INVITATION TO BID - Invitation to Bid Landscape...INVITATION TO BID The Housing Authority of the...

INVITATION TO BID

The Housing Authority of the City of Galveston (GHA)

4700 Broadway

Galveston, Texas 77551

IFB 18-B-1111

Qualified firms are invited to submit a bid to GHA on December 4, 2018 by 10:30 AM CST at the GHA offices located at 4700 Broadway, Galveston, TX 77551 to provide Lawn

Maintenance Services for the GHA properties, Scattered Sites and The Oaks. Bids will be for a

one-year contract with additional one-year option. The bids will be opened at 10:30 AM.

All bidders are required to meet the requirements of form HUD 5369-A “Representations,

Certifications, and Other Statements of Bidders”.

Bidding documents including specifications and requirements for a Firm Fixed Price contract

will be available November 11, 2018 at www.ghatx.org, or may be obtained by telephoning

the contact below and requesting the documents be e-mailed.

The bid must be submitted under a condition of irrevocability for a period of 90 days after

submission. GHA reserves the right to reject any or all offers. Additional information may be

obtained from:

Deyna Sims, Procurement Manager

Galveston Housing Authority

4700 Broadway

Galveston, TX 77551

409-765-1900

http://www.ghatx.org/

Section B

PRICING SCHEDULE

(FORM OF BID)

Supplies or Services Pricing Structure

PRICING SCHEDULE

(FORM OF BID)

The Contractor shall provide all labor, equipment, and materials necessary for Lawn Maintenance Services for

the GHA properties:

AMP 1 [Oleander Homes]

AMP 2 [Gulf Breeze, Holland House & The Oaks 1]

AMP 3 [Scattered Site Island Cottages]

AMP 4 [The Oaks 4]

GHA [Island Community Center, 3 Vacant Lots]

As stated in the specification of this project identified by the IFB 18-B-1111

AMP 1 One Year Contract Total $____________________________




GHA One Year Contract Total $____________________________

One Year Contract Total $____________________________

First Year Option Total $____________________________

_______________________________________

Name of Bidder

_______________________________________

Signature of Person Authorized to sign for the Company

_______________________________________

Title

_______________________________________

License Number

SECTION C

Specification / Statement of Work

Section C

Statement of Work

INSURANCE

The Contractor shall be required to maintain in full force and effect during the term of this contract Workman’s

Compensation Insurance and a public liability policy, in a form acceptable to the GHA for the benefit of the

third person(s) who may be injured or damaged as a result of any negligent operations of Contractor in the

performance of his work under contract.

The Contractor further agrees to keep on file with GHA a certificate or certificates, of insurance duly executed

by the Contractor’s insurance carrier or carriers, which shall serve as evidence of the continued existence in full

effect of said insurance policies. Notice of cancellation of policies shall be given to the Housing Authority not

less than thirty (30) days prior to the cancellation date.

GHA shall not, nor shall any officer or employee thereof, be liable or responsible for any accident, loss, or

damage occurring in the performance of the work. The contractor shall indemnify and hold harmless GHA and

its officers and employees in the event of any and all liability arising from Contractor’s negligence or willful

misconduct in the performance of the work hereunder.

Any fines and /or other costs imposed on the GHA due to negligence and/or willful misconduct of the

Contractor will be assumed and payable in full by the Contractor.

COMPLIANCE WITH ALL LAWS

The Contractor agrees to conform to and abide with all of the rules, regulations and ordinances of the city of

Galveston governing landscape maintenance services.

DEVELOPMENT NAMES, LOCATIONS & AMP’s

AMP 1

Oleander Homes & Community Center 5228 Broadway Galveston, TX 77551

AMP 2

Gulf Breeze 1211 - 21st St. Galveston, TX 77550

Holland House 2810 – 61st St. Galveston, TX 77551

The Oaks (1) 4324 N. Live Oaks Circle Galveston, TX 77550

AMP 3

Scattered Sites “Different locations as identified in Section I”

AMP 4

The Oaks (4) 4127 Avenue H Galveston, TX 77550

GHA PROPERTIES

Island Community Center 4700 Broadway (aka Avenue J) Galveston, TX 77551

Vacant Lot 4002 Ursuline (aka Avenue N) Galveston, TX 77550

Vacant Lot 4428 Broadway (aka Avenue J) Galveston, TX 77550

Vacant Lot 809 W. Live Oaks Circle Galveston, TX 77550

SECTION C

Statement of Work

EXTERIOR LANDSCAPE MAINTENANCE

PART 1 - GENERAL

1.01 WORK COVERED:

A. Furnish all labor, materials and equipment as necessary to provide a landscape maintenance program in strict accordance with the Specifications and Drawings.

1.02 RELATED WORK IN OTHER SECTIONS:

A. Examine all sections for work related to this section.

1.03 SCOPE:

A. Work Included:

1. Mowing, edging, weeding and trimming of lawn areas.2. Weeding of mulched areas.3. General site clean up; removal of trash and products of maintenance.4. Submittal to Owner of maintenance instructions.5. Pruning and trimming of trees and shrubs.6. Application of fertilizer, insecticides, and herbicides.

1.04 REQUIREMENTS OF REGULATORY AGENCIES: Perform Work in accordance with all applicable laws, codes, and regulations required by authorities having jurisdiction over such work and provide for all permits required by local authorities.

1.05 CONTRACTOR RESPONSIBILITIES:

A. The Contractor shall begin maintenance immediately upon starting any portion of the Work of this contract.

B. Trees, Shrubs and Groundcovers: The Contractor’s maintenance of new planting shall consist of watering, cultivating, weeding, mulching, re-staking, tightening and repairing of guys, resetting plants to proper grades or upright position, restoration of the planting saucer, and furnishing and applying such sprays and invigorants as are necessary to keep the plantings free of insects and disease and in thriving condition.

PART 2 - EQUIPMENT

2.01 REQUIRED EQUIPMENT: Contractor shall furnish the following maintenance equipment:

1. Riding Lawnmowers

2. Push Lawnmowers

3. Gasoline Powered Edgers

4. Trash Collection Equipment

5. Line Trimmers

6. Miscellaneous Hand Tools, Rakes, Brooms, etc.

7. Blowers

8. Other as needed.

3.01 MAINTENANCE OF TURF AREAS:

A. Mowing lawn/grass areas shall be accomplished with sharp, properly adjusted mowers or the correct size for the various areas. The contractor shall prevent scalping, uneven mowing, rutting by equipment, and damage to trees, shrubs, and sprinkler heads during contractor operations. Mowers shall not circle trees, signs, power poles, fire hydrants, etc. Scalping, uneven mowing, and rutting by equipment is considered unsatisfactory. The contractor shall repair damaged turf and replace shrubs, trees, and sprinkler heads damaged during mowing operations. Precautions shall include removal or repair of equipment causing unnecessary damage or unsatisfactory mowing. The contractor shall be required to pick up trash and debris, prior to mowing the area. If the contractor=s equipment shreds trash or debris, the contractor must remove the trash or debris the same day work in that area is completed. If trash or debris remains, the work in that area will be considered unacceptable. The Galveston Housing Authority is not responsible for damage to contractors equipment due to trash, debris or uneven terrain. Excessive grass is any grass which remains above the level of the grass mowed. Damaged turf includes any scalping, rutting, gouging, etc. Grass clippings that land on paved areas shall be removed immediately. All open drainage systems shall be maintained free of debris and trash. All open culverts under driveways and roads shall be kept free of debris and trash. Any other open culverts stopped up due to limbs, clippings, leaves or other debris shall be cleared by the contractor. Grated culverts shall have the grates free of debris at all times.

B. Improved Grounds. Grass in improved grounds shall be cut to the height of 1 1/2 inches April – November and 2" December - March. Grass shall be trimmed around trees, buildings, hedges, shrubs, poles, head walls, other appurtenances and surface water areas so that height of grass is maintained at the height of adjacent grass. Grass clippings remaining visible shall be mulched by mowing to provide a uniform appearance.

C. In the event of a prolonged rainy period and a surge of leaf growth is anticipated, the mower height may be readjusted to prevent scalping or skinning.

D. Lawn shall be edged evenly at all walks, headers and other structures as per Landscape Maintenance Program.

E. Until the establishment of the turf, the Contractor will be responsible for replacing soils that have eroded onto the paved areas. Residual soils on paving will be removed and if not mingled with objectionable materials may be re-used in eroded areas.

F. Immediately upon observing any lawn grass spreading into shrub or ground cover areas, the Contractor shall initiate a program of removal and maintain this program throughout the maintenance period.

G. Any lawn grass appearing in paved areas shall receive an application of soil sterilant according to manufactures direction. The sterilant shall be approved and will not be detrimental structurally to paved areas.

H. Removal of debris from the site unrelated to horticultural maintenance (paper, bottles, cans, pirate signs, etc…) shall be the responsibility of the Contractor. Frequency as per Landscape Maintenance Program. Removal of silt or debris deposited by flooding or other Acts of god shall not be part of this contract.

I. Leaf Removal. Fallen leaves and deciduous debris shall be removed from improved grounds. Bagged leaves shall not be put into dumpsters. Mowing and leaf removal shall never be accomplished concurrently. Mulching of leaves and deciduous debris back into the turf shall not be acceptable in place of removal. The contractor shall prevent scalping, and rutting by equipment, and damage to trees, shrubs, and sprinkler heads during contractor operations. Leaf removal equipment shall not circle trees, signs, power poles, fire hydrants, etc. Scalping and rutting by equipment is considered unsatisfactory. The contractor shall repair damaged turf, replace shrubs, trees, and sprinkler heads damaged during leaf removal operations. Precautions shall include removal or repair of equipment causing unnecessary damage or unsatisfactory mowing.

J. Fertilize Improved Grounds. Shall be applied per soil analysis. Soil analysis shall be done prior to the first application and annually thereafter. The fertilizer shall be applied to all High Visibility Areas. The fertilizer shall be approved by the government, and shall be suitable for the southern turf it is being applied to and the time of year of application.

PART 4 - SCHEDULES

4.01 MOWING, EDGING, TRIMMING, LITTER CLEAN UP, AND IRRIGATION MONITORING:

MONTH NUMBER OF VISITS PER MONTH

January 2 February 2 March 4 April 4 May 4 June 4 July 4 August 4 September 4 October 3 November 2 December 2

4.02 MULCHING, WEEDING, WEED CONTROL, GUYING AND STAKING ADJUSTMENT: As required at each visit.

Part 5 - ACTS OF GOD

5.01 Clean - up of silt or debris and repair or replacement of plant material or irrigation system damaged by flooding or other Acts of God shall not be the Contractors responsibility. Freeze damage shall be defined as an Act of God.

SECTION D

Delivery or Performance

SECTION E

Inspection & Acceptance

SECTION E

Inspection & Acceptance

See Section K, Form HUD – 5370 – C (5/92), paragraph 9. Inspection and Acceptance

Final authority of inspection will be conducted by John Williams, Director of Modernization

& Maintenance or other person appointed by him to perform the inspections.

SECTION F

Contract Administration Data

SECTION F

Contract Administration Data

1. Term of Contract - This contract shall become effective on the date stated on the award

document and shall continue in effect for the period stated on the pricing schedule, or

until sooner terminated, or extended by a contract modification.

2. Tax Exempt Status – The GHA is a State and Local Sales Tax-Exempt entity pursuant

to Title 34. Public Finance, Part I. Comptroller of Public Accounts, Chapter 2. Tax

Administration, Subchapter O. State Sales and Use Tax, paragraph 3.322, subparagraph

© (1) (C) (I) and (ii), and © (5).

3. Payment – Invoices shall, on a monthly basis, be submitted to the GHA Finance

Department. The Central Maintenance Department will be responsible for reviewing and

approving the invoice prior to payment:

Accounts Payable

Housing Authority of the City of Galveston,

4700 Broadway


The Contractor will be paid 30 days from date of receipt of an acceptable invoice

by the Accounting and Finance Division.

4. Communication – All correspondence, reports, etc., required to be delivered to the

GHA shall, unless otherwise specified in writing, be delivered to:

Deyna Sims, Procurement Manager

John Williams, Maintenance DirectorHousing Authority of the City of Galveston

4700 Broadway


Phone: (409) 765-1900

For Questions regarding property details, requirements, or specs call (409) 765-1921

SECTION G

Optional Clauses

SECTION H

Contract Clauses

SECTION H

General Contract Conditions (Non-Construction) Form HUD-5370-C

General Conditions for Non-ConstructionContractsSection I — (With or without Maintenance Work)

U.S. Department of Housing and UrbanDevelopmentOffice of Public and Indian HousingOffice of Labor Relations0MB Approval No. 2577-0157 (exp. 01/31/2014)

Public Reporting Burden rorthis collection or information is estimated to average 008 hours per response, including the time for reviewing instructions.searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Sendcomments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to theReports Management Officer, Office of Information Policies and Systems, U.S. Department of Housing and urban Development, Washington, D.C.20410-3600; and to the Office of Management and Budget, Paperwork Reduction Project (2577-0157), Washington, D.C. 20503. Do not send thiscomoleted form to either of these addressees.

Applicability. This form HUD-5370-C has 2 Sections. TheseSections must be inserted into non-construction contracts asdescribed below:

1) Non-constmc€on contracts without maintenance)greater than $100,000- use Section I:

2) Maintenance contracts (including nonroutinemaintenance as del9ned at 24 CFR 968.105) greaterthan$2,000 but not morn than $100,000 - use Section II:and

3) Maintenance contracts (including nonroutinemaintenance), greater than $100,000— use Sections Iand II.

than $100,000

1. Definitions

The following definitions are applicable to this contract:(a) ‘Authority or Housing Authority (HA)’ means the

Housing Authority.(b) ‘Contract’ means the contract entered into between the

Authority and the Contractor. It includes the contract form.the Certifications and Representations, these contractclauses, and the scope of work. It includes all formatchanges to any of those doctrients by addendum, ChangeOrder, or other modification.

(c) ‘Contractor’ means the person or other entity entering intothe contract with the Authority to perform all of the workrequired under the contract.

(d) ‘Day’ means calendar days, unless otherwise stated.(e) ‘HUD’ means the Secretary of Housing and Urban

development, his delegates, successors, and assigns, andthe officers and employees of the United StatesDepartment of Housing and Urban Development acting forand on behalf of the Secretary.

2. Changes

(a) The HA may at anytime. by written order, and withoutnotice to the sureties, if any, make changes within thegeneral scope of this contract in the services to beperformed or supplies to be delivered.

(b) If any such change causes an increase or decrease in thehourly rate, the not-to-exceed amount of the contract, orthe time required for performance of any part of the workunder this contract, whether or not changed by the order,or otherwise affects the conditions of this contract, the HAshall make an equitable adjustment in the not-to-exceedamount, the hourly rate, the delivery schedule, or otheraffected terms, and shall modify the contract accordingly.

