: rfp fy22-086-05 (cg)

Rev. 12/2019

CITY OF PHOENIX

Housing Department Chuck Garvey

Procurement Officer 251 West Washington Street,

4th Floor Phoenix, AZ 85003

(602) 262-4927 [email protected]

REQUEST FOR PROPOSAL RFP FY22-086-05 (CG)

Open Doors Down Payment Assistance Program -

mailto:[email protected]

TABLE OF CONTENTS

CITY OF PHOENIX

Solicitation Number: RFP FY22-086-05 (CG) Pg. 2 Rev. 12/2019

SOLICITATION RESPONSE CHECK LIST

SECTION I - INSTRUCTIONS 1. DESCRIPTION – STATEMENT OF NEED: 2. CITY’S VENDOR SELF-REGISTRATION AND NOTIFICATION: 3. SCHEDULE OF EVENTS: 4. PREPARATION OF OFFER: 5. OBTAINING A COPY OF THE SOLICITATION AND ADDENDA: 6. EXCEPTIONS: 7. INQUIRIES: 8. ADDENDA: 9. BUSINESS IN ARIZONA: 10. LICENSES: 11. CERTIFICATION: 12. SUBMISSION OF OFFER: 13. WITHDRAWAL OF OFFER: 14. OFFER RESULTS: 15. QUALIFICATIONS THRESHOLD CRITERIA: 16. AWARD OF CONTRACT: 17. QUALIFICATIONS/EVALUATIONS CRITERIA: 18. CONTENT OF RESPONSE: 19. EVALUATION AND SELECTION: 20. CITY'S RIGHT TO DISQUALIFY FOR CONFLICT OF INTEREST: 21. SOLICITATION TRANSPARENCY POLICY: 22. PROTEST PROCESS: 23. PUBLIC RECORD: 24. LATE OFFERS: 25. RIGHT TO DISQUALIFY: 26. CONTRACT AWARD: 27. EQUAL LOW OFFER: 28. EVALUATION OF COMPETITIVE SEALED OFFERS: 29. DETERMINING RESPONSIVENESS AND RESPONSIBILITY: 30. DETAILED EVALUATION OF OFFERS AND DETERMINATION OF

COMPETITIVE RANGE: 31. OFFERS NOT WITHIN THE COMPETATIVE RANGE: 32. DISCUSSIONS WITH OFFERORS IN THE COMPETITIVE RANGE: 33. BEST AND FINAL OFFERS (BAFO); SECTION II – STANDARD TERMS AND CONDITIONS: 1. DEFINITION OF KEY WORDS USED IN THE SOLICITATION: 2. CONTRACT INTERPRETATION: 3. CONTRACT ADMINISTRATION AND OPERATION: 4. COSTS AND PAYMENTS: 5. CONTRACT CHANGES:

TABLE OF CONTENTS

CITY OF PHOENIX


6. RISK OF LOSS AND LIABILITY: 7. CITY’S CONTRACTUAL RIGHTS: 8. CONTRACT TERMINATION: 9. STATE AND LOCAL TRANSACTION PRIVILEGE TAXES: 10. TAX INDEMNIFICATION: 11. TAX RESPONSIBILITY QUALIFICATION: 12. NO ISRAEL BOYCOTT: SECTION III – SPECIAL TERMS & CONDITIONS: 1. PRICE: 2. METHOD OF ORDERING; 3. METHOD OF INVOICING: 4. METHOD OF PAYMENT: 5. PARTIAL PAYMENTS: 6. SUPPLIER PROFILE CHANGES: 7. ESTIMATED QUANTITIES OR DOLLAR AMOUNTS 8. AUTHORIZED CHANGES: 9. SUPENSIONS OF WORK: 10. POST AWARD CONFERENCE: 11. COOPERATIVE AGREEMENT: 12. ADVERTISING: 13. EXCLUSIVE POSSESSION: 14. STRICT PERFORMANCE: 15. LICENSES AND PERMITS: 16. CONTRACTOR ASSIGNMENTS: 17. TRANSITION OF CONTRACT: 18. CONFIDENTIALITY AND DATA SECURITY: 19. EXAMINATION AND RETENTION OF CONTRCTOR'S RECORDS: 20. BACKGROUND SCREENING - STANDARD RISK: 21. IDENTITY THEFT: SECTION IV – INSURANCE AND INDEMNIFICATION: 1. DEFENSE AND IDEMNIFICATION: 2. CONTRACTOR'S INSURANCE:

2.1. SCOPE AND LIMITS OF INSURANCE: 2.2. NOTICE OF CANCELLATION: 2.3 ACCEPTABILITY OF INSURERS: 2.4 VERIFICATION OF COVERAGE: 2.5 SUBCONSULTANTS: 2.6 APPROVAL:

TABLE OF CONTENTS

CITY OF PHOENIX


SECTION V– MANDATORY FEDERAL CLAUSES 1. CONTRACTING WITH SMALL AND MINORITY BUSINESSES,

WOMEN'S BUSINESS ENTERPRISES, AND DISADVANTAGED BUSINESS ENTERPRISES:

2. DEBARMENT AND SUSPENSION (EXECUTIVE ORDERS 12549 AND 12689):

3. TERMINATION for CAUSE and for CONVENIENCE: 4. BYRD ANTI-LOBBYING CERTIFICATION (31 U.S.C. 1351): 5. CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL

ACT: 6. PROCUREMENT OF RECOVERED MATERIALS: 7. CONTRACOR EMPLOYEE WHISTLEBLOWER RIGHTS AND

REQUIREMENT TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (APR 2014):

8. DRUG-FREE WORKPLACE ACT OF 1988: 9. ENERGY EFFICIENCY: 10. PREFERENCE FOR DOMESTIC PROCUREMENT: 11. COMPLIANCE WITH FEDERAL REQUIREMENTS: 12. FORM HUD-5370-C GENERAL CONDITIONS FOR NON-

CONSTRUCTION CONTRACTS SECTION I (WITH OR WITHOUT MAINTENANCE WORK:

13. FORM HUD-5370-C GENERAL CONDITIONS FOR NON-CONSTRUCTION CONTRACTS SECTION II (WITH MAINTENANCE WORK):

SECTION VI – SCOPE OF WORK 1. INTRODUCTION: 2. DETAIL SCOPE OF WORK: SECTION VII – SUBMITTALS: 1. COPIES: 2. OFFER SUBMITTAL FORMAT: 3. COSTS AND PAYMENTS: 4. OFFER 5. BID PRICE SCHEDULE: 6. PLACE OF BUSINESS: 7. REFERENCES: 8. CERTIFICATION REGARDING DEPARTMENT SUSPENSION, AND

OTHER INELIGIBILITY AND VOLUNTARY EXCLUSION: OFFER ACCEPTANCE OF OFFER CONFLICT OF INTEREST & SOLICITATION TRANSPARENCY DISCLOSURE FORM

SECTION I - INSTRUCTIONS

Housing Department 251 West Washington Street, 4th Floor Phoenix AZ 85003


Please read before continuing to the offer document. This list may not include every requirement; the purpose is to assist vendors, but vendors are expected to read and comply with the entire solicitation.

SOLICITATION RESPONSE CHECK LIST

Check off each of the following as the necessary action is completed.

All forms have been completed and signed, including Solicitation Disclosure

form.

All Submittals are included.

Reviewed and verified prices offered.

Checked price extensions and totals.

Included any required drawings or descriptive literature.

If required, checked and included the amount of the offer surety.

Reviewed the insurance requirements, if any, to assure compliance.

Included the specified number of copies of the offer as indicated in Submittal

section.

Included signed addenda, if any.

Addressed the mailing envelope to the Procurement Officer on the solicitation

front page, at the address listed.

The mailing envelope clearly shows your company name and address, the

solicitation number, solicitation title and the offer opening date.

Mailed the response in time – City must receive offers no later than the date and time indicated in the Schedule of Events or addenda.




SECTION I – INSTRUCTIONS

1. DESCRIPTION – STATEMENT OF NEED:

The City of Phoenix (“City”) invites sealed offers for administration of the Open Doors Down Payment Assistance (“DPA”) Program, in accordance with the specifications and provisions contained herein. This program will consist of down payment and/or closing costs financial assistance to eligible first-time homebuyers. The Scope of Work is set forth in detail in Section VI of this RFP. The City intends to award with a term of two years, commencing on or about February 1, 2022, or the “Effective Date” which is upon award by City Council, conditioned upon signature and recording by the City Clerk’s department, as required by the Phoenix City Code, whichever is later, in a form approved by the City Attorney. The City retains the option to renew or extend the agreement for three additional periods of up to one year each, subject to satisfactory contractor performance, available funding, ongoing need, and the City Manager’s discretion. The contract value, depending on available federal funding, is up to 1.5 million dollars over the course of five years for loans and associated fees. The contract with the selected proposer will be on a reimbursement for services basis. The City will pay the DPA funding directly to title companies. 1.1. Down Payment Assistance Program: The City receives an annual

allocation of federal HOME investment Partnerships Program (“HOME”) funds from the U.S. Department of Housing and Urban Development (“HUD”), which the City can use to increase homeownership opportunities for low and moderate-income families. The City’s Housing Department has offered homeownership programs to the community since the 1990’s. The Open Doors DPA program is designed to assist eligible first-time homebuyers with the purchase of an affordable home in the City of Phoenix by providing funding for down payment and/or closing costs. Assistance is based on need and is provided to households earning at or below 80 percent of the Area Median Income (AMI). Homebuyers will be required to attend pre-purchasing housing counseling provided by a HUD certified housing counseling agency and certified housing counselor. It is not permitted for the awarded contractor(s) to provide HUD certified housing counseling services to homebuyers being served by this Open Doors DPA program. The agency(ies) awarded this contract must comply with all requirements outlined in the Scope of Work.

1.2. City Housing Department Overview: The Housing Department carries out

the City’s responsibilities as the City of Phoenix Public Housing Authority. As such, the Department administers a variety of programs designed to foster housing choice and affordability for lower-income residents while advancing important neighborhood revitalization and community development goals. The City’s housing plans and policies are described in




its Annual Action Plan, which is located at https://www.phoenix.gov/nsd/reports This solicitation is available through Arizona Relay Service 7-1-1. Please call TTY 800-367-8939 for assistance.

1.3. Notwithstanding the foregoing, this Agreement will terminate upon the earliest occurrence: by reaching the end of the term including any extensions exercised, or termination pursuant to the provisions of this Agreement.

2. CITY’S VENDOR SELF-REGISTRATION AND NOTIFICATION:

Vendors must be registered in the City’s procurePHX Self-Registration System at https://www.phoenix.gov/financesite/Pages/EProc-help.aspx to respond to solicitations and access procurement information. The City may, at its sole discretion, reject any offer from an Offeror who has not registered.

3. SCHEDULE OF EVENTS:

ACTIVITY (All times are

local Phoenix time)

DATE

Pre-Offer Conference

2:30 p.m. October 18, 2021

Pre-Offer Webex link

Join from the meeting link https://cityofphoenix.webex.com/cityofphoenix/j.php?MTID=md0b6cb6068a9495e6964e25191d855b1

Join by meeting number

Meeting number (access code): 246 706 52548

Meeting password: umDF2yDQF72 Tap to join from a mobile device (attendees only) +1-415-655-0001,,24670652548## US Toll Join by phone +1-415-655-0001 US Toll Global call-in numbers Join from a video system or application Dial [email protected] You can also dial 173.243.2.68 and enter your meeting number.

Join using Microsoft Lync or Microsoft Skype for Business

Dial [email protected]

Need help? Go to https://help.webex.com

https://www.phoenix.gov/nsd/reports

https://www.phoenix.gov/financesite/Pages/EProc-help.aspx

https://cityofphoenix.webex.com/cityofphoenix/j.php?MTID=md0b6cb6068a9495e6964e25191d855b1

tel:%2B1-415-655-0001,,*01*24670652548%23%23*01*

https://cityofphoenix.webex.com/cityofphoenix/globalcallin.php?MTID=m9fc011eedf6af09a6a8e5c8f91978337

sip:[email protected]


https://help.webex.com/




Written Inquiries Due Date

9:00 a.m. October 22, 2021

Offer Due Date

9:00 a.m. November 4, 2021

Offer Submittal Location in one of the following ways

A. Physical: City of Phoenix, Housing Department, Calvin Goode Building, 4th Floor, Phoenix, AZ 85003 -.

OR B. Electronic: Please submit one electronic copy through e-mail to

[email protected] of the Submittal Section and all other required documentations.

Offer(s) Read Join from the meeting link https://cityofphoenix.webex.com/cityofphoenix/j.php?MTID=mb5d99e34d8273f1232197d61df6fdd0d

Join by meeting number

Meeting number (access code): 246 331 89744

Meeting password: USdXtKGv882 Tap to join from a mobile device (attendees only) +1-415-655-0001,,24633189744## US Toll Join by phone +1-415-655-0001 US Toll Global call-in numbers Join from a video system or application Dial [email protected] You can also dial 173.243.2.68 and enter your meeting number.

Join using Microsoft Lync or Microsoft Skype for Business

Dial [email protected]

The City reserves the right to change dates and/or locations as necessary, and the City does not always hold a Pre-Offer Conference or Site visit.

4. PREPARATION OF OFFER:

4.1. All forms provided in Submittal Section must be completed and submitted with the offer. The signed and completed Solicitation Disclosure form must be included or your offer may be deemed non-responsive.

4.2. It is permissible to copy Submittal forms if necessary. Erasures, interlineations, or other modifications of the offer must be initialed in original ink by the authorized person signing the offer. No offer will be altered, amended or withdrawn after the specified offer due date and time. The City is not responsible for Offeror’s errors or omissions.


https://cityofphoenix.webex.com/cityofphoenix/j.php?MTID=mb5d99e34d8273f1232197d61df6fdd0d

tel:%2B1-415-655-0001,,*01*24633189744%23%23*01*

https://cityofphoenix.webex.com/cityofphoenix/globalcallin.php?MTID=mf728c76b85cdebc393ae01b5761fc5eb






4.3. All time periods stated as a number of days will be calendar days.

4.4. It is the responsibility of all Offerors to examine the entire solicitation and seek clarification of any requirement that may not be clear and to check all responses for accuracy before submitting an offer. Negligence in preparing an offer confers no right of withdrawal after due date and time. Offerors are strongly encouraged to:

4.4.1. Consider applicable laws and/or economic conditions that may affect cost, progress, performance, or furnishing of the products or services.

4.4.2. Study and carefully correlate Offeror’s knowledge and observations with the solicitation and other related data.

4.4.3. Promptly notify the City of all conflicts, errors, ambiguities, or discrepancies that Offeror has discovered in or between the solicitation and other related documents.

4.4.4. The City does not reimburse the cost of developing, presenting or providing any response to this solicitation. Offers submitted for consideration should be prepared simply and economically, providing adequate information in a straightforward and concise manner. The Offeror is responsible for all costs incurred in responding to this solicitation. All materials and documents submitted in response to this solicitation become the property of the City and will not be returned.

4.4.5. Offerors are reminded that the specifications stated in the solicitation are the minimum level required and that offers submitted must be for products or services that meet or exceed the minimum level of all features specifically listed in this solicitation. Offers offering less than any minimum specifications or criteria specified are not responsive and should not be submitted.

4.4.6. Offer responses submitted for products considered by the seller to be acceptable alternates to the brand names or manufacturer’s catalog references specified herein must be submitted with technical literature and/or detailed product brochures for the City’s use to evaluate the products offered. Offers submitted without this product information may be considered as non-responsive and rejected. The City will be the sole judge as to the acceptability of alternate products offered.




4.4.7. Prices will be submitted on a per unit basis by line item, when applicable. In the event of a disparity between the unit price and extended price, the unit price will prevail unless obviously in error.

