have not been expanded or
renewed after the effective date of this section and the person has adopted, publicized
and is implementing a formal plan to cease the investment activities in Iran and to
refrain from engaging in any new investments in Iran: or
(2)
The City makes a determination that the goods or services are necessary for the City
to perform its functions and that, absent such an exemption, the City would be
unable to obtain the goods or services for which the contract is offered.
determination shall be made in writing and shall be a public document.
42
Such
BIDDERS CERTIFICATION OF COMPLIANCE WITH

IRAN DIVESTMENT ACT
Pursuant to General Municipal Law 103-g, which generally prohibits the City from entering
into contracts with persons engaged in investment activities in the energy sector of Iran, the
bidder/proposer submits the following certification:
[Please Check One]
BIDDERS CERTIFICATION
By submission of this bid or proposal, each bidder/proposer and each person signing on
behalf of any bidder/proposer certifies, and in the case of a joint bid each party thereto
certifies as to its own organization, under penalty of perjury, that to the best of its
knowledge and belief, that each bidder/proposer is not on the list created pursuant to
paragraph (b) of subdivision 3 of Section 165-a of the State Finance Law.
I am unable to certify that my name and the name of the bidder/proposer does not appear
on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of the State
Finance Law. I have attached a signed statement setting forth in detail why I cannot so
certify.
Dated:
_________, New York

______ , 20 __
SIGNATURE
PRINTED NAME
TITLE
Sworn to before me this
day of
, 20
Notary Public
Dated:
43
ATTACHMENT H
WHISTLEBLOWER PROTECTION EXPANSION ACT NOTICE AND RIDER
44
WHISTLEBLOWER PROTECTION EXPANSION ACT RIDER

1.
In accordance with Local Law Nos. 30-2012 and 33-2012, codified at sections 6-132 and 12-113
of the New York City Administrative Code, respectively,
(a) Contractor shall not take an adverse personnel action with respect to an officer or employee in
retaliation for such officer or employee making a report of information concerning conduct
which such officer or employee knows or reasonably believes to involve corruption, criminal
activity, conflict of interest, gross mismanagement or abuse of authority by any officer or
employee relating to this Contract to (i) the Commissioner of the Department of Investigation,
(ii) a member of the New York City Council, the Public Advocate, or the Comptroller, or (iii)
the City Chief Procurement Officer, ACCO, Agency head, or Commissioner.
(b) If any of Contractors officers or employees believes that he or she has been the subject of an
adverse personnel action in violation of subparagraph (a) of paragraph 1 of this rider, he or
she shall be entitled to bring a cause of action against Contractor to recover all relief
necessary to make him or her whole. Such relief may include but is not limited to: (i) an
injunction to restrain continued retaliation, (ii) reinstatement to the position such employee
would have had but for the retaliation or to an equivalent position, (iii) reinstatement of full
fringe benefits and seniority rights, (iv) payment of two times back pay, plus interest, and (v)
compensation for any special damages sustained as a result of the retaliation, including
litigation costs and reasonable attorneys fees.
(c) Contractor shall post a notice provided by the City in a prominent and accessible place on any
site where work pursuant to the Contract is performed that contains information about:
(i) how its employees can report to the New York City Department of Investigation
allegations of fraud, false claims, criminality or corruption arising out of or in
connection with the Contract; and
(ii) the rights and remedies afforded to its employees under New York City
Administrative Code sections 7-805 (the New York City False Claims Act) and 12113 (the Whistleblower Protection Expansion Act) for lawful acts taken in
connection with the reporting of allegations of fraud, false claims, criminality or
corruption in connection with the Contract.
(d) For the purposes of this rider, adverse personnel action includes dismissal, demotion,
suspension, disciplinary action, negative performance evaluation, any action resulting in loss
of staff, office space, equipment or other benefit, failure to appoint, failure to promote, or any
transfer or assignment or failure to transfer or assign against the wishes of the affected officer
or employee.
(e) This rider is applicable to all of Contractors subcontractors having subcontracts with a value
in excess of $100,000; accordingly, Contractor shall include this rider in all subcontracts with
a value a value in excess of $100,000.
2.
Paragraph 1 is not applicable to this Contract if it is valued at $100,000 or less. Subparagraphs (a),
(b), (d), and (e) of paragraph 1 are not applicable to this Contract if it was solicited pursuant to a finding of an
emergency. Subparagraph (c) of paragraph 1 is neither applicable to this Contract if it was solicited prior to October
18, 2012 nor if it is a renewal of a contract executed prior to October 18, 2012.
45
ATTACHMENT I
SUBCONTRACTOR COMPLIANCE NOTICE
46
NOTICE TO BIDDERS
As of March 2013 the City has implemented a new web based subcontractor reporting
system through the City's Payee Information Portal (PIP), available at www.nyc.gov/pip. In
order to use the new system, a PIP account will be required. Detailed instructions on creating a
PIP account and using the new system are also available at that site. Additional assistance with
PIP may be received by emailing the Financial Information Services Agency Help Desk at
[email protected].
In order to obtain subcontractor approval under section 3.02 of Appendix A or Article 17

of the Standard Construction Contract and PPB Rule 4-13 Contractor is required to list the
subcontractor in the system. For each subcontractor listed, Contractor is required to provide the
following information: maximum contract value, description of subcontractor work, start and end
date of the subcontract and identification of the subcontractors industry. Thereafter, Contractor
will be required to report in the system the payments made to each subcontractor within 30 days
of making the payment. If any of the required information changes throughout the term of the
contract, Contractor will be required to revise the information in the system.
Failure of the Contractor to list a subcontractor and/or to report subcontractor payments

in a timely fashion may result in the Agency declaring the Contractor in default of the Contract
and will subject Contractor to liquidated damages in the amount of $100 per day for each day
that the Contractor fails to identify a subcontractor along with the required information about the
subcontractor and/or fails to report payments to a subcontractor, beyond the time frames set forth
herein or in the notice from the City. For construction contracts, the provisions of Article 15 of
the Standard Construction Contract shall govern the issue of liquidated damages.
Contractor hereby agrees to these provisions.
47
ATTACHMENT J
ELECTRONIC FUNDS TRANSFER (EFT) VENDOR PAYMENT ENROLLMENT
FORM
48
Attachment EFT
ELECTRONIC FUNDS TRANSFER
A.
In accordance with Section 6-107.1 of the New York City
Administrative Code, the Contractor agrees to accept payments under this
Agreement from the City by electronic funds transfer. An electronic funds
transfer is any transfer of funds, other than a transaction originated by check,
draft or similar paper instrument, which is initiated through an electronic terminal,
telephonic instrument or computer or magnetic tape so as to order, instruct or
authorize a financial institution to debit or credit an account. Prior to the first
payment made under this Agreement, Contractor shall designate one financial
institution or other authorized payment agent and shall complete the attached
EFT Vendor Payment Enrollment Form in order to provide the Commissioner of
Finance with information necessary for Contractor to receive electronic funds
transfer payments through the designated financial institution or authorized
payment agent. The crediting of the amount of a payment to the appropriate
account on the books of a financial institution or other authorized payment agent
designated by the Contractor shall constitute full satisfaction by the City for the
amount of the payment under this agreement. The account information supplied
by the Contractor to facilitate the electronic funds transfer shall remain
confidential to the fullest extent provided by law.
B.
The agency head may waive the application of the requirements
herein to payments on contracts entered into pursuant to 315 of the City
Charter. In addition, the Commissioner of the Department of Finance and the
Comptroller may jointly issue standards pursuant to which the contracting agency
may waive the requirements hereunder for payments in the following
circumstances: (i) for individuals or classes of individuals for whom compliance
imposes a hardship; (ii) for classifications or types of checks; or (iii) in other
circumstances as may be necessary in the interest of the City.
CITY OF NEW YORK
FINANCE
NEW G YORK

DEPARTMENT OF FINANCE
nyc.gov/finance
TREASURY DIVISION
DIRECT DEPOSIT/ELECTRONIC FUNDS TRANSFER (EFT)

VENDOR PAYMENT ENROLLMENT FORM
INSTRUCTIONS: Please complete all sections of this Enrollment Form and attach a voided check or a copy of an encoded deposit slip that includes an imprinted vendors name. See the reverse side for more information and instructions.
Mail to: NYC Department of Finance, Treasury Division, One Centre Street, Room 727, New York, NY 10007
- Attention: EFT, or Fax to: EFT at 212-669-4656.
SECTION I - VENDOR INFORMATION
1. SOCIAL SECURITY NUMBER OR TAXPAYER ID NUMBER:

(AS IT APPEARS ON W-9 FORM)
2. VENDOR NAME (AS IT APPEARS ON W-9 FORM):
3. VENDORS PRIMARY ADDRESS:
4. VENDORS EMAIL ADDRESS:

5. CONTACT PERSON NAME:
CONTACT PERSON TELEPHONE NUMBER:
SECTION II - FINANCIAL INSTITUTION INFORMATION
1. BANK ACCOUNT NUMBER:
2. ACCOUNT NAME:
3. BANK NAME :
4. BANK BRANCH ADDRESS:
5. ROUTING TRANSIT NUMBER:

(LOCATED AT THE BOTTOM
OF YOUR CHECK)
6. ACCOUNT TYPE:
(CHECK ONE)
7. DIRECT DEPOSIT/ACH/EFT COORDINATORS NAME:
TELEPHONE NUMBER:
CHECKING
SAVINGS
SECTION III - VENDOR SIGNATURE

______________________________________________
VENDOR SIGNATURE
____________________________________________
PRINT NAME
_____________________________
DATE
TREA-0913 Rev. 09/17/07
CITY OF NEW YORK
TREASURY DIVISION
DIRECT DEPOSIT/ELECTRONIC FUNDS TRANSFER (EFT)

VENDOR PAYMENT ENROLLMENT FORM
GENERAL INSTRUCTIONS
Please complete all sections of the Direct Deposit EFT Enrollment Application and forward
the completed application along with a voided check or a copy of an encoded deposit slip that
includes an imprinted vendors name to: NYC Department of Finance, Treasury Division,
One Centre Street, Room 727, New York, NY 10007 - Attention: EFT, or Fax to: EFT at
212-669-4656.
SECTION I - VENDOR INFORMATION
1.
Enter the vendors social security number or taxpayer ID number, the 9-digit number reported on the W-9 form.
3.
Enter the vendors complete address for EFT correspondence associated with this
account.
5.
Indicate the name and telephone number of the vendors contact person. (If you
are enrolling yourself individually, you are the contact person.)
2.
4.
Provide the name of the vendor (as it appears on the W-9).
Provide the vendors E-mail address, if you have one.
SECTION II - FINANCIAL INSTITUTION INFORMATION
1.
Indicate the vendors bank account number.
2.
Indicate the vendors account name.
4.
Provide the complete address of your bank.
3.
Provide banks name
5.
Indicate 9-digit routing (ABA) transit number (located at the bottom of your check).
7.
List name and telephone number of your banks Direct Deposit/EFT Coordinator.
6.
Indicate type of account: (Check one box only).
SECTION III - VENDOR SIGNATURE
Sign and date where indicated.
ATTACHMENT K
HIRING AND EMPLOYMENT RIDER:
HIRENYC AND REPORTING REQUIREMENTS
49

Introduction
This Rider shall apply to all contracts for goods, services, and construction with a value of one
million dollars ($1,000,000.00) or more, provided, however, that certain requirements of the
Rider shall only apply as indicated below. This Rider addresses the HireNYC process, including
reporting obligations under the HireNYC process, and certain other reporting requirements
imposed by law. In general, the HireNYC process under this Rider requires the Contractor to
enroll with the HireNYC portal for the City of New York (the City) found within the
Department of Small Business Servicess (SBS) website, to disclose all entry to mid-level job
opportunities described in this Rider arising from this contract and located in New York City,
and to agree to interview qualified candidates from HireNYC for those opportunities.
HireNYC Requirements
A. Enrollment
The Contractor shall enroll with the HireNYC system, found at www.nyc.gov/sbs, within thirty
(30) days after the registration of this Contract pursuant to Section 328 of the New York City
Charter. The Contractor shall provide information about the business, designate a primary
contact and say whether it intends to hire for any entry to mid-level job opportunities arising
from this contract and located in New York City, and, if so, the approximate start date of the first
hire.
B. Job Posting Requirements

Once enrolled in HireNYC, the Contractor agrees to update the HireNYC portal with all entry to
mid-level job opportunities arising from this contract and located in New York City, if any,
which shall be defined as jobs requiring no more than an associate degree, as provided by the
New York State Department of Labor (see Column F of https://labor.ny.gov/stats/2012-2022NYS-Employment-Prospects.xls). The information to be updated includes the types of entry and
mid-level positions made available from the work arising from the contract and located in New
York City, the number of positions, the anticipated schedule of initiating the hiring process for
these positions, and the contact information for the Contractors representative charged with
overseeing hiring. The Contractor must update the HireNYC portal with any hiring needs arising
from the contract and located in New York City, and the requirements of the jobs to be filled, no
less than three weeks prior to the intended first day of employment for each new position, except
with the permission of SBS, not to be unreasonably withheld, and must also update the HireNYC
portal as set forth below.
After enrollment through HireNYC and submission of relevant information, SBS will work with
the Contractor to develop a recruitment plan which will outline the candidate screening process,
and will provide clear instructions as to when, where, and how interviews will take place.
HireNYC will screen applicants based on employer requirements and refer applicants whom it
believes are qualified to the Contractor for interviews. The Contractor must interview referred
applicants whom it believes are qualified.
After completing an interview of a candidate referred by HireNYC, the Contractor must provide
feedback via the portal within twenty (20) business days to indicate which candidates were
interviewed and hired, if any. In addition, the Contractor shall provide the start date of new
hires, and additional information reasonably related to such hires, within twenty (20) business
days after the start date. In the event the Contractor does not have any job openings covered by
this Rider in any given year, the Contractor shall be required to provide an annual update to
HireNYC to that effect. For this purpose, the reporting year shall run from the date of the
registration of the contract and each anniversary date.
These requirements do not limit the Contractors ability to assess the qualifications of
prospective workers, and to make final hiring and retention decisions. No provision of this Rider
shall be interpreted so as to require the Contractor to employ any particular worker.
In addition, the provisions of this Rider shall not apply to positions that the Contractor intends to
fill with employees employed pursuant to the job retention provision of Section 22-505 of the
Administrative Code of the City of New York. The Contractor shall not be required to report
such openings with HireNYC. However, the Contractor shall enroll with the HireNYC system
pursuant to Section A, above, and, if such positions subsequently become open, then the
remaining provisions of this Rider will apply.
C. Breach and Liquidated Damages
If the Contractor fails to comply with the terms of the contract and this Rider (1) by not enrolling
its business with HireNYC; (2) by not informing HireNYC, as required, of open positions; or (3)
by failing to interview a qualified candidate, the contracting agency may assess liquidated
damages in the amount of two-thousand five hundred dollars ($2,500.00) per breach. For all
other events of noncompliance with the terms of this Rider, the agency may assess liquidated
damages in the amount of five hundred dollars ($500) per breach.
Furthermore, in the event the Contractor breaches the requirements of this Rider during the term
of the contract, the City may hold the Contractor in default of this contract.
Audit Compliance
In addition to the auditing requirements set forth in other parts of the contract, the Contractor
shall permit SBS and the City to inspect any and all records concerning or relating to job
openings or the hiring of individuals for work arising from the contract and located in New York
City. The Contractor shall permit an inspection within seven (7) business days of the request.
Other Reporting Requirements

The Contractor shall report to the City, on a monthly basis, all information reasonably requested
by the City that is necessary for the City to comply with any reporting requirements imposed by
law or rule, including any requirement that the City maintain a publicly accessible database. In
addition, the Contractor agrees to comply with all reporting requirements imposed by law or rule,
or as otherwise requested by the City.
Construction Requirements
Construction contractors shall comply with the HireNYC requirements set forth above for all
non-trades jobs (e.g., for an administrative position arising out of the work of the contract and
located in New York City) as set forth above.
In addition, construction contractors shall reasonably cooperate with SBS and the City on
specific outreach events, including Hire on the Spot events, for the hiring of trades workers for
the work of this contract.
Further, this contract shall be subject to a project labor agreement if so required elsewhere in this
contract.
Federal Hiring Requirements

The Contractor shall comply with all federal hiring requirements as may be set forth elsewhere in
this contract, including, as applicable:
Section 3 of the HUD Act of 1968, which requires, to the greatest extent feasible,
economic opportunities for 30 percent of new hires be given to low- and very low-income
persons, particularly persons who are recipients of HUD assistance for housing.
Executive Order 11246, which prohibits discrimination in employment due to race, color,
religion, sex or national origin, and requires the implementation of goals for minority and
female participation for work involving any Construction trade.