(c) The Contractor must assert its right to an equitableadjustment under this clause within 30 days from the dateof receipt of the written order. However, if the HA decidesthat the facts justify it. the HA may receive and act upon a

(d) Failure to agree to any adjustment shall be a dispute underclause Disputes, herein. However, nothing in this clauseshall excuse the Contractor from proceeding with thecontract as changed.

Ce) No services for which an additional cost or lee wilt becharged by the Contractor shalt be furnished without theprior written consent of the HA.

3. Termination for Convenience and Default

(a) The HA may terminate this contract in whole, or from timeto time in part. for the HA’s convenience or the failure ofthe Contractor to fulfill the contract obligations (default).The HA shall terminate by delivering to the Contractor awritten Notice of Termination specifying the nature, extent,and effective date of the termination, Upon receipt of thenotice, the Contractor shall: (i) immediately discontinue allservices affected (unless the notice directs otherwise); and(h) deliver to the HA all information. reports, papers, andother materials accumulated or generated in performingthis contract, whether completed or in process.

(b) If the termination is for the convenience of the HA, the HAshall be liable only for payment for services renderedbefore the effective date of the termination.

(c) If the termination is due to the failure of the Contractor tofulfill its obligations under the contract (default), the HAmay (i) require the Contractor to deliver to it, in the mannerand to the extent directed by the HA, any work asdescribed in subparagraph (a)(ii) above, and compensationbe determined in accordance with the Changes clause,paragraph 2, above; (U) take over the work and prosecutethe same to completion by contract or otherwise, and theContractor shall be liable for any additional cost incurred bythe HA; (hi) withhold any payments to the Contractor, forthe purpose of off-set or partial payment. as the case maybe, of amounts owed to the HA by the Contractor.

(d) If, after termination for failure to fulfill contract obligations(default), it is determined that the Contractor had not failed.the termination shall be deemed to have been effected forthe convenience of the HA. and the Contractor shall beentitled to payment as described in paragraph (b) above.

(e) Any disputes with regard to this clause are expressly madesubject to the terms of clause titled Disputes herein.

4. Examination and Retention of Contractor’s Records

(a) The HA, HUD, or Comptroller General of the United States,or any of their duly authorized representatives shall, until 3years after final payment under this contract, have accessto and the right to examine any of the Contracto?s direclypertinent books, documents, papers, or other recordsinvolving transactions related to this contract for thepurpose of making audit, examination. excerpts, andtranscriptions.

proposal submitted before final payment of the contract.

(b) The Contractor agrees to include in first-tier subcontractsunder this contract a clause substantially the same asparagraph (a) above. Subcontract as used in this clause,excludes purchase orders not exceeding $10000.

(c) The periods of access and examination in para9raphs (a)and (b) above for records relating to:(i) appeals under the clause titled Disputes:(H) litigation or setfiement of claims arising from

the performance of this contract; or,(iii) costs and expenses of this contract to which the

HA. HUD. or Comptroller General or any of their dulyauthorized representatives has taken exception shallcontinue until disposition of such appeals, litigation, claims.or exceptions.

5. Rights in Data (Ownership and Proprietary Interest)

The HA shall have exclusive ownership of. all proprietaryinterest in, and the right to full and exdusive possession of allinformation, materials and documents discovered or producedby Contractor pursuant to the terms of this Contract, includingbut not limited to reports, memoranda or letters conceming theresearch and reporting tasks of this Contract.

6. Energy Efficiency

The contractor shall comply with all mandatory standards andpolicies relating to energy efficiency which are contained in theenergy conservation plan issued in compliance with the EnergyPolicy and Conservation Act (Pub.L. 94-163) for the State inwhich the work under this contract is performed.

7. Disputes

(a) All disputes arising under or relating to this contract, exceptfrdiutes a’i&m unde’ dauws ntained in Sedion Ill,Labor Standards Provisions, including any claims fordamages for the alleged breach there of which are notdisposed of by agreement, shall be resolved under thisclause.

(b) All claims by the Contractor shall be made in writing andsubmitted to the HA. A claim by the HA against theContractor shall be subject to a written decision by the HA.

(c) The HA shall, with reasonable promptness, but in no eventin no more than 60 days, render a decision concerning anyclaim hereunder. Unless the Contractor, within 30 daysafter receipt of the HA’s decision, shall notify the HA inwriting that it takes exception to such decision, the decisionshall be final and conclusive.

(d) Provided the Contractor has (i) given the notice within thetime staled in paragraph (c) above, and (H) excepted itsclaim relating to such decision from the final release, and(ii) brought suit against the HA not later than one year afterreceipt of final payment, or if final payment has not beenmade, not later than one year after the Contractor has hada reasonable time to respond to a written request by theHA that it submit a final voucher and reiease. wt’Uchever isearlier, then the HA’s decision shall not be final orconclusive. but the dispute shall be determined on themerits by a court of competent jurisdiction.

(e) The Contractor shall proceed ditigentiy \Mth performance ofthis contract, pending final resolution of any request forrelief, claim, appeal, or action arising under the contract,and comply with any decision of the HA.

8. Contract Termination; Debarment

A breach of these Contract clauses may be grounds fortermination of the Contract and for debarment or denial ofparticipation in HUD programs as a Contractor and asubcontractor as provided in 24 CFR Part 24.

9. Assignment of Contract

The Contractor shall not assign or transfer any interest in thiscontract; except that claims for monies due or to become duefrom the HA under the contract may be assigned to a bank,trust company. or other financial insttution, If the Contractor is apartnership, this contract shall inure to the benefit of thesurviving or remaining member(s) of such partnership approvedby the HA.

10. Certificate and Retease

Prior to final payment under this contract, or prior to settlementupon termination of tNs contract and as a condition precedentthereto, the Contractor shall execute and deliver to the HA acertificate and release, in a form acceptable to the HA, of allclaims against the HA by the Contractor under and by virtue ofthis contract, other than such claims, if any, as may bespecifically excepted by the Contractor in stated amounts setforth therein.

11. Organizational Conflicts of Interest

(a) The Contractor warrants that to the best of its knowledgeand belief and except as otherwise disclosed, it does nothave any organizational conflict of interest which is definedas a situation in which the nature of work under thiscontract and a contractor’s organizational, financial,contractual or other interests are such that:(i) Award of the contract may result in an unfair

competitive advantage; or(ii) The Contractor’s objectivity in performing the contract

work may be impaired.(b) The Contractor agrees that if after award it discovers an

organizational conflict of interest with respect to thiscontract or any tastdelivery order under the contract, he orshe shall make an immediate and full disclosure in writingto the Contracting Officer which shall include a descriptionof the action which the Contractor has taken or intends totake to eliminate or neutralize the conflict. The HA may,however, terminate the contract or task/delivery order forthe convenience of the HA if it would be in the best interestof the HA.

(c) In the event the Contractor was aware of an organizationalconflict of interest before the award of this contract andintentionally did not disclose the conflict to the ContractingOfficer, the HA may terminate the contract for default.

(d) The terms of this clause shall be included in allsubcontracts and consulting agreements wherein the workto be performed is similar to the service provided by theprime Contractor, The Contractor shall include in suchsubcontracts and consulting agreements any necessaryprovisions to eliminate or neutralize conflicts of interest.

12. Inspection and Acceptance

(a) The HA has the right to review, require correction, iinecessary, and accept the work products produced by theContractor. Such review(s) shall be carried out within 30days so as to not impede the work of the Contractor. Any

Section I - Page 2 of 6

product of work shall be deemed accepted as submitted ifthe HA does not issue written comments and/or requiredcorrections within 30 days from the date of receipt of suchproduct from the Contractor.

(b) The Contractor shall make any required correctionspromptly at no additional charge and return a revised copyof the product to the HA within 7 days of notification or alater date if extended by the HA.

(c) Failure by the Contractor to proceed with reasonablepromptness to make necessary corrections shall be adefault. If the Contractors submission of corrected workremains unacceptable, the HA may terminate this contract(or the task order involved) or reduce the contract price orcost to reflect the reduced value of services received.

13. Interest of Members of Congress

No member of or delegate to the Congress of the United Statesof America or Resident Commissioner shall be admitted to anyshare or part of this contract or to any benefit to arise therefrom, but this provision shall not be construed to extend to thiscontract if made with a corporation for its general benefit.

14. Interest of Members, Officers, or Employees and FormerMembers, Officers, or Employees

No member, officer, or employee of the HA, no member of thegoverning body of the locality in which the project is situated, nomember of the governing body in which the HA was activated,and no other pubic official of such locality or localities whoexercises any functions or responsibilities with respect to theproject, shall, during his or her tenure, or for one yearthereafter! have any interest, director indirect, in this contractorthe proceeds thereof.

15. Limitation on Payments to Influence Certain FederalTransactions

(a) Definitions. As used in this clause:“Agerty, as defined inS U.S.C. 552(0, indudes Federal

executive departments and agencies as well as independentregulatory commissions and Government corporations, asdefined in 31 U.S.C. 9101(1).

Covwed Federal Action” means any of the followingFederal actions:

(i) The awarding of any Federal contract:(ii) The making of any Federal grant;(iii) The making of any Federal loan:(iv) The entering into of any cooperative agreement: and,(v) The extension, contnuaton, renewal, amendment, or

modification of any Federal contract, grant, loan, orcooperative agreement.

Covered Federal action does not include receiving from anagency a commitment providing for the United States to insureor guarantee a loan.

“Indian tribe” and “tribal organization” have the meaningprovided in section 4 of the Indian Sell-Determination andEducation Assistance Act (25 U.S.C. 4508). Alaskan Nativesare included under the definitions of Indian tribes in that Act.

‘Influencing or attempting to influence’ means making, withthe intent to influence, any communication to or appearancebefore an officer or employee of any agency, a Member ofCongress. an officer or employee of Congress, or an employeeof a Member of Congress in connection with any coveredFederal action.

“Local government’ means a unit of government in a Stateand, if chartered, established, or otherwise recognized by aSlate for the performance of a governmental duty. including alocal public authority, a special district, an intrastate district, acouncil of governments, a sponsor group representativeorganization, and any other instrumentality of a localgovernment.

“Officer or employee of an agency” includes the followingindividuals who are employed by an agency:

(i) An individual who is appointed to a position in theGovernment under titles, U.S.C., including a positionunder a temporary appointment:

(H) A member of the uniformed services as defined insection 202, title 18, U.S.C.:

(Hi) A special Government employee as defined in section202. title 18, U.S.C.: and,

(iv) An indMdual who is a member of a Federal advisorycommittee, as defined by the Federal AdvisoryCommittee Act, title S. appendix 2.

‘Person” means an individual, corporation, company.association, authority, firm, parthership. society, State, and localgovernment, regardless of whether such entity is operated forprofit or not for profit. This term excludes an Indian tribe, tribalorganization. or other Indian organization with respect toexpenditures specifically permitted by other Federal law.

“Recipient” includes alt contractors, subcontractors at anytier, and subgrantees at any tier of the recipient of fundsreceived in connection with a Federal contract, grant, loan, orcooperative agreement. The term excludes an Indian thbe, tribalorganization, or any other Indian organization with respect toexpenditures specifically permitted by other Federal law.

“Regularly employed means, with respect to an officer oremployee of a person requesting or receiving a Federalcontract, grant, loan, or cooperative agreement, an officer oremployee who is employed by such person for at least 130working days within one year immediately preceding the date ofthe submission that initiates agency consideration of suchperson for receipt of such contract grant, loan, or cooperativeagreement. An officer or employee who is employed by suchperson for less than 130 working days within one yearimmediately preceding the date of 5ubmission that initiatesagency consideration of such person shall be considered to beregularly employed as soon as he or she is employed by suchperson for 130 working days.

“State’ means a State of the United States, the District ofColumbia. the Commonwealth of Puerto Rico, a territory orpossession of the United States, an agency or instrumentality ofa Slate, and a multi-State, regional, or interstate entity havinggovernmental duties and powers.(b) Prohibition.

(i) Section 1352 of title 31, U.S.C. provides in part that noappropriated funds may be expended by the recipientof a Federal contract, grant, loan, or cooperativeagreement to pay any person for influencing orattempting to influence an officer or employee of anyagency, a Member of Congress, an officer oremployee of Congress, or an employee of a Memberof Congress in connection with any of the followingcovered Federal actions: the awarding of any Federalcontract, the making of any Federal grant, the makingof any Federal loan, the entering into of anycooperative agreement, and the extension.continuation, renewal. amendment, or modification ofany Federal contract. grant. loan, or cooperativeagreement.

(H) The prohibition does not apply as follows:

Sectionl-Page3of6

(1) Agency and legislative liaison by OwnEmployees.

(a) The prohibition on the use of appropriatedfunds, in paragraph (i) of this section, does notapply in the case of a payment of reasonablecompensation made to an officer or employee ofa person requesting or receiving a Federalcontract, grant, loan, or cooperative agreement, ifthe payment is for agency and legislativeactivities not directly related to a covered Federalaction.

(b) For purposes of paragraph (b)(i)(1 )(a) ofthis clause, providing any information specificallyrequested by an agency or Congress is permittedat any Lime.

(c) The following agency and legislative liaisonactivities are permitted at any time only wherethey are not related to a specific solicitation forany covered Federal action:

(1) Discussing with an agency(including individual demonstrations) the qualitiesand characteristics of the person’s products orservices, conditions or terms of sate, and servicecapabilities; and,

(2) Technical discussions and otheractivities regarding the application or adaptationof the person’s products or services for anagency’s use.

(d) The following agency and legislative liaiso,activities are permitted where they are prior toformal solicitation of any covered Federal action:

(1)Providing any information notspecifically requested but necessary for anagency to make an informed decision aboutinitiation of a covered Federal action;

(2)Technical discussions regarding thepreparation of an unsolicited proposal prior to itsofficial submission; and

(3)Capability presentations by personsseeking awards from an agency pursuant to theprovisions of the Small Business Act, asamended by Public Law 95-507 and othersubsequent amendments.

(e) Only those activities expressly authorizedby subdivision (b)(ifl(fl(a) of this clause arepermitted under this clause.

(2) Professional and technical services.(a) The prohibition on the use of appropriated

funds, in subparagraph (b)(i) of this clause,does not apply in the case of

(i) A pawent of reasonable compensationmade to an officer or employee of aperson requesting or receiving acovered Federal action or an extension,continuation, renewal, amendment, ormodification of a covered Federalaction, if payment is for professional ortechnical services rendered directly inthe preparation, submission, ornegotiation of any bid, proposal, orapplication for that Federat action or formeeting requirements imposed by orpursuant to law as a condition forreceiving that Federal action.