5. OBTAINING A COPY OF THE SOLICITATION AND ADDENDA:

Interested Offerors may download the complete solicitation and addenda from https://solicitations.phoenix.gov/ Any interested offerors without internet access may obtain this solicitation by calling the Procurement Officer or picking up a copy during regular business hours at the City of Phoenix Housing Department, Calvin Goode Building, 251 West Washington Street, 4th Floor, Phoenix, AZ 85003. It is the Offeror’s responsibility to check the website, read the entire solicitation, and verify all required information is submitted with their offer.

6. EXCEPTIONS:

Offeror must not take any exceptions to any terms, conditions or material requirements of this solicitation. Offers submitted with exceptions may be deemed non-responsive and disqualified from further consideration in the City’s sole discretion. Offerors must conform to all the requirements specified in the solicitation. The City encourages Offerors to send inquiries to the procurement officer rather than including exceptions in their Offer.

7. INQUIRIES:

All questions that arise relating to this solicitation should be directed via email to the Procurement Officer and must be received by the due date indicated in the Schedule of Events. The City will not consider questions received after the deadline.

No informal contact initiated by Offerors on the proposed service will be allowed with members of City’s staff from date of distribution of this solicitation until after city council awards the contract. All questions concerning or issues related to this solicitation must be presented in writing.

The Procurement Officer will answer written inquiries in an addendum and publish any addendums on the Procurement Website.

8. ADDENDA:

The City of Phoenix will not be responsible for any oral instructions made by any employees or officers of the City of Phoenix regarding this solicitation. Any changes will be in the form of an addendum. The Offeror must acknowledge receipt of any/all addenda by signing and returning the document with the offer submittal.

https://solicitations.phoenix.gov/




9. BUSINESS IN ARIZONA:

The City will not enter contracts with Offerors (or any company(ies)) not granted authority to transact business, or not in good standing, in the state of Arizona by the Arizona Corporation Commission, unless the offeror asserts a statutory exception prior to entering a contract with the City.

10. LICENSES:

If required by law for the operation of the business or work related to this Offer, Offeror must possess all valid certifications and/or licenses as required by federal, state or local laws at the time of submittal. A copy of all applicable licenses must be submitted with the Offer as provided in the list of required submittals.

11. CERTIFICATION:

By signature in the offer section of the Offer and Acceptance page(s), Offeror certifies:

• The submission of the offer did not involve collusion or other anti-competitive practices.

• The Offeror must not discriminate against any employee, or applicant for employment in violation of Federal or State Law.

• The Offeror has not given, offered to give, nor intends to give at any time hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, or service to a public servant in connection with the submitted offer.

12. SUBMISSION OF OFFER:

Offers must be in possession of the Department on or prior to the exact time and date indicated in the Schedule of Events. Late offers will not be considered. The prevailing clock will be the City Department’s clock.

Offers must be submitted in submitted in one of the following ways:

12.1. Submitted in a sealed envelope and the following information should be noted on the outside of the envelope:

• Offeror’s Name

• Offeror’s Address (as shown on the Certification Page)

• Solicitation Number




• Solicitation Title

• Offer Opening Date

Such offers must be completed in ink or typewritten. Include the number of copies that are required as indicated in the Submittal section.

12.2 Submitted electronically by email to email [email protected] and the following information should be noted in the email:

• Offeror’s Name

• Offeror’s Address (as shown on the Certification Page)

• Solicitation Number

• Solicitation Title

• Offer Opening Date

Due to file size limitations for electronic transmission (for sending or receiving), offers sent by email may need to be sent in parts with multiple emails. It is the responsibility of the Offeror to ensure that the offer (including all parts if sent in multiple emails) is timely and to confirm that there are no technical reasons that any offer submitted electronically may be delayed. The date and time on the email(s) as received/stamped by the City’s inbox will provide proof of submission and verification whether the offer was received on or prior to the exact time and date indicated in the Schedule of Events.

Any original documents (such as bonds, guaranties, powers of attorney), if required by the solicitation, must be separately delivered to and received by the City on or prior to the exact time and date indicated in the Schedule of Events, with a clear indication of the offer for which it is attributed.

13. WITHDRAWAL OF OFFER:

At any time prior to the solicitation due date and time, an Offeror (or designated representative) may withdraw the offer by submitting a request in writing and signed by a duly authorized representative. If Offeror withdraws the offer electronically by email to email [email protected] , the request to withdraw must be in the form of a letter attached to the email that includes either an image of the duly authorized representative’s signature or an electronic signature from a verifiable source, such as Adobe Sign, DocuSign or a similar verifiable software program.






14. OFFER RESULTS:

Offers will be opened on the offer due date, time and location indicated in the Schedule of Events, at which time the name of each Offeror, and the prices may be read. Offers and other information received in response to the solicitation will be shown only to authorized City personnel having a legitimate interest in them or persons assisting the City in the evaluation. Offers are not available for public inspection until after the City has posted the award recommendation on the City’s website.

The City will post a preliminary offer tabulation on the City’s website, https://solicitations.phoenix.gov/Awards within five calendar days of the offer opening. The City will post the information on the preliminary tabulation as it was read during the offer opening. The City makes no guarantee as to the accuracy of any information on the preliminary tabulation. Once the City has evaluated the offers, the City will post an award recommendation on the website. By signing and submitting its offer, each Offeror agrees that this posting of the award recommendation to the City’s website effectively serves as the Offeror’s receipt of that notice of award recommendation. The City has no obligation to provide any further notification to unsuccessful Offerors.

15. QUALIFICATIONSTHRESHOLD CRITERIA:

Threshold criteria will be evaluated on a pass/fail basis by the Procurement Officer, with a “fail” rating resulting in the proposal being deemed non-responsive and rejected. Proposers must meet all of the following threshold qualification criteria prior to moving forwarded to evaluation and scoring by the selection committee:

15.1. Be a public agency or nonprofit organization currently operating in Maricopa County or be capable of having a local office, accessible to Phoenix residents, fully operational prior to the contract effective date.

15.2. Entity is not on HUD Debarment List 15.3. Entity must have (3) three years minimum experience with loan origination

programs. Loan origination is the term used to describe the process that occurs when a buyer obtains a mortgage loan from a lender. It involves several stages, starting with the loan application by the borrower, the submission of appropriate documentation, the lender’s assessment of the application and the final granting of the loan.

16. AWARD OF CONTRACT:

16.1. Unless otherwise indicated, award(s) will be made to the most responsive, responsible Offeror(s) who are regularly established in the service, or

https://solicitations.phoenix.gov/Awards




providing the goods, contained in this solicitation and who have demonstrated the ability to perform in an acceptable manner.

16.2. Factors that may be considered by the City include:

A. Technical capability of the Offeror to accomplish the scope of work required in the Solicitation. This may include performance history on past and current government or industrial contracts; and,

B. Demonstrated availability of the necessary manpower (both supervisory and operational personnel) and necessary equipment to accomplish the scope of work in the Solicitation; and,

C. Vendor history of complaints and termination for convenience or cause.

16.3. Notwithstanding any other provision of this solicitation, the City reserves the right to: (1) waive any immaterial defect or informality; or (2) reject any or all offers or portions thereof; or (3) reissue a solicitation.

16.4. A response to a solicitation is an offer to contract with the City based upon the terms, conditions, and specifications contained in the City’s solicitation. Offers do not become contracts until they are executed by the Deputy Finance Director or Department Director. A contract has its inception in the award, eliminating a formal signing of a separate contract. For that reason, all of the terms, conditions and specifications of the procurement contract are contained in the solicitation, and in any addendum or contract amendment.

16.5. Upon notification of an award the Offeror will obtain all required insurance, including certificates of insurance and endorsements showing the City as an additional insured under the policies. Where an endorsement would be needed to fulfill an insurance requirement, a current certificate is acceptable with a statement from a broker or agent that such requirements can be met in the event of contract award

17. QUALIFICATIONS/EVALUATIONS CRITERIA:

Statement of Qualifications/Evaluations shall relate specifically to the following items, listed in general order of importance, for evaluation and selection purposes:

In accordance with the Administrative Regulation, 3.10, Competitive Sealed Proposal awards shall be made to the responsible offeror(s) whose proposal is determined in writing to be the most advantageous to the City based upon the evaluation criteria listed below. The evaluation factors are listed in the relative order of importance and more details are provided in Section VI – Scope of Work.




Experience, Financial Capacity and Qualifications 450 Points Design 350 Points Price and Cost 200 Points TOTAL AVAILABLE POINTS: 1000 MAXIMUM Experience, Financial Capacity and Qualifications Offerors will be evaluated by capacity and demonstrated effectiveness in performing the specified work as evidenced by references and other supporting documentation; qualifications of staff to perform services described and experience in accomplishing the proposed services; financial stability and years in existence.

A. Business History and Government/Corporate Experience The Offeror shall provide a history of the business including the date established, the type of ownership or legal structure of the business (public agency or non-profit), the length of time that the offeror has been operating as the legal entity. Please provide your experience and length of time with loan origination programs. Specify funding source; contract amount; length of contract and contracting parties. An Offeror that has previous or current experience providing loan origination services, utilizing HUD funding, is preferred. Offerors that do not meet the minimum requirements of 3 years of loan origination experience will not be evaluated. Discuss the areas of expertise, resources and partnerships available locally to provide the requested services. State the offeror’s experience in providing services to large public entities or large corporate entities. List other government contracts that you have now or have had in the past five years including the City of Phoenix. Provide two years of financial/single audits. Notwithstanding any information you provide, the City reserves the right to independently review any of offeror’s contract records, including City contract records, for the past five years.

B. Adverse Actions/Potential Impact State whether the offeror is currently involved in any litigation, threatened litigation, investigation, reorganization, receivership, filing, strike, audit, corporate acquisition, unpaid judgments or other action that could have an adverse impact on your ability to provide the services. If so, please describe the nature of the item, its potential impact and supply all pertinent documentation. State whether the offeror has been unable to complete a contract, been removed from a contract, been replaced during a contract period, been out of compliance or had findings in the past five years. If so, explain what happened and why. Additionally, submit applicable formal




letters, corrective action plans and/or notifications addressing matters of noncompliance. Notwithstanding any information you provide, the City reserves the right to independently review any of offeror’s contract records, including City contract records, for the past five years. Panel members may be provided City of Phoenix contract documentation such as letters of noncompliance, corrective actions and/or notifications addressing matters of noncompliance that are contained in City of Phoenix contract files and dated within the last five years. Offerors will not be considered if they are on the HUD debarment list.

C. Staff Qualifications List the proposed key members of staff to be assigned to the City’s contract including their roles and estimated participation in delivering the services. Demonstrate staff capacity to conduct federal income/eligibility determination with a minimum three (3) years’ experience (i.e. DES; LIHEAP; HOME; Head Start etc.).

Attach resumes of all key personnel (i.e. accountants; housing counselors; managers etc.) that will be assigned to perform these services. Include education, training and bi-lingual capacity. Resumes shall state clearly any experience specifically related to the Scope of Work and list any similar work successfully completed. Staff that have current or previous experience providing loan origination services, utilizing HUD funding, are preferred. The offeror may use this section to identify any certifications or awards it has received related to the services outlined in the Scope of Work.

D. Sample Projects

Describe sample projects (not to exceed 3) that best illustrate the offeror’s qualifications for the scope of the services, identifying any projects accomplished by current staff. This can include work conducted under a previous employer. Provide examples of DPA programs administered or programs of similar complexity that demonstrate the offeror’s ability and experience to successfully perform the services. Include details such as underwriting guidelines utilized etc.

E. Sample Documentation and Templates Submit sample documents and templates that could be utilized for this program. Include the following: 1) program application 2) prescreening checklist 3) income eligibility, AMI and ratio worksheet to include actual calculations and eligibility determination.




F. References Offeror shall furnish a minimum of three (3), but no more than five (5),

references from agencies or government organizations for which the offeror is currently providing services or has provided services in the past five years. References from large public entities or large corporate entities are preferred.

Please provide for each reference: Name of Company or Government

Entity, Name of Reference, Address, Telephone Number and E-mail Address.

Design Offeror’s approach, methodology, timelines and implementation strategy for providing services for the following required activities:

(1) Policies and Procedures; (2) Client/Community Outreach; (3) Eligibility Determination;

a. Pre-screening b. Intake

(4) Loan Processing; a. Qualification b. Requalification c. Loan Agreement

(5) Record Keeping and Data Collection; (6) Method of Invoicing; and (7) Compliance with Federal Requirements.

Describe method of approach to satisfy the requirements of the solicitation. This should be accomplished by covering the Scope of Work requirements. Proposer may utilize a written narrative or other printed technique (i.e. flyers; maps; websites; flow charts etc.) to demonstrate the ability to satisfy the Scope of Work to include:

A. Implementation

List all categories that will be included in the required (1) Policies and Procedures. Provide your approach, methodology, timelines and implementation for activities 2-7 above and the strategy that provides for the execution of approximately 45 total loans over 5 years. Include a list of partners, applicable letters of support, MOU’s and indicate how the collaboration(s) will be utilized to fulfill the contract.

B. Customer Service – Availability and Office Resources Provide an estimate of key personnel time on each major activity, including any sub-categories in an activity. State the work schedule




(days and hours) that the contract representative will be available and identify the capacity of assigned personnel to perform the work in conjunction with other workload requirements. Offerors will provide agency mission and values, as it relates to customer service. Discuss employee capacity to work and communicate with non-English speaking clients. State or describe the on-site resources such as office space and the availability of confidential settings.

C. Technology Describe in-depth how the offeror currently uses technology in performing services and how you will use technology to fulfill the proposed services (i.e. zoom accounts; confidential electronic file transfer site; online customer portal; electronic record retention; database, etc.). Describe how the homebuyers sensitive data will be protected. Describe your standard operating procedures for technology security breach. Explain your standard operating procedures and backup plan for a system failure and recovery.

Pricing and Costs

A. Reasonableness of Fees Proposals will be evaluated by reasonableness of fees based on a per unit pricing for each executed loan. Offerors will take into consideration that one flat fee can be billed for each executed loan, which includes reimbursement for the following components:

1) Pre-Screening 2) Intake 3) Loan Processing 4) Inspections and 5) Record Keeping and Data Collection.

Please take into account that fees for Uniform Physical Condition Standards (UPCS) inspections cannot be charged to the homebuyer and must be figured into your fees and costs. Homes are required to pass UPCS inspections. This may result in more than one inspection having to be conducted, per homeowner. The awarded agency has two options for meeting this requirement

1) Contract with an outside entity to perform UPCS inspections 2) Utilize in-house staff to complete these inspections.

If this second option is utilized, it is required that the employees(s) performing these inspections are trained and certified to complete UPCS inspections. Additionally, staff completing the inspections cannot be the same employees that are assigned to any aspects of the Open Doors DPA processes. The maximum score for price will be assigned to the offeror offering the lowest price and proportional scores will be assigned to the other offerors.




B. Budget Controls Describe the fiscal accounting processes and budgetary controls that you will use to ensure the responsible use and management of contract funds and accurate invoicing. State how costs incurred under this project will be appropriately accounted for and only applicable project expenses will be billed to the City of Phoenix. State your fiscal reporting and monitoring capabilities (e.g., spread sheets, automated fiscal reports, quality controls, checks and balances) to ensure the contract funds and fee structure outlined in the Proposed Budget and Method of Invoicing (detailed in Scope of Work) are managed responsibly. Describe the procedures you will implement to ensure that the City receives satisfactory products and services at low costs, i.e., how the proposer will strive to provide the best value at the lowest price.

18. CONTENT OF RESPONSE:

The Offerors’ response will include the following (detailed in Qualifications/Evaluations Criteria section)

18.1. Experience, Financial Capacity and Qualifications

18.1.1. Business History and Government/Corporate Experience a. All requested information and the required two years of financial

audits. 18.1.2. Adverse Actions/Potential Impact

a. All requested information and the required applicable documentation regarding current business legal issues and/or current or past contractual issues.