Introduction
This Rider shall apply to all contracts for goods, services, and construction with a value of one
million dollars ($1,000,000.00) or more, provided, however, that certain requirements of the
Rider shall only apply as indicated below. This Rider addresses the HireNYC process, including
reporting obligations under the HireNYC process, and certain other reporting requirements
imposed by law. In general, the HireNYC process under this Rider requires the Contractor to
enroll with the HireNYC portal for the City of New York (the City) found within the
Department of Small Business Servicess (SBS) website, to disclose all entry to mid-level job
opportunities described in this Rider arising from this contract and located in New York City,
and to agree to interview qualified candidates from HireNYC for those opportunities.
HireNYC Requirements
A. Enrollment
The Contractor shall enroll with the HireNYC system, found at www.nyc.gov/sbs, within thirty
(30) days after the registration of this Contract pursuant to Section 328 of the New York City
Charter. The Contractor shall provide information about the business, designate a primary
contact and say whether it intends to hire for any entry to mid-level job opportunities arising
from this contract and located in New York City, and, if so, the approximate start date of the first
hire.
B. Job Posting Requirements

Once enrolled in HireNYC, the Contractor agrees to update the HireNYC portal with all entry to
mid-level job opportunities arising from this contract and located in New York City, if any,
which shall be defined as jobs requiring no more than an associate degree, as provided by the
New York State Department of Labor (see Column F of https://labor.ny.gov/stats/2012-2022NYS-Employment-Prospects.xls). The information to be updated includes the types of entry and
mid-level positions made available from the work arising from the contract and located in New
York City, the number of positions, the anticipated schedule of initiating the hiring process for
these positions, and the contact information for the Contractors representative charged with
overseeing hiring. The Contractor must update the HireNYC portal with any hiring needs arising
from the contract and located in New York City, and the requirements of the jobs to be filled, no
less than three weeks prior to the intended first day of employment for each new position, except
with the permission of SBS, not to be unreasonably withheld, and must also update the HireNYC
portal as set forth below.
After enrollment through HireNYC and submission of relevant information, SBS will work with
the Contractor to develop a recruitment plan which will outline the candidate screening process,
and will provide clear instructions as to when, where, and how interviews will take place.
HireNYC will screen applicants based on employer requirements and refer applicants whom it
believes are qualified to the Contractor for interviews. The Contractor must interview referred
applicants whom it believes are qualified.
After completing an interview of a candidate referred by HireNYC, the Contractor must provide
feedback via the portal within twenty (20) business days to indicate which candidates were
interviewed and hired, if any. In addition, the Contractor shall provide the start date of new
hires, and additional information reasonably related to such hires, within twenty (20) business
days after the start date. In the event the Contractor does not have any job openings covered by
this Rider in any given year, the Contractor shall be required to provide an annual update to
HireNYC to that effect. For this purpose, the reporting year shall run from the date of the
registration of the contract and each anniversary date.
These requirements do not limit the Contractors ability to assess the qualifications of
prospective workers, and to make final hiring and retention decisions. No provision of this Rider
shall be interpreted so as to require the Contractor to employ any particular worker.
In addition, the provisions of this Rider shall not apply to positions that the Contractor intends to
fill with employees employed pursuant to the job retention provision of Section 22-505 of the
Administrative Code of the City of New York. The Contractor shall not be required to report
such openings with HireNYC. However, the Contractor shall enroll with the HireNYC system
pursuant to Section A, above, and, if such positions subsequently become open, then the
remaining provisions of this Rider will apply.
C. Breach and Liquidated Damages
If the Contractor fails to comply with the terms of the contract and this Rider (1) by not enrolling
its business with HireNYC; (2) by not informing HireNYC, as required, of open positions; or (3)
by failing to interview a qualified candidate, the contracting agency may assess liquidated
damages in the amount of two-thousand five hundred dollars ($2,500.00) per breach. For all
other events of noncompliance with the terms of this Rider, the agency may assess liquidated
damages in the amount of five hundred dollars ($500) per breach.
Furthermore, in the event the Contractor breaches the requirements of this Rider during the term
of the contract, the City may hold the Contractor in default of this contract.
Audit Compliance
In addition to the auditing requirements set forth in other parts of the contract, the Contractor
shall permit SBS and the City to inspect any and all records concerning or relating to job
openings or the hiring of individuals for work arising from the contract and located in New York
City. The Contractor shall permit an inspection within seven (7) business days of the request.
Other Reporting Requirements

The Contractor shall report to the City, on a monthly basis, all information reasonably requested
by the City that is necessary for the City to comply with any reporting requirements imposed by
law or rule, including any requirement that the City maintain a publicly accessible database. In
addition, the Contractor agrees to comply with all reporting requirements imposed by law or rule,
or as otherwise requested by the City.
Construction Requirements
Construction contractors shall comply with the HireNYC requirements set forth above for all
non-trades jobs (e.g., for an administrative position arising out of the work of the contract and
located in New York City) as set forth above.
In addition, construction contractors shall reasonably cooperate with SBS and the City on
specific outreach events, including Hire on the Spot events, for the hiring of trades workers for
the work of this contract.
Further, this contract shall be subject to a project labor agreement if so required elsewhere in this
contract.
Federal Hiring Requirements

The Contractor shall comply with all federal hiring requirements as may be set forth elsewhere in
this contract, including, as applicable:
Section 3 of the HUD Act of 1968, which requires, to the greatest extent feasible,
economic opportunities for 30 percent of new hires be given to low- and very low-income
persons, particularly persons who are recipients of HUD assistance for housing.
Executive Order 11246, which prohibits discrimination in employment due to race, color,
religion, sex or national origin, and requires the implementation of goals for minority and
female participation for work involving any Construction trade.
ATTACHMENT L
PAID SICK LEAVE LAW CONTRACT RIDER
50
PAID SICK LEAVE LAW CONTRACT RIDER
Introduction and General Provisions

The Earned Sick Time Act, also known as the Paid Sick Leave Law (PSLL), requires covered
employees who annually perform more than 80 hours of work in New York City to be provided
with paid sick time. 1 Contractors of the City of New York or of other governmental entities may
be required to provide sick time pursuant to the PSLL.
The PSLL became effective on April 1, 2014, and is codified at Title 20, Chapter 8, of the New
York City Administrative Code. It is administered by the Citys Department of Consumer
Affairs (DCA); DCAs rules promulgated under the PSLL are codified at Chapter 7 of Title 6
of the Rules of the City of New York (Rules).
Contractor agrees to comply in all respects with the PSLL and the Rules, and as amended, if
applicable, in the performance of this agreement. Contractor further acknowledges that such
compliance is a material term of this agreement and that failure to comply with the PSLL in
performance of this agreement may result in its termination.
Contractor must notify the Agency Chief Contracting Officer of the City agency or other entity
with whom it is contracting in writing within ten (10) days of receipt of a complaint (whether
oral or written) regarding the PSLL involving the performance of this agreement. Additionally,
Contractor must cooperate with DCAs education efforts and must comply with DCAs
subpoenas and other document demands as set forth in the PSLL and Rules.
The PSLL is summarized below for the convenience of Contractor. Contractor is advised to
review the PSLL and Rules in their entirety. On the website www.nyc.gov/PaidSickLeave there
are links to the PSLL and the associated Rules as well as additional resources for employers,
such as Frequently Asked Questions, timekeeping tools and model forms, and an event calendar
of upcoming presentations and webinars at which Contractor can get more information about
how to comply with the PSLL. Contractor acknowledges that it is responsible for compliance
with the PSLL notwithstanding any inconsistent language contained herein.
Pursuant to the PSLL and the Rules:
Applicability, Accrual, and Use
An employee who works within the City of New York for more than eighty hours in any
consecutive 12-month period designated by the employer as its calendar year pursuant to the
PSLL (Year) must be provided sick time. Employers must provide a minimum of one hour of
sick time for every 30 hours worked by an employee and compensation for such sick time must
1
Pursuant to the PSLL, if fewer than five employees work for the same employer, as determined
pursuant to New York City Administrative Code 20-912(g), such employer has the option of
providing such employees uncompensated sick time.
be provided at the greater of the employees regular hourly rate or the minimum wage.
Employers are not required to provide more than forty hours of sick time to an employee in any
Year.
An employee has the right to determine how much sick time he or she will use, provided that
employers may set a reasonable minimum increment for the use of sick time not to exceed four
hours per day. In addition, an employee may carry over up to forty hours of unused sick time to
the following Year, provided that no employer is required to allow the use of more than forty
hours of sick time in a Year or carry over unused paid sick time if the employee is paid for such
unused sick time and the employer provides the employee with at least the legally required
amount of paid sick time for such employee for the immediately subsequent Year on the first day
of such Year.
An employee entitled to sick time pursuant to the PSLL may use sick time for any of the
following:
such employees mental illness, physical illness, injury, or health condition or the care of
such illness, injury, or condition or such employees need for medical diagnosis or
preventive medical care;
such employees care of a family member (an employees child, spouse, domestic
partner, parent, sibling, grandchild or grandparent, or the child or parent of an
employees spouse or domestic partner) who has a mental illness, physical illness, injury
or health condition or who has a need for medical diagnosis or preventive medical care;
closure of such employees place of business by order of a public official due to a public
health emergency; or
such employees need to care for a child whose school or childcare provider has been
closed due to a public health emergency.
An employer must not require an employee, as a condition of taking sick time, to search for a
replacement. However, an employer may require an employee to provide: reasonable notice of
the need to use sick time; reasonable documentation that the use of sick time was needed for a
reason above if for an absence of more than three consecutive work days; and/or written
confirmation that an employee used sick time pursuant to the PSLL. However, an employer may
not require documentation specifying the nature of a medical condition or otherwise require
disclosure of the details of a medical condition as a condition of providing sick time and health
information obtained solely due to an employees use of sick time pursuant to the PSLL must be
treated by the employer as confidential.
If an employer chooses to impose any permissible discretionary requirement as a condition of
using sick time, it must provide to all employees a written policy containing those requirements,
using a delivery method that reasonably ensures that employees receive the policy. If such
employer has not provided its written policy, it may not deny sick time to an employee because
of non-compliance with such a policy.
Sick time to which an employee is entitled must be paid no later than the payday for the next
regular payroll period beginning after the sick time was used.
-2-
Exemptions and Exceptions

Notwithstanding the above, the PSLL does not apply to any of the following:
an independent contractor who does not meet the definition of employee under section
190(2) of the New York State Labor Law;
an employee covered by a valid collective bargaining agreement in effect on April 1,
2014 until the termination of such agreement;
an employee in the construction or grocery industry covered by a valid collective
bargaining agreement if the provisions of the PSLL are expressly waived in such
collective bargaining agreement;
an employee covered by another valid collective bargaining agreement if such provisions
are expressly waived in such agreement and such agreement provides a benefit
comparable to that provided by the PSLL for such employee;
an audiologist, occupational therapist, physical therapist, or speech language pathologist
who is licensed by the New York State Department of Education and who calls in for
work assignments at will, determines his or her own schedule, has the ability to reject or
accept any assignment referred to him or her, and is paid an average hourly wage that is
at least four times the federal minimum wage;
an employee in a work study program under Section 2753 of Chapter 42 of the United
States Code;
an employee whose work is compensated by a qualified scholarship program as that term
is defined in the Internal Revenue Code, Section 117 of Chapter 20 of the United States
Code; or
a participant in a Work Experience Program (WEP) under section 336-c of the New
York State Social Services Law.
Retaliation Prohibited
An employer may not threaten or engage in retaliation against an employee for exercising or
attempting in good faith to exercise any right provided by the PSLL. In addition, an employer
may not interfere with any investigation, proceeding, or hearing pursuant to the PSLL.
Notice of Rights
An employer must provide its employees with written notice of their rights pursuant to the PSLL.
Such notice must be in English and the primary language spoken by an employee, provided that
DCA has made available a translation into such language. Downloadable notices are available
on DCAs website at http://www.nyc.gov/html/dca/html/law/PaidSickLeave.shtml.
Any person or entity that willfully violates these notice requirements is subject to a civil penalty
in an amount not to exceed fifty dollars for each employee who was not given appropriate notice.
Records
-3-
An employer must retain records documenting its compliance with the PSLL for a period of at
least three years, and must allow DCA to access such records in furtherance of an investigation
related to an alleged violation of the PSLL.
Enforcement and Penalties
Upon receiving a complaint alleging a violation of the PSLL, DCA has the right to investigate
such complaint and attempt to resolve it through mediation. Within 30 days of written
notification of a complaint by DCA, or sooner in certain circumstances, the employer must
provide DCA with a written response and such other information as DCA may request. If DCA
believes that a violation of the PSLL has occurred, it has the right to issue a notice of violation to
the employer.
DCA has the power to grant an employee or former employee all appropriate relief as set forth in
New York City Administrative Code 20-924(d). Such relief may include, among other remedies,
treble damages for the wages that should have been paid, damages for unlawful retaliation, and
damages and reinstatement for unlawful discharge. In addition, DCA may impose on an
employer found to have violated the PSLL civil penalties not to exceed $500 for a first violation,
$750 for a second violation within two years of the first violation, and $1,000 for each
succeeding violation within two years of the previous violation.
More Generous Polices and Other Legal Requirements
Nothing in the PSLL is intended to discourage, prohibit, diminish, or impair the adoption or
retention of a more generous sick time policy, or the obligation of an employer to comply with
any contract, collective bargaining agreement, employment benefit plan or other agreement
providing more generous sick time. The PSLL provides minimum requirements pertaining to
sick time and does not preempt, limit or otherwise affect the applicability of any other law,
regulation, rule, requirement, policy or standard that provides for greater accrual or use by
employees of sick leave or time, whether paid or unpaid, or that extends other protections to
employees. The PSLL may not be construed as creating or imposing any requirement in conflict
with any federal or state law, rule or regulation.
-4-
APPENDIX A
GENERAL PROVISION GOVERNING CONTRACTS FOR
CONSULTANTS, PROFESSIONAL AND TECHNICAL SERVICES
51
APPENDIX A
GENERAL PROVISIONS GOVERNING CONTRACTS FOR
CONSULTANTS, PROFESSIONAL, TECHNICAL, HUMAN AND CLIENT SERVICES
DEFINITIONS
Definitions
The following words and expressions, or pronouns used in their stead, shall, wherever
they appear in this Agreement, be construed as follows, unless a different meaning is clear from
the context:
A.
Agency Chief Contracting Officer or ACCO shall mean the position
delegated authority by the Agency Head to organize and supervise the procurement activity of
subordinate Agency staff in conjunction with the City Chief Procurement Officer.
B.
Agreement shall mean the various documents, including this Appendix A, that
constitute the contract between the Contractor and the City.
C.
City shall mean The City of New York.
D.
City Chief Procurement Officer or CCPO shall mean the position delegated
authority by the Mayor to coordinate and oversee the procurement activity of Mayoral agency
staff, including the ACCOs.
E.
Commissioner or Agency Head shall mean the head of the Department or his
or her duly authorized representative. The term duly authorized representative shall include
any person or persons acting within the limits of his or her authority.
F.
G.
Department.
Comptroller shall mean the Comptroller of the City of New York.