(i) My reasonable payment to a person,other than an officer or employee of a

person requesting or receiving acovered Federal action or an extension,continuation, renewal, amendment, ormodification of a covered Federal actionif the payment is for professional ortechnical services rendered directly inthe preparation, submission, ornegotiation of any bid, proposal, orapplication for that Federal action or formeeting requirements imposed by orpursuant to law as a condition forreceiving that Federal action. Personsother than officers or employees of aperson requesting or receiving acovered Federal action includeconsultants and trade associations.

(b) For purposes of subdivision (b)(ii)(2)(a) ofdause, “professional and technical services”shall be limited to advice and analysisdirectly applying any professional ortechnical discipline.

(c) Requirements imposed by or pursuant to lawas a condition for receiving a coveredFederal award include those required by lawor regulation, or reasonably expected to berequired by law or regulation, and any otherrequirements in the actual award

documents.(d) Only those services expressly authorized by

subdivisions (b)(ii)(2)(a)(i) and (ii) of thissection are permitted under this clause.

(iii) Selling activities by independent salesrepresentatives.

(c) The prohibition on the use of appropriated funds, insubparagraph (bRi) of this clause, does not apply to thefollowing selling activities before an agency by independentsales representatives, provided such activities are prior toformal solicitation by an agency and are specifically limitedto the merits of the matter:

(i) Discussing with an agency (including individualdemonstation) the qualities and charactehsties of theperson’s products or services, conditions or terms ofsale, and service capabilities; and

(H) Technical discussions and other activities regardingthe application or adaptation of the persorcs productsor services for an agency’s use.

(d) Agreement. In accepting any contract, ant. cooperativeagreement, or loan resulting from this solicitation, theperson submitting the offer agrees not to make anypayment prohibited by this clause.

(e) Penalties, Any person who makes an expenditureprohibited under paragraph (b) of this clause shall besubject to civil penalties as provided for by 31 U.S.C. 1352.An imposition of a civil penalty does not prevent theGovernment from seeking any other remedy that may beapplicable.

(f) Cost Allowability. Nothing in this clause is to be interpretedto make allowable or reasonable any costs which would beunallowable or unreasonable in accordance with Pad 31 ofthe Federal Acquisition Regulation (FAR), or 0M9Circulars dealing with cost allowability for recipients ofassistance agreements. Conversely, costs madespecifically unallowable by the requirements in this clausewill not be made allowable under any of the provisions ofFAR Part 31 or the relevant 0MB Circulars.

Section I-Page4of6

16. Equal Employment Opportunity

During the performance of this contract, the Contractor agreesas follows:

(a) The Contractor shall not discriminate against any employeeor applicant for employment because of race, color.religion, sex, or national origin.

(b) The Contractor shall take affirmative action to ensure thatapplicants are employed, and that employees are treatedduring employment without regard to their race, color.religion, sex, or national origin. Such action shall include.but not be limited to (1) employment: (2) upgrading: (3)demotion: (4) transfer; (5) recruitment or recruitmentadvertising: (6) layoff or termination: (7) rates of pay orother forms of compensation; and (8) seleon for training,including apprenticeship.

Cc) The Contractor shall post in conspicuous places availableto employees and applicants (or employment the notices tobe provided by the Contracting Officer that explain thisclause.

(d) The Contractor shall, in all solicitations or advertisementsfor employees placed by or on behalf of the Contractor.state that all qualified applicants will receive considerationfor employment without regard to race, color, religion, sex.or national origin.

(e) The Contractor shall send, to each labor union orrepresentative of workers with which it has a collectivebargaining agreement or other contractor understanding,the notice to be provided by the Contracting Officeradvising the labor union or workers’ representative of theContractor’s commitments under this clause, and postcopies of the notice in conspicuous places available toemployees and applicants for employment.

if) The Contractor shall comply with Executive Order 11246,as amended, and the rules, regulations, and orders of theSecretary of Labor.

(g) The Contractor shall furnish all information and reportsrequired by Executive Order 11246, as amended and byrules, regulations, and orders of the Secretary of Labor, orpursuant thereto. The Contractor shall permit access to itsbooks. records, and accounts by the Secretary of Labor forpurposes of investigation to ascertain compliance with suchrules. regulations, and orders.

(h) In the event of a determination that the Contractor is not incompliance with this clause or any rule. reguiation. or orderof the Secretary of Labor, this contract may be canceled,terminated, or suspended in whole or in part. and theContractor may be declared ineligible for furtherGovernment contracts, or federally assisted constructioncontracts under the procedures authorized in ExecutiveOrder 11246. as amended. In addition. sanctions may beimposed and remedies invoked against the Contractor asprovided in Executive Order 11246, as amended, the rules,regulations, and orders of the Secretary of Labor, or asotherwise provided by law.

(i) The Contractor shall include the terms and conditions ofthis clause in every subcontract or purchase order unlessexempted by the rules, regulations, or orders of theSecretary of Labor issued i.uider Exeajtive Order 11246, asamended, so that these terms and conditions will bebinding upon each subcontractor or vendor. TheContractor shall take such action with respect to anysubcontraclor or purchase order as the Secretary ofHousing and Urban Development or the Secretary of Labormay direct as a means of enforcing such provisions,including sanctions for noncompliance; provided that if the

Contractor becomes involved in, or is threatened with,litigation with a subcontractor or vendor as a result of suchdirection, the Contractor may request the United States toenter into the litgaUon to protect the interests of the UnitedStates.

17. Dissemination or Disclosure of Information

No information or material shall be disseminated or disdosed tothe general public. the news media, or any person ororganization without prior express written approval by the HA.

18. Contractor’s Status

It is understood that the Contractor is an independent contractorand is not to be considered an employee of the HA, or assumeany right, privilege or duties of an employee. and shall saveharmless the HA and its employees from claims suits, actionsand costs of every description resulting from the Contractor’sactivities on behalf of the HA in connection with this Agreement.

19. Other Contractors

HA may undertake or award other contracts for additional workat or near the site(s) of the work under this contract. Thecontractor shall fully cooperate with the other contractors andwith HA and HUD employees and shall carefully adaptscheduling and performing the work under this contract toaccommodate the additional work, heeding any direction thatmay be provided by the Contracting Officer. The contractor shallnot commit or permit any act that will interfere with theperformance of work by any other contractor or HA employee.

20. Liens

The Contractor is prohibited from placing a lien on HA’sproperty. This prohibition shall apply to all subcontractors.

21. Training and Employment Opportunities for Residents inthe Project Area (Section 3. HUD Act of 1968: 24 CFR 135)

(a) The work to be performed under this contract is subject to therequirements of section 3 of the Housing and UrbanDevelopment Act of 1968, as amended, 12 U.S.C. 1701u(section 3). The purpose of section 3 is to ensure thatemployment and other economic opportunities generated byHUD assistance or HUD-assisted projects covered by section 3,shall, to the greatest extent feasible, be directed to low- and verylow-income persons, particularly persons who are recipients ofHUD assistance for housing.

(b) The parties to this contract agree to comply with HUD’sregulations in 24 CFR Part 135, which implement section 3. Asevidenced by their execution of this contract, the parties to thiscontract certify that they are under no contractual or otherimpediment that would prevent them from complying with thePart 135 regulations.

(c) The contractor agrees to send to each labor organization orrepresentative of workers with which the contractor has acollective bargaining agreement or other understanding. if any, anotice advising the labor organization or workers’ representativeof the contractor’s commitments under this section 3 clause. andwill post copies of the notice in conspicuous places at the worksite where both employees and applicants for training andemployment positions can see the notice. The notice shalldescribe the section 3 preference, shall set forth minimumnumber and job titles subject to hire, availability of

Sectionl-Pagesofe

apprenticeship and training positions, the qualiflcations for each;and the name and location of the person(s) taking applicationsfor each of the positions; and the anticipated date the work shallbegin.

(d)The conwactor agrees to include this section 3 clause in everysubcontract subject to compliance with regulations in 24 CFRPart 135. and agrees to take appropriate action, as provided inan applicable provision of the subcontract or in this section 3clause, upon a finding thai the subcontractor is in violation of theregulations in 24 CFR Part 135. The contractor will notsubcontract with any subcontractor where the contractor hasnotice or knowledge that the subcontractor has been found inviolation of the regulations in 24 CFR Part 135.

(e)The contractor will certify that any vacant employment positions,including training positions, that are filled (1) after the contractoris selected but before the contract is executed, and (2) withpersons other than those to whom the regulations of 24 CFRPart 135 require employment opportunities to be directed, werenot filled to circumvent the contractor’s obligations under 24 CFRPart 135.

(fl Noncompliance with HUD’s regulations in 24 CFR Part 135 mayresult in sanctions, termination of this contract for default, anddebarment or suspension from luture HUD assisted contracts.

22. Procurement of Recovered Materials

(a) In accordance with Section 6002 of the Solid Waste Disposal Act.as amended by the Resource Conservation and Recovery Act,the Contractor shall procure items designated in guidelines of theEnvironmental Protection Agency (EPA) at 40 CFR Part 247 thatcontain the highest percentage of recovered materialspracticable, consistent with maintaining a satisfactory level ofcompetition. The Contractor shall procure items designated inthe EPA guidelines that contain the highest percentage ofrecovered materials practicable unless the Contractordetermines that such items: (1) are not reasonably available in areasonable period of time; (2) fail to meet reasonable

performance standards, which shall be determined on the basisof the guidelines of the National Institute of Standards andTechnology, if applicable to the item; or (3) are only available atan unreasonable price.

(b) Paragraph (a) of this clause shall apply to items purchased underthis contract where: (1) the Contractor purchases in excess of$10,000 of the item under this contract; or (2) during thepreceding Federal fiscal year, the Contractor (i) purchased anyamount of the items for use under a contract that was fundedwith Federal appropriations and was with a Federal agency or aState agency or agency of a political subdivision of a State; and(ii) purchased a total of in excess of $10,000 of the item bothunder and outside that contract.

Sectionl-Pageeof6

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Survey of the North 55’ oF Lot Ught (8), the North 55’ of the East 27—2 of Lot Nine (9) and the Su

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SCATTERED SITES

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2801 Ave. R 1234.00-1 Quadplex

1818 Biovu 1251.00-2 Duplex

2205 – 65th St. 1251.00-4 Duplex

2301 Hollywood 1251.00-4 Duplex

3326 Ave. P ½ 1242.00-1 Duplex

2925 Ave. Q ½ 1234.00-1 Duplex

2927 Ave. Q ½ 1234.00-1 Duplex

5621 Ave. R ½ 1246.00-3 Duplex

5623 Ave. R ½ 1246.00-3 Duplex

1013-43rd St. 1248.00-1 Duplex

3901 Ave. N ½ 1241.00-3 Quadplex

Previous edition is obsolete form HUD-5369 (10/2002)

Instructions to Bidders for ContractsPublic and Indian Housing Programs

U.S. Department of Housing andUrban DevelopmentOffice of Public and Indian Housing


Instructions to Bidders for ContractsPublic and Indian Housing Programs

Table of ContentsClause Page

1. Bid Preparation and Submission 1

2. Explanations and Interpretations to Prospective Bidders 1

3. Amendments to Invitations for Bids 1

4. Responsibility of Prospective Contractor 1

5. Late Submissions, Modifications, and Withdrawal of Bids 1

6. Bid Opening 2

7. Service of Protest 2

8. Contract Award 2

9. Bid Guarantee 3

10. Assurance of Completion 3

11. Preconstruction Conference 3

12. Indian Preference Requirements 3

1. Bid Preparation and Submission(a) Bidders are expected to examine the specifications, drawings,all instructions, and, if applicable, the construction site (see also thecontract clause entitled Site Investigation and Conditions Affect-ing the Work of the General Conditions of the Contract for Construc-tion). Failure to do so will be at the bidders’ risk.

(b) All bids must be submitted on the forms provided by the PublicHousing Agency/Indian Housing Authority (PHA/IHA). Bidders shallfurnish all the information required by the solicitation. Bids must besigned and the bidder’s name typed or printed on the bid sheet andeach continuation sheet which requires the entry of information bythe bidder. Erasures or other changes must be initialed by the personsigning the bid. Bids signed by an agent shall be accompanied byevidence of that agent’s authority. (Bidders should retain a copy oftheir bid for their records.)

(c) Bidders must submit as part of their bid a completed form HUD-5369-A, “Representations, Certifications, and Other Statements ofBidders.”

(d) All bid documents shall be sealed in an envelope which shall beclearly marked with the words “Bid Documents,” the Invitation forBids (IFB) number, any project or other identifying number, thebidder’s name, and the date and time for receipt of bids.

(e) If this solicitation requires bidding on all items, failure to do so willdisqualify the bid. If bidding on all items is not required, biddersshould insert the words “No Bid” in the space provided for any itemon which no price is submitted.

(f) Unless expressly authorized elsewhere in this solicitation, alter-nate bids will not be considered.

(g) Unless expressly authorized elsewhere in this solicitation, bidssubmitted by telegraph or facsimile (fax) machines will not beconsidered.

(h) If the proposed contract is for a Mutual Help project (as de-scribed in 24 CFR Part 905, Subpart E) that involves Mutual Helpcontributions of work, material, or equipment, supplemental informa-tion regarding the bid advertisement is provided as an attachment tothis solicitation.

2. Explanations and Interpretations to ProspectiveBidders

(a) Any prospective bidder desiring an explanation or interpretationof the solicitation, specifications, drawings, etc., must request it atleast 7 days before the scheduled time for bid opening. Requestsmay be oral or written. Oral requests must be confirmed in writing.The only oral clarifications that will be provided will be those clearlyrelated to solicitation procedures, i.e., not substantive technicalinformation. No other oral explanation or interpretation will beprovided. Any information given a prospective bidder concerningthis solicitation will be furnished promptly to all other prospectivebidders as a written amendment to the solicitation, if that informationis necessary in submitting bids, or if the lack of it would be prejudicialto other prospective bidders.

(b) Any information obtained by, or provided to, a bidder other thanby formal amendment to the solicitation shall not constitute a changeto the solicitation.

3. Amendments to Invitations for Bids(a) If this solicitation is amended, then all terms and conditionswhich are not modified remain unchanged.

(b) Bidders shall acknowledge receipt of any amendment to thissolicitation (1) by signing and returning the amendment, (2) byidentifying the amendment number and date on the bid form, or (3)by letter, telegram, or facsimile, if those methods are authorized inthe solicitation. The PHA/IHA must receive acknowledgement by thetime and at the place specified for receipt of bids. Bids which fail toacknowledge the bidder’s receipt of any amendment will result in therejection of the bid if the amendment(s) contained information whichsubstantively changed the PHA’s/IHA’s requirements.

(c) Amendments will be on file in the offices of the PHA/IHA and theArchitect at least 7 days before bid opening.