18.1.3. Staff Qualifications a. All requested information and the required resumes for all staff

(not to exceed three (3) pages per resume). 18.1.4. Sample Projects

a. Sample projects (not to exceed three (3)). Include all requested information.

18.1.5. Sample Documentation and Templates a. Documents and templates to include application; prescreening




checklist; income eligibility, AMI and ratio worksheet.

18.1.6. Customer References a. A minimum of three (3), not to exceed five (5), references from entities the offeror is currently providing services or has provided services within the past five years.

18.2. Design

Offeror’s approach, methodology, timelines and implementation strategy for providing services in written narrative or other printed technique for the following: Policies and Procedures; Client Outreach; Eligibility Determination; Loan Processing; Record Keeping and Data Collection; Method of Invoicing; Compliance with Federal Requirements

18.2.1. Implementation

18.2.2. Customer Service – Availability

18.2.3 Customer Service – Office Resources

18.2.4 Technology

18.3. Pricing and Costs

18.3.1. Reasonableness of Fees

18.3.2. Budget Controls

19. EVALUATION AND SELECTION:

19.1 After evaluating all submissions, the City may ask some or all the firms that submitted a response to participate in interviews. Upon completion of the evaluation process, the City may assign a detailed scope of work to the selected candidate and negotiate fees for services.

19.2. RFP responses should be concise, well-organized per the requested information, clearly written. The review process places considerable emphasis on the responsiveness of the RFP response to the requirements outlined above. RFP responses that are not written specifically in response to this request cannot receive serious consideration.

19.3. All RFP responses will be evaluated based on the criteria listed above in the Qualifications Section of this RFP.




19.4. The firms under consideration for this RFP, will be evaluated by an evaluation committee. The City reserves the right to request supplemental information that the Evaluation Committee deems necessary to make a selection. The Committee may be supplemented by outside professionals or professionals from other City departments who can provide additional expertise.

20. CITY’S RIGHT TO DISQUALIFY FOR CONFLICT OF INTEREST:

The City reserves the right to disqualify any Offeror based on any real or apparent conflict of interest that is disclosed by the offer submitted or any other data available to the City. This disqualification is at the sole discretion of the City. Any Offeror submitting an offer herein waives any right to object now or at any future time, before any agency or body, including but not limited to, the City Council of the City of Phoenix or any court.

21. SOLICITATION TRANSPARENCY POLICY:

21.1. Commencing on the date and time a solicitation is published, potential or actual offerors or respondents(including their representatives) shall only discuss matters associated with the solicitation with the Mayor, any members of City Council, the City Manager, any Deputy City Manager, or any department director directly associated with the solicitation (including in each case their assigned staff, except for the designated procurement officer) at a public meeting, posted under Arizona Statutes, until the resulting contract(s) are awarded to all offers or responses are rejected and the solicitation is cancelled without any announcement by the Procurement Officer of the City’s intent to reissue the same or similar solicitation.

21.2. As long as the solicitation is not discussed, Offerors may continue to conduct business with the City and discuss business that is unrelated to the solicitation with the City staff. Offerors may not discuss the solicitation with any City employees or evaluation panel members.

21.3. Offerors may discuss their proposal or the solicitation with the Mayor or one or more members of the Phoenix City Council, provided such meetings are scheduled through the Procurement Officer, and are posted as open meetings with the City Clerk at least 24 hours prior to the scheduled meetings. The City Clerk will be responsible for posting the meetings. The posted notice shall identify the participants and the subject matter, as well as invite the public to participate.




21.4. With respect to the selection of the successful Offerors, the City Manager and/or City Manager's Office will continue the past practice of exerting no undue influence on the process. In all solicitations of bids and proposals, any direction on the selection from the City Manager and/or City Manager's Office and Department Head (or representative) to the proposal review panel or selecting authority must be provided in writing to all prospective Offerors.

21.5. This policy is intended to create a level playing field for all Offerors, assure that contracts are awarded in public, and protect the integrity of the selection process. OFFERORS THAT VIOLATE THIS POLICY SHALL BE DISQUALIFIED. After official Notice is received by the City for disqualification, the Offeror may follow the Protest process, unless the Solicitation is cancelled without notice of intent to re-issue.

21.6. “To discuss” means any contact by the Offeror, regardless of whether the City responds to the contact. Offerors that violate this policy will be disqualified until the resulting contract(s) are awarded, or all offers or responses are rejected and the solicitation is cancelled without any announcement by the Procurement Officer of the City’s intent to reissue the same or a similar solicitation. The City interprets the policy as continuing through a cancellation of a solicitation until Council award of the contract, as long as the City cancels with a statement that the City will rebid the solicitation.

22. PROTEST PROCESS:

A. Offeror may protest the contents of a solicitation no later than seven days before the solicitation deadline when the protest is based on an apparent alleged mistake, impropriety or defect in the solicitation. Protests filed regarding the solicitation may be addressed by an amendment to the solicitation or denied by the City. If denied, the opening and award will proceed unless the City determines that it is in the City’s best interests to set new deadlines, amend the solicitation, cancel or re-bid.

B. Therefore, unless otherwise notified by a formal amendment, the Protester must adhere to all solicitation dates and deadlines, including timely filing of an offer, regardless of filing a protest.




C. Offeror may protest an adverse determination issued by the City regarding responsibility and responsiveness, within seven days of the date the Offeror was notified of the adverse determination.

D. Offeror may protest an award recommendation if the Offeror can establish that it had a substantial chance of being awarded the contract and will be harmed by the recommended award. The City will post recommendations on the City’s website to award the contract(s) to an Offeror(s). Offeror must submit award protests within seven days after the posting of the award recommendation, with exceptions only for good cause shown, within the City’s full and final discretion.

E. All protests will be in writing, filed with the Procurement Officer identified in the solicitation and include the following:

a. Identification of the solicitation number;

b. The name, address and telephone number of the protester;

c. A detailed statement describing the legal and factual grounds for the protest, including copies of relevant documents;

d. The form of relief requested; and

e. The signature of the protester or its authorized representative.

F. The Procurement Officer will render a written decision within a reasonable period after the protest is filed. The City will not request City Council authorization to award the contract until the protest process is complete. All protests and appeals must be submitted in accordance with the City’s Procurement Code, (Phoenix City Code, Ch. 43) and any protests or appeals not submitted within the time requirements will not be considered. Protests must be filed with the Procurement Officer.

23. PUBLIC RECORD:

All Offers submitted in response to this solicitation will become the property of the City and become a matter of public record available for review pursuant to Arizona State law. If an Offeror believes that a specific section of its Offer response is confidential, the Offeror will isolate the pages marked confidential in a specific and clearly labeled section of its Offer response. An Offeror may request specific information contained within its Offer is treated by the Procurement Officer as confidential provided the Offeror clearly labels the information “confidential.” To the extent necessary for the evaluation process, information marked as “confidential” will not be treated as confidential. Once the procurement file becomes available for public inspection, the Procurement Officer will not make any information




identified by the Offerors as “confidential” available to the public unless necessary to support the evaluation process or if specifically requested in accordance with applicable public records law. When a public records request for such information is received, the Procurement Officer will notify the Offeror in writing of any request to view any portion of its Offer marked “confidential.” The Offeror will have the time set forth in the notice to obtain a court order enjoining such disclosure. If the Offeror does not provide the Procurement Officer with a court order enjoining release of the information during the designated time, the Procurement Officer will make the information requested available for inspection.

24. LATE OFFERS:

Late Offers Late Offers must be rejected, except for good cause. If a late Offer is submitted, the Department will document the date and time of the submittal of the late Offer, keep the Offer and notify the Offeror that its Offer was disqualified for being late.

25. RIGHT TO DISQUALIFY:

The City reserves the right to disqualify any Offeror who fails to provide information or data requested or who provides materially inaccurate or misleading information or data. The City further reserves the right to disqualify any Offeror on the basis of any real or apparent conflict of interest that is disclosed by the Offeror submitted or any other data or information available to the City. This disqualification is at the sole discretion of the City. By submission of a solicitation response, the Offeror waives any right to object now or at any future time, before any agency or body including, but not limited to, the City Council of the City or any court as to the exercise by the City of such right to disqualify or as to any disqualification by reason of real or apparent conflict of interest determined by the City. The City reserves the right to replace the disqualified Offeror.

26. CONTRACT AWARD:

The City reserves the right to award a contract by individual line items, by group, all or none, or any other combination most advantageous to the City. The City reserves the right to multiple award.

27. EQUAL LOW OFFER:

Contract award will be made by putting the names of the tied vendors in a cup for a blind drawing limited to those bidders with tied offers. If time permits, the offerors involved will be given an opportunity to attend the drawing. The drawing will be witnessed by at least three persons, and the contract file will contain the names and addresses of the witnesses.




28. EVALUATION OF COMPETITIVE SEALED OFFERS:

The City will use its discretion in applying the following processes to this solicitation. Any ties in scoring will be resolved with a best and final price request and the lowest price will prevail.

29. DETERMINING RESPONSIVENESS AND RESPONSIBILITY:

29.1. Offers will be reviewed for documentation of minimum qualifications, completeness, and compliance with the Solicitation requirements. The City reserves sole discretion to determine responsiveness and responsibility.

29.2. Responsiveness: Nonresponsive Offers will not be considered in the evaluation process. The solicitation states criteria that determine responsiveness, and the solicitation includes terms and conditions that if included or excluded from Offers (as the case may be) will render an Offer nonresponsive.

29.3. Exceptions, conditions, reservations, or understandings are presumed to be unacceptable, and an Offer that includes unacceptable exceptions, conditions, reservations, or understandings may be rejected as nonresponsive. Alternatively, the City in its sole discretion may instruct in writing that any Offeror remove the conditions, exceptions, reservations or understandings. If the Offeror fails to do so in writing, the City may determine the Offer to be nonresponsive.

29.4. Responsibility: To obtain true economy, the City must conduct solicitations to minimize the possibility of a subsequent default by the contractor, late deliveries, or other unsatisfactory performance that may result in additional administrative costs. It is important that the Offeror be a responsible contractor. Responsibility includes the Offeror’s integrity, skill, capacity, experience, and facilities for conducting the work to be performed.

29.5. The Procurement Officer will review each Offer to determine if the Offeror is responsible. The City’s determination as to whether an Offeror is responsible will be based on all information furnished by the Offeror, interviews (if any), and information received from Offeror’s references, including information about Offeror’s history, terminations for convenience or cause, contract breach lawsuits or notices of claim and any other sources the City deems appropriate. Award of the Contract resulting from the solicitation will not be made until any necessary investigation, which each Offeror agrees to permit by submitting its Offer, is made by the City as it deems necessary. A review of responsibility may occur up to contract award.




29.6. The Offeror’s unreasonable failure to promptly supply information about an inquiry with respect to responsibility may be grounds for a determination of non-responsibility with respect to such Offeror.

30. DETAILED EVALUATION OF OFFERS AND DETERMINATION OF COMPETITIVE RANGE:

During deliberations, the Evaluation Panel will reach a consensus score for each evaluation criterion except price. The Procurement Officer will score the price, which will be added to the overall consensus score. The overall consensus scores will determine the Offerors’ rankings and which Offers are within the Competitive Range, when appropriate.

31. OFFERS NOT WITHIN THE COMPETITIVE RANGE:

The City may notify Offerors of Offers that the City determined are not in the Competitive Range.

32. DISCUSSIONS WITH OFFERORS IN THE COMPETITIVE RANGE:

32.1. The City will notify each Offeror whose Offer is in the Competitive Range or made the ‘short list’ and provide in writing any questions or requests for clarification to the Offeror. Each Offeror so notified may be interviewed by the City and asked to discuss answers to written or oral questions or provide clarifications to any facet of its Offer. The Offerors in the competitive range may be required to provide a demonstration of their product.

32.2. Demonstrations - Offerors in the competitive range may be invited to construct a hands-on sample or presentation of their solution at the City of Phoenix. In addition, each finalist may prepare and deliver a presentation of their proposed solution based on the script developed by the evaluation panel. The City may also require a hands-on lab demonstration designed specifically for the evaluation panel. The results of the surveys will be tabulated and delivered to the evaluation team for the final review and solution selection session(s).

32.3. If an Offer in the Competitive Range contains conditions, exceptions, reservations or understandings to or about any Contract or Solicitation Scope requirement, the City may discuss or negotiate the conditions, exceptions, reservations or understandings during these meetings. But the City in its sole discretion may reject any and all conditions, exceptions, reservations and understandings, and the City may instruct any Offeror to remove the conditions, exceptions, reservations or understandings. If the Offeror fails to do so, the City may determine the Offer is nonresponsive, and the City may revoke its determination that the Offer is in the Competitive Range.




32.4. To the fullest extent permitted by law, the City will not provide any information, financial or otherwise, to any Offeror about other Offers received in response to this solicitation. During discussions with Offerors in the Competitive Range, the City will not give Offerors specific prices or specific financial requirements that Offerors must meet to qualify for further consideration. The City may state that proposed prices are too high with respect to the marketplace or otherwise unacceptable. Offerors will not be told of their relative rankings before Contract award.

33. BEST AND FINAL OFFERS (BAFO):

33.1. A BAFO is an option available for negotiations. Each Offeror in the Competitive Range, which is determined in the City’s sole discretion, may be afforded the opportunity to amend its Offer and make one BAFO.

33.2. If an Offeror’s BAFO modifies its initial Offer, the modifications must be identified in the BAFO. The City will evaluate BAFOs based on the same requirements and criteria applicable to initial Offers. The City will adjust appropriately the initial scores for criteria that have been affected by Offer modifications made by a BAFO. Based on the criteria defined in the solicitation as weighted, the City will then perform final scoring and prepare final rankings.

33.3. The Evaluation Panel will recommend the Offer that is the best value and most advantageous to the City based on the evaluation criteria.

33.4. The City reserves the right to make an award to an Offeror whose Offer is the highest rated, best value, and most advantageous to the City based on the evaluation criteria, without conducting written or oral discussions with any Offeror, without negotiations, and without soliciting BAFOs.

SECTION II – STANDARD TERMS AND CONDITIONS




1. DEFINITION OF KEY WORDS USED IN THE SOLICITATION:

Shall, Will, Must: Indicates a mandatory requirement. Failure to meet these mandatory requirements may result in the rejection of Offer as non-responsive.

Should: Indicates something that is recommended but not mandatory. If the Contractor fails to provide recommended information, the City may, at its sole option, ask the Contractor to provide the information or evaluate the offer without the information.

May: Indicates something that is not mandatory but permissible.

For purposes of this solicitation, the following definitions will apply: “A.R.S.” Arizona Revised Statute

“Buyer” or “Procurement Officer”

City of Phoenix staff person responsible for the solicitation. The City employee or employees who have specifically been designated to act as a contact person or persons to the Contractor, and responsible for monitoring and overseeing the Contractor's performance under this contract.

"City" The City of Phoenix

"Contractor" The individual, partnership, or corporation who, as a result of the competitive process, is awarded a contract by the City of Phoenix.

"Contract” or “Agreement"

The legal agreement executed between the City of Phoenix, AZ and the Contractor.

“Days” Means calendar days unless otherwise specified.




“Deputy Finance Director”

The contracting authority for the City of Phoenix, AZ, authorized to sign contracts and amendments thereto on behalf of the City of Phoenix, AZ.

“Employer” Any individual or type of organization that transacts business in this state, that has a license issued by an agency in this state and employs one or more employees in this state. Employer includes this state, any political subdivision of this state and self-employed persons. In the case of an independent contractor, employer means the independent contractor and does not mean the person or organization that uses contract labor. (A.R.S. 23-211).

“Offer” Means a response from a supplier, contractor or service provider to a solicitation request that, if awarded, binds the supplier, contractor or service provider to perform in accordance with the contract. Same as bid, proposal, quotation or tender.