Contractor shall mean the entity entering into this Agreement with the
H.
Days shall mean calendar days unless otherwise specifically noted to mean
business days.
I.
Agreement.
Department or Agency shall mean the City agency that has entered into this
J.
Law or Laws shall mean the New York City Charter (Charter), the New
York City Administrative Code (Admin. Code), a local rule of the City of New York, the
Constitutions of the United States and the State of New York, a statute of the United States or of
the State of New York and any ordinance, rule or regulation having the force of law and adopted
pursuant thereto, as amended, and common law.
K.
Procurement Policy Board or PPB shall mean the board established pursuant
to Charter 311 whose function is to establish comprehensive and consistent procurement
policies and rules which have broad application throughout the City.
L.
PPB Rules shall mean the rules of the Procurement Policy Board as set forth in
Title 9 of the Rules of the City of New York (RCNY), 1-01 et seq.
M.
State shall mean the State of New York.
52
REPRESENTATIONS
AND WARRANTIES
Procurement of Agreement
A.
The Contractor represents and warrants that no person or entity (other than an
officer, partner, or employee working solely for the Contractor) has been employed or retained to
solicit or secure this Agreement upon any agreement or understanding for a commission,
percentage, brokerage fee, contingent fee or any other direct or indirect compensation.
Notwithstanding the preceding sentence, the Contractor may retain consultants to draft
proposals, negotiate contracts, and perform other similar services. The Contractor further
represents and warrants that no payment, gift, or thing of value has been made, given, or
promised to obtain this or any other agreement between the parties. The Contractor makes such
representations and warranties to induce the City to enter into this Agreement and the City relies
upon such representations and warranties in the execution of this Agreement.
B.
For any breach or violation of the representations and warranties set forth in
Paragraph A above, the Commissioner shall have the right to annul this Agreement without
liability, entitling the City to recover all monies paid to the Contractor; and the Contractor shall
not make claim for, or be entitled to recover, any sum or sums due under this Agreement. The
rights and remedies of the City provided in this Section are not exclusive and are in addition to
all other rights and remedies allowed by Law or under this Agreement.
Conflicts of Interest
A.
The Contractor represents and warrants that neither it nor any of its directors,
officers, members, partners or employees, has any interest nor shall they acquire any interest,
directly or indirectly, which conflicts in any manner or degree with the performance of this
Agreement. The Contractor further represents and warrants that no person having such interest
or possible interest shall be employed by or connected with the Contractor in the performance of
this Agreement.
B.
Consistent with Charter 2604 and other related provisions of the Charter, the
Admin. Code and the New York State Penal Law, no elected official or other officer or employee
of the City, nor any person whose salary is payable, in whole or in part, from the City Treasury,
shall participate in any decision relating to this Agreement which affects his or her personal
interest or the interest of any corporation, partnership or other entity in which he or she is,
directly or indirectly, interested; nor shall any such official, officer, employee, or person have
any interest in, or in the proceeds of, this Agreement. This Paragraph B shall not prevent
directors, officers, members, partners, or employees of the Contractor from participating in
decisions relating to this Agreement where their sole personal interest is in the Contractor.
C.
The Contractor shall not employ a person or permit a person to serve as a member
of the Board of Directors or as an officer of the Contractor if such employment or service would
violate Chapter 68 of the Charter.
[PARAGRAPHS D-H ARE APPLICABLE ONLY TO HUMAN OR CLIENT SERVICE
CONTRACTS.]
D.
Except as provided in Paragraph E below, the Contractors employees and
members of their immediate families, as defined in Paragraph F below, may not serve on the
Board of Directors of the Contractor (Board), or any committee with authority to order
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personnel actions affecting his or her job, or which, either by rule or by practice, regularly
nominates, recommends or screens candidates for employment in the program to be operated
pursuant to this Agreement.
E.
If the Board has more than five (5) members, then Contractors employees and
members of their immediate families may serve on the Board, or any committee with authority to
order personnel actions affecting his or her job, or which, either by rule or by practice, regularly
nominates, recommends or screens candidates for employment in the program to be operated
pursuant to this Agreement, provided that (i) Contractors employees and members of their
immediate families are prohibited from voting on any such personnel matters, including but not
limited to any matters directly affecting their own salary or other compensation, and shall fully
disclose all conflicts and potential conflicts to the Board, and (ii) Contractors employees and
members of their immediate families may not serve in the capacity either of Chairperson or
Treasurer of the Board (or equivalent titles), nor constitute more than one-third of either the
Board or any such committee.
F.
Without the prior written consent of the Commissioner, no person may hold a job
or position with the Contractor over which a member of his or her immediate family exercises
any supervisory, managerial or other authority whatsoever whether such authority is reflected in
a job title or otherwise, unless such job or position is wholly voluntary and unpaid. A member of
an immediate family includes: husband, wife, domestic partner, father, father-in-law, mother,
mother-in-law, brother, brother-in-law, sister, sister-in-law, son, son-in-law, daughter, daughterin-law, niece, nephew, aunt, uncle, first cousin, and separated spouse. Where a member of an
immediate family has that status because of that persons relationship to a spouse (e.g., father-inlaw), that status shall also apply to a relative of a domestic partner. For purposes of this Section,
a member of the Board is deemed to exercise authority over all employees of the Contractor.
G.
If the Contractor has contracts with the City that in the aggregate during any
twelve-month period have a value of more than One Million Dollars ($1,000,000) and such
amount constitutes more than fifty percent (50%) of the Contractors total revenues, then the
Contractor must have a minimum of five (5) persons on its Board.
H.
corporation.
Paragraphs D-H of this Section 2.02 apply only if Contractor is a not-for-profit
Fair Practices
A.
The Contractor and each person signing on its behalf certifies, under penalties of
perjury, that to the best of its, his or her knowledge and belief:
1.
The prices and other material terms set forth in this Agreement have been
arrived at independently, without collusion, consultation, communication, or agreement
with any other bidder or proposer or with any competitor as to any matter relating to such
prices or terms for the purpose of restricting competition;
2.
Unless otherwise required by Law or where a schedule of rates or prices is
uniformly established by a government agency through regulation, policy or directive, the
prices and other material terms set forth in this Agreement which have been quoted in
this Agreement and on the bid or proposal submitted by the Contractor have not been
knowingly disclosed by the Contractor, directly or indirectly, to any other bidder or
proposer or to any competitor prior to the bid or proposal opening; and
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3.
No attempt has been made or will be made by the Contractor to induce any
other person or entity to submit or not to submit a bid or proposal for the purpose of
restricting competition.
B.
The fact that the Contractor (i) has published price lists, rates, or tariffs covering
items being procured, (ii) has informed prospective customers of proposed or pending
publication of new or revised price lists for such items, or (iii) has sold the same items to other
customers at the same prices and/or terms being bid or proposed, does not constitute, without
more, a disclosure within the meaning of this Section.
VENDEX
The Contractor represents and warrants that it and its principals have duly executed and
filed all required VENDEX Questionnaires and, if applicable, Certificates of No Change,
pursuant to PPB Rule 2-08 and in accordance with the policies and procedures of the Mayors
Office of Contract Services. The Contractor understands that the Department's reliance upon the
completeness and veracity of the information stated therein is a material condition to the
execution of this Agreement, and represents and warrants that the information it and its
principals have provided is accurate and complete.
Political Activity
The Contractors provision of services under this Agreement shall not include any
partisan political activity or any activity to further the election or defeat of any candidate for
public, political, or party office, nor shall any of the funds provided under this Agreement be
used for such purposes.
Religious Activity
There shall be no religious worship, instruction or proselytizing as part of or in
connection with the Contractors provision of services under this Agreement, nor shall any of the
funds provided under this Agreement be used for such purposes.
Unlawful Discriminatory Practices: Admin. Code 6-123
As required by Admin. Code 6-123, the Contractor will not engage in any unlawful
discriminatory practice as defined in and pursuant to the terms of Title 8 of the City
Administrative Code. The Contractor shall include a provision in any agreement with a firstlevel subcontractor performing services under this Agreement for an amount in excess of Fifty
Thousand Dollars ($50,000) that such subcontractor shall not engage in any such unlawful
discriminatory practice.
Bankruptcy and Reorganization
In the event that the Contractor files for bankruptcy or reorganization under Chapter
Seven or Chapter Eleven of the United States Bankruptcy Code, the Contractor shall disclose
such action to the Department within seven (7) days of filing.
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ASSIGNMENT AND SUBCONTRACTING

Assignment
A.
The Contractor shall not assign, transfer, convey or otherwise dispose of this
Agreement, or the right to execute it, or the right, title or interest in or to it or any part of it, or
assign, by power of attorney or otherwise, any of the monies due or to become due under this
Agreement, without the prior written consent of the Commissioner. The giving of any such
consent to a particular assignment shall not dispense with the necessity of such consent to any
further or other assignments. Any such assignment, transfer, conveyance or other disposition
without such written consent shall be void.
B.
Before entering into any such assignment, transfer, conveyance or other disposal
of this Agreement, the Contractor shall submit a written request for approval to the Department
giving the name and address of the proposed assignee. The proposed assignees VENDEX
questionnaire must be submitted within thirty (30) Days after the ACCO has granted preliminary
written approval of the proposed assignee, if required. Upon the request of the Department, the
Contractor shall provide any other information demonstrating that the proposed assignee has the
necessary facilities, skill, integrity, past experience and financial resources to perform the
specified services in accordance with the terms and conditions of this Agreement. The Agency
shall make a final determination in writing approving or disapproving the assignee after
receiving all requested information.
C.
Failure to obtain the prior written consent to such an assignment, transfer,
conveyance, or other disposition may result in the revocation and annulment of this Agreement,
at the option of the Commissioner. The City shall thereupon be relieved and discharged from
any further liability and obligation to the Contractor, its assignees, or transferees, who shall
forfeit all monies earned under this Agreement, except so much as may be necessary to pay the
Contractors employees.
D.
The provisions of this Section shall not hinder, prevent, or affect an assignment
by the Contractor for the benefit of its creditors made pursuant to the Laws of the State.
E.
This Agreement may be assigned, in whole or in part, by the City to any
corporation, agency, or instrumentality having authority to accept such assignment. The City
shall provide the Contractor with written notice of any such assignment.
Subcontracting
A.
The Contractor shall not enter into any subcontract for an amount greater than
Five Thousand Dollars ($5,000) for the performance of its obligations, in whole or in part, under
this Agreement without the prior approval by the Department of the subcontractor. The
Department hereby grants approval for all subcontracts for an amount that does not exceed Five
Thousand Dollars ($5,000). The Contractor must submit monthly reports to the Department
indicating all such subcontractors. All subcontracts must be in writing.
B.
Prior to entering into any subcontract for an amount greater than Five Thousand
Dollars ($5,000), the Contractor shall submit a written request for the approval of the proposed
subcontractor to the Department giving the name and address of the proposed subcontractor and
the portion of the services that it is to perform and furnish. At the request of the Department, a
copy of the proposed subcontract shall be submitted to the Department. The proposed
subcontractors VENDEX Questionnaire must be submitted, if required, within thirty (30) Days
56
after the ACCO has granted preliminary approval of the proposed subcontractor. Upon the
request of the Department, the Contractor shall provide any other information demonstrating that
the proposed subcontractor has the necessary facilities, skill, integrity, past experience and
financial resources to perform the specified services in accordance with the terms and conditions
of this Agreement. The Agency shall make a final determination in writing approving or
disapproving the subcontractor after receiving all requested information. For proposed
subcontracts that do not exceed Twenty-five Thousand Dollars ($25,000), the Departments
approval shall be deemed granted if the Department does not issue a written approval or
disapproval within forty-five (45) Days of the Departments receipt of the written request for
approval or, if applicable, within forty-five (45) Days of the Departments acknowledged receipt
of fully completed VENDEX Questionnaires for the subcontractor.
C.
All subcontracts shall contain provisions specifying that:
1.
The work performed by the subcontractor must be in accordance with the
terms of the agreement between the City and the Contractor;
2.
Nothing contained in the agreement between the Contractor and the
subcontractor shall impair the rights of the City;
3.
Nothing contained in the agreement between the Contractor and the
subcontractor, or under the agreement between the City and the Contractor, shall create
any contractual relation between the subcontractor and the City; and
4.
The subcontractor specifically agrees to be bound by Section 4.07 and
Article 5 of this Appendix A and specifically agrees that the City may enforce such
provisions directly against the subcontractor as if the City were a party to the subcontract.
D.
The Contractor agrees that it is as fully responsible to the Department for the acts
and omissions of its subcontractors and of persons either directly or indirectly employed by such
subcontractors as it is for the acts and omissions of any person directly employed by it.
E.
For determining the value of a subcontract, all subcontracts with the same
subcontractor shall be aggregated.
F.
The Department may revoke the approval of a subcontractor granted or deemed
granted pursuant to Paragraphs (A) and (B) of this section if revocation is deemed to be in the
interest of the City in writing on no less than ten (10) Days notice unless a shorter period is
warranted by considerations of health, safety, integrity issues or other similar factors. Upon the
effective date of such revocation, the Contractor shall cause the subcontractor to cease all work
under the Agreement. The City shall not incur any further obligation for services performed by
such subcontractor pursuant to this Agreement beyond the effective date of the revocation. The
City shall pay for services provided by the subcontractor in accordance with this Agreement
prior to the effective date of revocation.
G.
The Departments approval of a subcontractor shall not relieve the Contractor of
any of its responsibilities, duties and liabilities under this Agreement. At the request of the
Department, the Contractor shall provide the Department a copy of any subcontract.
H.
Individual employer-employee contracts are not subcontracts subject to the
requirements of this Section.
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LABOR PROVISIONS
Independent Contractor Status
The Contractor and the Department agree that the Contractor is an independent contractor
and not an employee of the Department or the City. Accordingly, neither the Contractor nor its
employees or agents will hold themselves out as, or claim to be, officers or employees of the
City, or of any department, agency or unit of the City, by reason of this Agreement, and they will
not, by reason of this Agreement, make any claim, demand or application to or for any right or
benefit applicable to an officer or employee of the City, including, but not limited to, Workers
Compensation coverage, Disability Benefits coverage, Unemployment Insurance benefits, Social
Security coverage or employee retirement membership or credit.
Employees
All persons who are employed by the Contractor and all consultants or independent
contractors who are retained by the Contractor to perform services under this Agreement are
neither employees of the City nor under contract with the City. The Contractor, and not the City,
is responsible for their work, direction, compensation, and personal conduct while engaged under
this Agreement. Nothing in the Agreement shall impose any liability or duty on the City for the
acts, omissions, liabilities or obligations of the Contractor, or any officer, employee, or agent of
the Contractor, or for taxes of any nature, or for any right or benefit applicable to an officer or
employee of the City, including, but not limited to, Workers Compensation coverage, Disability
Benefits coverage, Unemployment Insurance benefits, Social Security coverage or employee
retirement membership or credit. Except as specifically stated in this Agreement, nothing in this
Agreement shall impose any liability or duty on the City to any person or entity.
Removal of Individuals Performing Work
The Contractor shall not have anyone perform work under this Agreement who is not
competent, faithful and skilled in the work for which he or she shall be employed. Whenever the
Commissioner shall inform the Contractor, in writing, that any individual is, in his or her
opinion, incompetent, unfaithful, or unskilled, such individual shall no longer perform work
under this Agreement. Prior to making a determination to direct a Contractor that an individual
shall no longer perform work under this Agreement, the Commissioner shall provide the
Contractor an opportunity to be heard on no less than five (5) Days written notice. The
Commissioner may direct the Contractor not to allow the individual from performing work under
the Agreement pending the opportunity to be heard and the Commissioners determination.
Minimum Wage
Except for those employees whose minimum wage is required to be fixed pursuant to
Sections 220 or 230 of the New York State Labor Law or by City Administrative Code 6-109,
all persons employed by the Contractor in the performance of this Agreement shall be paid,
without subsequent deduction or rebate, unless expressly authorized by Law, not less than the
minimum wage as prescribed by Law. Any breach of this Section shall be deemed a material
breach of this Agreement.
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Non-Discrimination: New York State Labor Law 220-e