4. Responsibility of Prospective Contractor(a) The PHA/IHA will award contracts only to responsible prospec-tive contractors who have the ability to perform successfully underthe terms and conditions of the proposed contract. In determiningthe responsibility of a bidder, the PHA/IHA will consider such mattersas the bidder’s:

(1) Integrity;

(2) Compliance with public policy;

(3) Record of past performance; and

(4) Financial and technical resources (including constructionand technical equipment).

(b) Before a bid is considered for award, the bidder may be re-quested by the PHA/IHA to submit a statement or other documenta-tion regarding any of the items in paragraph (a) above. Failure by thebidder to provide such additional information shall render the biddernonresponsible and ineligible for award.

Page 1 of 4


5. Late Submissions, Modifications, and Withdrawal of Bids(a) Any bid received at the place designated in the solicitation afterthe exact time specified for receipt will not be considered unless it isreceived before award is made and it:

(1) Was sent by registered or certified mail not later than thefifth calendar day before the date specified for receipt of offers (e.g.,an offer submitted in response to a solicitation requiring receipt ofoffers by the 20th of the month must have been mailed by the 15th);

(2) Was sent by mail, or if authorized by the solicitation, wassent by telegram or via facsimile, and it is determined by the PHA/IHAthat the late receipt was due solely to mishandling by the PHA/IHAafter receipt at the PHA/IHA; or

(3) Was sent by U.S. Postal Service Express Mail Next DayService - Post Office to Addressee, not later than 5:00 p.m. at theplace of mailing two working days prior to the date specified forreceipt of proposals. The term “working days” excludes weekendsand observed holidays.

(b) Any modification or withdrawal of a bid is subject to the sameconditions as in paragraph (a) of this provision.

(c) The only acceptable evidence to establish the date of mailing ofa late bid, modification, or withdrawal sent either by registered orcertified mail is the U.S. or Canadian Postal Service postmark bothon the envelope or wrapper and on the original receipt from the U.S.or Canadian Postal Service. Both postmarks must show a legibledate or the bid, modification, or withdrawal shall be processed as ifmailed late. “Postmark” means a printed, stamped, or otherwiseplaced impression (exclusive of a postage meter machine impres-sion) that is readily identifiable without further action as having beensupplied and affixed by employees of the U.S. or Canadian PostalService on the date of mailing. Therefore, bidders should request thepostal clerk to place a hand cancellation bull’s-eye postmark on boththe receipt and the envelope or wrapper.

(d) The only acceptable evidence to establish the time of receipt at thePHA/IHA is the time/date stamp of PHA/IHA on the proposal wrapper orother documentary evidence of receipt maintained by the PHA/IHA.

(e) The only acceptable evidence to establish the date of mailing ofa late bid, modification, or withdrawal sent by Express Mail Next DayService-Post Office to Addressee is the date entered by the postoffice receiving clerk on the “Express Mail Next Day Service-PostOffice to Addressee” label and the postmark on both the envelope orwrapper and on the original receipt from the U.S. Postal Service.“Postmark” has the same meaning as defined in paragraph (c) of thisprovision, excluding postmarks of the Canadian Postal Service.Therefore, bidders should request the postal clerk to place a legiblehand cancellation bull’s eye postmark on both the receipt and Failureby a bidder to acknowledge receipt of the envelope or wrapper.

(f) Notwithstanding paragraph (a) of this provision, a late modifica-tion of an otherwise successful bid that makes its terms morefavorable to the PHA/IHA will be considered at any time it is receivedand may be accepted.

(g) Bids may be withdrawn by written notice, or if authorized by thissolicitation, by telegram (including mailgram) or facsimile machinetransmission received at any time before the exact time set foropening of bids; provided that written confirmation of telegraphic orfacsimile withdrawals over the signature of the bidder is mailed andpostmarked prior to the specified bid opening time. A bid may bewithdrawn in person by a bidder or its authorized representative if,before the exact time set for opening of bids, the identity of the personrequesting withdrawal is established and the person signs a receiptfor the bid.

6. Bid OpeningAll bids received by the date and time of receipt specified in thesolicitation will be publicly opened and read. The time and place ofopening will be as specified in the solicitation. Bidders and otherinterested persons may be present.

7. Service of Protest(a) Definitions. As used in this provision:

“Interested party” means an actual or prospective bidder whosedirect economic interest would be affected by the award of thecontract.

“Protest” means a written objection by an interested party to thissolicitation or to a proposed or actual award of a contract pursuantto this solicitation.

(b) Protests shall be served on the Contracting Officer by obtainingwritten and dated acknowledgement from —

[Contracting Officer designate the official or location where a protestmay be served on the Contracting Officer]

(c) All protests shall be resolved in accordance with the PHA’s/IHA’s protest policy and procedures, copies of which are maintainedat the PHA/IHA.

8. Contract Award(a) The PHA/IHA will evaluate bids in response to this solicitationwithout discussions and will award a contract to the responsiblebidder whose bid, conforming to the solicitation, will be most advan-tageous to the PHA/IHA considering only price and any price-relatedfactors specified in the solicitation.

(b) If the apparent low bid received in response to this solicitationexceeds the PHA’s/IHA’s available funding for the proposed contractwork, the PHA/IHA may either accept separately priced items (see8(e) below) or use the following procedure to determine contractaward. The PHA/IHA shall apply in turn to each bid (proceeding inorder from the apparent low bid to the high bid) each of the separatelypriced bid deductible items, if any, in their priority order set forth inthis solicitation. If upon the application of the first deductible item toall initial bids, a new low bid is within the PHA’s/IHA’s availablefunding, then award shall be made to that bidder. If no bid is withinthe available funding amount, then the PHA/IHA shall apply thesecond deductible item. The PHA/IHA shall continue this processuntil an evaluated low bid, if any, is within the PHA’s/IHA’s availablefunding. If upon the application of all deductibles, no bid is within thePHA’s/IHA’s available funding, or if the solicitation does not requestseparately priced deductibles, the PHA/IHA shall follow its writtenpolicy and procedures in making any award under this solicitation.

(c) In the case of tie low bids, award shall be made in accordancewith the PHA’s/IHA’s written policy and procedures.

(d) The PHA/IHA may reject any and all bids, accept other than thelowest bid (e.g., the apparent low bid is unreasonably low), and waiveinformalities or minor irregularities in bids received, in accordancewith the PHA’s/IHA’s written policy and procedures.

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(e) Unless precluded elsewhere in the solicitation, the PHA/IHAmay accept any item or combination of items bid.

(f) The PHA/IHA may reject any bid as nonresponsive if it ismaterially unbalanced as to the prices for the various items of workto be performed. A bid is materially unbalanced when it is based onprices significantly less than cost for some work and prices which aresignificantly overstated for other work.

(g) A written award shall be furnished to the successful bidder withinthe period for acceptance specified in the bid and shall result in abinding contract without further action by either party.

9. Bid Guarantee (applicable to construction and equip-ment contracts exceeding $25,000)

All bids must be accompanied by a negotiable bid guarantee whichshall not be less than five percent (5%) of the amount of the bid. Thebid guarantee may be a certified check, bank draft, U.S. GovernmentBonds at par value, or a bid bond secured by a surety companyacceptable to the U.S. Government and authorized to do business inthe state where the work is to be performed. In the case where thework under the contract will be performed on an Indian reservationarea, the bid guarantee may also be an irrevocable Letter of Credit(see provision 10, Assurance of Completion, below). Certifiedchecks and bank drafts must be made payable to the order of thePHA/IHA. The bid guarantee shall insure the execution of thecontract and the furnishing of a method of assurance of completionby the successful bidder as required by the solicitation. Failure tosubmit a bid guarantee with the bid shall result in the rejection of thebid. Bid guarantees submitted by unsuccessful bidders will bereturned as soon as practicable after bid opening.

10. Assurance of Completion(a) Unless otherwise provided in State law, the successful biddershall furnish an assurance of completion prior to the execution of anycontract under this solicitation. This assurance may be [ContractingOfficer check applicable items] —

[ ] (1) a performance and payment bond in a penal sum of 100percent of the contract price; or, as may be required or permitted byState law;

[ ] (2) separate performance and payment bonds, each for 50percent or more of the contract price;

[ ] (3) a 20 percent cash escrow;

[ ] (4) a 25 percent irrevocable letter of credit; or,

[ ] (5) an irrevocable letter of credit for 10 percent of the totalcontract price with a monitoring and disbursements agreement withthe IHA (applicable only to contracts awarded by an IHA under theIndian Housing Program).

(b) Bonds must be obtained from guarantee or surety companiesacceptable to the U.S. Government and authorized to do business inthe state where the work is to be performed. Individual sureties willnot be considered. U.S. Treasury Circular Number 570, publishedannually in the Federal Register, lists companies approved to act assureties on bonds securing Government contracts, the maximumunderwriting limits on each contract bonded, and the States in whichthe company is licensed to do business. Use of companies listed inthis circular is mandatory. Copies of the circular may be downloadedon the U.S. Department of Treasury website http://www.fms.treas.gov/c570/index.html, or ordered for a minimum feeby contacting the Government Printing Office at (202) 512-2168.

(c) Each bond shall clearly state the rate of premium and the totalamount of premium charged. The current power of attorney for theperson who signs for the surety company must be attached to thebond. The effective date of the power of attorney shall not precedethe date of the bond. The effective date of the bond shall be on or afterthe execution date of the contract.

(d) Failure by the successful bidder to obtain the required assur-ance of completion within the time specified, or within such extendedperiod as the PHA/IHA may grant based upon reasons determinedadequate by the PHA/IHA, shall render the bidder ineligible foraward. The PHA/IHA may then either award the contract to the nextlowest responsible bidder or solicit new bids. The PHA/IHA mayretain the ineligible bidder’s bid guarantee.

11. Preconstruction Conference (applicable to constructioncontracts)

After award of a contract under this solicitation and prior to the startof work, the successful bidder will be required to attend apreconstruction conference with representatives of the PHA/IHA andits architect/engineer, and other interested parties convened by thePHA/IHA. The conference will serve to acquaint the participants withthe general plan of the construction operation and all other require-ments of the contract (e.g., Equal Employment Opportunity, LaborStandards). The PHA/IHA will provide the successful bidder with thedate, time, and place of the conference.

12. Indian Preference Requirements (applicable only ifthis solicitation is for a contract to be performed on aproject for an Indian Housing Authority)

(a) HUD has determined that the contract awarded under thissolicitation is subject to the requirements of section 7(b) of the IndianSelf-Determination and Education Assistance Act (25 U.S.C. 450e(b)).Section 7(b) requires that any contract or subcontract entered into forthe benefit of Indians shall require that, to the greatest extent feasible

(1) Preferences and opportunities for training and employment(other than core crew positions; see paragraph (h) below) in connec-tion with the administration of such contracts or subcontracts begiven to qualified “Indians.” The Act defines “Indians” to meanpersons who are members of an Indian tribe and defines “Indiantribe” to mean any Indian tribe, band, nation, or other organizedgroup or community, including any Alaska Native village or regionalor village corporation as defined in or established pursuant to theAlaska Native Claims Settlement Act, which is recognized as eligiblefor the special programs and services provided by the United Statesto Indians because of their status as Indians; and,

(2) Preference in the award of contracts or subcontracts inconnection with the administration of contracts be given to Indianorganizations and to Indian-owned economic enterprises, as de-fined in section 3 of the Indian Financing Act of 1974 (25 U.S.C.1452). That Act defines “economic enterprise” to mean any Indian-owned commercial, industrial, or business activity established ororganized for the purpose of profit, except that the Indian ownershipmust constitute not less than 51 percent of the enterprise; “Indianorganization” to mean the governing body of any Indian tribe or entityestablished or recognized by such governing body; “Indian” to meanany person who is a member of any tribe, band, group, pueblo, orcommunity which is recognized by the Federal Government aseligible for services from the Bureau of Indian Affairs and any“Native” as defined in the Alaska Native Claims Settlement Act; andIndian “tribe” to mean any Indian tribe, band, group, pueblo, orcommunity including Native villages and Native groups (including

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corporations organized by Kenai, Juneau, Sitka, and Kodiak) asdefined in the Alaska Native Claims Settlement Act, which is recog-nized by the Federal Government as eligible for services from theBureau of Indian Affairs.

(b) (1) The successful Contractor under this solicitation shall com-ply with the requirements of this provision in awarding all subcon-tracts under the contract and in providing training and employmentopportunities.

(2) A finding by the IHA that the contractor, either (i) awardeda subcontract without using the procedure required by the IHA, (ii)falsely represented that subcontracts would be awarded to Indianenterprises or organizations; or, (iii) failed to comply with thecontractor’s employment and training preference bid statement shallbe grounds for termination of the contract or for the assessment ofpenalties or other remedies.

(c) If specified elsewhere in this solicitation, the IHA may restrict thesolicitation to qualified Indian-owned enterprises and Indian organi-zations. If two or more (or a greater number as specified elsewherein the solicitation) qualified Indian-owned enterprises or organiza-tions submit responsive bids, award shall be made to the qualifiedenterprise or organization with the lowest responsive bid. If fewerthan the minimum required number of qualified Indian-owned enter-prises or organizations submit responsive bids, the IHA shall rejectall bids and readvertise the solicitation in accordance with paragraph(d) below.

(d) If the IHA prefers not to restrict the solicitation as described inparagraph (c) above, or if after having restricted a solicitation aninsufficient number of qualified Indian enterprises or organizationssubmit bids, the IHA may advertise for bids from non-Indian as wellas Indian-owned enterprises and Indian organizations. Award shallbe made to the qualified Indian enterprise or organization with thelowest responsive bid if that bid is -

(1) Within the maximum HUD-approved budget amount estab-lished for the specific project or activity for which bids are beingsolicited; and

(2) No more than the percentage specified in 24 CFR 905.175(c)higher than the total bid price of the lowest responsive bid from anyqualified bidder. If no responsive bid by a qualified Indian-ownedeconomic enterprise or organization is within the stated range of thetotal bid price of the lowest responsive bid from any qualifiedenterprise, award shall be made to the bidder with the lowest bid.

(e) Bidders seeking to qualify for preference in contracting orsubcontracting shall submit proof of Indian ownership with their bids.Proof of Indian ownership shall include but not be limited to:

(1) Certification by a tribe or other evidence that the bidder isan Indian. The IHA shall accept the certification of a tribe that anindividual is a member.

(2) Evidence such as stock ownership, structure, manage-ment, control, financing and salary or profit sharing arrangements ofthe enterprise.