“Offeror” Any Vendor, Seller or Supplier submitting a competitive offer in response to a solicitation from the City. Same as Bidder or Proposer.

“Solicitation” Means an Invitation for Bid (IFB), Request for Proposal (RFP), Request for Quotations (RFQ), Request for Qualifications (RFQu) and request for sealed bids, or any other type of formal procurement which the City makes public through advertising, mailings, or some other method of communication. It is the process by which the City seeks information, proposals, bids or quotes from suppliers.

“Suppliers” Firms, entities or individuals furnishing goods or services to the City.

“Vendor or Seller” A seller of goods or services.




2. CONTRACT INTERPRETATION: 2.1. APPLICABLE LAW: This Contract will be governed by the law of the State

of Arizona, and suits pertaining to this Contract will be brought only in Federal or State courts in Maricopa County, State of Arizona.

2.2. CONTRACT ORDER OF PRECEDENCE: In the event of a conflict in the

provisions of the Contract, as accepted by the City and as they may be amended, the following will prevail in the order set forth below: 2.2.1. Special terms and conditions 2.2.2. Standard terms and conditions 2.2.3. Amendments 2.2.4. Statement or scope of work (with attachments) 2.2.5. Specifications 2.2.6. Attachments 2.2.7. Federal/HUD Clauses 2.2.8. Instructions to Contractors 2.2.9. Other documents referenced or included in the Solicitation

2.3. ORGANIZATION – EMPLOYMENT DISCLAIMER: The Agreement

resulting hereunder is not intended to constitute, create, give rise to or otherwise recognize a joint venture agreement or relationship, partnership or formal business organization of any kind, and the rights and obligations of the parties will be only those expressly set forth in the agreement. The parties agree that no persons supplied by the Contractor in the performance of Contractor’s obligations under the agreement are considered to be City’s employees and that no rights of City civil service, retirement or personnel rules accrue to such persons. The Contractor will have total responsibility for all salaries, wage bonuses, retirement, withholdings, workmen’s compensation, occupational disease compensation, unemployment compensation, other employee benefits and all taxes and premiums appurtenant thereto concerning such persons, and will save and hold the City harmless with respect thereto.

2.4. SEVERABILITY: The provisions of this Contract are severable to the extent

that any provision or application held to be invalid will not affect any other provision or application of the contract which may remain in effect without the invalid provision or application.

2.5. NON-WAIVER OF LIABILITY: The City of Phoenix as a public entity

supported by tax monies, in execution of its public trust, cannot agree to waive any lawful or legitimate right to recover monies lawfully due it. Therefore, any Contractor agrees that it will not insist upon or demand any statement whereby the City agrees to limit in advance or waive any right the




City might have to recover actual lawful damages in any court of law under applicable Arizona law.

2.6. PAROL EVIDENCE: This Agreement is intended by the parties as a final

expression of their agreement and is intended also as a complete and exclusive statement of the terms of this agreement. No course of prior dealings between the parties and no usage in the trade will be relevant to supplement or explain any term used in this Contract. Acceptance or acquiescence in a course of performance rendered under this contract will not be relevant to determine the meaning of this Contract even though the accepting or acquiescing party has knowledge of the nature of the performance and opportunity to object.

3. CONTRACT ADMINISTRATION AND OPERATION: 3.1. RECORDS: All books, accounts, reports, files and other records relating to

the contract will be subject at all reasonable times to inspection and audit by the City for five years after completion of the contract. Such records will be produced at a City of Phoenix office as designated by the City. Confidentiality will be maintained, and City will not violate any proprietary or other confidentiality agreements vendor has in place.

3.2. DISCRIMINATION PROHIBITED: Contractor agrees to abide by the

provisions of the Phoenix City Code Chapter 18, Article V as amended.

Any contractor, in performing under this contract, will not discriminate against any worker, employee or applicant, or any member of the public, because of race, color, religion, sex, national origin, age or disability nor otherwise commit an unfair employment practice. The supplier and/or lessee will take action to ensure that applicants are employed, and employees are dealt with during employment without regard to their race, color, religion, sex, or national origin, age or disability and adhere to a policy to pay equal compensation to men and women who perform jobs that require substantially equal skill, effort and responsibility, and that are performed within the same establishment under similar working conditions. Such action will include but not be limited to the following: Employment, promotion, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training; including apprenticeship. The supplier further agrees that this clause will be incorporated in all subcontracts with all labor organizations furnishing skilled, unskilled and union labor, or who may perform any such labor or services in connection with this contract. Contractor further agrees that this clause will be incorporated in all subcontracts, job-contractor agreements or subleases of this agreement entered into by supplier/lessee.




3.3. EQUAL EMPLOYMENT OPPORTUNITY AND PAY: In order to do business with the City, Contractor must comply with Phoenix City Code, 1969, Chapter 18, Article V, as amended, Equal Employment Opportunity Requirements. Contractor will direct any questions in regard to these requirements to the Equal Opportunity Department, (602) 262-6790.

For a Contractor with 35 employees or fewer: Contractor in performing under this Agreement shall not discriminate against any worker, employee or applicant, or any member of the public, because of race, color, religion, sex, national origin, age, or disability, nor otherwise commit an unfair employment practice. The Contractor will ensure that applicants are employed, and employees are dealt with during employment without regard to their race, color, religion, sex, national origin, age, or disability. Such action shall include but not be limited to the following: employment, promotion, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training; including apprenticeship. The Contractor further agrees that this clause will be incorporated in all subcontracts related to this Agreement that involve furnishing skilled, unskilled and union labor, or who may perform any such labor or services in connection with this Agreement. Contractor further agrees that this clause will be incorporated in all subcontracts, Contractor agreements or subleases of this agreement entered into by supplier/lessee. For a Contractor with more than 35 employees: Contractor in performing under this Agreement shall not discriminate against any worker, employee or applicant, or any member of the public, because of race, color, religion, sex, national origin, age, or disability, nor otherwise commit an unfair employment practice. The Contractor will ensure that applicants are employed, and employees are dealt with during employment without regard to their race, color, religion, sex, national origin, age, or disability, and shall adhere to a policy to pay equal compensation to men and women who perform jobs that require substantially equal skill, effort, and responsibility, and that are performed within the same establishment under similar working conditions. Such action shall include but not be limited to the following: employment, promotion, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training; including apprenticeship. The Contractor further agrees that this clause will be incorporated in all subcontracts with all labor organizations furnishing skilled, unskilled and union labor, or who may perform any such labor or services in connection with this contract. Contractor further agrees that this clause will be incorporated in all subcontracts, job-Contractor agreements or subleases of




this Agreement entered into by supplier/lessee. The Contractor further agrees not to discriminate against any worker, employee or applicant, or any member of the public, because of sexual orientation or gender identity or expression and shall ensure that applicants are employed, and employees are dealt with during employment without regard to their sexual orientation or gender identity or expression. 3.4.3 Documentation: Suppliers and lessees may be required to provide additional documentation to the Equal Opportunity Department affirming that a nondiscriminatory policy is being utilized. 3.4.4 Monitoring: The Equal Opportunity Department shall monitor the employment policies and practices of suppliers and lessees subject to this article as deemed necessary. The Equal Opportunity Department is authorized to conduct on-site compliance reviews of selected firms, which may include an audit of personnel and payroll records, if necessary.

3.4. LEGAL WORKER REQUIREMENTS: The City of Phoenix is prohibited by A.R.S. § 41-4401 from awarding a contract to any Contractor who fails, or whose subcontractors fail, to comply with A.R.S. § 23-214(A). Therefore, Contractor agrees that: 3.4.1. Contractor and each subcontractor it uses warrants their compliance

with all federal immigration laws and regulations that relate to their employees and their compliance with A.R.S. § 23-214, subsection A.

3.4.2 A breach of a warranty under paragraph 1 will be deemed a material breach of the contract that is subject to penalties up to and including termination of the contract.

3.4.3 The City of Phoenix retains the legal right to inspect the papers of any Contractor or subcontractor employee who works on the contract to ensure that the Contractor or subcontractor is complying with the warranty under paragraph 1.

3.5. HEALTH, ENVIRONMENTAL AND SAFETY REQUIREMENTS: The

Contractor’s products, services and facilities will be in full compliance with all applicable Federal, State and local health, environmental and safety laws, regulations, standards, codes and ordinances, regardless of whether or not they are referred to by the City.

At the request of City representatives, the Contractor will provide the City: 3.5.1 Environmental, safety and health regulatory compliance documents

(written safety programs, training records, permits, etc.) applicable to services provided by the Contractor in this contract




3.5.2 A list of all federal, state, or local (EPA, OSHA, Maricopa County, etc.) citations or notice of violations issued against their firm or their subcontractors including dates, reasons, dispositions and resolutions.

The City will have the right, but not the obligation to inspect the facilities, transportation vehicles or vessels, containers and disposal facilities provided by the Contractor or subcontractor. The City will also have the right to inspect operations conducted by the Contractor or subcontractor in the performance of this agreement. The City further reserves the right to make unannounced inspections of the Contractor’s facilities (during normal business hours).

3.6. COMPLIANCE WITH LAWS: Contractor agrees to fully observe and comply

with all applicable Federal, State and local laws, regulations, standards, codes and ordinances when performing under this Contract regardless of whether they are being referred to by the City. Contractor agrees to permit City inspection of Contractor’s business records, including personnel records to verify any such compliance. Because the contractor will be acting as an independent contractor, the City assumes no responsibility for the Contractor’s acts.

3.7. LAWFUL PRESENCE REQUIREMENT: Pursuant to A.R.S. §§ 1-501 and -502, the City of Phoenix is prohibited from awarding a contract to any natural person who cannot establish that he or she is lawfully present in the United States. In order to establish lawful presence, this person must produce qualifying identification and sign a City-provided affidavit affirming that the identification provided is genuine. This requirement will be imposed at the time of contract award. In the event the prevailing responder is unable to satisfy this requirement, the City will offer the award to the next-highest scoring responder. The law does not apply to fictitious entities such as corporations, partnerships and limited liability companies

3.8. CONTINUATION DURING DISPUTES: Contractor agrees that notwithstanding the existence of any dispute between the parties, insofar as is possible, under the terms of the contract, the Contractor will continue to perform the obligations required of Contractor during the continuation of any such dispute unless enjoined or prohibited by an Arizona Court of competent jurisdiction.

3.9. EMERGENCY PURCHASES: The City reserves the right to purchase from

other sources those items which are required on an emergency basis and cannot be supplied immediately from stock by the Contractor.




4. COSTS AND PAYMENTS: 4.1. GENERAL: Any prompt payment terms offered must be clearly noted by the

Contractor on all invoices submitted to the City for the payment of goods or services received. The City will make every effort to process payment for the purchase of material or services within thirty to forty-five calendar days after receipt of a correct invoice, unless a good faith dispute exists to any obligation to pay all or a portion of the account. Payment terms are specified in the Offer.

4.2. PAYMENT DEDUCTION OFFSET PROVISION: Contractor acknowledges that the City Charter requires that no payment be made to any Contractor as long as there is an outstanding obligation due to the City. Contractor agrees that any obligation it owes to the City will be offset against any payment due to the Contractor from the City.

4.3. LATE SUBMISSION OF CLAIM BY CONTRACTOR: The City will not honor any invoices or claims which are tendered one year after the last item of the account accrued.

4.4. DISCOUNTS: Payment discounts will be computed from the date of receiving acceptable products, materials and/or services or correct invoice, whichever is later to the date payment is mailed.

4.5. NO ADVANCE PAYMENTS: Advance payments are not authorized. Payment will be made only for actual services or commodities that have been received, unless addressed specifically in the Scope of work for subscription services.

4.6. FUND APPROPRIATION CONTINGENCY: The Vendor recognizes that any agreement entered into will commence upon the day first provided and continue in full force and effect until termination in accordance with its provisions. The Vendor and the City herein recognize that the continuation of any contract after the close of any given fiscal year of the City, which ends on June 30th of each year, will be subject to the approval of the budget of the City providing for or covering such contract item as an expenditure therein. The City does not represent that said budget item will be actually adopted, said determination being the determination of the City Council at the time of the adoption of the budget.

4.7. MAXIMUM PRICES: The City will not be invoiced at prices higher than those stated in any contract resulting from this Offer. Contractor certifies, by signing this Offer that the prices offered are no higher than the lowest price the Contractor charges other buyers for similar quantities under similar




conditions, as applicable and shown by quotes for like services and goods. Contractor further agrees that any reductions in the price of the goods or services covered by this Offer and occurring after award will apply to the undelivered balance. The Contractor will promptly notify the City of such price reductions.

4.8. F.O.B. POINT: All prices are to be quoted F.O.B. delivered, unless specified elsewhere in this solicitation.

5. CONTRACT CHANGES: 5.1. CONTRACT AMENDMENTS: Contracts will be modified only by a written

contract amendment signed persons duly authorized to enter into contracts on behalf of the Contractor. No verbal agreement or conversation with any officer, agent, or employee of the City either before or after execution of the contract, will affect or modify any of the terms or obligations contained or to be contained in the contract. Any such verbal agreements or conversation shall be considered as unofficial information and in no way binding upon the City or the Contractor. All agreements shall be in writing and contract changes shall be by written amendment signed by both parties.

5.2. ASSIGNMENT - DELEGATION: No right or interest in this contract nor monies due hereunder will be assigned in whole or in part without written permission of the City, and no delegation of any duty of Contractor will be made without prior written permission of the City, which may be withheld for good cause. Any assignment or delegation made in violation of this section will be void.

5.3. NON-EXCLUSIVE CONTRACT: Any contract resulting from this solicitation will be awarded with the understanding and agreement that it is for the sole convenience of the City. The City reserves the right to obtain like goods or services from another source when necessary.

6. RISK OF LOSS AND LIABILITY:

6.1. TITLE AND RISK OF LOSS: The title and risk of loss of material or service will not pass to the City until the City actually receives the material or service at the point of delivery; and such loss, injury, or destruction will not release seller from any obligation hereunder.

6.2. ACCEPTANCE: All material or service is subject to final inspection and

acceptance by the City. Material or service failing to conform to the specifications of this contract will be held at Contractor's risk and may be returned to the Contractor. If so returned, all costs are the responsibility of




the Contractor. Noncompliance will conform to the cancellation clause set forth in this document.

6.3. FORCE MAJEURE: Except for payment of sums due, neither party will be

liable to the other nor deemed in default under this contract if and to the extent that such party's performance of this contract is prevented by reason of force majeure. The term "force majeure" means an occurrence that is beyond the control of the party affected and occurs without its fault or negligence. Force majeure will not include late performance by a subcontractor unless the delay arises out of a force majeure occurrence in accordance with this force majeure term and condition.

If either party is delayed at any time in the progress of the work by force majeure, the delayed party will notify the other party in writing of such delay, as soon as is practical, of the commencement thereof and will specify the causes of such delay in such notice. Such notice will be hand-delivered or mailed certified-return receipt and will make a specific reference to this provision, thereby invoking its provisions. The delayed party will cause such delay to cease as soon as practicable and will notify the other party in writing when it has done so. The time of completion will be extended by contract modification for a period of time equal to the time that results or effects of such delay prevent the delayed party from performing in accordance with this contract.

6.4. LOSS OF MATERIALS: The City does not assume any responsibility, at any time, for the protection of or for loss of materials, from the time that the contract operations have commenced until the final acceptance of the work by the project manager.

6.5. CONTRACT PERFORMANCE: Contractor will furnish all necessary labor, tools, equipment, and supplies to perform the required services at the City facilities designated, unless otherwise specifically addressed in the scope, or elsewhere in this Agreement. The City's authorized representative will decide all questions which may arise as to the quality and acceptability of any work performed under the contract. If, in the opinion of the City's authorized representative, performance becomes unsatisfactory, the City will notify the Contractor.