A.
If this Agreement is for the construction, alteration or repair of any public
building or public work or for the manufacture, sale, or distribution of materials, equipment, or
supplies, the Contractor agrees, as required by New York State Labor Law 220-e, that:
1.
In the hiring of employees for the performance of work under this
Agreement or any subcontract hereunder, neither the Contractor, subcontractor, nor any
person acting on behalf of such Contractor or subcontractor, shall by reason of race,
creed, color, disability, sex or national origin discriminate against any citizen of the State
of New York who is qualified and available to perform the work to which the
employment relates;
2.
Neither the Contractor, subcontractor, nor any person on his or her behalf
shall, in any manner, discriminate against or intimidate any employee hired for the
performance of work under this Agreement on account of race, creed, color, disability,
sex or national origin;
3.
There may be deducted from the amount payable to the Contractor by the
City under this Agreement a penalty of Fifty Dollars ($50) for each person for each
calendar day during which such person was discriminated against or intimidated in
violation of the provisions of this Agreement; and
4.
This Agreement may be terminated by the City, and all monies due or to
become due hereunder may be forfeited, for a second or any subsequent violation of the
terms or conditions of this Section.
B.
The provisions of this Section shall be limited to operations performed within the
territorial limits of the State of New York.
Non-Discrimination: Admin. Code 6-108
If this Agreement is for the construction, alteration or repair of buildings or the
construction or repair of streets or highways, or for the manufacture, sale, or distribution of
materials, equipment or supplies, the Contractor agrees, as required by New York City
Administrative Code 6-108, that:
A.
It shall be unlawful for any person engaged in the construction, alteration or repair
of buildings or engaged in the construction or repair of streets or highways pursuant to a contract
with the City or engaged in the manufacture, sale or distribution of materials, equipment or
supplies pursuant to a contract with the City to refuse to employ or to refuse to continue in any
employment any person on account of the race, color or creed of such person.
B.
It shall be unlawful for any person or any servant, agent or employee of any
person, described in Paragraph A above, to ask, indicate or transmit, orally or in writing, directly
or indirectly, the race, color, creed or religious affiliation of any person employed or seeking
employment from such person, firm or corporation.
C.
Breach of the foregoing provisions shall be deemed a breach of a material
provision of this Agreement.
D.
Any person, or the employee, manager or owner of or officer of such firm or
corporation who shall violate any of the provisions of this Section shall, upon conviction thereof,
59
be punished by a fine of not more than One Hundred Dollars ($100) or by imprisonment for not
more than thirty (30) Days, or both.
Non-Discrimination: E.O. 50 -- Equal Employment Opportunity
A.
This Agreement is subject to the requirements of City Executive Order No. 50
(1980) (E.O. 50), as revised, and the rules set forth at 66 RCNY 10-01 et seq. No agreement
will be awarded unless and until these requirements have been complied with in their entirety.
The Contractor agrees that it:
1.
Will not discriminate unlawfully against any employee or applicant for
employment because of race, creed, color, national origin, sex, age, disability, marital
status, sexual orientation or citizenship status with respect to all employment decisions
including, but not limited to, recruitment, hiring, upgrading, demotion, downgrading,
transfer, training, rates of pay or other forms of compensation, layoff, termination, and all
other terms and conditions of employment;
2.
Will not discriminate unlawfully in the selection of subcontractors on the
basis of the owners, partners or shareholders race, color, creed, national origin, sex,
age, disability, marital status, sexual orientation, or citizenship status;
3.
Will state in all solicitations or advertisements for employees placed by or
on behalf of the Contractor that all qualified applicants will receive consideration for
employment without unlawful discrimination based on race, color, creed, national origin,
sex, age, disability, marital status, sexual orientation or citizenship status, and that it is an
equal employment opportunity employer;
4.
Will send to each labor organization or representative of workers with
which it has a collective bargaining agreement or other contract or memorandum of
understanding, written notification of its equal employment opportunity commitments
under E.O. 50 and the rules and regulations promulgated thereunder;
5.
Will furnish before this Agreement is awarded all information and reports
including an Employment Report which are required by E.O. 50, the rules and regulations
promulgated thereunder, and orders of the City Department of Small Business Services,
Division of Labor Services (DLS); and
6.
Will permit DLS to have access to all relevant books, records, and
accounts for the purposes of investigation to ascertain compliance with such rules,
regulations, and orders.
B.
The Contractor understands that in the event of its noncompliance with the
nondiscrimination clauses of this Agreement or with any of such rules, regulations, or orders,
such noncompliance shall constitute a material breach of this Agreement and noncompliance
with E.O. 50 and the rules and regulations promulgated thereunder. After a hearing held
pursuant to the rules of DLS, the Director of DLS may direct the Commissioner to impose any or
all of the following sanctions:
1.
Disapproval of the Contractor; and/or
2.
Suspension or termination of the Agreement; and/or
3.
Declaring the Contractor in default; and/or
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4.
program.
In lieu of any of the foregoing sanctions, imposition of an employment
C.
Failure to comply with E.O. 50 and the rules and regulations promulgated
thereunder in one or more instances may result in the Department declaring the Contractor to be
non-responsible.
D.
The Contractor agrees to include the provisions of the foregoing Paragraphs in
every subcontract or purchase order in excess of One Hundred Thousand Dollars ($100,000) to
which it becomes a party unless exempted by E.O. 50 and the rules and regulations promulgated
thereunder, so that such provisions will be binding upon each subcontractor or vendor. The
Contractor will take such action with respect to any subcontract or purchase order as may be
directed by the Director of DLS as a means of enforcing such provisions including sanctions for
noncompliance. A supplier of unfinished products to the Contractor needed to produce the item
contracted for shall not be considered a subcontractor or vendor for purposes of this Paragraph.
E.
The Contractor further agrees that it will refrain from entering into any
subcontract or modification thereof subject to E.O. 50 and the rules and regulations promulgated
thereunder with a subcontractor who is not in compliance with the requirements of E.O. 50 and
the rules and regulations promulgated thereunder. A supplier of unfinished products to the
Contractor needed to produce the item contracted for shall not be considered a subcontractor for
purposes of this Paragraph.
F.
Nothing contained in this Section shall be construed to bar any religious or
denominational institution or organization, or any organization operated for charitable or
educational purposes, that is operated, supervised or controlled by or in connection with a
religious organization, from lawfully limiting employment or lawfully giving preference to
persons of the same religion or denomination or from lawfully making such selection as is
calculated by such organization to promote the religious principles for which it is established or
maintained.
RECORDS,
AUDITS, REPORTS, AND INVESTIGATIONS
Books and Records
The Contractor agrees to maintain separate and accurate books, records, documents and
other evidence, and to utilize appropriate accounting procedures and practices, which sufficiently
and properly reflect all direct and indirect costs of any nature expended in the performance of
this Agreement.
Retention of Records
The Contractor agrees to retain all books, records, and other documents relevant to this
Agreement, including those required pursuant to Section 5.01, for six years after the final
payment or expiration or termination of this Agreement, or for a period otherwise prescribed by
Law, whichever is later. In addition, if any litigation, claim, or audit concerning this Agreement
has commenced before the expiration of the six-year period, the records must be retained until
the completion of such litigation, claim, or audit. Any books, records and other documents that
are created in an electronic format in the regular course of business may be retained in an
electronic format. Any books, records, and other documents that are created in the regular
course of business as a paper copy may be retained in an electronic format provided that the
61
records satisfy the requirements of New York Civil Practice Law and Rules (CPLR) 4539(b),
including the requirement that the reproduction is created in a manner which does not permit
additions, deletions, or changes without leaving a record of such additions, deletions, or
changes. Furthermore, the Contractor agrees to waive any objection to the admissibility of any
such books, records or other documents on the grounds that such documents do not satisfy CPLR
4539(b).
Inspection
A.
At any time during the Agreement or during the record retention period set forth
in section 5.02, the City, including the Department and the Departments Office of the Inspector
General, as well as City, State and federal auditors and any other persons duly authorized by the
City shall, upon reasonable notice, have full access to and the right to examine and copy all
books, records, and other documents maintained or retained by or on behalf of the Contractor
pursuant to this Article. Notwithstanding any provision herein regarding notice of inspection, all
books, records and other documents of the Contractor kept pursuant to this Agreement shall be
subject to immediate inspection, review, and copying by the Departments Office of the
Inspector General and/or the Comptroller without prior notice and at no additional cost to the
City. The Contractor shall make such books, records and other documents available for
inspection in the City of New York or shall reimburse the City for expenses associated with the
out-of-City inspection.
B.
The Department shall have the right to have representatives of the Department or
of the City, State or federal government present to observe the services being performed.
C.
The Contractor shall not be entitled to final payment until the Contractor has
complied with any request for inspection or access given under this Section.
Audit
A.
This Agreement and all books, records, documents, and other evidence required to
be maintained or retained pursuant to this Agreement, including all vouchers or invoices
presented for payment and the books, records, and other documents upon which such vouchers or
invoices are based (e.g., reports, cancelled checks, accounts, and all other similar material), are
subject to audit by (i) the City, including the Comptroller, the Department, and the Departments
Office of the Inspector General, (ii) the State, (iii) the federal government, and (iv) other persons
duly authorized by the City. Such audits may include examination and review of the source and
application of all funds whether from the City, the State, the federal government, private sources
or otherwise.
B.
Audits by the City, including the Comptroller, the Department, and the
Departments Office of the Inspector General, are performed pursuant to the powers and
responsibilities conferred by the Charter and the Admin. Code, as well as all orders, rules, and
regulations promulgated pursuant to the Charter and Admin. Code.
C.
The Contractor shall submit any and all documentation and justification in
support of expenditures or fees under this Agreement as may be required by the Department and
by the Comptroller in the exercise of his/her powers under Law.
D.
The Contractor shall not be entitled to final payment until the Contractor has
complied with the requirements of this Section.
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No Removal of Records from Premises