(f) (1) All bidders must submit with their bids a statement describ-ing how they will provide Indian preference in the award of subcon-tracts. The specific requirements of that statement and the factorsto used by the IHA in determining the statement’s adequacy areincluded as an attachment to this solicitation. Any bid that fails toinclude the required statement shall be rejected as nonresponsive.The IHA may require that comparable statements be provided bysubcontractors to the successful Contractor, and may require theContractor to reject any bid or proposal by a subcontractor that failsto include the statement.

(2) Bidders and prospective subcontractors shall submit acertification (supported by credible evidence) to the IHA in anyinstance where the bidder or subcontractor believes it is infeasible toprovide Indian preference in subcontracting. The acceptance orrejection by the IHA of the certification shall be final. Rejection shalldisqualify the bid from further consideration.

(g) All bidders must submit with their bids a statement detailing theiremployment and training opportunities and their plans to providepreference to Indians in implementing the contract; and the numberor percentage of Indians anticipated to be employed and trained.Comparable statements from all proposed subcontractors must besubmitted. The criteria to be used by the IHA in determining thestatement(s)’s adequacy are included as an attachment to thissolicitation. Any bid that fails to include the required statement(s), orthat includes a statement that does not meet minimum standardsrequired by the IHA shall be rejected as nonresponsive.

(h) Core crew employees. A core crew employee is an individualwho is a bona fide employee of the contractor at the time the bid issubmitted; or an individual who was not employed by the bidder at thetime the bid was submitted, but who is regularly employed by thebidder in a supervisory or other key skilled position when work isavailable. Bidders shall submit with their bids a list of all core crewemployees.

(i) Preference in contracting, subcontracting, employment, andtraining shall apply not only on-site, on the reservation, or within theIHA’s jurisdiction, but also to contracts with firms that operate outsidethese areas (e.g., employment in modular or manufactured housingconstruction facilities).

(j) Bidders should contact the IHA to determine if any additionallocal preference requirements are applicable to this solicitation.

(k) The IHA [ ] does [ ] does not [Contracting Officer checkapplicable box] maintain lists of Indian-owned economic enterprisesand Indian organizations by specialty (e.g., plumbing, electrical,foundations), which are available to bidders to assist them in meetingtheir responsibility to provide preference in connection with theadministration of contracts and subcontracts.

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form HUD-5369-A (11/92)Previous edition is obsolete

Representations, Certifications,and Other Statements of Bidders

Public and Indian Housing Programs

U.S. Department of Housingand Urban DevelopmentOffice of Public and Indian Housing


Representations, Certifications,and Other Statements of BiddersPublic and Indian Housing Programs

Table of Contents

Clause Page

1. Certificate of Independent Price Determination 1

2. Contingent Fee Representation and Agreement 1

3. Certification and Disclosure Regarding Paymentsto Influence Certain Federal Transactions 1

4. Organizational Conflicts of Interest Certification 2

5. Bidder's Certification of Eligibility 2

6. Minimum Bid Acceptance Period 2

7. Small, Minority, Women-Owned Business Concern Representation 2

8. Indian-Owned Economic Enterprise and IndianOrganization Representation 2

9. Certification of Eligibility Under the Davis-Bacon Act 3

10. Certification of Nonsegregated Facilities 3

11. Clean Air and Water Certification 3

12. Previous Participation Certificate 3

13. Bidder's Signature 3

1. Certificate of Independent Price Determination(a) The bidder certifies that--

(1) The prices in this bid have been arrived at independently,without, for the purpose of restricting competition, any consultation,communication, or agreement with any other bidder or competitorrelating to (i) those prices, (ii) the intention to submit a bid, or (iii) themethods or factors used to calculate the prices offered;

(2) The prices in this bid have not been and will not beknowingly disclosed by the bidder, directly or indirectly, to any otherbidder or competitor before bid opening (in the case of a sealed bidsolicitation) or contract award (in the case of a competitive proposalsolicitation) unless otherwise required by law; and

(3) No attempt has been made or will be made by the bidder toinduce any other concern to submit or not to submit a bid for thepurpose of restricting competition.

(b) Each signature on the bid is considered to be a certification bythe signatory that the signatory--

(1) Is the person in the bidder's organization responsible fordetermining the prices being offered in this bid or proposal, and thatthe signatory has not participated and will not participate in anyaction contrary to subparagraphs (a)(l) through (a)(3) above; or

(2) (i) Has been authorized, in writing, to act as agent for thefollowing principals in certifying that those principals have notparticipated, and will not participate in any action contrary tosubparagraphs (a)(l) through (a)(3) above.

_______________________________________________ [insertfull name of person(s) in the bidder's organization responsible fordetermining the prices offered in this bid or proposal, and the title ofhis or her position in the bidder's organization];

(ii) As an authorized agent, does certify that the principalsnamed in subdivision (b)(2)(i) above have not participated, and willnot participate, in any action contrary to subparagraphs (a)(1)through (a)(3) above; and

(iii) As an agent, has not personally participated, and willnot participate in any action contrary to subparagraphs (a)(1)through (a)(3) above.

(c) If the bidder deletes or modifies subparagraph (a)2 above, thebidder must furnish with its bid a signed statement setting forth indetail the circumstances of the disclosure.

[ ] [Contracting Officer check if following paragraph is applicable]

(d) Non-collusive affidavit. (applicable to contracts for constructionand equipment exceeding $50,000)

(1) Each bidder shall execute, in the form provided by the PHA/IHA, an affidavit to the effect that he/she has not colluded with anyother person, firm or corporation in regard to any bid submitted inresponse to this solicitation. If the successful bidder did not submitthe affidavit with his/her bid, he/she must submit it within three (3)working days of bid opening. Failure to submit the affidavit by thatdate may render the bid nonresponsive. No contract award will bemade without a properly executed affidavit.

(2) A fully executed "Non-collusive Affidavit" [ ] is, [ ] is notincluded with the bid.

2. Contingent Fee Representation and Agreement(a) Definitions. As used in this provision:

"Bona fide employee" means a person, employed by a bidderand subject to the bidder's supervision and control as to time, place,and manner of performance, who neither exerts, nor proposes toexert improper influence to solicit or obtain contracts nor holds outas being able to obtain any contract(s) through improper influence.

"Improper influence" means any influence that induces or tendsto induce a PHA/IHA employee or officer to give consideration or toact regarding a PHA/IHA contract on any basis other than the meritsof the matter.

(b) The bidder represents and certifies as part of its bid that, exceptfor full-time bona fide employees working solely for the bidder, thebidder:

(1) [ ] has, [ ] has not employed or retained any person orcompany to solicit or obtain this contract; and

(2) [ ] has, [ ] has not paid or agreed to pay to any person orcompany employed or retained to solicit or obtain this contract anycommission, percentage, brokerage, or other fee contingent upon orresulting from the award of this contract.

(c) If the answer to either (a)(1) or (a)(2) above is affirmative, thebidder shall make an immediate and full written disclosure to thePHA/IHA Contracting Officer.

(d) Any misrepresentation by the bidder shall give the PHA/IHA theright to (1) terminate the contract; (2) at its discretion, deduct fromcontract payments the amount of any commission, percentage,brokerage, or other contingent fee; or (3) take other remedypursuant to the contract.

3. Certification and Disclosure Regarding Payments toInfluence Certain Federal Transactions (applicable tocontracts exceeding $100,000)

(a) The definitions and prohibitions contained in Section 1352 oftitle 31, United States Code, are hereby incorporated by referencein paragraph (b) of this certification.

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6. Minimum Bid Acceptance Period(a) "Acceptance period," as used in this provision, means thenumber of calendar days available to the PHA/IHA for awarding acontract from the date specified in this solicitation for receipt of bids.

(b) This provision supersedes any language pertaining to theacceptance period that may appear elsewhere in this solicitation.

(c) The PHA/IHA requires a minimum acceptance period of[Contracting Officer insert time period] calendar days.

(d) In the space provided immediately below, bidders may specifya longer acceptance period than the PHA's/IHA's minimum require-ment. The bidder allows the following acceptance period:calendar days.

(e) A bid allowing less than the PHA's/IHA's minimum acceptanceperiod will be rejected.

(f) The bidder agrees to execute all that it has undertaken to do, incompliance with its bid, if that bid is accepted in writing within (1) theacceptance period stated in paragraph (c) above or (2) any longeracceptance period stated in paragraph (d) above.

7. Small, Minority, Women-Owned Business ConcernRepresentation

The bidder represents and certifies as part of its bid/ offer that it --

(a) [ ] is, [ ] is not a small business concern. "Small businessconcern," as used in this provision, means a concern, including itsaffiliates, that is independently owned and operated, not dominantin the field of operation in which it is bidding, and qualified as a smallbusiness under the criteria and size standards in 13 CFR 121.

(b) [ ] is, [ ] is not a women-owned business enterprise. "Women-owned business enterprise," as used in this provision, means abusiness that is at least 51 percent owned by a woman or womenwho are U.S. citizens and who also control and operate the business.

(c) [ ] is, [ ] is not a minority business enterprise. "Minoritybusiness enterprise," as used in this provision, means a businesswhich is at least 51 percent owned or controlled by one or moreminority group members or, in the case of a publicly owned business,at least 51 percent of its voting stock is owned by one or moreminority group members, and whose management and daily opera-tions are controlled by one or more such individuals. For the purposeof this definition, minority group members are:

(Check the block applicable to you)

[ ] Black Americans [ ] Asian Pacific Americans

[ ] Hispanic Americans [ ] Asian Indian Americans

[ ] Native Americans [ ] Hasidic Jewish Americans

8. Indian-Owned Economic Enterprise and IndianOrganization Representation (applicable only if thissolicitation is for a contract to be performed on a project for anIndian Housing Authority)

The bidder represents and certifies that it:

(a) [ ] is, [ ] is not an Indian-owned economic enterprise."Economic enterprise," as used in this provision, means any com-mercial, industrial, or business activity established or organized forthe purpose of profit, which is at least 51 percent Indian owned."Indian," as used in this provision, means any person who is amember of any tribe, band, group, pueblo, or community which isrecognized by the Federal Government as eligible for services fromthe Bureau of Indian Affairs and any "Native" as defined in the AlaskaNative Claims Settlement Act.

(b) [ ] is, [ ] is not an Indian organization. "Indian organization,"as used in this provision, means the governing body of any Indiantribe or entity established or recognized by such governing body.Indian "tribe" means any Indian tribe, band, group, pueblo, or

(b) The bidder, by signing its bid, hereby certifies to the best of hisor her knowledge and belief as of December 23, 1989 that:

(1) No Federal appropriated funds have been paid or will bepaid to any person for influencing or attempting to influence anofficer or employee of any agency, a Member of Congress, an officeror employee of Congress, or an employee of a Member of Congresson his or her behalf in connection with the awarding of a contractresulting from this solicitation;

(2) If any funds other than Federal appropriated funds (includ-ing profit or fee received under a covered Federal transaction) havebeen paid, or will be paid, to any person for influencing or attemptingto influence an officer or employee of any agency, a Member ofCongress, an officer or employee of Congress, or an employee of aMember of Congress on his or her behalf in connection with thissolicitation, the bidder shall complete and submit, with its bid, OMBstandard form LLL, "Disclosure of Lobbying Activities;" and

(3) He or she will include the language of this certification in allsubcontracts at any tier and require that all recipients of subcontractawards in excess of $100,000 shall certify and disclose accordingly.

(c) Submission of this certification and disclosure is a prerequisitefor making or entering into this contract imposed by section 1352,title 31, United States Code. Any person who makes an expenditureprohibited under this provision or who fails to file or amend thedisclosure form to be filed or amended by this provision, shall besubject to a civil penalty of not less than $10,000, and not more than$100,000, for each such failure.

(d) Indian tribes (except those chartered by States) and Indianorganizations as defined in section 4 of the Indian Self-Determina-tion and Education Assistance Act (25 U.S.C. 450B) are exemptfrom the requirements of this provision.

4. Organizational Conflicts of Interest CertificationThe bidder certifies that to the best of its knowledge and belief andexcept as otherwise disclosed, he or she does not have anyorganizational conflict of interest which is defined as a situation inwhich the nature of work to be performed under this proposedcontract and the bidder's organizational, financial, contractual, orother interests may, without some restriction on future activities:

(a) Result in an unfair competitive advantage to the bidder; or,

(b) Impair the bidder's objectivity in performing the contract work.

[ ] In the absence of any actual or apparent conflict, I hereby certifythat to the best of my knowledge and belief, no actual or apparentconflict of interest exists with regard to my possible performance ofthis procurement.

5. Bidder's Certification of Eligibility(a) By the submission of this bid, the bidder certifies that to the bestof its knowledge and belief, neither it, nor any person or firm whichhas an interest in the bidder's firm, nor any of the bidder's subcon-tractors, is ineligible to:

(1) Be awarded contracts by any agency of the United StatesGovernment, HUD, or the State in which this contract is to beperformed; or,

(2) Participate in HUD programs pursuant to 24 CFR Part 24.

(b) The certification in paragraph (a) above is a material represen-tation of fact upon which reliance was placed when making award.If it is later determined that the bidder knowingly rendered anerroneous certification, the contract may be terminated for default,and the bidder may be debarred or suspended from participation inHUD programs and other Federal contract programs.

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community including Native villages and Native groups (includingcorporations organized by Kenai, Juneau, Sitka, and Kodiak) asdefined in the Alaska Native Claims Settlement Act, which isrecognized by the Federal Government as eligible for services fromthe Bureau of Indian Affairs.

9. Certification of Eligibility Under the Davis-BaconAct (applicable to construction contracts exceeding $2,000)

(a) By the submission of this bid, the bidder certifies that neither itnor any person or firm who has an interest in the bidder's firm is aperson or firm ineligible to be awarded contracts by the United StatesGovernment by virtue of section 3(a) of the Davis-Bacon Act or 29CFR 5.12(a)(1).

(b) No part of the contract resulting from this solicitation shall besubcontracted to any person or firm ineligible to be awardedcontracts by the United States Government by virtue of section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(c) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

10. Certification of Nonsegregated Facilities (applicableto contracts exceeding $10,000)

(a) The bidder's attention is called to the clause entitled EqualEmployment Opportunity of the General Conditions of the Con-tract for Construction.

(b) "Segregated facilities," as used in this provision, means anywaiting rooms, work areas, rest rooms and wash rooms, restaurantsand other eating areas, time clocks, locker rooms and other storageor dressing areas, parking lots, drinking fountains, recreation orentertainment areas, transportation, and housing facilities providedfor employees, that are segregated by explicit directive or are in factsegregated on the basis of race, color, religion, or national originbecause of habit, local custom, or otherwise.

(c) By the submission of this bid, the bidder certifies that it does notand will not maintain or provide for its employees any segregatedfacilities at any of its establishments, and that it does not and will notpermit its employees to perform their services at any location underits control where segregated facilities are maintained. The bidderagrees that a breach of this certification is a violation of the EqualEmployment Opportunity clause in the contract.