The Contractor will have 30 days from that time to correct any specific instances of unsatisfactory performance, unless a different amount of time is specified in the agreement. In the event the unsatisfactory performance is not corrected within the time specified, the City will have the immediate right to complete the work to its satisfaction and will deduct the cost to cover from




any balances due or to become due the Contractor. Repeated incidences of unsatisfactory performance may result in cancellation of the agreement for default.

6.6. DAMAGE TO CITY PROPERTY: Contractor will perform all work so that no damage to the building or grounds results. Contractor will repair any damage caused to the satisfaction of the City at no cost to the City.

Contractor will take care to avoid damage to adjacent finished materials that are to remain. If finished materials are damaged, Contractor will repair and finish to match existing material as approved by the City at Contractor's expense.

7. CITY’S CONTRACTUAL RIGHTS: 7.1. Whenever one party to this contract in good faith has reason to question the

other party's intent to perform, the former party may demand that the other party give a written assurance of this intent to perform. In the event that a demand is made and no written assurance is given within five days, the demanding party may treat this failure as an anticipatory repudiation of this contract.

7.2. NON-EXCLUSIVE REMEDIES: The rights and remedies of the City under this Contract are non-exclusive.

7.3. DEFAULT IN ONE INSTALLMENT TO CONSTITUTE BREACH: Each

installment or lot of the agreement is dependent on every other installment or lot and a delivery of non-conforming goods or a default of any nature under one installment or lot will impair the value of the whole agreement and constitutes a total breach of the agreement as a whole.

7.4. ON TIME DELIVERY: Because the City is providing services which involve

health, safety and welfare of the general public, delivery time is of the essence. Delivery must be made in accordance with the delivery schedule promised by the Contractor.

7.5. DEFAULT: In case of default by the Contractor, the City may, by written

notice, cancel this contract and repurchase from another source and may recover the excess costs by (1) deduction from an unpaid balance due; (2) collection against the bid and/or performance bond, or (3) a combination of the aforementioned remedies or other remedies as provided by law.

7.6. COVENANT AGAINST CONTINGENT FEES: Seller warrants that no

person or selling agent has been employed or retained to solicit or secure




this contract upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employers or bona fide established commercial or selling agencies maintained by the seller for the purpose of securing business. For breach or violation of this warranty, the City will have the right to annul the contract without liability or in its discretion to deduct from the contract price a consideration, or otherwise recover the full amount of such commission, brokerage or contingent fee.

7.7. COST JUSTIFICATION: In the event only one response is received, the City

may require that the Contractor submit a cost proposal in sufficient detail for the City to perform a cost/price analysis to determine if the Offer price is fair and reasonable.

7.8. WORK PRODUCT, EQUIPMENT AND MATERIALS: All work product,

equipment, or materials created or purchased under this contract belongs to the City and must be delivered to the City at City’s request upon termination of this contract. Contractor agrees to assign to City all rights and interests Contractor may have in materials prepared under this contract that are “works for hire” within the meaning of the copyright laws of the United States, including any right to derivative use of the material.

8. CONTRACT TERMINATION: 8.1. GRATUITIES: The City may, by written notice to the Contractor, cancel this

contract if it is found that gratuities, in the form of entertainment, gifts or otherwise, were offered or given by the Contractor or any agent or representative of the Contractor, to any officer or employee of the City making any determinations with respect to the performing of such contract. In the event this contract is canceled by the City pursuant to this provision, the City will be entitled, in addition to any other rights and remedies, to recover or withhold from the Contractor the amount of the gratuity.

8.2. CONDITIONS AND CAUSES FOR TERMINATION:

8.2.1 This contract may be terminated at any time by mutual written consent, or by the City, with or without cause, upon giving thirty-day written notice to Contractor. The City at its convenience, by written notice, may terminate this contract, in whole or in part. If this contract is terminated, the City will be liable only for payment under the payment provisions of this contract for services rendered and accepted material received by the City before the effective date of termination. Title to all materials, work-in-process and completed but undeliverable goods, will pass to the City after costs are claimed and allowed. The Seller will submit detailed cost claims in an acceptable




manner and will permit the City to examine such books and records as may be necessary in order to verify the reasonableness of any claims.

8.2.2 The City reserves the right to cancel the whole or any part of this contract due to failure of Contractor to carry out any term, promise, or condition of the contract. The City will issue a written notice of default to Contractor for acting or failing to act as in any of the following: a. In the opinion of the City, Contractor provides personnel who

do not meet the requirements of the contract; b. In the opinion of the City, Contractor fails to perform

adequately the stipulations, conditions or services/specifications required in this contract;

c. In the opinion of the City, Contractor attempts to impose on the

City personnel or materials, products or workmanship, which is of an unacceptable quality.

d. Contractor fails to furnish the required service and/or product

within the time stipulated in the contract; e. In the opinion of the City, Contractor fails to make progress in

the performance of the requirements of the contract and/or give the City a positive indication that Contractor will not or cannot perform to the requirements of the contract.

8.3. CONTRACT CANCELLATION: All parties acknowledge that this contract is

subject to cancellation by the City of Phoenix pursuant to the provision of Section 38-511, Arizona Revised Statutes.

9. STATE AND LOCAL TRANSACTION PRIVILEGE TAXES: In accordance with applicable state and local law, transaction privilege taxes may be applicable to this transaction. The state and local transaction privilege (sales) tax burden and legal liability to remit taxes are on the vendor that is conducting business in Arizona and the City of Phoenix. Any failure by the Contractor to collect applicable taxes from the City will not relieve the Contractor from its obligation to remit taxes. It is the responsibility of the prospective bidder to determine any applicable taxes. The City will look at the price or offer submitted and will not deduct, add or alter pricing based on speculation or application of any taxes, nor will the City provide advice or guidance. If you have questions regarding your tax liability, please seek advice from a tax professional prior to submitting your offer. You may also find information at https://www.phoenix.gov/finance/plt or https://www.azdor.gov/Business.aspx . Once your offer is submitted, the Offer is

https://www.phoenix.gov/finance/plt

https://www.azdor.gov/Business.aspx




valid for the time specified in this Solicitation, regardless of mistake or omission of tax liability. If the City finds over payment of a project due to tax consideration that was not due, the Contractor will be liable to the City for that amount, and by contracting with the City, the Contractor agrees to remit any overpayments back to the City for miscalculations on taxes included in a offer price.

10. TAX INDEMNIFICATION: Contractor will pay all federal, state and local taxes applicable to its operation and any persons employed by the Contractor, and require the same of all subcontractors. Contractor will hold the City harmless from any responsibility for taxes, damages and interest, if applicable, contributions required under federal, and/or state and local laws and regulations and any other costs including transaction privilege taxes, unemployment compensation insurance, Social Security and Worker's Compensation, and require the same of all subcontractors.

11. TAX RESPONSIBILITY QUALIFICATION: Contractor may be required to establish, to the satisfaction of City, that any and all fees and taxes due to the City or the State of Arizona for any License or Transaction Privilege taxes, Use Taxes or similar excise taxes, are currently paid (except for matters under legal protest). Contractor agrees to a waiver of the confidentiality provisions contained in the City Finance Code and any similar confidentiality provisions contained in Arizona statutes relative to State Transaction Privilege Taxes or Use Taxes. Contractor agrees to provide written authorization to the City Finance Department and to the Arizona State Department of Revenue to release tax information relative to Arizona Transaction Privilege Taxes or Arizona Use Taxes in order to assist the Department in evaluating Contractor's qualifications for and compliance with contract for duration of the term of contract.

12. NO ISRAEL BOYCOTT: By entering into this contract, the Contractor certifies that they are not currently engaged in, and agrees for the duration of the contract to not engage in, a boycott of goods or services from Israel.

.

SECTION III – SPECIAL TERMS AND CONDITIONS



SECTION III – SPECIAL TERMS & CONDITIONS a. PRICE: All prices submitted shall be firm and fixed for the initial two year(s) of the

contract. Thereafter, price increases will be considered annually provided the adjustments are submitted in writing with 30 days’ notice to the Procurement Officer. Price increase requests shall be accompanied with written documentation to support the increase, such as a letter from the manufacturer, published price index, applicable change in law, etc. Price decrease requests do not require supporting documentation and are allowed at any time during the contract term. The City will be the sole judge in determining the allowable increase amount. Price increases agreed to by any staff other than the Deputy Finance Director or Department Director are invalid. The Contractor acknowledges and agrees to repay all monies paid because of a requested price increase unless the increase was specifically approved, in writing, by the Deputy Finance Director or Department Director.

2. METHOD OF ORDERING: Contractor shall deliver items and/or services only upon

receipt of a written purchase order. All Contractor invoices and servicing tickets must include the City of Phoenix purchase order number.

3. METHOD OF INVOICING: Federal regulations permit billing of executed loans

only. No payment will be issued for any work not resulting in an executed loan. Request for payment invoices submitted must indicate the number of closed loan agreements and corresponding addresses for the preceding month. Invoices must be submitted no later than the 15th of each month. Invoices must be emailed in .pdf format to [email protected] and carbon copy [email protected] and must include the following:

a. City purchase order number or shopping cart number b. Unit price, extended and totaled c. Quantity d. Invoice number and date e. House address f. Payment terms? g. Remit to address

Eligible Reimbursement Costs

a. One flat fee is billed for each executed loan, which includes reimbursement for the following components:

i. Pre-Screening ii. Intake iii. Loan Processing iv. UPCS Inspections






v. Record Keeping and Data Collection

b. Loan Policy of Title Insurance i. Contractor will be reimbursed for the required Loan Policy of Title Insurance

fee, for the City of Phoenix DPA loan that is paid directly to title companies. ii. Contractor will submit paid receipt(s) for Loan Policy of Title Insurance fee

with flat fee monthly invoice. iii. Fee is lined itemed on invoice, per address. iv. The fee will be reimbursed at the actual expense of the Contractor, without

added overhead and profit. Original invoice(s) from title company will be provided at the time of billing. City will not accept any invoice that has been altered in any manner.

4. METHOD OF PAYMENT: Payment to be made from Contractor’s invoice and a

copy of the signed service submitted to cover items received and accepted during the billing period.

5. PARTIAL PAYMENTS: Partial payments are not authorized on individual purchase

orders. Payment will be made for actual services received and accepted by the City/upon final delivery and acceptance of all goods and services on the purchase order.

6. SUPPLIER PROFILE CHANGES: It is the responsibility of the Contractor to

promptly update their profile in procurePHX at www.phoenix.gov/procure. If Contractor’s legal identify has changed, the Procurement Officer must be notified immediately. Failure to do so may result in non-payment of invoices and contract termination.

7. ESTIMATED QUANTITIES OR DOLLAR AMOUNTS (REQUIREMENTS

CONTRACTS ONLY): Quantities and dollar amounts listed are the City’s best estimate and do not obligate the City to order or accept more than City’s actual requirements during the period of this agreement, as determined by actual needs and availability or appropriated funds. It is expressly understood and agreed that the resulting contract is to supply the City with its complete actual requirement for the contract period.

8. AUTHORIZED CHANGES: The City reserves the right at any time to make changes in any one or more of the following: (a) specifications; (b) methods of shipment or packing; (c) place of delivery; (d) time of delivery; and/or (e) quantities. If the change causes an increase or decrease in the cost of or the time required for performance, an equitable adjustment may be made in the price or delivery schedule, or both. Any claim for adjustment will be deemed waived unless asserted in writing within thirty days from the receipt of the change. Price increases or extensions of delivery time will not be binding on the City unless evidenced in writing and approved by the




Deputy Finance Director or Department Director prior to the institution of the change.

9. SUPENSIONS OF WORK: The Procurement Officer and the project manager reserve the right to suspend work wholly or in part if deemed necessary for the best interest of the City. This suspension will be without compensation to the Contractor, other than to adjust the contract completion/delivery requirements.

10. POST AWARD CONFERENCE: A post-award conference will be held by the

Procurement Officer or project manager prior to commencement of any work on the project. The purpose of this conference is to discuss critical elements of the work schedule and operational problems and procedures.

11. COOPERATIVE AGREEMENT: In addition to the City and with approval of the Contractor, this contract may be extended for use by other municipalities and government agencies in the State of Arizona. A current listing of eligible entities may be found at www.mesaaz.gov/business/purchasing/save Any such usage by other entities must be in accordance with the ordinance, charter and/or procurement rules and regulations of the respective entity. Orders placed by other agencies and payment thereof will be the sole responsibility of that entity. The City shall not be responsible for any disputes arising out of transactions made by other entities who utilize this solicitation.

12. ADVERTISING: Contractor will not advertise or publish news releases concerning

this contract without the prior written consent of the Deputy Finance Director or Department Director, and the City will not unreasonably withhold permission.

13. EXCLUSIVE POSSESSION: All services, information, computer program elements, reports, and other deliverables which may be created under this contract are the sole property of the City of Phoenix and will not be used by the Contractor or any other person except with prior written permission by the City.

14. STRICT PERFORMANCE: Failure of either party to insist upon the strict performance of any item or condition of the contract or to exercise or delay the exercise of any right or remedy provided in the contract, or by law, or the acceptance of materials or services, obligations imposed by this contract, or by law, will not be deemed a waiver of any right of either party to insist upon the strict performance of the contract.

15. LICENSES AND PERMITS: Contractor will keep current Federal, State, and local licenses and permits required for the operation of the business conducted by the Contractor as applicable to this contract.

http://www.mesaaz.gov/business/purchasing/save




16. CONTRACTOR ASSIGNMENTS: The Contractor hereby agrees that any of its

employees who may be assigned to a City site to satisfy obligations under this contract shall be used exclusively for that purpose during the hours when they are working in areas covered by this contract and shall perform no work at other City facilities. If other services, in addition to or separate from, the services specified herein, may be deemed necessary by the Deputy Finance Director or Department Director or his authorized representative, the Contractor may be requested to perform the additional or special service.

17. TRANSITION OF CONTRACT: Contractor will, without limitation, provide important information to a successor Contractor and the City to ensure continuity of service at the required level of proficiency and agrees to provide to the City all files, supplies, data, records, and any other properties or materials of the City, which the City owns or has rights to pursuant to this contract and which are in the possession of Contractor. The provisions of this section will survive the expiration or termination of this contract.

18. CONFIDENTIALITY AND DATA SECURITY: All data, regardless of form, including

originals, images and reproductions, prepared by, obtained by, or transmitted to Contractor in connection with this Agreement is confidential, proprietary information owned by the City. Except as specifically provided in this Agreement, the Contractor shall not disclose data generated in the performance of the service to any third person without the prior written consent of the City Manager or his/her designee.