Where performance of this Agreement involves use by the Contractor of any City books,
records, documents, or data (in hard copy, or electronic or other format now known or developed
in the future) at City facilities or offices, the Contractor shall not remove any such data (in the
format in which it originally existed, or in any other converted or derived format) from such
facility or office without the prior written approval of the Departments designated official.
Upon the request by the Department at any time during the Agreement or after the Agreement
has expired or terminated, the Contractor shall return to the Department any City books, records,
documents, or data that has been removed from City premises.
Electronic Records
As used in this Appendix A, the terms books, records, documents, and other data refer to
electronic versions as well as hard copy versions.
Investigations Clause
A.
The Contractor agrees to cooperate fully and faithfully with any investigation,
audit or inquiry conducted by a State or City agency or authority that is empowered directly or
by designation to compel the attendance of witnesses and to examine witnesses under oath, or
conducted by the Inspector General of a governmental agency that is a party in interest to the
transaction, submitted bid, submitted proposal, contract, lease, permit, or license that is the
subject of the investigation, audit or inquiry.
B.
1.
If any person who has been advised that his or her statement, and any
information from such statement, will not be used against him or her in any subsequent
criminal proceeding refuses to testify before a grand jury or other governmental agency
or authority empowered directly or by designation to compel the attendance of witnesses
and to examine witnesses under oath concerning the award of or performance under any
transaction, agreement, lease, permit, contract, or license entered into with the City, or
State, or any political subdivision or public authority thereof, or the Port Authority of
New York and New Jersey, or any local development corporation within the City, or any
public benefit corporation organized under the Laws of the State, or;
2.
If any person refuses to testify for a reason other than the assertion of his
or her privilege against self-incrimination in an investigation, audit or inquiry conducted
by a City or State governmental agency or authority empowered directly or by
designation to compel the attendance of witnesses and to take testimony under oath, or by
the Inspector General of the governmental agency that is a party in interest in, and is
seeking testimony concerning the award of, or performance under, any transaction,
agreement, lease, permit, contract, or license entered into with the City, the State, or any
political subdivision thereof or any local development corporation within the City, then;
C.
1.
The Commissioner or Agency Head whose agency is a party in interest to
the transaction, submitted bid, submitted proposal, contract, lease, permit, or license shall
convene a hearing, upon not less than five (5) Days written notice to the parties involved
to determine if any penalties should attach for the failure of a person to testify.
2.
If any non-governmental party to the hearing requests an adjournment, the
Commissioner or Agency Head who convened the hearing may, upon granting the
adjournment, suspend any contract, lease, permit, or license pending the final
63
determination pursuant to Paragraph E below without the City incurring any penalty or
damages for delay or otherwise.
D.
The penalties that may attach after a final determination by the Commissioner or
Agency Head may include but shall not exceed:
1. The disqualification for a period not to exceed five (5) years from the date of
an adverse determination for any person, or any entity of which such person was a
member at the time the testimony was sought, from submitting bids for, or transacting
business with, or entering into or obtaining any contract, lease, permit or license with or
from the City; and/or
2. The cancellation or termination of any and all such existing City contracts,
leases, permits or licenses that the refusal to testify concerns and that have not been
assigned as permitted under this Agreement, nor the proceeds of which pledged, to an
unaffiliated and unrelated institutional lender for fair value prior to the issuance of the
notice scheduling the hearing, without the City incurring any penalty or damages on
account of such cancellation or termination; monies lawfully due for goods delivered,
work done, rentals, or fees accrued prior to the cancellation or termination shall be paid
by the City.
E.
The Commissioner or Agency Head shall consider and address in reaching his or
her determination and in assessing an appropriate penalty the factors in Paragraphs (1) and (2)
below. He or she may also consider, if relevant and appropriate, the criteria established in
Paragraphs (3) and (4) below, in addition to any other information that may be relevant and
appropriate:
1.
The partys good faith endeavors or lack thereof to cooperate fully and
faithfully with any governmental investigation or audit, including but not limited to the
discipline, discharge, or disassociation of any person failing to testify, the production of
accurate and complete books and records, and the forthcoming testimony of all other
members, agents, assignees or fiduciaries whose testimony is sought.
2.
The relationship of the person who refused to testify to any entity that is a
party to the hearing, including, but not limited to, whether the person whose testimony is
sought has an ownership interest in the entity and/or the degree of authority and
responsibility the person has within the entity.
3.
The nexus of the testimony sought to the subject entity and its contracts,
leases, permits or licenses with the City.
4.
The effect a penalty may have on an unaffiliated and unrelated party or
entity that has a significant interest in an entity subject to penalties under Paragraph D
above, provided that the party or entity has given actual notice to the Commissioner or
Agency Head upon the acquisition of the interest, or at the hearing called for in Paragraph
(C)(1) above gives notice and proves that such interest was previously acquired. Under
either circumstance, the party or entity must present evidence at the hearing
demonstrating the potential adverse impact a penalty will have on such person or entity.
F.
Definitions
1.
The term license or permit as used in this Section shall be defined as a
license, permit, franchise, or concession not granted as a matter of right.
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2.
The term person as used in this Section shall be defined as any natural
person doing business alone or associated with another person or entity as a partner,
director, officer, principal or employee.
3.
The term entity as used in this Section shall be defined as any firm,
partnership, corporation, association, or person that receives monies, benefits, licenses,
leases, or permits from or through the City, or otherwise transacts business with the City.
4.
The term member as used in this Section shall be defined as any person
associated with another person or entity as a partner, director, officer, principal, or
employee.
G.
In addition to and notwithstanding any other provision of this Agreement, the
Commissioner or Agency Head may in his or her sole discretion terminate this Agreement upon
not less than three (3) Days written notice in the event the Contractor fails to promptly report in
writing to the City Commissioner of Investigation any solicitation of money, goods, requests for
future employment or other benefits or thing of value, by or on behalf of any employee of the
City or other person or entity for any purpose that may be related to the procurement or obtaining
of this Agreement by the Contractor, or affecting the performance of this Agreement.
Confidentiality
A.
The Contractor agrees to hold confidential, both during and after the completion
or termination of this Agreement, all of the reports, information, or data, furnished to, or
prepared, assembled or used by, the Contractor under this Agreement. The Contractor agrees
that such reports, information, or data shall not be made available to any person or entity without
the prior written approval of the Department. The Contractor agrees to maintain the
confidentiality of such reports, information, or data by using a reasonable degree of care, and
using at least the same degree of care that the Contractor uses to preserve the confidentiality of
its own confidential information. In the event that the data contains social security numbers or
other Personal Identifying Information, as such term is defined in Paragraph B of this Section,
the Contractor shall utilize best practice methods (e.g., encryption of electronic records) to
protect the confidentiality of such data. The obligation under this Section to hold reports,
information or data confidential shall not apply where the City would be required to disclose
such reports, information or data pursuant to the State Freedom of Information Law (FOIL),
provided that the Contractor provides advance notice to the City, in writing or by e-mail, that it
intends to disclose such reports, information or data and the City does not inform the contractor,
in writing or by e-mail, that such reports, information, or data are not subject to disclosure under
FOIL.
B.
The Contractor shall provide notice to the Department within three (3) days of the
discovery by the Contractor of any breach of security, as defined in Admin. Code 10-501(b), of
any data, encrypted or otherwise, in use by the Contractor that contains social security numbers
or other personal identifying information as defined in Admin. Code 10-501 (Personal
Identifying Information), where such breach of security arises out of the acts or omissions of the
Contractor or its employees, subcontractors, or agents. Upon the discovery of such security
breach, the Contractor shall take reasonable steps to remediate the cause or causes of such
breach, and shall provide notice to the Department of such steps. In the event of such breach of
security, without limiting any other right of the City, the City shall have the right to withhold
further payments under this Agreement for the purpose of set-off in sufficient sums to cover the
costs of notifications and/or other actions mandated by any Law, or administrative or judicial
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order, to address the breach, and including any fines or disallowances imposed by the State or
federal government as a result of the disclosure. The City shall also have the right to withhold
further payments hereunder for the purpose of set-off in sufficient sums to cover the costs of
credit monitoring services for the victims of such a breach of security by a national credit
reporting agency, and/or any other commercially reasonable preventive measure. The
Department shall provide the Contractor with written notice and an opportunity to comment on
such measures prior to implementation. Alternatively, at the Citys discretion, or if monies
remaining to be earned or paid under this Agreement are insufficient to cover the costs detailed
above, the Contractor shall pay directly for the costs, detailed above, if any.
C.
The Contractor shall restrict access to confidential information to persons who
have a legitimate work related purpose to access such information. The Contractor agrees that it
will instruct its officers, employees, and agents to maintain the confidentiality of any and all
information required to be kept confidential by this Agreement.
D.
The Contractor, and its officers, employees, and agents shall notify the
Department, at any time either during or after completion or termination of this Agreement, of
any intended statement to the press or any intended issuing of any material for publication in any
media of communication (print, news, television, radio, Internet, etc.) regarding the services
provided or the data collected pursuant to this Agreement at least twenty-four (24) hours prior to
any statement to the press or at least five (5) business Days prior to the submission of the
material for publication, or such shorter periods as are reasonable under the circumstances. The
Contractor may not issue any statement or submit any material for publication that includes
confidential information as prohibited by this Section 5.08.
E.
At the request of the Department, the Contractor shall return to the Department
any and all confidential information in the possession of the Contractor or its subcontractors. If
the Contractor or its subcontractors are legally required to retain any confidential information,
the Contractor shall notify the Department in writing and set forth the confidential information
that it intends to retain and the reasons why it is legally required to retain such information. The
Contractor shall confer with the Department, in good faith, regarding any issues that arise from
the Contractor retaining such confidential information. If the Department does not request such
information, or the Law does not require otherwise, such information shall be maintained in
accordance with the requirements set forth in Section 5.02.
F.
A breach of this Section shall constitute a material breach of this Agreement for
which the Department may terminate this Agreement pursuant to Article 10. The Department
reserves any and all other rights and remedies in the event of unauthorized disclosure.
COPYRIGHTS,
PATENTS, INVENTIONS, AND ANTITRUST
Copyrights
A.
Any reports, documents, data, photographs, deliverables, and/or other materials
produced pursuant to this Agreement, and any and all drafts and/or other preliminary materials in
any format related to such items produced pursuant to this Agreement, shall upon their creation
become the exclusive property of the City.
B.
Any reports, documents, data, photographs, deliverables, and/or other materials
provided pursuant to this Agreement (Copyrightable Materials) shall be considered workmade-for-hire within the meaning and purview of Section 101 of the United States Copyright
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Act, 17 U.S.C. 101, and the City shall be the copyright owner thereof and of all aspects,
elements and components thereof in which copyright protection might exist. To the extent that
the Copyrightable Materials do not qualify as work-made-for-hire, the Contractor hereby
irrevocably transfers, assigns and conveys exclusive copyright ownership in and to the
Copyrightable Materials to the City, free and clear of any liens, claims, or other encumbrances.
The Contractor shall retain no copyright or intellectual property interest in the Copyrightable
Materials. The Copyrightable Materials shall be used by the Contractor for no purpose other
than in the performance of this Agreement without the prior written permission of the City. The
Department may grant the Contractor a license to use the Copyrightable Materials on such terms
as determined by the Department and set forth in the license.
C.
The Contractor acknowledges that the City may, in its sole discretion, register
copyright in the Copyrightable Materials with the United States Copyright Office or any other
government agency authorized to grant copyright registrations. The Contractor shall fully
cooperate in this effort, and agrees to provide any and all documentation necessary to accomplish
this.
D.
The Contractor represents and warrants that the Copyrightable Materials: (i) are
wholly original material not published elsewhere (except for material that is in the public
domain); (ii) do not violate any copyright Law; (iii) do not constitute defamation or invasion of
the right of privacy or publicity; and (iv) are not an infringement, of any kind, of the rights of
any third party. To the extent that the Copyrightable Materials incorporate any non-original
material, the Contractor has obtained all necessary permissions and clearances, in writing, for the
use of such non-original material under this Agreement, copies of which shall be provided to the
City upon execution of this Agreement.
E.
If the services under this Agreement are supported by a federal grant of funds, the
federal and State government reserves a royalty-free, non-exclusive irrevocable license to
reproduce, publish, or otherwise use and to authorize others to use, for federal or State
government purposes, the copyright in any Copyrightable Materials developed under this
Agreement.
F.
If the Contractor publishes a work dealing with any aspect of performance under
this Agreement, or with the results of such performance, the City shall have a royalty-free, nonexclusive irrevocable license to reproduce, publish, or otherwise use such work for City
governmental purposes.
Patents and Inventions
The Contractor shall promptly and fully report to the Department any discovery or
invention arising out of or developed in the course of performance of this Agreement. If the
services under this Agreement are supported by a federal grant of funds, the Contractor shall
promptly and fully report to the federal government for the federal government to make a
determination as to whether patent protection on such invention shall be sought and how the
rights in the invention or discovery, including rights under any patent issued thereon, shall be
disposed of and administered in order to protect the public interest.
Pre-existing Rights
In no case shall Sections 6.01 and 6.02 apply to, or prevent the Contractor from asserting
or protecting its rights in any discovery, invention, report, document, data, photograph,
deliverable, or other material in connection with or produced pursuant to this Agreement that
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existed prior to or was developed or discovered independently from the activities directly related
to this Agreement.
Antitrust
The Contractor hereby assigns, sells, and transfers to the City all right, title and interest in
and to any claims and causes of action arising under the antitrust laws of the State or of the
United States relating to the particular goods or services procured by the City under this
Agreement.
INSURANCE
Agreement to Insure
The Contractor shall not commence performing services under this Agreement unless and
until all insurance required by this Article is in effect, and shall ensure continuous insurance
coverage in the manner, form, and limits required by this Article throughout the term of the
Agreement.
Commercial General Liability Insurance
A.
The Contractor shall maintain Commercial General Liability Insurance covering
the Contractor as Named Insured and the City as an Additional Insured in the amount of at least
One Million Dollars ($1,000,000) per occurrence. Such insurance shall protect the City and the
Contractor from claims for property damage and/or bodily injury, including death that may arise
from any of the operations under this Agreement. Coverage under this insurance shall be at least
as broad as that provided by the most recently issued Insurance Services Office (ISO) Form
CG 0001, and shall be "occurrence" based rather than claims-made.
B.
Such Commercial General Liability Insurance shall name the City, together with
its officials and employees, as an Additional Insured with coverage at least as broad as the most
recently issued ISO Form CG 20 10.
Professional Liability Insurance
A.
At the Departments direction, if professional services are provided pursuant to
this Agreement, the Contractor shall maintain and submit evidence of Professional Liability
Insurance appropriate to the type(s) of such services to be provided under this Agreement in the
amount of at least One Million Dollars ($1,000,000) per claim. The policy or policies shall
include an endorsement to cover the liability assumed by the Contractor under this Agreement
arising out of the negligent performance of professional services or caused by an error, omission
or negligent act of the Contractor or anyone employed by the Contractor.
B.
All subcontractors of the Contractor providing professional services under this
Agreement for which Professional Liability Insurance is reasonably commercially available shall
also maintain such insurance in the amount of at least One Million Dollars ($1,000,000) per
claim, and the Contractor shall provide to the Department, at the time of the request for
subcontractor approval, evidence of such Professional Liability Insurance on forms acceptable to
the Department.
C.
Claims-made policies will be accepted for Professional Liability Insurance. All
such policies shall have an extended reporting period option or automatic coverage of not less
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than two (2) years. If available as an option, the Contractor shall purchase extended reporting
period coverage effective on cancellation or termination of such insurance unless a new policy is
secured with a retroactive date, including at least the last policy year.
Workers Compensation, Disability Benefits, and Employers Liability Insurance
The Contractor shall maintain, and ensure that each subcontractor maintains, Workers
Compensation Insurance, Disability Benefits Insurance, and Employers Liability Insurance in
accordance with the Laws of the State on behalf of, or with regard to, all employees providing
services under this Agreement.
Unemployment Insurance
To the extent required by Law, the Contractor shall provide Unemployment Insurance for
its employees.
Business Automobile Liability Insurance
A.
If vehicles are used in the provision of services under this Agreement, then the
Contractor shall maintain Business Automobile Liability insurance in the amount of at least One
Million Dollars ($1,000,000) each accident combined single limit for liability arising out of
ownership, maintenance or use of any owned, non-owned, or hired vehicles to be used in
connection with this Agreement. Coverage shall be at least as broad as the most recently issued
ISO Form CA0001.
B.
If vehicles are used for transporting hazardous materials, the Business
Automobile Liability Insurance shall be endorsed to provide pollution liability broadened
coverage for covered vehicles (endorsement CA 99 48) as well as proof of MCS-90.
General Requirements for Insurance Coverage and Policies
A.
All required insurance policies shall be maintained with companies that may
lawfully issue the required policy and have an A.M. Best rating of at least A- / VII or a
Standard and Poors rating of at least A, unless prior written approval is obtained from the City
Law Department.
B.
All insurance policies shall be primary (and non-contributing) to any insurance or
self-insurance maintained by the City.
C.
The Contractor shall be solely responsible for the payment of all premiums for all
required insurance policies and all deductibles or self-insured retentions to which such policies
are subject, whether or not the City is an insured under the policy.
D.
There shall be no self-insurance program with regard to any insurance required
under this Article unless approved in writing by the Commissioner. Any such self-insurance
program shall provide the City with all rights that would be provided by traditional insurance
required under this Article, including but not limited to the defense obligations that insurers are
required to undertake in liability policies.
E.
The Citys limits of coverage for all types of insurance required under this Article
shall be the greater of (i) the minimum limits set forth in this Article or (ii) the limits provided to
the Contractor as Named Insured under all primary, excess, and umbrella policies of that type of
coverage.
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Proof of Insurance
A.
For Workers Compensation Insurance, Disability Benefits Insurance, and
Employers Liability Insurance, the Contractor shall file one of the following within ten (10)
Days of award of this Agreement. ACORD forms are not acceptable proof of workers
compensation coverage.
1.
2.
Insurance;
3.
C-105.2 Certificate of Workers Compensation Insurance;