(d) The bidder further agrees that (except where it has obtainedidentical certifications from proposed subcontractors for specifictime periods) prior to entering into subcontracts which exceed$10,000 and are not exempt from the requirements of the EqualEmployment Opportunity clause, it will:

(1) Obtain identical certifications from the proposed subcon-tractors;

(2) Retain the certifications in its files; and

(3) Forward the following notice to the proposed subcontrac-tors (except if the proposed subcontractors have submitted identicalcertifications for specific time periods):

Notice to Prospective Subcontractors of Requirement forCertifications of Nonsegregated FacilitiesA Certification of Nonsegregated Facilities must be submitted beforethe award of a subcontract exceeding $10,000 which is not exemptfrom the provisions of the Equal Employment Opportunity clause ofthe prime contract. The certification may be submitted either foreach subcontract or for all subcontracts during a period (i.e.,quarterly, semiannually, or annually).

Note: The penalty for making false statements in bids is prescribedin 18 U.S.C. 1001.

11. Clean Air and Water Certification (applicable to con-tracts exceeding $100,000)

The bidder certifies that:

(a) Any facility to be used in the performance of this contract [ ]is, [ ] is not listed on the Environmental Protection Agency List ofViolating Facilities:

(b) The bidder will immediately notify the PHA/IHA ContractingOfficer, before award, of the receipt of any communication from theAdministrator, or a designee, of the Environmental ProtectionAgency, indicating that any facility that the bidder proposes to usefor the performance of the contract is under consideration to belisted on the EPA List of Violating Facilities; and,

(c) The bidder will include a certification substantially the same asthis certification, including this paragraph (c), in every nonexemptsubcontract.

12. Previous Participation Certificate (applicable toconstruction and equipment contracts exceeding $50,000)

(a) The bidder shall complete and submit with his/her bid the FormHUD-2530, "Previous Participation Certificate." If the successfulbidder does not submit the certificate with his/her bid, he/she mustsubmit it within three (3) working days of bid opening. Failure tosubmit the certificate by that date may render the bid nonresponsive.No contract award will be made without a properly executed certifi-cate.

(b) A fully executed "Previous Participation Certificate"

[ ] is, [ ] is not included with the bid.

13. Bidder's SignatureThe bidder hereby certifies that the information contained in thesecertifications and representations is accurate, complete, andcurrent.

__________________________________________________________________(Signature and Date)

__________________________________________________________________(Typed or Printed Name)

__________________________________________________________________(Title)

__________________________________________________________________(Company Name)

(Company Address)

Page 3 of 3

Instructions to OfferorsNon-Construction


UU5IIU—03291 —

1. Preparation of Offers

(a) Offerors are expected to examine the statement of work, theproposed contract terms and conditions, and all instructions. Failureto do so will be at the offerors risk.

(b) Each ofleror shall furnish the information required by the solicitation. The offeror shall sign the offer and print or type its name on thecover sheet and each continuation sheet on which it makes an entry.Ensures or other changes must be initialed by the person signing theoffer. Offers signed by an agent shall be aompanied by evidence ofthat agent’s authority, unless that evidence has been previouslyfurnished to the HA.

(c) Offers for services other than those specified will not be considered.

2. SubmIssion of Offers

(a) Offers and modifications thereof shall be subrrUtted in sealedenvelopes or packages (1) addressed to the office specified in thesolicitation, and (2) showing the time specified for receipt, the solicitation nunter, and the name and address of the off eror.

(0) Telegraphic offers will not be considered unless authorized by thesolicitation; however, offers may be modified by written or telegraphicnotice.

(c) Facsimile offers, modifications or withdrawals will not be considered unless authorized by the solicitation.

3. Amendments to Solicitations

(a) If this solicitation Is amended, then all terms and conditions whichare not modified remain unchanged.

(0) Offerors shall acknowledge receipt of any amendments to thissolicitation by

(1) signing and returning the amendment;(2) IdentifyIng the amendment number and date In the space

provided for this purpose on the form for submitting an offer,(3) letter or telegram, or(4) facsimile, if facsimile offers are authorized In the solicitation.

The I-t4MUD must receive the acknowledgment by the timespecified for receipt of offers,

4. ExplanatIon to Prospective Oflerocs

Any prospective offeror desiring an explanation or interpretation otthesolicitatIon, statement of work, etc., mist request it in writing soonenough to allow a reply to reach all prospective offerors before thesubmission of their offers. Oral explanations or instructions gwenbefore the award of the contract will not be binding. Any Informationgiven to a prospective offeror concerning a solicitation wil be furnishedpromçtly to all other prospective offerors as an amendment of thesolicitation, if that Information is necessary in submitting offers or if thelack of it would be prejudicial to any other prospective off erors.

5. ResponsibilIty of Prospective Contractor

(a) The HA shall award a contract only to a responsible prospectivecontractor who is able to perform successfully under the terms andconditions of the proposed contract. To be determined responsible,a prospective contractor must

(I) Have adequate financial resources to perform the contract, orthe ability to obtain them;

(2) Have a satisfactory performance record;(3) Have a satisfactory record of integrity and business ethics;(4) Have a satisfactory record of compliance with public policy

(e.g., Equal Employment Opportunity); and(5) Not havebeen suspended, debarred, or otherwise determined

to be ineligible for award of contracts by the Department ofHousing and Urban Developtient or any other agency of theU.S. Government. Current lists of ineligible contractors areavailable for inspection at the HMIUD.

(b) Before an offer is considered for award the offeror may berequested by the HA to submit a statement or other documentationregarding any of the foregoing requirements. Failure by the offerortoprovide such additional information may renderthe offeror ineligibieforaward.

6. Late Submissions, Modifications, and Withdrawal of Offers

(a) Any offer received at the place designated fri the solicitation afterthe exact time specifIed for receipt will not be considered unless ft isreceived before award is made and ft -

(1) Was sent by registered or certified mall not later than the filthcalendar day before the date specified for receipt of offers(e.g., an offer submitted in response to a solicitatIon requiringreceipt of offers by the 20th of the month must have beenmailed by the 15th);

(2) Was sent by mail, or if authorized by the solicitation, was sentby telegram or via facsimile, and ft is determined by the HAlHUD that the late receipt was due solely to mishandilng by theHAMUD after receipt at the HA;

(3) Was sent by U.S. Postal Service Express Mail Next DayService - Post Office to Addressee, not later than 5:00 p.m. atthe place of mailing two working days prior to the date specifiedfor receipt of proposals. The term “workIng days’ excludesweekends and U.S. Federal holidays; or

(4) Is the only offer received,

(b) Any modification of an offer, except a modification resulting fromthe HA’s request for test and final’ oiler (if this solicitation is a requestfor proposals), is subject to the same conditions as in subparagraphs(a)(1), (2), and (3) of this provision.

(c) A modification resulting from the HA’S request for test and final”offer received after the time and date specified in the request wUl notbeconsideredunless recaivedbefore award andthe late receipt isduesolely to mishandling by the HA after receipt at the HA.

(d) The only accejable evidence to estabiish the date of mailing of alate offer, modification, or withdrawal sent either by registered orcertified mall is the U.S. or Canadian Postal Service postmark both onthe envelope or wrapper and on the original receipt from the U.S. orCanadian Postai Service. Bath postmarks must show a legible dateor the offer, modification, or withdrawal shall be processed as if mailedlate. “Postmark’ means a printed, stamped, or otherwise placedimpression (exclusive of a postage meter machine impression) that Isreadily identifiable without further action as having been supplied andaffixed by employees of the U.S. or Canadian Postal Service on thedate of mailing. Therefore, offerors should request the postal clerk toplace a hand cancellation buli’s,eye postmark on both the receipt andthe envelope or wrapper.

(a) The only acceptable evidence to establish the time of receipt attheHA is the time/date stamp of HA on the oiler wrapper or otherdocumentary evidence of receipt maintained by the HA.

Previous edthon is obsolete page t of 2 form HUD-5369-B (8)93)ret. Handbook 7460,8

(f) The only acceptable evidence to establish the date of mailing of alate offer, modification, or withdrawal sent by Express Mail Next DayService-Post Office to Addressee isthe date entered by the post officereceiving clerk on the ‘Express Mail Next Day Service-Post Office toAddressee label and the postmark on both the envelope or wrapperand on the original receipt from the U.S. Postal Service. Postmark’has the same meaning as defined in paragraph (c) of this provision,excluding postmarks of the Canadian Postal Service. Therefore,oflerors should request the postal clerk to ace a legible handcancellation bull’s eye postmark on both the receipt and the envelopeor wrapper.

(g) Notwithstanding paragraph (a) of this provision, a late modificationof an otherwise successful offer that makes its terms more favorableto the HA will be considered at any time it is received and may beaepted.

(h) If this solicitation is a request for proposals, proposals may bewithdrawn by written notice, or if authorized by this solicitation, bytelegram (including maiigram) or facsimile nndiine transmissionreceived at any time before award. Proposals may be withdrawn inperson by a ofleror or its authorized representative if the identity of theperson requesting withdrawal is established and the person signs areceipt for the offer before award. If this solicitation is an invitation forbids, bids may be withdrawn at any lime prior to bid opening.

7. Contract Award

(a) The HA will award a contract resulting from this solicitation to theresponsible offeror whose offer conforming to the solicitatIon will bemost advantageous to the HA. castor price and otherfactors, specifiedelsewhere in this solicitation, considered.

(b) The HA may(1) reject any or all offers if such action Is in the HA’s Interest,(2) accept other than the lowest offer,(3) waive inforrnaihies and minor irregularities In offers received,

and (4) award mare than one contract for all or pad of therequirements stated.

(c) If this solIcitation isa request for proposals, the HA may award acontract on the basis of Initial offers received, without discussions.Therefore, each initial offer shouldcontain the offerors besttermsfroma cast or price and technical standpoint.

(d) A written award or acceptance of offer mailed or otherwisefumished to the successful off eror within the time for acceptancespecified In the offer shail result in a binding contract without furtheraction by either party. if this soNcitation is a request for proposals,before the offer’s specified expiration time, the HA mayaccept an otter,whether or not there are negotiations after its receipt, unless a writtennotice of withdrawal Is received before award. Negotiations conductedafter receipt of an offer do not constitute a rejection or counteroffer bythe HA.

(e) Neither financial data submitted with an offer, nor representationsconcerning facilities or financing, will form a pafl of the resultingcontract.

8. Service of Protest

Any protest againstthe award of acontract pursuant to this solicitationshall be served on the HA by obtaining written and daied acknowledg.mont of receipt from the HA at the address shown on the cover of thissolicitation. The determination of the HA with regard to such protestor to proceed to award notwithstanding such protest shall be finalunless appealed by the protestor.

9. Offer SubmissIon

Offers shall be submitted as follows and shall be enclosed in a sealedenvelope and addressed to the office specified In the solicitation. Theproposal shall show the hour and date specified In the solicitationfor receipt, the solicitatIon number, and the name and address ofthe offerer, on the face of the envelope.

It is very lrçonant that the offer be properly identified on the faceof the envelope as set forth above in order to Insure that the date andtIme of receipt is stamped on the face of the offerenveiope. Receivingprocedures are: date and time stamp those envelopes identified asproposals anddeliverthem immediatelyto the appropriate contractingofficial, and only date stamp those envelopes which do not containidentification of the contents and deliver them to the appropriateprocuring activity only through the routine mail delivery procedure.

[Describe bid or proposal preparation instructions here:)

form HUO-5369-B (afl3rot. Handbook 7460.1Previous edition is obsolete page 2 of 2

Certifications andRepresentationsof OfferorsNon-Construction Contract


Public reporting burdenforthiscollectionof information is estimated to average 5 minutes perresponse, includingihe time for reviewinginstructions, searchingexisting data sources, gathering and maintaining the dala needed, and completing and reviewing the collection of information.This form includes clauses required by OMB’s common rule on bidding/offering procedures, implemented by HUD in 24 CFR 85.36. and those requirementsset forth in Executive Order 11625 for small, minority, women’owned businesses, and certifications for independent price determination, and conllict of interest.The lorm is required (ornonconstruction contracts awarded byHousingAgencies (HAs). The form is used by bidders’ofterors to certify to the HA’s ContractingOfficer for contract compliance. If the form were not used, HAs would be unable to enforce their contracts. Responses to the collection of information arerequired to obtain a benefit or to refain a benefit. The information requested does not lend itself to confidentiality.

I. Contingent Fee Representation and Agreement

(a) The hidder/olferor represents and certifies as part of its hid)offer that, except for lull-time bona lide employees workingsolely for the hiddet/offeror, the bidder/ofleror:

(I) [ I has. [ I has not employed or retained any person orcompany to solicit or obtain this contract: and

(2) I I has. L I has not paid or agreed to pay to any personor company employed or retained to solicit or obtain Ibiscontract any commission, percentage, brokerage. or otherfee contingent upon or resulting from the award of thiscontract.

(hI lithe answer to either (a)( I) or (a) (2) above is affirmative.the bidder/offeror shall make an immediate and full writtendisclosure to the PHA Contracting Officer.

(c) Any misrepresentation by the bidder/offeror shall give thePHA the right to (I) terminate the resultant contract: (2) at itsdiscretion, to deduct from contract payments the amount of anycommission, percentage, brokerage. or other contingent lee: or

(3) take other remedy pursuant to the contract.

2. Small, Minority, Women-Owned Business Cencern Representation

The bidder/offeror represents and certifies as part of its bid/ offerthat it:

(a) [ 1 is, j I is not a small business concern. Small businessconcern.’ as used in this provision, means a concern. including its affiliates, that is independently owned and operated.not dominant in the field of operation in which it is bidding.and qualified as’t small business under the criteria and sizestandards in 13 CFR 121.

(b) I I is. I I is not a women-owned small business concern.“Women-owned.” as used in this provision, means a smallbusiness that is at least 51 percent owned by a woman orwomen who are U.S. citizens and who also control andoperate the business.

tel [ I is. I 1 is not a minority enterprise which, pursuant toExecuti’e Order 11625. is defined as a business which is atleast 5 I percent owned by line or more minority groupmembers or. in the case ofa publicly owned business, at least51 percent of its ‘oting stock is owned by one or moreminority group members, and whose management and dailoperations are controlled by one or more such individuals.