Personal identifying information, financial account information, protected health information, or restricted City information, whether electronic format or hard copy, must be secured and protected at all times to avoid unauthorized access. At a minimum, Contractor must encrypt and/or password-protect electronic files. This includes data saved to laptop computers, computerized devices, handheld devices, networking devices, removable storage devices, or other electronic media, as well as data in transit, such as during email or file transfer. When personal identifying information, financial account information, protected health information, or restricted City information, regardless of its format, is no longer necessary, the information must be redacted or destroyed through appropriate and secure methods that ensure the information cannot be viewed, accessed, or reconstructed. Contractor must properly dispose of such information by taking reasonable measures to protect against unauthorized access to or use of the information in connection with its disposal. This includes implementing and monitoring compliance with policies and procedures that require the redaction, destruction, erasure, or other disposal of




paper documents and electronic media containing personal identifying information, financial account information, protected health information, or restricted City information so that these types of information cannot practicably be read or reconstructed. Contractor will provide the City with its information security policies and procedures regarding the redaction, destruction, erasure, or other disposal of documents and information. In the event that data collected or obtained by the Contractor in connection with this Agreement is suspected to have been compromised, Contractor shall notify the contracting City department immediately. Contractor agrees to reimburse the City for any costs incurred by the City to investigate and respond to potential breaches of this data, including, where applicable, the cost of notifying individuals who may be impacted by the breach, attorneys’ fees, and for any monetary damages or penalties the City is assessed. In case of a breach or critical breach of the City’s information, it will be the City, not the Contractor that will inform any and all individuals affected by any such breach. Only upon prior written consent of the City, or at the specific direction of the City, will the Contractor notify individuals affected by a breach or critical breach of the City’s information. Contractor agrees that the City may assess or test the security of any applications, web services, or computerized systems created or provided by the Contractor that process, store, or transmit City information. If the City finds vulnerabilities that are rated medium or more critical by the Common Vulnerability Scoring System (CVSS) in these applications, web services, or computerized systems, the Contractor agrees to remediate the vulnerability at no cost to the City and within an agreed-upon timeframe not to exceed 90 days. To clarify, the Contractor must remediate found vulnerabilities in computerized systems they provide; Contractor is not liable for remediating any vulnerability found in the City’s network or computing infrastructure used to support the applications, web services, or systems created or provided by the Contractor. Contractor agrees to abide by all current applicable legal and industry data security and privacy requirements. These include, but are not limited to, Arizona Revised Statutes §44-7501 — Notification of breach of security system; Arizona Revised Statutes §44-7601 — Discarding and disposing of records containing personal identifying information; Health Insurance Portability and Accountability Act of 1996 (HIPAA) Privacy and Security Rules; Health Information Technology for Economic and Clinical Health (HITECH) Act, and Payment Card Industry Data Security Standards. Contractor agrees to demonstrate that they have adequate controls and safeguards when they host or process personal identifying information, financial account information, protected health information, or restricted City information. This may be accomplished through a third-party audit utilizing a widely recognized auditing




standard, such as Statement on Standards for Attestation Engagements (SSAE) No. 16, or through earning industry certification, such as ISO/IEC 27001. By signing and entering this Agreement the Contractor specifically acknowledges that it is responsible for the security of cardholder data that Contractor possesses or otherwise stores, processes or transmits on behalf of the City. Additionally, as a requirement of this contract you must provide to the City a copy of your written Notice to customers that you are responsible for the security of cardholder data that you obtain and otherwise store, process or transmit. Contractor agrees to comply with all City information security and technology policies, standards, and procedures when accessing City networks and computerized systems whether onsite or remotely. Contractor agrees that the requirements of this Section shall be incorporated into all subcontractor agreements entered into by the Contractor. It is further agreed that a violation of this Section shall be deemed to cause irreparable harm that justifies injunctive relief in court. A violation of this Section may result in immediate termination of this Agreement without notice. The obligations of Contractor under this Section shall survive the termination of this Agreement. Contractor will maintain and implement policies and procedures to manage service providers with whom data is shared, as follows: • Maintain a list of service providers or subcontractors. • Report PCI DSS compliance status with annual attestation of compliance

provided within 30 days of the annual Report of Compliance audit completion, or annual contract renewal date, whichever is sooner, to City that ensures Contractor and all subcontractors are PCI DSS 3.0 compliant and verified by a recognized third-party certification.

• Maintain information about which PCI DSS requirements are managed by Contractor.

19. EXAMINATION AND RETENTION OF CONTRACTOR’S RECORDS: The PHA,

HUD, or Comptroller General of the United States, or any of their duly authorized representatives shall, until three years after final payment under this contract, have access to and the right to examine any of the Contractor’s directly pertinent books, documents, papers, or other records involving transactions related to this contract for the purpose of making audit, examination, excerpts, and transcriptions.

20. CONTRACT WORKER ACCESS CONTROLS, BADGE AND KEY ACCESS

REQUIREMENT:




A. Contractor and Subcontractor Workers Background Screening: a. Contractor agrees that all Contractor and subcontractors’ workers

(collectively “Contractor’s Worker(s))” that Contractor furnishes to the City pursuant to this agreement will be subject to background and security checks and screening (collectively “Background Screening”) at Contractor’s sole cost and expense, unless otherwise addressed in the Scope of Work.

b. The City requires a completed Contract Worker Badge/Key/Intrusion Detection Responsibilities Agreement for each Contract Worker who requires a badge or key.

c. The background screening provided by Contractor will comply with all applicable laws, rules and regulations. Contractor further agrees that the background screening required in this section is necessary to preserve and protect the public health, safety and welfare.

d. The background screening requirements set forth in this section are the minimum requirements for the agreement. The City in no way warrants that these minimum requirements are sufficient to protect Contractor from any liabilities that may arise out of the Contractor’s services under this agreement or Contractor’s failure to comply with this section. Therefore, in addition to the specific measures set forth below, Contractor and its Contract Workers will take such other reasonable, prudent and necessary measures to further preserve and protect public health, safety and welfare when providing services under this agreement.

e. Unless otherwise addressed in the scope of work, the contracting department will review and approve standard risk background check results provided by the Contractor. Information to verify the results will be returned to the Contractor after the City’s review. The City will not keep records related to background checks. The City will only respond with an approve or deny.

B. Background Screening Level: Because of the varied types of services

performed, the City has established two levels of risk and associated background screening: Standard and Maximum risk. The current risk level and background screening required is STANDARD RISK.

C. Terms of This Section Applicable to all of Contractor’s Contracts and Subcontracts: Contractor will include the terms of this section for Contract Worker background screening in all contracts and subcontracts for services furnished under this Agreement.

D. Materiality of Background Screening Requirements; Indemnity: The background screening requirements are material to City’s entry into this agreement and any breach of these provisions will be deemed a material




breach of this contract. In addition to the indemnity provisions set forth in this agreement, Contractor will defend, indemnify and hold harmless the City for all claims arising out of this background screening section including, but not limited to, the disqualifications of a Contract Worker by Contractor. The background screening requirements are the minimum requirements for the Agreement. The City in no way warrants that these minimum requirements are sufficient to protect Contractor from any liabilities that may arise out of the Contractor’s services under this Agreement or Contractor’s failure to comply with this section. Therefore, Contractor and its Contract Workers will take any reasonable, prudent and necessary measures to preserve and protect public health, safety and welfare when providing services under this Agreement.

E. Continuing Duty; Audit: Contractor’s obligations and requirements that Contract Workers satisfy this background screening section will continue throughout the entire term of this agreement. Contractor will notify the City immediately of any change to a maximum risk background screening of a Contract Worker previously approved by the City. Contractor will maintain all records and documents related to all background screenings and the City reserves the right to audit Contractor’s compliance with this section. a. For any childcare or health worker positions, Contractor is required to

send the City updated background checks every three years from the date of the first checks, regardless of the length of the contract.

F. Variances and Exemptions: a. Contract Workers who fall under the following areas may be

considered exempt from this policy • Department of Public Safety (DPS) Administration – presenting a

current Level One Department of Public Safety fingerprint card

G. BACKGROUND SCREENING – STANDARD RISK: The current risk level and background screening required is STANDARD RISK LEVEL. A standard risk background screening will be performed when the Contract Worker’s work assignment will: • require a badge or key for access to City facilities; or • allow any access to sensitive, confidential records, personal identifying

information or restricted City information; or • allow unescorted access to City facilities during normal and non-business

hours.




a. Requirements: The background screening for this standard risk level will

include a background check for real identity/legal name and will include felony and misdemeanor records from any county in the United States, the state of Arizona, plus any other jurisdiction where the Contractor worker has lived at any time in the preceding seven years from the Contract Worker’s proposed date of hire.

b. Contractor Certification; City Approval of Background Screening: Unless

otherwise provided for in the Scope, Contractor will be responsible for: • determining whether Contract Worker(s) are disqualified from performing

work for the City for standard risk level background checks; and, • for reviewing the results of the background check every five years; and, • to engage in whatever due diligence is necessary to make the decision on

whether to disqualify a Contract Worker; and, • Submitting the list of qualified Contract Workers to the contracting

department. • For sole proprietors, the Contractor must comply with the background

check for himself and any business partners, or members or employees who will assist on the contract and for whom the requirements of the Agreement apply.

• By executing this agreement, Contractor certifies and warrants that

Contractor has read the background screening requirements and criteria in this section, and that all background screening information furnished to the City is accurate and current. Also, by executing this agreement, Contractor further certifies and warrants that Contractor has satisfied all background screening requirements for the standard risk background screening, and verified legal worker status, as required.

21. IDENTITY THEFT:

Contractor agrees to comply with all consumer identity theft, security and technology policies, standards, and procedures. https://www.consumerfinance.gov/

https://www.consumerfinance.gov/

SECTION IV – INSURANCE AND INDEMNIFICATION



1. DEFENSE AND INDEMNIFICATION: Contractor (“Indemnitor”) must defend, indemnify, and hold harmless the City of Phoenix and its officers, officials (elected or appointed), agents, and employees (“Indemnitee”) from and against any and all claims, actions, liabilities, damages, losses or expenses (including but not limited to court costs, attorney fees, expert fees, and costs of claim processing, investigation and litigation) of any nature or kind whatsoever (“Losses”) caused, or alleged to be caused, in whole or in part, by the wrongful, negligent or willful acts, or errors or omissions of Indemnitor or any of its owners, officers, directors, members, managers, agents, employees or subcontractors (“Indemnitor’s Agents”) arising out of or in connection with this Contract. This defense and indemnity obligation includes holding Indemnitee harmless for any Losses arising out of or recovered under any state’s Workers’ Compensation Law or arising out of the failure of Indemnitor or Indemnitor’s Agents to conform to any federal, state or local law, statute, ordinance, rule, regulation or court decree. Indemnitor’s duty to defend Indemnitee accrues immediately at the time a claim is threatened or a claim is made against Indemnitee, whichever is first. Indemnitor’s duty to defend exists regardless of whether Indemnitor is ultimately found liable. Indemnitor must indemnify Indemnitee from and against any and all Losses, except where it is proven that those Losses are solely a result of Indemnitee’s own negligent or willful acts or omissions. Indemnitor will be responsible for primary loss investigation, defense and judgment costs where this indemnification applies. In consideration of the award of this Contract, Indemnitor waives all rights of subrogation against Indemnitee for losses arising from the work performed by Indemnitor or Indemnitor’s Agents for the City of Phoenix. The obligations of Indemnitor under this provision survive the termination or expiration of this Contract.

2. CONTRACTOR’S INSURANCE:

Contractor and subcontractors must procure insurance against claims that may arise from or relate to performance of the work hereunder by Contractor and its agents, representatives, employees and subcontractors. Contractor and subcontractors must maintain that insurance until all their obligations have been discharged, including any warranty periods under this Contract. The City in no way warrants that the limits stated in this section are sufficient to protect the Contractor from liabilities that might arise out of the performance of the work under this Contract by the Contractor, its agents, representatives, employees or subcontractors and Contractor may purchase additional insurance as they determine necessary.




2.1. SCOPE AND LIMITS OF INSURANCE: Contractor must provide coverage with limits of liability not less than those stated below. An excess liability policy or umbrella liability policy may be used to meet the liability limits provided that (1) the coverage is written on a “following form” basis, and (2) all terms under each line of coverage below are met.

2.1.1. Commercial General Liability – Occurrence Form

General Aggregate $2,000,000 Products – Completed Operations Aggregate $1,000,000 Personal and Advertising Injury $1,000,000 Each $1,000,000

• The policy must name the City of Phoenix as an additional insured with

respect to liability for bodily injury, property damage and personal and advertising injury with respect to premises, ongoing operations, products and completed operations and liability assumed under an insured contract arising out of the activities performed by, or on behalf of the Contractor related to this Contract.

• There shall be no endorsement or modification which limits the scope of coverage or the policy limits available to the City of Phoenix as an additional insured.

• City of Phoenix is an additional insured to the full limits of liability purchased by the Contractor.

• The Contractor’s insurance coverage must be primary and non-contributory with respect to any insurance or self-insurance carried by the City.

2.1.2. Worker’s Compensation and Employers’ Liability

Workers’ Compensation Statutory Employers’ Liability:

Each Accident $100,000 Disease – Each Employee $100,000 Disease – Policy Limit $500,000

• Policy must contain a waiver of subrogation against the City of Phoenix. • This requirement does not apply when a contractor or subcontractor is

exempt under A.R.S. §23-902(E), AND when such contractor or subcontractor executes the appropriate sole proprietor waiver form.

2.1.3. Professional Liability (Errors and Omissions Liability)

Each Claim $1,000,000 Annual Aggregate $1,000,000




• The policy must cover liability arising from the failure to meet the

professional standards required or expected in the delivery of those services as defined in the Scope of Services of this Contract.

• Contractor warrants that any retroactive date under the policy must precede

the effective date of this Contract; and that either continuous coverage will be maintained, or an extended reporting period will be exercised for a period of two (2) years beginning at the time work under this Contract is completed.

2.2. NOTICE OF CANCELLATION: For each insurance policy required by the

insurance provisions of this Contract, the Contractor must provide to the City, within 5 business days of receipt, a notice if a policy is suspended, voided or cancelled for any reason. Such notice must be mailed, emailed, or hand delivered to Housing Department, Management Services, 4th Floor, 251 West Washington Street, Phoenix AZ 85003 or email to the Procurement Officer.

2.3. ACCEPTABILITY OF INSURERS: Insurance is to be placed with insurers duly

licensed or authorized to do business in the state of Arizona and with an “A.M. Best” rating of not less than B+ VI. The City in no way warrants that the required minimum insurer rating is sufficient to protect the Contractor from potential insurer insolvency.

2.4. VERIFICATION OF COVERAGE: Contractor must furnish the City with

certificates of insurance (ACORD form or equivalent approved by the City) as required by this Contract. The certificates for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf.

All certificates and any required endorsements are to be received and approved by the City before work commences. Each insurance policy required by this Contract must be in effect at or prior to commencement of work under this Contract and remain in effect for the duration of the project. Failure to maintain the insurance policies as required by this Contract or to provide evidence of renewal is a material breach of contract.

All certificates required by this Contract must be sent directly to Housing Department, Management Services, 4th Floor, 251 West Washington Street, Phoenix AZ 85003 or email to the Procurement Officer. The City project/contract number and project description must be noted on the certificate of insurance. The City reserves the right to review complete copies of all insurance policies required by this Contract at any time. DO NOT SEND CERTIFICATES OF INSURANCE TO THE CITY’S RISK MANAGEMENT DIVISION.




2.5. SUBCONTRACTORS: Contractor’s certificates shall include all subcontractors as additional insureds under its policies OR Contractor shall be responsible for ensuring and verifying that all subcontractors have valid and collectable insurance. At any time throughout the life of the contract, the City of Phoenix reserves the right to require proof from the Contractor that its subcontractors have insurance coverage. All subcontractors providing services included under this Contract’s Scope of Services are subject to the insurance coverages identified above and must include the City of Phoenix as an additional insured. In certain circumstances, the Contractor may, on behalf of its subcontractors, waive a specific type of coverage or limit of liability where appropriate to the type of work being performed under the subcontract. Contractor assumes liability for all subcontractors with respect to this Contract.

2.6. APPROVAL: Any modification or variation from the insurance coverages and

conditions in this Contract must be documented by an executed contract amendment.

SECTION V – MANDATORY FEDERAL CLAUSES



MANDATORY FEDERAL CLAUSES 1. CONTRACTING WITH SMALL AND MINORITY BUSINESSES, WOMEN'S

BUSINESS ENTERPRISES, AND DISADVANTAGED BUSINESS ENTERPRISES: Pursuant to national and City policy to award a fair share of contracts to small and minority businesses, women's business enterprises, and Disadvantaged Business Enterprises, Contractor shall take affirmative steps to assure that small and minority businesses, women’s business enterprises, and Disadvantaged Business Enterprises are utilized when possible as sources of supplies, equipment, construction, and services. Such affirmative steps shall include the following: A. Include qualified small and minority businesses, women's business enterprises,

and Disadvantaged Business Enterprises on solicitation lists. B. Assure that small and minority businesses, women's business enterprises, and

Disadvantaged Business Enterprises are solicited whenever they are potential sources.