U-26.3 -- State Insurance Fund Certificate of Workers Compensation
Request for WC/DB Exemption (Form CE-200);
4.
Equivalent or successor forms used by the New York State Workers
Compensation Board; or
5.
Other proof of insurance in a form acceptable to the City.
B.
For each policy required under this Agreement, except for Workers
Compensation Insurance, Disability Benefits Insurance, Employers Liability Insurance, and
Unemployment Insurance, the Contractor shall file a Certificate of Insurance with the
Department within ten (10) Days of award of this Agreement. All Certificates of Insurance shall
be (a) in a form acceptable to the City and certify the issuance and effectiveness of such policies
of insurance, each with the specified minimum limits; and (b) accompanied by the endorsement
in the Contractors general liability policy by which the City has been made an additional
insured pursuant to Section 7.02(B). All Certificate(s) of Insurance shall be accompanied by
either a duly executed Certification by Broker in the form attached to this Appendix A or
copies of all policies referenced in the Certificate of Insurance. If complete policies have not yet
been issued, binders are acceptable, until such time as the complete policies have been issued, at
which time such policies shall be submitted.
C.
Certificates of Insurance confirming renewals of insurance shall be submitted to
the Commissioner prior to the expiration date of coverage of policies required under this Article.
Such Certificates of Insurance shall comply with the requirements of Section 7.08 (A) and
Section 7.08(B), as applicable.
D.
The Contractor shall provide the City with a copy of any policy required under
this Article upon the demand for such policy by the Commissioner or the New York City Law
Department.
E.
Acceptance by the Commissioner of a certificate or a policy does not excuse the
Contractor from maintaining policies consistent with all provisions of this Article (and ensuring
that subcontractors maintain such policies) or from any liability arising from its failure to do so.
F.
In the event the Contractor receives notice, from an insurance company or other
person, that any insurance policy required under this Article shall expire or be cancelled or
terminated for any reason, the Contractor shall immediately forward a copy of such notice to
both the Commissioner [insert Agency name and appropriate address], and the New York City
Comptroller, Attn: Office of Contract Administration, Municipal Building, One Centre Street,
Room 1005, New York, New York 10007.
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Miscellaneous
A.
Whenever notice of loss, damage, occurrence, accident, claim or suit is required
under a general liability policy maintained in accordance with this Article, the Contractor shall
provide the insurer with timely notice thereof on behalf of the City. Such notice shall be given
even where the Contractor may not have coverage under such policy (for example, where one of
Contractors employees was injured). Such notice shall expressly specify that this notice is
being given on behalf of the City of New York as Additional Insured and contain the following
information: the number of the insurance policy; the name of the named insured; the date and
location of the damage, occurrence, or accident; the identity of the persons or things injured,
damaged, or lost; and the title of the claim or suit, if applicable. The Contractor shall
simultaneously send a copy of such notice to the City of New York c/o Insurance Claims
Specialist, Affirmative Litigation Division, New York City Law Department, 100 Church Street,
New York, New York 10007. If the Contractor fails to comply with the requirements of this
paragraph, the Contractor shall indemnify the City for all losses, judgments, settlements and
expenses, including reasonable attorneys fees, arising from an insurers disclaimer of coverage
citing late notice by or on behalf of the City.
B.
The Contractors failure to maintain any of the insurance required by this Article
shall constitute a material breach of this Agreement. Such breach shall not be waived or
otherwise excused by any action or inaction by the City at any time.
C.
Insurance coverage in the minimum amounts required in this Article shall not
relieve the Contractor or its subcontractors of any liability under this Agreement, nor shall it
preclude the City from exercising any rights or taking such other actions as are available to it
under any other provisions of this Agreement or Law.
D.
The Contractor waives all rights against the City, including its officials and
employees for any damages or losses that are covered under any insurance required under this
Article (whether or not such insurance is actually procured or claims are paid thereunder) or any
other insurance applicable to the operations of the Contractor and/or its subcontractors in the
performance of this Agreement.
E.
In the event the Contractor requires any subcontractor to procure insurance with
regard to any operations under this Agreement and requires such subcontractor to name the
Contractor as an additional insured under such insurance, the Contractor shall ensure that such
entity also name the City, including its officials and employees, as an additional insured with
coverage at least as broad as the most recently issued ISO form CG 20 26.
PROTECTION OF PERSONS AND PROPERTY
AND INDEMNIFICATION
Reasonable Precautions
The Contractor shall take all reasonable precautions to protect all persons and the
property of the City and of others from damage, loss or injury resulting from the Contractors
and/or its subcontractors operations under this Agreement.
Protection of City Property
The Contractor assumes the risk of, and shall be responsible for, any loss or damage to
City property, including property and equipment leased by the City, used in the performance of
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this Agreement, where such loss or damage is caused by any tortious act, or failure to comply
with the provisions of this Agreement or of Law by the Contractor, its officers, employees,
agents or subcontractors.
Indemnification
The Contractor shall defend, indemnify and hold the City, its officers and employees
harmless from any and all claims (even if the allegations of the lawsuit are without merit) or
judgments for damages on account of any injuries or death to any person or damage to any
property and from costs and expenses to which the City, its officers and employees may be
subjected or which it may suffer or incur allegedly arising out of or in connection with any
operations of the Contractor and/or its subcontractors to the extent resulting from any negligent
act of commission or omission, any intentional tortious act, or failure to comply with the
provisions of this Agreement or of the Laws. Insofar as the facts or Law relating to any claim
would preclude the City from being completely indemnified by the Contractor, the City shall be
partially indemnified by the Contractor to the fullest extent permitted by Law.
Infringement Indemnification
The Contractor shall defend, indemnify and hold the City harmless from any and all
claims (even if the allegations of the lawsuit are without merit) or judgments for damages and
from costs and expenses to which the City may be subject to or which it may suffer or incur
allegedly arising out of or in connection with any infringement by the Contractor of any
copyright, trade secrets, trademark or patent rights or any other property or personal right of any
third party by the Contractor and/or its subcontractors in the performance of this Agreement.
The Contractor shall defend, indemnify, and hold the City harmless regardless of whether or not
the alleged infringement arises out of compliance with the Agreements scope of services/scope
of work. Insofar as the facts or Law relating to any claim would preclude the City from being
completely indemnified by the Contractor, the City shall be partially indemnified by the
Contractor to the fullest extent permitted by Law.
Indemnification Obligations Not Limited By Insurance Obligation
The indemnification provisions set forth in this Article shall not be limited in any way by
the Contractors obligations to obtain and maintain insurance as provided in this Agreement.
Actions By or Against Third Parties
A.
In the event any claim is made or any action brought in any way relating to
Agreement, other than an action between the City and the Contractor, the Contractor shall
diligently render to the City without additional compensation all assistance which the City may
reasonably require of the Contractor.
B.
The Contractor shall report to the Department in writing within five (5) business
Days of the initiation by or against the Contractor of any legal action or proceeding in connection
with or relating to this Agreement.
Withholding of Payments
A.
In the event that any claim is made or any action is brought against the City for
which the Contractor may be required to indemnify the City pursuant to this Agreement, the City
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shall have the right to withhold further payments under this Agreement for the purpose of set-off
in sufficient sums to cover the said claim or action.
B.
In the event that any City property is lost or damaged as set forth in Section 8.02,
except for normal wear and tear, the City shall have the right to withhold further payments under
this Agreement for the purpose of set-off in sufficient sums to cover such loss or damage.
C.
The City shall not, however, impose a setoff in the event that an insurance
company that provided liability insurance pursuant to Article 7 above has accepted the City's
tender of the claim or action without a reservation of rights.
D.
The Department may, at its option, withhold for purposes of set-off any monies
due to the Contractor under this Agreement up to the amount of any disallowances or questioned
costs resulting from any audits of the Contractor or to the amount of any overpayment to the
Contractor with regard to this Agreement.
E.
The rights and remedies of the City provided for in this Section shall not be
exclusive and are in addition to any other rights and remedies provided by Law or this
Agreement.
No Third Party Rights
The provisions of this Agreement shall not be deemed to create any right of action in
favor of third parties against the Contractor or the City or their respective officers and
employees.
CONTRACT CHANGES
Contract Changes
Changes to this Agreement may be made only as duly authorized by the ACCO or his or
her designee and in accordance with the PPB Rules. Any amendment or change to this
Agreement shall not be valid unless made in writing and signed by authorized representatives of
both parties. Contractors deviating from the requirements of this Agreement without a duly
approved and executed change order document, or written contract modification or amendment,
do so at their own risk.
Changes Through Fault of Contractor
In the event that any change is required in the data, documents, deliverables, or other
services to be provided under this Agreement because of negligence or error of the Contractor,
no additional compensation shall be paid to the Contractor for making such change, and the
Contractor is obligated to make such change without additional compensation.
TERMINATION, DEFAULT, AND REDUCTIONS IN FUNDING
Termination by the City Without Cause
A.
The City shall have the right to terminate this Agreement, in whole or in part,
without cause, in accordance with the provisions of Section 10.05.
B.
If the City terminates this Agreement pursuant to this Section, the following
provisions apply. The City shall not incur or pay any further obligation pursuant to this
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Agreement beyond the termination date set by the City pursuant to Section 10.05. The City shall
pay for services provided in accordance with this Agreement prior to the termination date. In
addition, any obligation necessarily incurred by the Contractor on account of this Agreement
prior to receipt of notice of termination and falling due after the termination date shall be paid by
the City in accordance with the terms of this Agreement. In no event shall such obligation be
construed as including any lease or other occupancy agreement, oral or written, entered into
between the Contractor and its landlord.
Reductions in Federal, State and/or City Funding
A.
This Agreement is funded in whole or in part by funds secured from the federal,
State and/or City governments. Should there be a reduction or discontinuance of such funds by
action of the federal, State and/or City governments, the City shall have, in its sole discretion, the
right to terminate this Agreement in whole or in part, or to reduce the funding and/or level of
services of this Agreement caused by such action by the federal, State and/or City governments,
including, in the case of the reduction option, but not limited to, the reduction or elimination of
programs, services or service components; the reduction or elimination of contract-reimbursable
staff or staff-hours, and corresponding reductions in the budget of this Agreement and in the total
amount payable under this Agreement. Any reduction in funds pursuant to this Section shall be
accompanied by an appropriate reduction in the services performed under this Agreement.
B.
In the case of the reduction option referred to in Paragraph A, above, any such
reduction shall be effective as of the date set forth in a written notice thereof to the Contractor,
which shall be not less than thirty (30) Days from the date of such notice. Prior to sending such
notice of reduction, the Department shall advise the Contractor that such option is being
exercised and afford the Contractor an opportunity to make within seven (7) Days any
suggestion(s) it may have as to which program(s), service(s), service component(s), staff or staffhours might be reduced or eliminated, provided, however, that the Department shall not be
bound to utilize any of the Contractors suggestions and that the Department shall have sole
discretion as to how to effectuate the reductions.
C.
If the City reduces funding pursuant to this Section, the following provisions
apply. The City shall pay for services provided in accordance with this Agreement prior to the
reduction date. In addition, any obligation necessarily incurred by the Contractor on account of
this Agreement prior to receipt of notice of reduction and falling due after the reduction date
shall be paid by the City in accordance with the terms of this Agreement. In no event shall such
obligation be construed as including any lease or other occupancy agreement, oral or written,
entered into between the Contractor and its landlord.
D.
To the extent that the reduction in public funds is a result of the State determining
that the Contractor may receive medical assistance funds pursuant to title eleven of article five of
the Social Services Law to fund the services contained within the scope of a program under this
Agreement, then the notice and effective date provisions of this section shall not apply, and the
Department may reduce such public funds authorized under this Agreement by informing the
Contractor of the amount of the reduction and revising attachments to this agreement as
appropriate.
Contractor Default
A.
The City shall have the right to declare the Contractor in default:
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1.
Upon a breach by the Contractor of a material term or condition of this
Agreement, including unsatisfactory performance of the services;
2.
Upon insolvency or the commencement of any proceeding by or against
the Contractor, either voluntarily or involuntarily, under the Bankruptcy Code or relating
to the insolvency, receivership, liquidation, or composition of the Contractor for the
benefit of creditors;
3.
If the Contractor refuses or fails to proceed with the services under the
Agreement when and as directed by the Commissioner;
4.
If the Contractor or any of its officers, directors, partners, five percent
(5%) or greater shareholders, principals, or other employee or person substantially
involved in its activities are indicted or convicted after execution of the Agreement under
any state or federal law of any of the following:
a.
a criminal offense incident to obtaining or attempting to obtain or
performing a public or private contract;
b.
fraud, embezzlement, theft, bribery, forgery, falsification, or
destruction of records, or receiving stolen property;
c.
a criminal violation of any state or federal antitrust law;
d.
violation of the Racketeer Influence and Corrupt Organization Act,
18 U.S.C. 1961 et seq., or the Mail Fraud Act, 18 U.S.C. 1341 et seq., for acts
in connection with the submission of bids or proposals for a public or private
contract;
e.
conspiracy to commit any act or omission that would constitute
grounds for conviction or liability under any statute described in subparagraph (d)
above; or
f.
an offense indicating a lack of business integrity that seriously and
directly affects responsibility as a City vendor.
5.
involved in its activities are subject to a judgment of civil liability under any state or
federal antitrust law for acts or omissions in connection with the submission of bids or
proposals for a public or private contract; or
6.
involved in its activities makes or causes to be made any false, deceptive, or fraudulent
material statement, or fail to make a required material statement in any bid, proposal, or
application for City or other government work.
B.
The right to declare the Contractor in default shall be exercised by sending the
Contractor a written notice of the conditions of default, signed by the Commissioner, setting
forth the ground or grounds upon which such default is declared (Notice to Cure). The
Contractor shall have ten (10) Days from receipt of the Notice to Cure or any longer period that
is set forth in the Notice to Cure to cure the default. The Commissioner may temporarily
suspend services under the Agreement pending the outcome of the default proceedings pursuant
to this Section.
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C.
If the conditions set forth in the Notice to Cure are not cured within the period set
forth in the Notice to Cure, the Commissioner may declare the Contractor in default pursuant to
this Section. Before the Commissioner may exercise his or her right to declare the Contractor in
default, the Commissioner shall give the Contractor an opportunity to be heard upon not less than
five (5) business days notice. The Commissioner may, in his or her discretion, provide for such
opportunity to be in writing or in person. Such opportunity to be heard shall not occur prior to
the end of the cure period but notice of such opportunity to be heard may be given prior to the
end of the cure period and may be given contemporaneously with the Notice to Cure.
D.
After the opportunity to be heard, the Commissioner may terminate the
Agreement, in whole or in part, upon finding the Contractor in default pursuant to this Section, in
accordance with the provisions of Section 10.05.
E.
The Commissioner, after declaring the Contractor in default, may have the
services under the Agreement completed by such means and in such manner, by contract with or
without public letting, or otherwise, as he or she may deem advisable in accordance with
applicable PPB Rules. After such completion, the Commissioner shall certify the expense
incurred in such completion, which shall include the cost of re-letting. Should the expense of
such completion, as certified by the Commissioner, exceed the total sum which would have been
payable under the Agreement if it had been completed by the Contractor, any excess shall be
promptly paid by the Contractor upon demand by the City. The excess expense of such
completion, including any and all related and incidental costs, as so certified by the
Commissioner, and any liquidated damages assessed against the Contractor, may be charged
against and deducted out of monies earned by the Contractor.
Force Majeure
A.
For purposes of this Agreement, a force majeure event is an act or event beyond
the control and without any fault or negligence of the Contractor (Force Majeure Event). Such
events may include, but are not limited to, fire, flood, earthquake, storm or other natural disaster,
civil commotion, war, terrorism, riot, and labor disputes not brought about by any act or
omission of the Contractor.
B.
In the event the Contractor cannot comply with the terms of the Agreement
(including any failure by the Contractor to make progress in the performance of the services)
because of a Force Majeure Event, then the Contractor may ask the Commissioner to excuse the
nonperformance and/or terminate the Agreement. If the Commissioner, in his or her reasonable
discretion, determines that the Contractor cannot comply with the terms of the Agreement
because of a Force Majeure Event, then the Commissioner shall excuse the nonperformance and
may terminate the Agreement. Such a termination shall be deemed to be without cause.
C.
If the City terminates the Agreement pursuant to this Section, the following
provisions apply. The City shall not incur or pay any further obligation pursuant to this
Agreement beyond the termination date. The City shall pay for services provided in accordance
with this Agreement prior to the termination date. Any obligation necessarily incurred by the
Contractor on account of this Agreement prior to receipt of notice of termination and falling due
after the termination date shall be paid by the City in accordance with the terms of this
Agreement. In no event shall such obligation be construed as including any lease or other
occupancy agreement, oral or written, entered into between the Contractor and its landlord.
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Procedures for Termination