For the purpose of this definition, minority group members are:

(Check the block applicable to you)

I Black Americans [ ] Asian Pacific Americans

1 Hispanic Americans [ I Asian Indian Americans

I Native Americans [ J Hasidic Jewish Americans

3. Certificate of Independent Price Determination

(a) The bidder/offeror certifies that—

(I) The prices in this hid/oiler have been arrived at independently. without, for the purpose of restricting competition, any consultation, communication, or agreementwith any other bidder/olferor or competitor relating to (i)those prices. (ii) the intention to submit a hid/offer, or(iii) the methods or factors used to calculate the priceso fI’e red;

(2) The prices in this bid/offer have not been and will not beknowingly disclosed by the bidder/offeror, directly orindirectly, to any other hidder/offeror or competitor before bid opening (in the case of a sealed bid solicitation)orcontract award (in thecase ofa negotiated solicitation)unless otherwise required by law’, and

(3) No attempt has been made or will be made by the hidder/ol’feror to induce any other concern to submit or not tosubmit a bid/ofTer for the purpose ofrestrictingcompetition.

(h) Each signature on the hid/offer is considered to he a certification by the signatory that the signatory:

Is the person in the hidder/ofleror’s organization responsible for deterniining the prices being ofkred in this bidor proposal. and that the signatory has not participatedand will not participate in any action contrary to subparagraphs (a)t I) through (a ft 3) above: or

(2) (if Has been authorized, in writing, to act as agent for thefollowing principals in certifying that those principalshave not participated. and will not participate in anyaction contrary to suhparagraphs (aI(l) through (a)t3)above (insert lull name of person(s) in the bidder/offerorsorganization responsible for determining the prices olfered in this hid or proposal. and the title of his or herposition in the bidder/olTerors organizalion):

(ut As an authorized agent. does certify that the principals named in subdivision ( b( 2 It it above have not participated. and will not participate, in any action contraryto subparagraphs (a)( I) through (alt 3 above: and

form HUD’5369-C (8/93)ref. Handbook 7460.8Previous edition is obsolete page I of 2

(iii) As an agent. has not personally participated, and willnot participale in any action contrary to subparagraphsfa)(I) through (a)13) above.

(c) If ihe bidder/olferor deleies or modifies subparagraph (a)2above, the bidder/offeror musi furnish with its bid/offer asigned statement setting forth in detail the circumstances ofthe disclosure.

3. Organizational Conflicts of Interest Certification

(a) The Contractor Warrants (hat to the hest ol its knowledge andbelief and except as otherwise disclosed, it does not have anyorganizational conflict of interest which is defined as asituation in which ihc nature of work under a proposedcontract and a prospective contractor’s organizational. financial, contractual or oihcr interest are such that:

(ii Award of the contract may result in an unfaircompetitive advantage:

(ii) The Contractor’s objectivity in performing the coiltract work may be impaired: or

(iii) That the Contractor has disclosed all relevant information and requested the HA to make a determinationwith respect to this Contract.

(hi The Contractor aurees that if alter award he or she discoversan organizational conflict of interest ith respect to thiscontract, he or she shall make an immediate and full disclosure in writing to the HA which shall include a description ofthe action which the Contractor has taken or intends toeliminate or neutralize the conflict. The HA may. however,tcrminate the Contract for the convenience of HA if it wouldhe in the best interest of HA.

(c) In the event the Contractor was aware of an organizationalconflict of interest before the award of this Contract andintentionally did not disclose ihe conflict to (he HA. the HAmay terminate the Contract for default.

(d) The Contractor shall require a disclosure or representationfrom subcontractors and consultants who may be in a positionto influence the advice or assistance rendered to the HA andshall include any necessary provisions to eliminate orneutralizeconflicts of interest in consultant agreements or subcontract.sinvolving performance or work under this Contract.

5. Attthorized Negotiators (RFPs only)

The offeror represents that the following persons.irt’4tuthorizedto tiegotiate on its behalf with the P1-IA in connection with thisrequest for proposals. (list names, titles, and telephone numhctsof the authorized negotiators):

6. Conflict of Interest

In the absence of any actual or apparent conflict, the offeror, hysubmission of a proposal. hereby warrants that to the best of itsknowledge and belief, no actual or apparent conlliet of inleresiexists with regard to my possible performance of this procurement, as described in (he clause in this solicitation titled “Organizational Conllict of Interest.”

7 Offeror’s Signature

The offeror hereby certifies that the information contained inthese certifications and representations is accurate, complete.and current.

Signature & Date:

Typed or Printed Name:

Title:

form HUD’5369-C tB/93)ref. Handbook 7460.8

Previous edition is obsolete page 2 of 2

Certification RegardingDebarment and Suspension

Cerlifleation .4: Certification Regarding Debarment, Suspension, andOther Responsibility Matters — Primary Covered Transactions

I The prospective primary participant certifies to the best of its knowledge and belief that its principals:

a. Are not presently debarred, suspended, proposed for debarment.declared tneligible. or voluntarily excluded from covered transactionsby any Federal debarment or agency:

b. Ilave not within a three-year period preceding this proposal.been convicted of or had a civil judgment rendered against them forcommission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, orlocal) transaction or contract under a public transaction; violation ofFederal or State antitrust statutes or commission of embezzlement, theft.forgen’. bribery, tlsificatior. or destruction of records, making falsestatements. or receiving stolen property:

c. Are not presently indicted for or otherwise criminally or civillycharged by a governmental entity (Federal, State, or local) withcommission of any of the otThnses enumerated in paracraph (I hbl ofthis certification: nod

d. I lave not within a three-year period preceding this application’proposal Itad one or more public transactions (Federal, State, or local)terminated for cause or default.

2. Where the prospective primary participant is unable to certify toany of the statements in this certification, such prospective participantshall attach an explanation to this proposal.

Instructions for Certification (A)

I. By signing and submitting this proposal, the prospective primaryparticipant is providing the certification set out below.

2. The inability ofa person to provide the certification required belowwill not necessarily result in denial of participation in this coveredtransaction. The prospective participant shall submit an explanationof why it cannot provide the certification set out below. The certification or explanation will be considered in connection with thedepartment or agency’s determination whether to enter into thistransaction. I lowever, failure of the prospective primary participant tofurnish a certification or an explanation shall disqualify such personfrom participation in this transaction.

3. TIte certification in this clause is a material representation of tactupon which reliance was place when the department or agency deter.mined to enter into this tratisaction. If it is later determined that tlteprospective primary participant knowingly rendered an erroneouscertification, in addition to other remedies available to the FederalGovernment. the department or agency may terminate this transactionfor cause of default.

U.S. Department of Housingand Urban Development

4. The prospective primary participant shall provide itnmediate written notice to the department or agency to whom this proposal issubmitted if at any time the prospective primary participant learns thatits certification was erroneous when submitted or has become enoneous by reason of changed circumstances.

5. The terms covered transaction, debarred. suspended. ineligible,lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, asused in this clause, have the meanings set out in the Definitions andCoverage sections of the rules implementing Executive Order 12549.You may contact the department or agency to which this proposal isbeing submitted for assistance in obtaining a copy of these regulations.

5. The prospective primary participant agrees by submitting thisproposal that, should the proposed covered transaction be entered into.it shall not knowingly enter into any lower tier covered transactionwith a person who is debarred, suspended. declared ineligible. orvoluntarily excluded from participation in this covered transaction,unless authorized by the department or agency entering into thistrans action.

7. The prospective primary participant further agrees by submittingthis proposal that it will include the clause titled “CertificationRegarding Debarment, Suspension. Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction,” provided by the departmentor agency entering into this covered transaction, without modification,in all lower tier covered transactions and in all solicitations for lowertier covered transactions.

8. A participant in a covered transaction may rely upon a certificationof a prospective participant in a lower tier covered transaction that itis not debarred, suspended. ineligible. or voluntarily excluded from thecovered transaction, unless it know’s that the certification is erroneous.A participant may decide the method and frequency by which itdetermines this eligibility of its principals. Each participant may, butis not required to, check the Nonprocurement List.

9. Nothing contained in the foregoing shall be construed to requireestablishment of a system of records in order to render in good faith thecertification required by this clause. The knowledge and informationof a participant is not required to exceed that which is normallypossessed by a prudent person in the ordinan’ course of businessdealings.

10. Except for transactions authorized under paragraph (6) of theseinstructions. ifa participant in a covered transaction knowingly entersinto a lower tier covered transaction with a person who is suspended.debarred, ineligible, or voluntarily excluded from participation in thistransaction, in addition to other remedies available to the FederalGovernment. the department or agency nay terminate this transactionfor cause of default.

Pa?a 1 of 2 form HUO-2992 (3/98)

Certification B: Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions

I. The prospective lower tier participant certifies, by submission ofthis proposal! that neither it nor its principals is presently debarred,suspended, proposed for debarment, declared ineligible, or voluntarilyexcluded from participation in this transaction by any Federal department or agency.

2. Where the prospective lower tier participant is unable to certify toany of the statements in this certification, such prospective participantshall attach an explanation to this proposal.

Instructions for Certification (B)

I. By signing and submitting this proposal, the prospective lower tierparticipant is providing the certification set out below.

2. The certification in this clause is a material representation of factupon which reliance was placed when this transaction was entered into.If it is later determined that the prospective lower tier participantknowingly rendered an erroneous certification, in addition to otherremedies available to the Federal Government, the department oragency with which this transaction originated may pursue availableremedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediatewritten notice to the person to which this proposal is submitted if at anytime the prospective lower tier participant learns that its certificationwas erroneous when submitted or has become erroneous by reason ofchanged circumstances.

4. The terms covered transaction, debarred, suspended, ineligible,lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, asused in this clause, have the meanings set out in the Definitions andCoverage sections of rules implementing Executive Order 12549. Youmay contact the person to which this proposal is submitted for assistance in obtaining a copy of these regulations.

5. The prospective lower tier participant agrees by submitting thisproposal that, should the proposed covered transaction be entered into,it shall not knowingly enter into any lower tier covered transactionwith a person who is debarred, suspended, declared ineligible, orvoluntarily excluded from participation in this covered transaction,unless authorized by the department or agency with which this transaction originated.

6. The prospective lower tier participant further agrees by submittingthis proposal that it will include this clause titled “CertificationRegarding Debarment. Suspension. Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction,’ without modification, in alllower tier covered transactions and in all solicitations for lower tiercovered transactions.

7. A participant in a covered transaction may rely upon a certificationof a prospective participant in a lower tier covered transaction that itis not debarred, suspended, ineligible, or voluntarily excluded from thecovered transaction, unless it knows that the certification is erroneous.A participant may decide the method and frequency by which itdetermines the eligibility of its principals. Each participant may, butis not required to, check the Nonprocurement List.

S. Nothing contained in the foregoing shall be construed to requireestablishment ofa system of records in order to render in good faith thecertification required by this clause. The knowledge and informationof a participant is not required to exceed that which is normallypossessed by a prudent person in the ordinary course of businessdealings.

9. Except for transactions authorized under paragraph (5) of theseinstructions, if a participant in a lower covered transaction knowinglyenters into a lower tier covered transaction with a person who issuspended, debarred, ineligible. or voluntarily excluded from participation in this transaction, in addition to other remedies available to theFederal Government, the department or agency with which this transaction originated may pursue available remedies including suspensionand/or debarment.

Applicant Dale

Signature otAuthorized Certifying Official Title

I2 of 2 form HUD-2992 (3/98)

Equal EmploymentOpportunity CertificationExcerpt From 41 CFR §60-1.4(b)

U.S. Department of Housingand Urban DevelopmentOffice of HousingFederal Housing commissioner

Department of Veterans Affairs

0MB control No. 2502-0029(exp. 7/31/2009)

The applicant hereby agrees that it will incorporate or cause to beincorporated into any contract for construction work, or modification thereof, as defined in the regulations of the Secretary ofLabor at 41 CFR Chapter 60, which is paid for in whole or in partwith funds obtained from the Federal Government or borrowedon the credit of the Federal Government pursuant to a grant,contract, loan insurance, or guarantee, or undertaken pursuant toany Federal program involving such grant, contract, loan, insurance, or guarantee, the following equal opportunity clause:

During the performance of this contract, the contractor agrees asfo 110 ws:

(I) The contractor will not discriminate against any employee orapplicant for employment because of race, color, religion,sex, or national origin. The contractor will take affirmativeaction to ensure that applicants are employed, and that employees are treated during employment without regard totheir race, color, religion, sex, or national origin, such actionshall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay orother forms of compensation; and selection for training.including apprenticeship. The contractor agrees to post inconspicuous places, available to employees and applicantsfor employment, notices to be provided setting forth theprovisions of this nondiscrimination clause.

(2) The contractor will, in all solicitations or advertisements foremployees placed by or on behalfof the contractor, state thatall qualified applicants will receive considerations for employment without regard to race, color, religion. se, ornational origin.

(3) The contractor will send to each labor union or representativeof workers with which it has a collective bargaining agreement or other contract or understanding, a notice to beprovided advising the said labor union or workers’ representatives of the contractor’s commitments under this section,and shall post copies of the notice in conspicuous placesavailable to employees and applicants for employment.

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

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

(6) In the event of the contractor’s noncompliance with thenondiscrimination clauses of this contract or with any of thesaid rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and thecontractor may be declared ineligible for further Government contracts or federally assisted construction contracts inaccordance with procedures authorized in Executive Order11246 of September 24, 1965, and such other sanctions maybe imposed and remedies invoked as provided in ExecutiveOrder 11246 of September 24, 1965, or by rule, regulation, ororderofthe Secretary of Labor, oras otherwise provided by law.

(7) The contractor will include the portion of the sentence immediately preceding paragraph (I) and the provisions of paragraphs (I) through (7) in every subcontractor purchase orderunless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of ExecutiveOrder 11246 of September 24, 1965, so that such provisionswill be binding upon each subcontractor or vendor. Thecontractor will take such action with respect to any subcontract or purchase order as the administering agency maydirect as a means of enforcing such provisions, includingsanctions for noncompliance: Provided, however, That inthe event a contractor becomes involved in, or is threatenedwith, litigation with a subcontractor or vendor as a result ofsuch direction by the administering agency the contractormay request the United States to enter into such litigation toprotect the interests of the United States.

The applicant further agrees that it will be bound by the above equalopportunity clause with respect to its own employment practiceswhen it participates in federally assisted construction work:

Provided, That if the applicant so participating is a State or localgovernment. the above equal opportunity clause is not applicableto any agency, instrumentality or subdivision ofsuch governmentwhich does not participate in work on or under the contract.

The applicant agrees that it will assist and cooperate actively withthe administering agency and the Secretary of Labor in obtainingthe compliance of contractors and subcontractors with the equalopportunity clause and the rules, regulations, and relevant ordersof the Secretary of Labor, that it will furnish the administeringagency and the Secretary of Labor such information as they mayrequire for the supervision of such compliance, and that it willotherwise assist the administering agency in the discharge of theagency’s primary responsibility for securing compliance.