C. When economically feasible, divide total requirements into small tasks or quantities so as to permit maximum participation from small and minority businesses, women's business enterprises, and Disadvantaged Business Enterprises.

D. Where the requirement permits, establish delivery schedules which encourage participation by small and minority businesses, women's business enterprises, and Disadvantaged Business Enterprises.

E. Use the services and assistance of the Small Business Administration and the Minority Business Development Agency of the Department of Commerce and the Community Services Administration as required.

F. Comply with the applicable requirements of the Small and Disadvantaged Business Enterprise Policy Plan for the City of Phoenix.

G. Include affirmative steps, one through six in any subcontract. 2. DEBARMENT AND SUSPENSION (EXECUTIVE ORDERS 12549 AND 12689):

In accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension,” Contractor agrees that neither it, nor its principals is presently debarred, suspended proposed for debarment, declared ineligible, or voluntarily excluded from participation in the transaction evidenced by this Contract by any federal department, and agrees to comply with the requirements of 2 CFR 180 and 24 CFR 2424.

3. TERMINATION for CAUSE and for CONVENIENCE:

A. The City may terminate this contract in whole, or from time to time in part, for the City’s convenience or the failure of the Contractor to fulfill the contract obligations (cause/default). The City shall terminate by delivering to the Contractor a written Notice of Termination specifying the nature, extent, and




effective date of the termination. Upon receipt of the notice, the Contractor shall: (1) immediately discontinue all services affected (unless the notice directs otherwise), and (2) deliver to the City all information, reports, papers, and other materials accumulated or generated in performing the contract, whether completed or in process.

B. If the termination is for the convenience of the City, the City shall be liable only for payment for services rendered before the effective date of the termination.

C. If the termination is due to the failure of the Contractor to fulfill its obligations under the contract (cause/default), the City may (1) require the Contractor to deliver to it, in the manner and to the extent directed by the City, any work described in the Notice of Termination; (2) take over the work and prosecute the same to completion by contract of otherwise, and the Contractor shall be liable for any additional cost incurred by the City; and (3) withhold any payments to the Contractor, for the purpose of set-off or partial payment, as the case may be, of amounts owned by the City by the Contractor. In the event of termination for cause/default, the City shall be liable to the Contractor for reasonable costs incurred by the Contractor before the effective date of the termination. Any dispute shall be decided by the Contracting Officer.

4. BYRD ANTI-LOBBYING CERTIFICATION (31 U.S.C. 1352):

In all contracts in excess of $100,000 the Contractor hereby certifies, to the best of his or her knowledge and belief, that: A. No Federal appropriated funds have been paid or will be paid, by or on behalf

of the Contractor, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of and Federal contract, grant, loan, or cooperative agreement.

B. Each Contractor tier must certify to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization or influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352.

C. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the Contractor shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions. Such disclosures are forwarded from tier to tier up to the non-Federal award.




5. CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

Applicable to all contracts in excess of $150,000. The Contractor shall comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 USC 7401-7671q) and the Federal Water Pollution Control Act, as amended (33 USC 1251-1387). Violations must be reported to the City, HUD, and the San Francisco Regional Office of the Environmental Protection Agency (EPA).

6. 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 the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable time period; (2) fail to meet reasonable performance standards, which shall be determined the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item, or (3) are only available at an unreasonable price.

B. Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract.

7. CONTRACTOR EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT

TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (APR 2014): A. This contract and employees working on this contract will be subject to the

whistleblower rights and remedies in the pilot program on Contractor employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (Pub. L. 112-239) and FAR 3.908.

B. The Contractor shall inform its employees in writing, in the predominant language of the workforce, of employee whistleblower rights and protections under 41 U.S.C. 4712, as described in section 3.908 of the Federal Acquisition Regulation.

C. The Contractor shall insert the substance of this clause, including this paragraph (3), in all subcontracts over the simplified acquisition threshold.

8. DRUG-FREE WORKPLACE ACT OF 1988:




The Contractor must comply with drug-free workplace requirements in Subpart B of 2 CFR § 2429, which adopts the government-wide implementation (2 CFR part 182) of sections 5152-5158 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701-707).

9. ENERGY EFFICIENCY:

The contractor will observe all mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. 6201 et seq.).

10. PREFERENCE FOR DOMESTIC PROCUREMENT:

Pursuant to 2 C.F.R. 200.322, to the greatest extent practicable, Contractor will purchase, acquire, or use goods, products or materials produced in the United States (including but not limited to iron, aluminum, steel, cement and other manufactured products).

11. COMPLIANCE WITH FEDERAL REQUIREMENTS:

All services provided must satisfy and comply with applicable laws and regulations that are related to Housing DPA, including, but not limited to, 24 CFR 92.205 and 92.254 (Eligible Activities; Homebuyer Activities; Ownership and Principal Residence; Eligible Property Taxes; Homebuyer Underwriting; Written Homebuyer Program Design Policies; Long-Term Affordability; Recapture and Resale); 24 CFR 92.2 (Eligible Property Types); 24 CFR 203.43 (Manufactured Housing with a Permanent Foundation); 24 CFR 92.203 (Income Eligibility Requirements); 24 CFR 92.250 (Subsidy Limits and Layering; Project Underwriting); 24 CFR 92.251 (Property Standards); Section 504 of the Rehabilitation Act of 1973 (Accessibility); 24 CFR 92.202, 92.250, 5.105 (a) (Fair and Equal Opportunity); Executive Order 11063 (amended by Executive Order 12259-Fair Housing and Equal Opportunity); Age Discrimination Act of 1975 (as amended); 42 U.S.C. 6101 (Fair Housing and Equal Opportunity); Title VI of Civil Rights Act of 1964; Fair Housing Act (42 U.S.C. 3601-3620); 24 CFR 92.351 (Affirmative Marketing); 41 CFR Part 60 and Executive Order 11246 (Equal Opportunity Employment); Executive Orders 11625, 12432, 12138 (Minority/Women Business Enterprises); 24 CFR 92.356 (Conflict of Interest); 24 CFR 92.350 (Excluded Parties); 24 CFR 92.352 and 24 CFR Part 58.35 b(5) (Environmental Reviews); 24 CFR 92.355 (Lead-Based Paint); HUD-5370-C General Contract Conditions Non-Construction; 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards).

12. FORM HUB-5370-C GENERAL CONDITIONS FOR NON-CONSTRUCTION

CONTRACTS SECTION I (WITH OR WITHOUT MAINTENANCE WORK): This contract will be aided through federal funds. Work under the contract awarded pursuant to this IFB will be funded mainly with federal funds from HUD. HUD rules requires construction and service contracts to contain certain provisions.




All Offerors should carefully review HUD Form 5370-C Section I, incorporated herein by reference. In the context of this procurement the term as used in HUD Form 5370-C Section I refers to the City of Phoenix.

13. FORM HUB-5370-C GENERAL CONDITIONS FOR NON-CONSTRUCTION

CONTRACTS SECTION II (WITH MAINTENANCE WORK): This contract will be aided through federal funds. Work under the contract awarded pursuant to this IFB will be funded mainly with federal funds from HUD. HUD rules requires construction and service contracts to contain certain provisions. All Offerors should carefully review HUD Form 5370-C Section II, incorporated herein by reference. In the context of this procurement the term as used in HUD Form 5370-C Section II refers to the City of Phoenix.

SECTION VI – SCOPE OF WORK



SCOPE OF WORK A. INTRODUCTION

The City seeks to contract with a public agency(ies) or nonprofit organization(s) currently operating in Maricopa County or be capable of having a local office, accessible to Phoenix residents, fully operational prior to the contract effective date. The contractor(s) will use allocated HOME funds for the provision and administration of a DPA program. Authority is provided to utilize HOME funds for this eligible activity under 24 CFR § 92.205.

Persons eligible for assistance using HOME funds must be at or below 80% of the AMI and must be first-time homebuyers. A “first-time homebuyer” is defined as an individual who has never, or has not during the past three years, had any ownership interest in a residential property. Assistance of up to 10% of the home purchase price will be provided to the applicant for DPA and/or closing costs. Total assistance is based on eligibility and individual need of homeowners. Home prices cannot exceed HUD established HOME Homeownership Value Limits calculated annually at 95% of the area median purchase price for single family housing. HUD has established income limits for recipients of HOME assistance that is updated annually at https://www.hudexchange.info/programs/home/home-income-limits/ (click HOME Income Limits-Arizona). Down Payment Assistance The program to be implemented is generally described as follows (refer to the Detailed Scope of Work for specific program requirements): A non-profit organization or public housing agency is sought to administer a down payment assistance program for eligible persons who seek affordable housing opportunities in the City of Phoenix. A variety of administrative functions are anticipated which are thoroughly explained in the Detailed Scope of Work.

B. DETAILED SCOPE OF WORK

The City’s Housing Department is issuing this RFP to seek qualified entities that have experience with loan origination programs. Entities responding to this RFP must have experience in loan processing activities and must be able to work closely with the Housing Department staff in implementing and carrying out DPA activities. In addition, entities must have sufficient experienced staff to run the DPA program and the ability to leverage other resources. Evaluation criteria for this RFP include 1) Experience, Financial Capacity and Qualifications; 2) Design; and 3) Pricing and Costs. The City reserves the right to modify, add or revise the Scope of Work and Underwriting Criteria as needed to be in compliance with program requirements and ensure the success of the program.

https://www.hudexchange.info/programs/home/home-income-limits/




The Scope of Work for the DPA Program will be divided into seven (7) primary activities: (1) Policies and Procedures;

(2) Client/Community Outreach; (3) Eligibility Determination; (4) Loan Processing; (5) Record Keeping and Data Collection; (6) Method of Invoicing; (7) Compliance with Federal Requirements.

SCOPE OF WORK (1) Policies and Procedures

A. The successful proposer must create and maintain written policies and procedures to be submitted to the City for approval. This submittal must occur within 60 days of contract execution to address, at a minimum, the following items: a. Open Doors DPA program services provided b. Open Doors DPA program eligibility requirements c. Open Doors DPA administrative procedures (i.e. invoicing; retention;

reports etc.) d. Agency/program conflict of interest policy e. Agency complaint and grievance policy and procedures f. Agency confidentiality and breach of confidentiality policy and procedures g. Waitlist management procedures h. Human Resources Code of Conduct (i.e. customer service standards,

ethics etc.) i. Denial of services-reasons and protocol

(2) Client Outreach A. Agency will provide City with marketing materials for review and approval within

30 days of the contract execution. At a minimum, fact sheets and/or marketing materials for program promotion must be developed.

B. Agency will incorporate affirmative marketing requirements determined by the City.

C. Agency will undertake relevant community education outreach tasks, for the Open Doors program, to include a minimum of three (3) community presentations per year as long as funding is still available.

D. Ongoing recruitment is required to meet program needs. E. Agency staff will provide seamless customer service to participants by assisting

and collaborating with City staff, real estate professionals, lenders, other counseling agencies and any other entities involved in the transactions.




(3) Eligibility Determination

Pre-Screening A. Assess interested applicants for program eligibility by phone or in person. B. Provide education on the basic principles of the Open Doors DPA program to

assess interest. C. Create a Pre-Screening Eligibility Checklist document. Checklist must be

approved by the City prior to utilization. D. Complete a Pre-Screening Eligibility Checklist for each prospective program

applicant. E. If eligible, place applicants on waitlist or schedule first available appointment. F. Immediately following the prescreening, mail or hand-deliver the Open Doors

Down Payment Assistance application to the pre-screened applicant, requiring that the application be brought to the first appointment along with all required verification documents (i.e. pay stubs; W-2’s; tax returns; ID’s etc.). The DPA Application form must be approved by the City.

Intake A. Required in-person appointment. B. Hard copy and electronic file must be created. All supporting documentation

must be included in the hard copy and electronic file. C. Intake form utilized must be pre-approved by the City. D. Applicant must be verified as being a first-time homebuyer and the homebuyer

must sign a statement attesting to this fact. E. Pursuant to 24 CFR § 92.203, verify applicant is at or below 80% of the AMI

requirements by calculating income in accordance HUD Section 8 Part 5 guidelines to determine participant meets income requirements applicable to federal funds used and proposed loan is in accordance with underwriting guidelines (RFP FY22-086-05 Attachment 2-Underwriting Criteria). Utilize a City-provided Income Eligibility Worksheet or a pre-approved agency calculation worksheet. All supporting source documentation must be included in the file.

F. Applicant must complete the Statement of Citizenship or Qualified Alien Status for Federal Public Benefits (RFP FY22-086-05 Attachment 4 – Federal Public Benefits) AND the Affidavit of Lawful Presence (RFP FY22-086-05 Attachment 3 – Affidavit of Lawful Presence) and provide required supporting documentation.

G. With participant’s permission, as required by law, obtain and review participant’s credit history if not provided by the applicant and ensure underwriting guidelines are met ((RFP FY22-086-05 Attachment 2-Underwriting Criteria). If, during the intake, it is determined that a credit score causes someone to be ineligible for the program, the applicant is to be provided

https://www.hud.gov/sites/documents/DOC_35649.PDF





referrals and resources that can assist the applicant with repairing the credit issues and be encouraged to reapply once eligible.

H. Debt must be assessed. I. Assess recurring monthly expenses. J. Verify assets and reserves. K. Front- and back-end ratios (RFP FY22-086-05 Attachment 2-Underwriting

Criteria) must be determined to assist the applicant in understanding the purchase price that will be affordable. Ratios must demonstrate the ability of the homebuyer to sustain homeownership throughout the period of affordability at a minimum.

L. Ensure applicant’s ability to invest a minimum of $1,000 in home purchase. M. Provide a list of lenders that have a history of working collaboratively with Open

Doors DPA or other DPA programs to the applicant. N. Applicant must complete the City of Phoenix Conflict of Interest Determination

Form. O. Complete a budget with applicant and ensure borrower understands budget

implications of homeownership. P. Collect and copy front and back of required forms of identification for

applicant(s) and all household members (i.e. birth certificates; schools records; social security cards; Arizona driver’s licenses or ID’s etc.)

Q. Provide education on home purchasing processes and the Open Doors DPA program.

R. Applicant must be provided a list of HUD Certified Counseling Agencies that offer both group and individual counseling options and must complete eight (8) hours of pre-purchase counseling from a HUD-certified housing counselor.

(4) Loan Processing

Qualification A. Process can be completed through encrypted emails, faxes or other secure

methods of transmitting information and documents. B. All documents listed in this section must be in the hard copy and electronic file. C. Submit completed Environmental Clearance Request (ECR) form to the City

with basic information (i.e. homebuyer’s name; loan amount etc.) to allow the City to complete required Environmental Review. The City will provide the template to utilize.

D. Verify a first lender’s home inspection AND the Uniform Physical Condition Standard (UPCS) inspection has occurred, after the securing of the purchase contract. UPCS inspection must occur no earlier than 90 days prior to commitment (close of escrow) and must include visual lead-based paint inspection as applicable. Homes are required to pass UPCS inspections. This may result in more than one inspection having to be conducted, per




homeowner. Two options can be utilized to fulfill the inspection requirement 1) Contract with an outside entity to perform UPCS inspections 2) Utilize in-house staff to complete these inspections. If this second option is utilized, it is required that the employees(s) performing these inspections are trained and certified to complete UPCS inspections. Additionally, staff completing the inspections cannot be the same employees that are assigned to any aspects of the Open Doors DPA processes.

E. Verify an appraisal of the home has occurred. Purchase Price cannot exceed appraised value of home or 95% of the HUD Maximum Purchase Price.