A.
The Department and/or the City shall give the Contractor written notice of any
termination of this Agreement. Such notice shall specify the applicable provision(s) under which
the Agreement is terminated and the effective date of the termination. Except as otherwise
provided in this Agreement, the notice shall comply with the provisions of this Section. For
termination without cause, the effective date of the termination shall not be less than ten (10)
Days from the date the notice is personally delivered, or fifteen (15) Days from the date the
notice is either sent by certified mail, return receipt requested, or sent by fax and deposited in a
post office box regularly maintained by the United States Postal Service in a postage pre-paid
envelope. In the case of termination for default, the effective date of the termination shall be as
set forth above for a termination without cause or such earlier date as the Commissioner may
determine. If the City terminates the Agreement in part, the Contractor shall continue the
performance of the Agreement to the extent not terminated.
B.
Upon termination or expiration of this Agreement, the Contractor shall comply
with the City close-out procedures, including but not limited to:
1.
Accounting for and refunding to the Department, within forty-five (45)
Days, any unexpended funds which have been advanced to the Contractor pursuant to this
Agreement;
2.
Furnishing within forty-five (45) Days an inventory to the Department of
all equipment, appurtenances and property purchased through or provided under this
Agreement and carrying out any Department or City directive concerning the disposition
of such equipment, appurtenances and property;
3.
Turning over to the Department or its designees all books, records,
documents and material specifically relating to this Agreement that the Department has
requested be turned over;
4.
Submitting to the Department, within ninety (90) Days, a final statement
and report relating to the Agreement. The report shall be made by a certified public
accountant or a licensed public accountant; and
5.
Providing reasonable assistance to the Department in the transition, if any,
to a new contractor.
Miscellaneous Provisions
A.
The Commissioner, in addition to any other powers set forth in this Agreement or
by operation of Law, may suspend, in whole or in part, any part of the services to be provided
under this Agreement whenever in his or her judgment such suspension is required in the best
interest of the City. If the Commissioner suspends this Agreement pursuant to this Section, the
City shall not incur or pay any further obligation pursuant to this Agreement beyond the
suspension date until such suspension is lifted. The City shall pay for services provided in
accordance with this Agreement prior to the suspension date. In addition, any obligation
necessarily incurred by the Contractor on account of this Agreement prior to receipt of notice of
suspension and falling due during the suspension period shall be paid by the City in accordance
with the terms of this Agreement.
B.
Notwithstanding any other provisions of this Agreement, the Contractor shall not
be relieved of liability to the City for damages sustained by the City by virtue of the Contractors
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breach of the Agreement, and the City may withhold payments to the Contractor for the purpose
of set-off in the amount of damages due to the City from the Contractor.
C.
The rights and remedies of the City provided in this Article shall not be exclusive
and are in addition to all other rights and remedies provided by Law or under this Agreement.
PROMPT PAYMENT AND ELECTRONIC FUNDS TRANSFER
Prompt Payment
A.
The prompt payment provisions of PPB Rule 4-06 are applicable to payments
made under this Agreement. The provisions generally require the payment to the Contractor of
interest on payments made after the required payment date, as set forth in the PPB Rules.
B.
The Contractor shall submit a proper invoice to receive payment, except where
the Agreement provides that the Contractor will be paid at predetermined intervals without
having to submit an invoice for each scheduled payment.
C.
Determination of interest due will be made in accordance with the PPB Rules and
the applicable rate of interest shall be the rate in effect at the time of payment.
Electronic Funds Transfer
A.
In accordance with Admin. Code 6-107.1, the Contractor agrees to accept
payments under this Agreement from the City by electronic funds transfer. An electronic funds
transfer is any transfer of funds, other than a transaction originated by check, draft, or similar
paper instrument, which is initiated through an electronic terminal, telephonic instrument or
computer or magnetic tape so as to order, instruct, or authorize a financial institution to debit or
credit an account. Prior to the first payment made under this Agreement, the Contractor shall
designate one financial institution or other authorized payment agent and shall complete the
EFT Vendor Payment Enrollment Form available from the Agency or at
http://www.nyc.gov/dof in order to provide the commissioner of the Department of Finance with
information necessary for the Contractor to receive electronic funds transfer payments through
the designated financial institution or authorized payment agent. The crediting of the amount of
a payment to the appropriate account on the books of a financial institution or other authorized
payment agent designated by the Contractor shall constitute full satisfaction by the City for the
amount of the payment under this Agreement. The account information supplied by the
Contractor to facilitate the electronic funds transfer shall remain confidential to the fullest extent
provided by Law.
B.
The Agency Head may waive the application of the requirements of this Section
to payments on contracts entered into pursuant to Charter 315. In addition, the commissioner
of the Department of Finance and the Comptroller may jointly issue standards pursuant to which
the Agency may waive the requirements of this Section for payments in the following
circumstances: (i) for individuals or classes of individuals for whom compliance imposes a
hardship; (ii) for classifications or types of checks; or (iii) in other circumstances as may be
necessary in the best interest of the City.
C.
This Section is applicable to contracts valued at Twenty-Five Thousand Dollars
($25,000) and above.
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CLAIMS
Choice of Law
This Agreement shall be deemed to be executed in the City and State of New York,
regardless of the domicile of the Contractor, and shall be governed by and construed in
accordance with the Laws of the State of New York (notwithstanding New York choice of law or
conflict of law principles) and the Laws of the United States, where applicable.
Jurisdiction and Venue
The parties agree that any and all claims asserted by or against the City arising under or
related to this Agreement shall solely be heard and determined either in the courts of the United
States located in the City or in the courts of the State located in the City and County of New
York. The parties shall consent to the dismissal and/or transfer of any claims asserted in any
other venue or forum to the proper venue or forum. If the Contractor initiates any action in
breach of this Section, the Contractor shall be responsible for and shall promptly reimburse the
City for any attorneys fees incurred by the City in removing the action to a proper court
consistent with this Section.
Resolution of Disputes
A.
Except as provided in Subparagraphs (A)(1) and (A)(2) below, all disputes
between the City and the Contractor that arise under, or by virtue of, this Agreement shall be
finally resolved in accordance with the provisions of this Section and PPB Rule 4-09. This
procedure shall be the exclusive means of resolving any such disputes.
1.
This Section shall not apply to disputes concerning matters dealt with in
other sections of the PPB Rules or to disputes involving patents, copyrights, trademarks,
or trade secrets (as interpreted by the courts of New York State) relating to proprietary
rights in computer software, or to termination other than for cause.
2.
For construction and construction-related services this Section shall apply
only to disputes about the scope of work delineated by the Agreement, the interpretation
of Agreement documents, the amount to be paid for extra work or disputed work
performed in connection with the Agreement, the conformity of the Contractors work to
the Agreement, and the acceptability and quality of the Contractors work; such disputes
arise when the City Engineer, City Resident Engineer, City Engineering Audit Officer, or
other designee of the Agency Head makes a determination with which the Contractor
disagrees. For construction, this Section shall not apply to termination of the Agreement
for cause or other than for cause.
B.
All determinations required by this Section shall be clearly stated, with a reasoned
explanation for the determination based on the information and evidence presented to the party
making the determination. Failure to make such determination within the time required by this
Section shall be deemed a non-determination without prejudice that will allow application to the
next level.
C.
During such time as any dispute is being presented, heard, and considered
pursuant to this Section, the Agreement terms shall remain in full force and effect and, unless
otherwise directed by the ACCO or Engineer, the Contractor shall continue to perform work in
accordance with the Agreement and as directed by the ACCO or City Engineer, City Resident
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Engineer, City Engineering Audit Officer, or other designee of the Agency Head. Failure of the
Contractor to continue the work as directed shall constitute a waiver by the Contractor of any and
all claims being presented pursuant to this Section and a material breach of contract.
D.
Presentation of Dispute to Agency Head.
1.
Notice of Dispute and Agency Response. The Contractor shall present its
dispute in writing (Notice of Dispute) to the Agency Head within the time specified
herein, or, if no time is specified, within thirty (30) Days of receiving written notice of
the determination or action that is the subject of the dispute. This notice requirement
shall not be read to replace any other notice requirements contained in the Agreement.
The Notice of Dispute shall include all the facts, evidence, documents, or other basis
upon which the Contractor relies in support of its position, as well as a detailed
computation demonstrating how any amount of money claimed by the Contractor in the
dispute was arrived at. Within thirty (30) Days after receipt of the complete Notice of
Dispute, the ACCO or, in the case of construction or construction-related services, the
City Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee
of the Agency Head, shall submit to the Agency Head all materials he or she deems
pertinent to the dispute. Following initial submissions to the Agency Head, either party
may demand of the other the production of any document or other material the
demanding party believes may be relevant to the dispute. The requested party shall
produce all relevant materials that are not otherwise protected by a legal privilege
recognized by the courts of New York State. Any question of relevancy shall be
determined by the Agency Head whose decision shall be final. Willful failure of the
Contractor to produce any requested material whose relevancy the Contractor has not
disputed, or whose relevancy has been affirmatively determined, shall constitute a waiver
by the Contractor of its claim.
2.
Agency Head Inquiry. The Agency Head shall examine the material and
may, in his or her discretion, convene an informal conference with the Contractor and the
ACCO and, in the case of construction or construction-related services, the City
Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of
the Agency Head, to resolve the issue by mutual consent prior to reaching a
determination. The Agency Head may seek such technical or other expertise as he or she
shall deem appropriate, including the use of neutral mediators, and require any such
additional material from either or both parties as he or she deems fit. The Agency Heads
ability to render, and the effect of, a decision hereunder shall not be impaired by any
negotiations in connection with the dispute presented, whether or not the Agency Head
participated therein. The Agency Head may or, at the request of any party to the dispute,
shall compel the participation of any other contractor with a contract related to the work
of this Agreement and that contractor shall be bound by the decision of the Agency Head.
Any contractor thus brought into the dispute resolution proceeding shall have the same
rights and obligations under this Section as the Contractor initiating the dispute.
3.
Agency Head Determination. Within thirty (30) Days after the receipt of
all materials and information, or such longer time as may be agreed to by the parties, the
Agency Head shall make his or her determination and shall deliver or send a copy of such
determination to the Contractor and ACCO and, in the case of construction or
construction-related services, the City Engineer, City Resident Engineer, City
Engineering Audit Officer, or other designee of the Agency Head, together with a
statement concerning how the decision may be appealed.
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4.
Finality of Agency Head Decision. The Agency Heads decision shall be
final and binding on all parties, unless presented to the Contract Dispute Resolution
Board (CDRB) pursuant to this Section. The City may not take a petition to the CDRB.
However, should the Contractor take such a petition, the City may seek, and the CDRB
may render, a determination less favorable to the Contractor and more favorable to the
City than the decision of the Agency Head.
E.
Presentation of Dispute to the Comptroller. Before any dispute may be brought
by the Contractor to the CDRB, the Contractor must first present its claim to the Comptroller for
his or her review, investigation, and possible adjustment.
1.
Time, Form, and Content of Notice. Within thirty (30) Days of receipt of
a decision by the Agency Head, the Contractor shall submit to the Comptroller and to the
Agency Head a Notice of Claim regarding its dispute with the Agency. The Notice of
Claim shall consist of (i) a brief statement of the substance of the dispute, the amount of
money, if any, claimed and the reason(s) the Contractor contends the dispute was
wrongly decided by the Agency Head; (ii) a copy of the decision of the Agency Head;
and (iii) a copy of all materials submitted by the Contractor to the Agency, including the
Notice of Dispute. The Contractor may not present to the Comptroller any material not
presented to the Agency Head, except at the request of the Comptroller.
2.
Agency Response. Within thirty (30) Days of receipt of the Notice of
Claim, the Agency shall make available to the Comptroller a copy of all material
submitted by the Agency to the Agency Head in connection with the dispute. The
Agency may not present to the Comptroller any material not presented to the Agency
Head, except at the request of the Comptroller.
3.
Comptroller Investigation. The Comptroller may investigate the claim in
dispute and, in the course of such investigation, may exercise all powers provided in
Admin. Code 7-201 and 7-203. In addition, the Comptroller may demand of either
party, and such party shall provide, whatever additional material the Comptroller deems
pertinent to the claim, including original business records of the Contractor. Willful
failure of the Contractor to produce within fifteen (15) Days any material requested by
the Comptroller shall constitute a waiver by the Contractor of its claim. The Comptroller
may also schedule an informal conference to be attended by the Contractor, Agency
representatives, and any other personnel desired by the Comptroller.
4.
Opportunity of Comptroller to Compromise or Adjust Claim. The
Comptroller shall have forty-five (45) Days from his or her receipt of all materials
referred to in Paragraph (E)(3) above to investigate the disputed claim. The period for
investigation and compromise may be further extended by agreement between the
Contractor and the Comptroller, to a maximum of ninety (90) Days from the
Comptrollers receipt of all the materials. The Contractor may not present its petition to
the CDRB until the period for investigation and compromise delineated in this Paragraph
has expired. In compromising or adjusting any claim hereunder, the Comptroller may not
revise or disregard the terms of the Agreement.
F.
Contract Dispute Resolution Board. There shall be a Contract Dispute Resolution
Board composed of:
1.
the chief administrative law judge of the Office of Administrative Trials
and Hearings (OATH) or his or her designated OATH administrative law judge, who
shall act as chairperson, and may adopt operational procedures and issue such orders
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consistent with this Section as may be necessary in the execution of the CDRBs
functions, including, but not limited to, granting extensions of time to present or respond
to submissions;
2.
the City Chief Procurement Officer (CCPO) or his or her designee; any
designee shall have the requisite background to consider and resolve the merits of the
dispute and shall not have participated personally and substantially in the particular
matter that is the subject of the dispute or report to anyone who so participated; and
3.
a person with appropriate expertise who is not an employee of the City.
This person shall be selected by the presiding administrative law judge from a
prequalified panel of individuals, established, and administered by OATH, with
appropriate background to act as decision-makers in a dispute. Such individuals may not
have a contract or dispute with the City or be an officer or employee of any company or
organization that does, or regularly represent persons, companies, or organizations having
disputes with the City.
G.
Petition to CDRB. In the event the claim has not been settled or adjusted by the
Comptroller within the period provided in this Section, the Contractor, within thirty (30) Days
thereafter, may petition the CDRB to review the Agency Head determination.
1.
Form and Content of Petition by the Contractor. The Contractor shall
present its dispute to the CDRB in the form of a petition, which shall include (i) a brief
statement of the substance of the dispute, the amount of money, if any, claimed, and the
reason(s) the Contractor contends that the dispute was wrongly decided by the Agency
Head; (ii) a copy of the decision of the Agency Head; (iii) copies of all materials
submitted by the Contractor to the Agency; (iv) a copy of the decision of the Comptroller,
if any, and (v) copies of all correspondence with, and material submitted by the
Contractor to, the Comptrollers Office. The Contractor shall concurrently submit four
complete sets of the petition: one to the Corporation Counsel (Attn: Commercial and Real
Estate Litigation Division), and three to the CDRB at OATHs offices, with proof of
service on the Corporation Counsel. In addition, the Contractor shall submit a copy of the
statement of the substance of the dispute, cited in (i) above, to both the Agency Head and
the Comptroller.
2.
Agency Response. Within thirty (30) Days of receipt of the petition by the
Corporation Counsel, the Agency shall respond to the statement of the Contractor and
make available to the CDRB all material it submitted to the Agency Head and
Comptroller. Three complete copies of the Agency response shall be submitted to the
CDRB at OATHs offices and one to the Contractor. Extensions of time for submittal of
the Agency response shall be given as necessary upon a showing of good cause or, upon
the consent of the parties, for an initial period of up to thirty (30) Days.
3.
Further Proceedings. The CDRB shall permit the Contractor to present its
case by submission of memoranda, briefs, and oral argument. The CDRB shall also
permit the Agency to present its case in response to the Contractor by submission of
memoranda, briefs, and oral argument. If requested by the Corporation Counsel, the
Comptroller shall provide reasonable assistance in the preparation of the Agencys case.
Neither the Contractor nor the Agency may support its case with any documentation or
other material that was not considered by the Comptroller, unless requested by the
CDRB. The CDRB, in its discretion, may seek such technical or other expert advice as it
shall deem appropriate and may seek, on it own or upon application of a party, any such
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additional material from any party as it deems fit. The CDRB, in its discretion, may
combine more than one dispute between the parties for concurrent resolution.
4.
CDRB Determination. Within forty-five (45) Days of the conclusion of
all submissions and oral arguments, the CDRB shall render a decision resolving the
dispute. In an unusually complex case, the CDRB may render its decision in a longer
period of time, not to exceed ninety (90) Days, and shall so advise the parties at the
commencement of this period. The CDRBs decision must be consistent with the terms
of this Agreement. Decisions of the CDRB shall only resolve matters before the CDRB
and shall not have precedential effect with respect to matters not before the CDRB.
5.
Notification of CDRB Decision. The CDRB shall send a copy of its
decision to the Contractor, the ACCO, the Corporation Counsel, the Comptroller, the
CCPO, and, in the case of construction or construction-related services, the City
Engineer, City Resident Engineer, City Engineering Audit Officer, or other designee of
the Agency Head. A decision in favor of the Contractor shall be subject to the prompt
payment provisions of the PPB Rules. The required payment date shall be thirty (30)
Days after the date the parties are formally notified of the CDRBs decision.
6.
Finality of CDRB Decision. The CDRBs decision shall be final and
binding on all parties. Any party may seek review of the CDRBs decision solely in the
form of a challenge, filed within four months of the date of the CDRBs decision, in a
court of competent jurisdiction of the State of New York, County of New York pursuant
to Article 78 of the Civil Practice Law and Rules. Such review by the court shall be
limited to the question of whether or not the CDRBs decision was made in violation of
lawful procedure, was affected by an error of Law, or was arbitrary and capricious or an
abuse of discretion. No evidence or information shall be introduced or relied upon in
such proceeding that was not presented to the CDRB in accordance with PPB Rules 409.
H.
Any termination, cancellation, or alleged breach of the Agreement prior to or
during the pendency of any proceedings pursuant to this Section shall not affect or impair the
ability of the Agency Head or CDRB to make a binding and final decision pursuant to this
Section.
Claims and Actions
A.
Any claim against the City or Department based on this Agreement or arising out
of this Agreement that is not subject to dispute resolution under the PPB Rules or this Agreement
shall not be made or asserted in any legal proceeding, unless the Contractor shall have strictly
complied with all requirements relating to the giving of notice and of information with respect to
such claims as provided in this Agreement.
B.
No action shall be instituted or maintained on any such claims unless such action
shall be commenced within six (6) months after the date of filing with the Comptroller of the
certificate for the final payment under this Agreement, or within six (6) months of the
termination or expiration of this Agreement, or within six (6) months after the accrual of the
cause of action, whichever first occurs.
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No Claim Against Officers, Agents or Employees

No claim shall be made by the Contractor against any officer, agent, or employee of the
City in their personal capacity for, or on account of, anything done or omitted in connection with
this Agreement.
General Release
The acceptance by the Contractor or its assignees of the final payment under this
Agreement, whether by check, wire transfer, or other means, and whether pursuant to invoice,
voucher, judgment of any court of competent jurisdiction or any other administrative means,
shall constitute and operate as a release of the City from any and all claims of and liability to the
Contractor, of which the Contractor was aware or should reasonably have been aware, arising out
of the performance of this Agreement based on actions of the City prior to such acceptance of
final payment, excepting any disputes that are the subject of pending dispute resolution
procedures.
No Waiver
Waiver by either the Department or the Contractor of a breach of any provision of this
Agreement shall not be deemed to be a waiver of any other or subsequent breach and shall not be
construed to be a modification of the terms of the Agreement unless and until the same shall be
agreed to in writing by the parties as set forth in Section 9.01.
APPLICABLE LAWS
PPB Rules
This Agreement is subject to the PPB Rules. In the event of a conflict between the PPB
Rules and a provision of this Agreement, the PPB Rules shall take precedence.
All Legal Provisions Deemed Included
Each and every provision required by Law to be inserted in this Agreement is hereby
deemed to be a part of this Agreement, whether actually inserted or not.
Severability / Unlawful Provisions Deemed Stricken
If this Agreement contains any unlawful provision not an essential part of the Agreement
and which shall not appear to have been a controlling or material inducement to the making of
this Agreement, the unlawful provision shall be deemed of no effect and shall, upon notice by
either party, be deemed stricken from the Agreement without affecting the binding force of the
remainder.
Compliance With Laws
The Contractor shall perform all services under this Agreement in accordance with all
applicable Laws as are in effect at the time such services are performed.
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Americans with Disabilities Act (ADA)