The applicant further agrees that it will refrain from entering intoany contractor contract modification subject to Executive Order11246 of September 24. 1965, with a contractor debarred from. orwho has not demonstrated eligibility for. Government contractsand Federally-assisted construction contracts pursuant to theExecutive order and will carry out such sanctions and penaltiesfor violation of the equal opportunity clause as may be imposed

Firm Name and Address By

Title

form HUD-92010 (3/2006)VA form 26-421

upon contractors and subcontractors by the administering agencyor the Secretary of Labor pursuant to Part II, Subpart D of theExecutive order. In addition, the applicant agrees that ifit fails orrefuses to comply with these undertakings, the administeringagency may take any or all of the following actions: Cancel,terminate, orsuspend in whole or in part this grant (contract, loan,insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which thefailure or refund occurred until satisfactory assurance of futurecompliance has been received from such applicant: andrefer the caseto the Department of Justice for appropriate legal proceedings.

Excerpt from HUD Regulations

200.4lODefinition of term “applicant”.

(a) In multifamily housing transactions where controls over themortgagor are exercised by the Commissioner either throughthe ownership of corporate stock or under the provisions ofa regulatory agreement, the term “applicant” as used in thissubpart shall mean the mortgagor.

(b) In transactions other than those specified in paragraph(a) ofthis section. the term ‘applicant” as used in this subpart shallmean the builder, dealer or contractor performing the construction, repair or rehabilitation work for the mortgagor orother borrower.

200.42OEqual Opportunity Clause to be included in contracts andsubcontracts.

(a) The following equal opportunity clause shall be included ineach contract and subcontract ‘vhich is not exempt:

During the performance of this contract, the contractor agreesas follows:

(1) The contractor will not discriminate against any employee or applicant for employment because of race, creed.color, or national origin. The contractor will take affirmativeaction to ensured that applicants are employed, and thatemployees are treated during employment without regard totheir race, creed, color, or national origin. Such action shallinclude, but not be limited to the following: employment.upgrading, demotion or transfer; recruitment or recruitmentadvertising; layoff or termination; rates of pay or other formsof compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuousplaces, available to employees and applicants for employment, notices to be provided setting forth the provisions ofthe nondiscrimination clause.

(2)The contractor will in all solicitations or advertisements foremployees placed by oron behalf ofthe contractor. statc that allqualified applicants will receive consideration for employmentwithout regard race, creed, color, or national origin.

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

(4) The contractor will comply with all provisions of Executive Order 10925 of March 6 1961. as amended, and of theregulations, and relevant orders of the President’s Committee on Equal Employment Opportunity created thereby.

(5) The contractor will furnish all information and reportsrequired by Executive Order 10925 of March 6, 1961, asamended, and by the regulations, and orders of the saidCommittee ,or pursuant thereto, and will permit access to hisbooks, records, and accounts by HUD and the Committee forpurposes of investigation to ascertain compliance with suchregulations, and orders.

(6) In the event of the contractor’s non-compliance withthe nondiscrimination clause of this contract or with any ofthe said regulations, or orders, this contract may be cancelled, terminated or suspended in whole or in part and thecontractor may be declared ineligible for further Government contracts or Federally-assisted construction contractsin accordance with procedures authorized in Executive Order10925 ofMarch 6, 1961, as amende, and such other sanctionsmay be imposed and remedies invoke s provided in the saidExecutive Order or by regulations, or order of the President’sCommittee nn Equal Employment Opportunity, or as otherwise provided by law.

(7) The contractor will include the provisions of Paragraphs( 1) through (7) in every subcontractor purchase orderunless exempted by regulations. or orders of the President’sCommittee on Equal Employment Opportunity issued pursuant to Section 303 of Executive Order 10925 of March 6.1961. as amended, so that such provisions will be bindingupon each subcontractor or vender. The contractor will takesuch action with respect to any subcontract or purchaseorders as KUD may direct as a means of enforcing suchprovisions, including sanctions for noncompliance: Provided,however, that in the event the contractor becomes involvedin, or is threatened with, litigation with a subcontractor orvender as a result of such direction by HL’D, the contractormay request the United States to enter into such litigation toprotect the interests of the United States.

(b) Except in subcontracts for the performance of constructionwork at the site of construction, the clause is not required tobe inserted in subcontracts below the second tier Subcontractsmay incorporate by referenced to the equal opportunity clause.

200,425Modification in and exemptions from the regulations inthis subpart.

(a) The following transactions and contracts are exempt from theregulations in this subpart:

(I) Loans. mortgages. contracts and subcontracts not exceeding 510.000.

(2) Contract and subcontracts not exceeding SIOOMOO forstandard commercial supplies or raw material;

3 )Contracts and subcontracts under which work is to be or hasbeen performed outside the United States and where no recmitment of workers within the United States in involved. To theextent that work pursuant to such contracts is done within theUntied States, the equal opportunity clause shall be applicable;

(4) Contracts for the sale of Government property whereno appreciable amount of work is involved; and

(5) Contracts and subcontracts for an indefinite quantitywhich are not to extend for ore than one year i fthe purchaserdetermines that the amounts to be ordered under any suchcontract or subcontract are not reasonably expected to exceedSI 00,000 in the case ofcontracts or subcontracts for standardcommercial supplies and raw materials, or S 10,000 in thecase of all other contracts and subcontracts,

farm HUD-92010 (3106)VA form 26421

Certification fora Drug-Free Workplace

Applicant Name

U.S. Department of Housingand Urban Development

I certify that the above named Applicant will or will continueto provide a drug-free workplace by:

a. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or useof a controlled substance is prohibited in the Applicants workplace and specifying the actions that will be taken againstemployees for violation of such prohibition.

b. Establishing an on-going drug-free awareness program toinform employees

(1) The dangers of drug abuse in the workplace;

(2) The Applicant’s policy of maintaining a drug-freeworkplace;

(3) Any available drug counseling, rehabilitation, andemployee assistance programs; and

(4) The penalties that may be imposed upon employeesfor drug abuse violations occurring in the workplace.

c, Making it a requirement Lhat each employee to be engagedin the performance of the grant be given a copy of the statementrequired by paragraph a.;

d. Notifying the employee in the statement required by paragraph a. that, as a condition of employment under the grant, theemployee will

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in theworkplace no later than five calendar days after such conviction;

e. Notifying the agency in writing, within ten calendar daysafter receiving notice under subparagraph d.(2) from an employee or otherwise receiving actual notice of such conviction.Employers ci convicted employees must provide notice, including position title, to every grant officer or other designee onwhose grant activity the convicted employee was working,unless the Federalagency has designated a central point for thereceipt of such notices. Notice shall include the identificationnumber(s) of each affected grant;

f. Taking one of the following actions, within 30 calendardays of receiving notice under subparagraph d.(2), with respectto any employee who is so convicted

(I) Taking appropriate personnel action against such anemployee, up to and including termination. consisicnl with therequirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, lawenforcement, or other appropriate agency:

g. Making a good faith effnrt to continue to maintain a drug-free workplace through implementation of paragraphs a. thru f.

hereby certify that all the informatinn stated herein, as well as any information provided in the accompaniment herewith, is true and accurate.Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.

(18 U.S.C. 1001,1010,1012; 31 U.S.C. 3729, 38021

Name of Authorized Olilcial ‘ Tillø

Signature i Oate

x

ProgramlActivity Receiving Federal Grant Funding

Acting on behalf of the above named Applicant as its Authorized Official. I make the following certifications and agreements tothe Department of Housing and Urban Development (HUD) regarding the sites listed below:

2. Sites for Work Performance. The Applicant shall list (on separate pages) the site(s) for the performance of work done in connection with theHUD funding of the program/activity shown above: Place of Performance shall incitide the strcet address, city, county. State, and zip code.Identify each sheet with the Applicant name and address and the program/activity receiving grant Funding.)

Check here If there are workplaces on file thai are not identified on the attached sheets.

form HUD-50070 (3/98)ref. Handbooks 7417.1,7475.13,7485,1 & .3

0MB Approval No.2577-0157 (Exp. 0113112014)

Certification of Paymentsto Influence Federal Transactions

Applicant Name


Program/Activity Receiving Federal Grant Funding

the unierTgneJ certifies, to the best of his or her knowledge and belief. that:

(I) No Federal appropriated funds have been paid or will hepaid. by or on behalf of the undersigned. to any person forinfluencing or attempting to influence an officer or employee ofan agency. a Member of Congress. an officer or employee ofCongress. or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of anyFederal grant. the making of any Federal loan, the entering intoof any cooperative agreement. and the extension, continuation.renewal, amendment, or modification of any Federal contract.grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds havebeen paid or will he paid to any person for influencing orattempting to influence an officer or employee of an agency, aMember of Congress. an officer or employee of Congress. or anemployee of a Member of Congress in connection with thisFederal contract, grant. loan, or cooperative agreement. theundersigned shall complete and submit Standard Form-LLL.Disclosure Form to Report Lobbying, in accordance with itsinstructions.

(3) The undersigned shall require that the language of thiscertification he included in the award documents for all suhawardsat all tiers (including suhcontracts. suhgrants. and contractsunder grants. loans, and cooperative agreements) and that allsub recipients shall certify and disclose accordingly.

This certification is a material representation of fact upon whichreliance was placed when this transaction was made or enteredinto. Submission of this certification is a prerequisite for makingor entering into this transaction imposed by Section 1352. Title31. U.S. Code. Any person who fails to file the requiredcertification shall he subject to a civil penalty of not less thanSI 0.000 and not more than $ I 00.000 for each such failure.

I hereby certify that all the information statcd herein, as well as any infoniiation provided in the accotnpanilnent herewith, is true and accurate.Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties. (18 u.s.c. iooi, 1010,1012; 31 U.5.C. 3729, 3802)

Name at AuIioized Otficia tIle

STalin Date ‘dd

Previous edition is obsolete form HUD 50071 (3/96)ref. Handbooks 7417.1, 7475 13, 7485.1, & 7485.3

Non-Collusive Affidavit of Bidder

State of Texas §§

County of

__________________

§

On this day, [affiant’s name],being first duly sworn, affirmed under penalty of perjury the following:

1. “I am the [title] of[organization name]

(the “Bidder”). All statements in this affidavit are true, correct and are based onmy personal knowledge.

2. I am fully informed regarding Bidder’s preparation and the contents of theattached Bid and of all pertinent circumstance respecting such Bid.

3. The attached Bid is genuine and is not a collusive or sham bid.

4. I UNDERSTAND that it is a violation of United States federal law andregulations and GHA’s bid process to: (a) submit or attempt to submit acollusive or sham bid; (b) collude, conspire, connive or agree or attempt tocollude, conspire, connive or agree with any bidder, potential bidder, firm orperson to submit a sham bid; (c) cause or attempt to cause a bidder or potentialbidder to refrain from submitting a bid; (d) discourage or dissuade or attemptto discourage or dissuade a bidder or potential bidder to not submit a bid;(e) discourage or attempt to discourage any other person or organization fromcommunicating with, participating in, or cooperating with any other bidder orpotential bidder; (f) fix or attempt to fix the prices in a bid, including but notlimited to, the overhead, profit, or cost elements of a bid; or (g) secure orattempt to secure through collusion, conspiracy, connivance or agreement anyunfair advantage in this bid process.

Non-Collusive Affidavit of BidderPage 1 of 2

5. I ACKNOWLEDGE and AFFIRM that Bidder, including its officers, partners,owners, agents, representatives, employees or interested parties, have notdirectly or indirectly to: (a) submitted or attempted to submit a collusive orsham bid; (b) colluded, conspired, connived or agreed or attempted to collude,conspire, connive or agree with any bidder, potential bidder, firm or person tosubmit a sham bid; (c) caused or attempted to cause a bidder or potential bidderto refrain from submitting a bid; (d) discouraged or dissuaded or attempted todiscourage or dissuade a bidder or potential bidder to not submit a bid;(e) discouraged or attempted to discourage any other person or organizationfrom communicating with, participating in, or cooperating with any otherbidder or potential bidder; (f) fixed or attempted to fix the prices in a bid,including but not limited to, the overhead, profit, or cost elements of a bid; or(g) secured or attempted to secure through collusion, conspiracy, connivance oragreement any unfair advantage in this bid process.

6. All prices quoted in the attached Bid are fair and proper and are not tainted byany collusion, conspiracy, connivance or unlawful agreement on the part of theBidder or any of its agents, representatives, owners, employees, or interestedparties, including this affiant.”

By:

Printed Name:___________________________

Title:

______________________________________

Subscribed and sworn to under penalty of perjury before me this

_____day

of

____________,2013.

Notary Public in and for[sealj The State of Texas

Non-Collusive Affidavit of BidderPage 2 of 2

CFR PART 135: ECONOMIC OPPORTUNITIES FOR LOW- AND VERY LOW-INCOME PERSONS

Subpart B: Economic Opportunities for Section 3 Residents and Section 3 Business Concerns

135.38- Section 3 clause. All section 3 covered contracts shall include the following clause (referred to

as the section 3 clause):

A. The work to be performed under this contract is subject to the requirements of section 3 of the

Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of

section 3 is to ensure that employment and other economic opportunities generated by HUD assistance

or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low-

and very low-income persons, particuiarly persons who are recipients of HUD assistance for housing.

B. The parties to this contract agree to comply with HUD’s regulations in 24 CFR part 135, which

implement section 3. As evidenced by their execution of this contract, the parties to this contract certify

that they are under no contractual or other impediment that would prevent them from complying with

the part 135 regulations.

C. The contractor agrees to send to each labor organization or representative of workers with which the

contractor has a collective bargaining agreement or other understanding, if any, a notice advising the

labor organization or workers’ representative of the contractor’s commitments under this section 3

clause, and will post copies of the notice in conspicuous places at the work site where both employees

and applicants for training and employment positions can see the notice. The notice shall describe the

section 3 preference, shall set forth minimum number and job titles subject to hire, availability of

apprenticeship and training positions, the qualifications for each; and the name and location of the

person(s) taking applications for each of the positions; and the anticipated date the work shall begin.

D. The contractor agrees to include this section 3 clause in every subcontract subject to compliance with

regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable

provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in

violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any

subcontractor where the contractor has notice or knowledge that the subcontractor has been found in

violation of the regulations in 24 CFR part 135.

E. The contractor will certify that any vacant employment positions, including training positions, that are

filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other

than those to whom the regulations of 24 CFR part 135 require employment opportunities to be

directed, were not filled to circumvent the contractor’s obligations under 24 CFR part 135.

F. Noncompliance with HUD’s regulations in 24 CFR part 135 may result in sanctions, termination of this

contract for default, and debarment or suspension from future HUD assisted contracts.

C. With respect to work performed in connection with section 3 covered Indian housing assistance,section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e) also applies

to the work to be performed under this contract. Section 7(b) requires that to the greatest extentfeasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii)preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of section 3 andsection 7(b) agree to comply with section 3 to the maximum extent feasible, but not in derogation ofcompliance with section 7(b).

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