A.
This Agreement is subject to the provisions of Subtitle A of Title II of the
Americans with Disabilities Act of 1990, 42 U.S.C. 12131 et seq. (ADA) and regulations
promulgated pursuant thereto, see 28 CFR Part 35. The Contractor shall not discriminate against
an individual with a disability, as defined in the ADA, in providing services, programs, or
activities pursuant to this Agreement. If directed to do so by the Department to ensure the
Contractors compliance with the ADA during the term of this Agreement, the Contractor shall
prepare a plan (Compliance Plan) which lists its program site(s) and describes in detail, how it
intends to make the services, programs and activities set forth in the scope of services herein
readily accessible and usable by individuals with disabilities at such site(s). In the event that the
program site is not readily accessible and usable by individuals with disabilities, contractor shall
also include in the Compliance Plan, a description of reasonable alternative means and methods
that result in making the services, programs or activities provided under this Agreement, readily
accessible to and usable by individuals with disabilities, including but not limited to people with
visual, auditory or mobility disabilities. The Contractor shall submit the Compliance Plan to the
ACCO for review within ten (10) Days after being directed to do so and shall abide by the
Compliance Plan and implement any action detailed in the Compliance Plan to make the
services, programs, or activities accessible and usable by the disabled.
B.
The Contractors failure to either submit a Compliance Plan as required herein or
implement an approved Compliance Plan may be deemed a material breach of this Agreement
and result in the City terminating this Agreement.
Voter Registration
A.
Participating Agencies. Pursuant to Charter 1057-a, if this Agreement is with a
participating City agency and the Contractor has regular contact with the public in the daily
administration of its business, the Contractor must comply with the requirements of this Section.
The participating City agencies are: the Administration for Childrens Services; the City Clerk;
the Civilian Complaint Review Board; the Commission on Human Rights; Community Boards;
the Department of Small Business Services; the Department of Citywide Administrative
Services; the Department of Consumer Affairs; the Department of Correction; the Department of
Environmental Protection; the Department of Finance; the Department of Health and Mental
Health; the Department of Homeless Services; the Department of Housing Preservation and
Development; the Department of Parks and Recreation; the Department of Probation; the Taxi
and Limousine Commission; the Department of Transportation; and the Department of Youth
and Community Development.
B.
Distribution of Voter Registration Forms. In accordance with Charter 1057-a,
the Contractor, if it has regular contact with the public in the daily administration of its business
under this Agreement, hereby agrees as follows:
1.
The Contractor shall provide and distribute voter registration forms to all
persons together with written applications for services, renewal, or recertification for
services and change of address relating to such services. Such voter registration forms
shall be provided to the Contractor by the City. The Contractor should be prepared to
provide forms written in Spanish or Chinese, and shall obtain a sufficient supply of such
forms from the City.
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2.
The Contractor shall also include a voter registration form with any
Contractor communication sent through the United States mail for the purpose of
supplying clients with materials for application, renewal, or recertification for services
and change of address relating to such services. If forms written in Spanish or Chinese
are not provided in such mailing, the Contractor shall provide such forms upon the
Departments request.
3.
The Contractor shall, subject to approval by the Department, incorporate
an opportunity to request a voter registration application into any application for services,
renewal, or recertification for services and change of address relating to such services
provided on computer terminals, the World Wide Web or the Internet. Any person
indicating that they wish to be sent a voter registration form via computer terminals, the
World Wide Web or the Internet shall be sent such a form by the Contractor or be
directed, in a manner subject to approval by the Department, to a link on that system
where such a form may be downloaded.
4.
The Contractor shall, at the earliest practicable or next regularly scheduled
printing of its own forms, subject to approval by the Department, physically incorporate
the voter registration forms with its own application forms in a manner that permits the
voter registration portion to be detached therefrom. Until such time when the Contractor
amends its form, the Contractor should affix or include a postage-paid City Board of
Elections voter registration form to or with its application, renewal, recertification, and
change of address forms.
5.
The Contractor shall prominently display in its public office, subject to
approval by the Department, promotional materials designed and approved by the City or
State Board of Elections.
6.
For the purposes of Paragraph A of this Section, the word Contractor
shall be deemed to include subcontractors having regular contact with the public in the
daily administration of their business.
7.
The provisions of Paragraph A of this Section shall not apply to services
that must be provided to prevent actual or potential danger to life, health, or safety of any
individual or of the public.
C.
Assistance in Completing Voter Registration Forms. In accordance with Charter
1057-a, the Contractor hereby agrees as follows:
1.
In the event the Department provides assistance in completing distributed
voter registration forms, the Contractor shall also provide such assistance, in the manner
and to the extent specified by the Department.
2.
In the event the Department receives and transmits completed registration
forms from applicants who wish to have the forms transmitted to the City Board of
Elections, the Contractor shall similarly provide such service, in the manner and to the
extent specified by the Department.
3.
If, in connection with the provision of services under this Agreement, the
Contractor intends to provide assistance in completing distributed voter registration forms
or to receive and transmit completed registration forms from applicants who wish to have
the forms transmitted to the City Board of Elections, the Contractor shall do so only by
prior arrangement with the Department.
86
4.
The provision of Paragraph B services by the Contractor may be subject to
Department protocols, including protocols regarding confidentiality.
D.
Required Statements. In accordance with Charter 1057-a, the Contractor hereby
agrees as follows:
1.
The Contractor shall advise all persons seeking voter registration forms
and information, in writing together with other written materials provided by the
Contractor or by appropriate publicity, that the Contractors or government services are
not conditioned on being registered to vote.
2.
No statement shall be made and no action shall be taken by the Contractor
or an employee of the Contractor to discourage an applicant from registering to vote or to
encourage or discourage an applicant from enrolling in any particular political party.
3.
The Contractor shall communicate to applicants that the completion of
voter registration forms is voluntary.
4.
The Contractor and the Contractors employees shall not:
a.
designation;
b.
seek to influence an applicants political preference or party

display any political preference or party allegiance;
c.
make any statement to an applicant or take any action the purpose
or effect of which is to discourage the applicant from registering to vote; or
d.
make any statement to an applicant or take any action the purpose
or effect of which is to lead the applicant to believe that a decision to register or
not to register has any bearing on the availability of services or benefits.
E.
The Contractor, as defined above and in this Agreement, agrees that the covenants
and representations in this Section are material conditions of this Agreement.
F.
The provisions of this Section do not apply where the services under this
Agreement are supported by a federal or State grant of funds and the source of funds prohibits
the use of federal or State funds for the purposes of this Section.
Participation in an International Boycott
A.
The Contractor agrees that neither the Contractor nor any substantially-owned
affiliated company is participating or shall participate in an international boycott in violation of
the provisions of the federal Export Administration Act of 1979, as amended, 50 U.S.C.
Appendix. 2401 et seq., or the regulations of the United States Department of Commerce
promulgated thereunder.
B.
Upon the final determination by the Commerce Department or any other agency
of the United States as to, or conviction of, the Contractor or a substantially-owned affiliated
company thereof, of participation in an international boycott in violation of the provisions of the
Export Administration Act of 1979, as amended, or the regulations promulgated thereunder, the
Comptroller may, at his or her option, render forfeit and void this Agreement.
C.
The Contractor shall comply in all respects, with the provisions of Admin. Code
6-114 and the rules issued by the Comptroller thereunder.
87
MacBride Principles
A.
In accordance with and to the extent required by Admin. Code 6-115.1, the
Contractor stipulates that the Contractor and any individual or legal entity in which the
Contractor holds a ten percent (10%) or greater ownership interest and any individual or legal
entity that holds a ten percent (10%) or greater ownership interest in the Contractor either (a)
have no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to
conduct any business operations they have in Northern Ireland in accordance with the MacBride
Principles, and shall permit independent monitoring of their compliance with such principles.
B.
The Contractor agrees that the covenants and representations in Paragraph A
above are material conditions to this Agreement.
C.
This Section does not apply if the Contractor is a not-for-profit corporation.

Access to Public Health Insurance Coverage Information
A.
Participating Agencies. Pursuant to Charter 1069, if this Agreement is with a
participating City agency and the Contractor is one to whom this Section applies as provided in
Paragraph B of this Section, the Contractor hereby agrees to fulfill the obligations in Paragraph C
of this Section. The participating City agencies are: the Administration for Childrens Services;
the City Clerk; the Commission on Human Rights; the Department for the Aging; the
Department of Corrections; the Department of Homeless Services; the Department of Housing
Preservation and Development; the Department of Juvenile Justice; the Department of Health
and Mental Hygiene; the Department of Probation; the Department of Social Services/Human
Resources Administration; the Taxi and Limousine Commission; the Department of Youth and
Community Development; the Office to Combat Domestic Violence; and the Office of
Immigrant Affairs.
B.
Applicability to Certain Contractors. This Section shall be applicable to a
Contractor operating pursuant to an Agreement which (i) is in excess of $250,000 and (ii)
requires such Contractor to supply individuals with a written application for, or written renewal
or recertification of services, or request for change of address form in the daily administration of
its contractual obligation to such participating City agency. Contractors to whom this Section
applies shall be deemed to include subcontractors if the subcontract requires the subcontractor to
supply individuals with a written application for, or written renewal or recertification of services,
or request for change of address form in the daily administration of the subcontractors
contractual obligation.
C.
Distribution of Public Health Insurance Pamphlet. In accordance with Charter
1069, when the participating City agency supplies the Contractor with the public health
insurance program options pamphlet published by the Department of Health and Mental Hygiene
pursuant to Section 17-183 of the Admin. Code (hereinafter pamphlet), the Contractor hereby
agrees as follows:
1.
The Contractor will distribute the pamphlet to all persons requesting a
written application for services, renewal or recertification of services or request for a change of
address relating to the provision of services.
2.
The Contractor will include a pamphlet with any Contractor
communication sent through the United States mail for the purpose of supplying an individual
with a written application for services, renewal or recertification of services or with a request for
a change of address form relating to the provision of services.
88
3.
The Contractor will provide an opportunity for an individual requesting a
written application for services, renewal or recertification for services or change of address form
relating to the provision of services via the Internet to request a pamphlet, and will provide such
pamphlet by United States mail or an Internet address where such pamphlet may be viewed or
downloaded, to any person who indicates via the Internet that they wish to be sent a pamphlet.
4.
The Contractor will ensure that its employees do not make any statement
to an applicant for services or client or take any action the purpose or effect of which is to lead
the applicant or client to believe that a decision to request public health insurance or a pamphlet
has any bearing on their eligibility to receive or the availability of services or benefits.
5.
The Contractor will comply with: (i) any procedures established by the
participating City agency to implement Charter 1069; (ii) any determination of the
commissioner or head of the participating City agency (which is concurred in by the
commissioner of the Department of Health and Mental Hygiene) to exclude a program, in whole
or in part, from the requirements of Charter 1069; and (iii) any determination of the
commissioner or head of the participating City agency (which is concurred in by the
commissioner of the Department of Health and Mental Hygiene) as to which Workforce
Investment Act of 1998 offices providing workforce development services shall be required to
fulfill the obligations under Charter 1069.
D.
Non-applicability to Certain Services. The provisions of this Section shall not
apply to services that must be provided to prevent actual or potential danger to the life, health or
safety of any individual or to the public.
Distribution of Personal Identification Materials
A.
Participating Agencies. Pursuant to City Executive Order No. 150 of 2011 (E.O.
150), if this Agreement is with a participating City agency and the Contractor has regular
contact with the public in the daily administration of its business, the Contractor must comply
with the requirements of this Section. The participating City agencies are: Administration for
Children's Services, Department of Consumer Affairs, Department of Correction, Department of
Health and Mental Hygiene, Department of Homeless Services, Department of Housing
Preservation and Development, Human Resources Administration, Department of Parks and
Recreation, Department of Probation, and Department of Youth and Community Development.
B.
Policy. As expressed in E.O. 150, it is the policy of the City to provide
information to individuals about how they can obtain the various forms of City, State, and
Federal government-issued identification and, where appropriate, to assist them with the process
for applying for such identification.
C.
Distribution of Materials. If the Contractor has regular contact with the public in
the daily administration of its business, the Contractor hereby agrees to provide and distribute
materials and information related to whether and how to obtain various forms of City, State, and
Federal government-issued identification as the Agency directs in accordance with the Agencys
plans developed pursuant to E.O. 150.
89
MISCELLANEOUS PROVISIONS
Conditions Precedent
A.
This Agreement shall be neither binding nor effective unless and until it is
registered pursuant to Charter 328.
B.
The requirements of this Section shall be in addition to, and not in lieu of, any
approval or authorization otherwise required for this Agreement to be effective and for the
expenditure of City funds.
Merger
This written Agreement contains all the terms and conditions agreed upon by the parties,
and no other agreement, oral or otherwise, regarding the subject matter of this Agreement shall
be deemed to exist or to bind either of the parties, or to vary any of the terms contained in this
Agreement, other than a written change, amendment or modification duly executed by both
parties pursuant to Article 9 of this Appendix A.
Headings
Headings are inserted only as a matter of convenience and therefore are not a part of and
do not affect the substance of this Agreement.
Notice
A.
The Contractor and the Department hereby designate the business addresses
specified at the beginning of this Agreement as the places where all notices, directions, or
communications from one such party to the other party shall be delivered, or to which they shall
be mailed. Either party may change its notice address at any time by an instrument in writing
executed and acknowledged by the party making such change and delivered to the other party in
the manner as specified below.
B.
Any notice, direction, or communication from either party to the other shall be in
writing and shall be deemed to have been given when (i) delivered personally; (ii) sent by
certified mail, return receipt requested; (iii) delivered by overnight or same day courier service in a
properly addressed envelope with confirmation; or (iv) sent by fax or email and, unless receipt of the
fax or e-mail is acknowledged by the recipient by fax or e-mail, deposited in a post office box
regularly maintained by the United States Postal Service in a properly addressed, postage prepaid envelope.
C.
Nothing in this Section shall be deemed to serve as a waiver of any requirements for the
service of notice or process in the institution of an action or proceeding as provided by Law
including the New York Civil Practice Law and Rules.
90
CERTIFICATES OF INSURANCE
Instructions to New York City Agencies, Departments, and Offices
All certificates of insurance (except certificates of insurance solely evidencing

Workers Compensation Insurance, Employers Liability Insurance, and/or
Disability Benefits Insurance) must be accompanied by one of the following:
(1) the Certification by Insurance Broker or Agent on the following page
setting forth the required information and signatures;
-- OR -(2) copies of all policies as certified by an authorized representative of the
issuing insurance carrier that are referenced in such certificate of
insurance. If any policy is not available at the time of submission, certified
binders may be submitted until such time as the policy is available, at
which time a certified copy of the policy shall be submitted.
91
CITY OF NEW YORK

CERTIFICATION BY INSURANCE BROKER OR AGENT
The undersigned insurance broker or agent represents to the City of New York that the
attached Certificate of Insurance is accurate in all material respects.
_____________________________________________________
[Name of broker or agent (typewritten)]
_____________________________________________________
[Address of broker or agent (typewritten)]
_____________________________________________________
[Email address of broker or agent (typewritten)]
_____________________________________________________
[Phone number/Fax number of broker or agent
(typewritten)]
_____________________________________________________
[Signature of authorized official, broker, or agent]
_____________________________________________________
[Name and title of authorized official, broker, or agent
(typewritten)]
State of .)
) ss.:
County of .)
Sworn to before me this _____ day of ___________ 20___
_______________________________________________________
NOTARY PUBLIC FOR THE STATE OF ____________________
92
APPENDIX B
SMART CITIES NYC17 - Brochure
93

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NEW YORK CITY

Request for Proposals

FOR FURNISHING ALL EXPERTISE, LABOR, MATERIAL AND

Pin# 056170001150; E-PIN # 05617P0001;

REQUEST FOR PROPOSALS

Printed on paper containing 30% post-consumer material

A. Release Date of this Request for Proposals: December 6, 2016

Tuesday, December 13, 2016

Attendance by proposers is optional, but highly recommended by the Department. If

D. Proposal Due Date and Time and Location:

January 17, 2017

E-mailed or faxed proposals will not be accepted by the Department.

E. Anticipated Contract Start Date:

SECTION II - SUMMARY OF THE REQUEST FOR PROPOSALS

Anticipated Contract Term

Anticipated Maximum Available Funding

Anticipated Payment Structure

SECTION III - SCOPE OF SERVICES

Department Goals and Objectives for this RFP

Department Assumptions Regarding Contractor Approach

Specifications Regarding Scope of Services

Proposals should include a timeline and anticipated milestones (development, pilot,

Scheduled progress should be prioritized by targeting communities with lowest trust

In effecting a communications plan and public relations campaign dedicated to improving

D. Department Assumptions Regarding Payment Structure

Compliance with Local Law 34 of 2007

Subcontractor Compliance Notice

Electronic Funds Transfer (EFT)

HIRENYC and Reporting Requirements

Paid Sick Leave Law Contract Rider

Acceptance of City of New York Terms and Conditions

SECTION IV - FORMAT AND CONTENT OF THE PROPOSAL

Demonstrate the proposers organizational (i.e., technical, managerial and

Provide a background statement that includes:

In addition, attach the following:

An organizational chart showing where, or an explanation of how, the proposed

Description of Services to be Provided

The Departments assumptions regarding Contractor program approach represent what

The Public Relations Campaign Assignment is for comparison purposes only.

Target group profile.

A description of each type of media to be used at what times, with a

Gross rating point objectives with reach/frequency and efficiency analysis

Length of broadcast units and sizes/showings of other media.

On-going scheduling by markets.

When submitting the creative assignment, materials may be provided on CD or DVD

Price per Service Area

2. A completed Price Proposal Campaign Assignment Form (Attachment C

A 5-year detailed line item budget for each Service Area.

b. Performance Outcome Measures & Financial Incentives and/or Disincentives

The Departments assumptions regarding performance outcome measures and

Proposal Package Contents (Checklist)

Proposal Cover Letter Form (Attachment A)

Subcontractor Utilization Plan (Attachment B, Schedule B, Part II) or;

SECTION V - PROPOSAL EVALUATION AND CONTRACT AWARD

Demonstrated quantity and quality of successful relevant experience.

C. Basis for Contract Award

SECTION VI: AVAILABILITY OF PARTS OF SOLICITATION IN WORD/ EXCEL

SECTION VII - GENERAL INFORMATION TO PROPOSERS

F. Multi-Year Contracts. Multi-year contracts are subject to modification or cancellation if

Message from the New York City Vendor Enrollment Center

APT E-PIN # (for this procurement):_05617P0001__________