F. Ensure the property has met all lead regulations pursuant to 24 CFR part 35. G. Secure the following documents from the real estate agent, first lender or

applicant: a. Purchase Contract and all addendums (must include a minimum of a two

(2) year home warranty plan). b. Lead-based paint disclosure, if home is built prior to 1978, and any

additional applicable disclosure(s) (i.e. mold). c. Appraisal Report. d. Passed UPCS inspection reports (include passed and failed, if applicable,

in file). e. First lender’s home inspection report. f. Uniform Underwriting and Transmittal Summary g. Initial Closing Disclosure h. Draft Settlement Statement i. Mortgage Loan Commitment Letter

H. Review and approve first lender’s lending standards. I. Review and approve title company’s Draft Settlement Statement for fair and

reasonable fees. J. Ensure Loan Policy of Title Insurance is secured by the title company, for the

City of Phoenix and the homebuyer, and is reflected on the Draft Settlement Statement.

K. Secure certificate of completion from applicant for eight (8) hours of pre-purchase counseling provided by a HUD-certified counseling agency and certified housing counselor. It is not permitted for the awarded contractor(s) to provide HUD certified housing counseling services to homebuyers being served by this Open Doors DPA program.

L. All underwriting guidelines must be followed (RFP FY22-086-05 Attachment 2-Underwriting Criteria).

Requalification A. COMPLETED WITHIN 120 DAYS PRIOR TO CLOSE OF ESCROW (income-

related requirements can be utilized from the Eligibility Determination

https://www.ecfr.gov/cgi-bin/text-idx?SID=c492081985efd02a4702d7968757a8aa&mc=true&node=pt24.1.35&rgn=div5




Intake section if the Requalification process is completed within 120 days of close of escrow)

B. Required in-person appointment C. All supporting documentation must be included in the hard copy and electronic

file. D. Verify applicant is at or below 80% of the AMI requirements by calculating

income per Section 8 Part 5 guidelines to determine participant meets income requirements applicable to federal funds used and in accordance with underwriting guidelines (RFP FY22-086-05 Attachment 2-Underwriting Criteria). Utilize the City provided Income Eligibility Worksheet or a pre-approved agency calculation worksheet. All supporting source documentation must be included in the file.

E. With participant’s permission, as required by law, obtain and review participant’s current credit history if not provided by the applicant and ensure underwriting guidelines are met (RFP FY22-086-05 Attachment 2-Underwriting Criteria).

F. Debt must be assessed. G. Verify assets and reserves. H. Ensure applicant’s ability to invest a minimum of $1,000 in home purchase. I. Utility payments must be assessed. J. Front- and back-end ratios must be calculated and deemed eligible for the

program. Ratios must demonstrate the ability of the homebuyer to sustain homeownership throughout the applicable period of affordability at a minimum.

K. Complete a budget with applicant and ensure borrower understands budget implications of homeownership.

L. Prepare escrow instructions for title company. M. All underwriting guidelines must be followed (RFP FY22-086-05 Attachment 2-

Underwriting Criteria).

Loan Agreement A. Prior to closing the first five loans, the City will require a pre-approval

process to include an on-site review of file contents and verification of eligibility criteria to ensure compliance with program rules and regulations.

B. City loan agreement template is utilized. The City reserves the right to modify, add or revise the loan agreement as needed to be in compliance with program requirements and ensure the success of the program.

C. Verify the City is in second position. D. City loan agreement is updated with applicant’s information and sent

electronically to the City for review. Any corrections must be made prior to official approval and the applicant signing the document.




E. Loan Agreement packet is hand-delivered to the City by 5pm, at least eleven (11) days prior to the close of escrow, and must include the following: a. Loan Agreement (signed by borrower) b. Promissory Note (signed by borrower and notarized) c. Deed of Trust (signed by borrower and notarized) d. Declaration of Affirmative Land Use Restrictions (LURA) (signed by

borrower and notarized) e. W-9 for title company (current year) f. Wire instructions g. Loan Release Request Letter (template will be provided by the City) h. Loan Agreement Checklist i. Pre-screening checklist j. Application k. Intake Eligibility Income Calculation Worksheet l. Requalification Eligibility Intake Calculation Worksheet (if applicable)

F. Ensure the following documents are provided to the City after close of escrow a. Original Deed of Trust b. Original LURA c. Loan Policy of Title Insurance

G. Ensure that all loans closed are entered on the Open Doors DPA log each month and the log is submitted to the City by the 15th of each month

(5) Record Keeping and Data Collection A. Create and maintain hardcopy and electronic file that contains all required forms

and supporting documentation identified in the Scope of Work and in the-Loan Agreement Checklist (RFP FY22-086-05 Attachment 1). The City reserves the right to modify, add or revise the Scope of Work and Loan Agreement Checklist as needed.

B. Agency will supply the City a monthly report. C. Complete the Loan Agreement Checklist (RFP FY22-086-05 Attachment 1). D. Agency will maintain all related files, records, and supplemental materials for

five (5) years after the period of affordability expires (RFP FY22-086-05 Attachment 2-Underwriting Criteria) and will make said files available for inspection by the City or HUD at any time upon request.

(6) Method of Invoicing

A. Executed Loan Documents a. Federal regulations permit billing of executed loans only. No payment will

be issued for any work not resulting in an executed loan. b. Submit a request for payment invoice indicating the number of executed

loan agreements and corresponding addresses for the preceding month, by the 15th of each month.




c. The contractor may bill one flat fee for each executed loan, which includes reimbursement for the following components:

1) Pre-Screening 2) Intake 3) Loan Processing 4) UPCS Inspections 5) Record Keeping and Data Collection

d. Loan Policy of Title Insurance 1) Contractor will be reimbursed for the required Loan Policy of Title Insurance fee, for the City of Phoenix DPA loan, that is paid directly to title companies.

2) Contractor will submit paid receipt(s) for Loan Policy of Title Insurance fee with flat fee invoice.

3) Fee is lined itemed on invoice, per address. 4) The fee will be reimbursed at the actual expense of the Contractor,

without added overhead and profit. Original invoice(s) from title company will be provided at the time of billing. City will not accept any invoice that has been altered in any manner.

(7) Compliance with Federal Requirements All services provided must satisfy and comply with applicable laws and regulations that are related to Housing DPA, including, but not limited to, 24 CFR 92.205 and 92.254 (Eligible Activities; Homebuyer Activities; Ownership and Principal Residence; Eligible Property Taxes; Homebuyer Underwriting; Written Homebuyer Program Design Policies; Long-Term Affordability; Recapture and Resale); 24 CFR 92.2 (Eligible Property Types); 24 CFR 203.43 (Manufactured Housing with a Permanent Foundation); 24 CFR 92.203 (Income Eligibility Requirements); 24 CFR 92.250 (Subsidy Limits and Layering; Project Underwriting); 24 CFR 92.251 (Property Standards); Section 504 of the Rehabilitation Act of 1973 (Accessibility); 24 CFR 92.202, 92.250, 5.105 (a) (Fair and Equal Opportunity); Executive Order 11063 (amended by Executive Order 12259-Fair Housing and Equal Opportunity); Age Discrimination Act of 1975 (as amended); 42 U.S.C. 6101 (Fair Housing and Equal Opportunity); Title VI of Civil Rights Act of 1964; Fair Housing Act (42 U.S.C. 3601-3620); 24 CFR 92.351 (Affirmative Marketing); 41 CFR Part 60 and Executive Order 11246 (Equal Opportunity Employment); Executive Orders 11625, 12432, 12138 (Minority/Women Business Enterprises); 24 CFR 92.356 (Conflict of Interest); 24 CFR 92.350 (Excluded Parties); 24 CFR 92.352 and 24 CFR Part 58.35 b(5) (Environmental Reviews); 24 CFR 92.355 (Lead-Based Paint); HUD-5370-C General Contract Conditions Non-Construction; 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards).

SECTION VII – SUBMITTALS

CITY OF PHOENIX Housing Department 251 West Washington Street, 4th Floor Phoenix AZ 85003


SUBMITTAL SECTION 1. COPIES:

Please submit only the Submittal Section and required documents, do not submit a copy of the entire solicitation document as indicated in Section I – Instructions, Item 12 – Submittal of Offer. This offer will remain in effect for a period of 180 calendar days from the opening date and is irrevocable unless it is in the City’s best interest to release offer(s).

A. Physical: City of Phoenix, Housing Department, Calvin Goode Building, 4th Floor, Phoenix, AZ 85003 - Please submit one original, three copies, and four electronic copies (Jump Drives) of the Submittal Section and all other required documentation.

OR (Do not do both)

B. Electronic: Please submit one electronic copy through e-mail to [email protected] of the Submittal Section and all other required documentations.

2. OFFER SUBMITTAL FORMAT: The written offer should be:

• Typewritten for ease of evaluation; • Signed by an authorized representative of the Offeror; • Submitted with contact information for the individual(s) authorized to negotiate

with the City; • Submitted with a table of contents and tabbed per the following major sections:

Experience, Financial Capacity and Qualifications • Tab 1: Business History & Government/Corporate Experience • Tab 2: Adverse Actions/Potential Impact • Tab 3: Staff Qualifications • Tab 4: Sample Projects • Tab 5: Sample Documentation & Templates Design • Tab 6: Implementation • Tab 7: Customer Service – Availability • Tab 8: Customer Service – Office Resources • Tab 9: Technology Pricing and Costs • Tab 10: Reasonableness of Fees • Tab 11: Budget Controls Section VII – Submittals Section • Tab 12: Section VII Submittals Section • Tab 13: Signed Addenda





3. COSTS AND PAYMENTS: 3.1 PAYMENT TERMS & OPTIONS: Vendors must choose an option, if a box is not

checked, the City will default to 0% - net 45 days:

Contractor offers a prompt payment discount of either _______% - 30 days or 0% – 45 days - to apply after receipt of invoice or final acceptance of the products (invoice approval), whichever date is later, starts the 30 days. If no prompt payment discount is offered, the default is 0%, net 45 days; effective after receipt of invoice or final acceptance of the products, whichever is later. Payment terms offering a discount will not be considered in the price evaluation of your offer.

Contractor may be paid immediately upon invoice approval, if enrollment is made to the Single Use Account (SUA) Program, administered by the City’s servicing bank (“Bank”). By checking this box, the vendor accepts transaction costs charged by their merchant bank and agrees not to transfer to the City those extra charges. The City will not pay an increase in our services for the SUA charges; if an audit uncovers an upcharge for the SUA charges the vendor will owe the City all costs. The vendor may opt-out of the SUA program once, but then may not rejoin during the same contract term. For more information about the SUA program or to enroll, send email to [email protected].

4. OFFER:

All offers shall be firm and fixed for a period of 180 calendar days from the solicitation opening date. Pass-through offer adjustments will be accepted after that date provided said adjustment(s) are submitted in writing with thirty days’ advance notice and are accompanied by written documentation of a manufacturer's offer increase. Offer adjustment requests shall be sent to the Procurement Officer.

5. BID PRICE SCHEDULE:

Item No. Flat Listing Fee. Estimated

Quantity Unit Price Estimated Total Price

1 Executed Loan Completed

Approximately 45 DPA Loans

6. PLACE OF BUSINESS:

Offeror’s place of business will be an award factor in order to minimize the City’s transportation and handling costs. If additional service locations are available or if different from the address in Offer Section, enter below:




7. REFERENCES: Proposer shall furnish a minimum of three (3) references from agencies or government organizations for which the proposer is currently providing services or in the past five years has completed services. References from large public entities or large corporate entities are preferred. DO NOT LIST ANY CITY OF PHOENIX PERSONNEL AS A REFERENCE

Company Name Address Reference Telephone Number Email address Company Name Address Reference Telephone Number Email address Company Name Address Reference Telephone Number Email address




8. CERTIFICATION REGARDING DEPARTMENT SUSPENSION, AND OTHER INELIGIBILITY AND VOLUNTARY EXCLUSION: The prospective participant (Contractor for a federally funded project) certifies, by submission of this solicitation and certification, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department, U.S. Department of Housing and Urban Development, General Services Administration (Sam.gov) or other agency.

Where the prospective participant is unable to certify to any of the statements in this certification, such participant shall attach an explanation to this solicitation. THE PARTICIPANT (Contractor for a federally funded project), CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF 31 U.S.C. 3801 ET SEQ. ARE APPLICABLE THERETO. Authorized Official: _________________________ Title of Authorized Official: _________________________ Date: _________________________

DUNS Number: _________________________

Sam.gov number: _________________________




OFFER TO THE CITY OF PHOENIX - The Undersigned hereby offers and agrees to furnish the material and or service(s) in compliance with all terms, conditions, specifications, and addenda issued as a result of a solicitation. Arizona Sales Tax No. Use Tax No. for Out-of State Suppliers City of Phoenix Sales Tax No. Arizona Corporation Commission File No.

Taxpayer’s Federal Identification No.: If recommended for contract award, Bidder agrees to provide its federal taxpayer identification number or as applicable its social security number to the City of Phoenix for the purposes of reporting to appropriate taxing authorities, monies paid by the City of Phoenix under the awarded contract. If the Bidder provides its social security number, the City will only share this number with appropriate state and federal officials. This submission is mandatory under 26 U.S.C. § 6041A.

Enter City’s Registration System ID Number Located at City’s eProcurement website (see SECTION I – INSTRUCTIONS - CITY’S REGISTRATION)

Offeror has read, understands, and will fully and faithfully comply with this solicitation, its attachments and any referenced documents. Offeror certifies that the prices offered were independently developed without consultation with any other Offeror or potential Offerors. Authorized Signature Date ___________________________

Printed Name and Title (LLC, Inc., Sole Proprietor) (Member, Manager, President) Address City, State and Zip Code Telephone Number Company’s Fax Number Company’s Toll Free # Email Address




ACCEPTANCE OF OFFER

The Offer is hereby accepted.

The Contractor is now bound to sell the material(s) or service(s) listed by the attached contract and based upon the solicitation, including all terms, conditions, specifications, amendments, etc. and the Contractor’s Offer as accepted by the City.

This contract shall henceforth be referred to as Contract No. The Contractor has been cautioned not to commence any billable work or provide any material or service under this contract until Contractor receives purchase order, or contract documentation.

CITY OF PHOENIX

A Municipal Corporation

Jeff Barton, City Manager

_________________________________

Titus Mathew, Housing Director

__________________________________ this _____day of ________________2022

ATTEST:

_________________________________

City Clerk

Approved as to form this 19th day of January 2017. This document has been approved as to form by the City Attorney and is on file with the City Clerk. It need not be submitted to the City Attorney for approval unless the form document is altered.




This form must be signed and submitted to the City and all questions must be answered (or N/A) or your Offer may be considered non-responsive. . 1. Name of person submitting this disclosure form. First MI Last Suffix

2. Contract Information

Solicitation # or Name:

3. Name of individual(s) or entity(ies) seeking a contract with the City (i.e. parties to the Contract)

4. List any individuals(s) or entity(ies) that are owners, partners, parent, sublessees, joint

venture, or subsidiaries of the individual or entity listed in Question 3. Please include all Board members, executive committee members and officers for each entry. If not applicable, indicate N/A.

5. List any individuals or entities that will be subcontractors on this contract or indicate N/A.

Subcontractors may be retained, but not known as of the time of this submission. List of subcontracts, including the name of the owner(s) and business name:

6. List any attorney, lobbyist, or consultant retained by any individuals listed in Questions 3, 4, or 5 to assist in the proposal or seeking the resulting contract. If none, indicate N/A.




7. Disclosure of Conflict of Interest: A. City Code Section 43-34

Are you aware of any fact(s) with regard to this solicitation or resulting contract that would raise a “conflict of interest” issue under City Code Section 43-34? “An elected City official or a City employee shall not represent any person or business for compensation before the City regarding any part of a procurement, including any resulting contract, if during the time the elected official is or was in office or the employee is or was employed by the City such elected official or employee played a material or significant role in the development of the solicitation, any other part of the procurement, or the contract award.” I am not aware of any conflict(s) of interest under City Code Section 43-34. I am aware of the following potential or actual conflict(s) of interest:

B. ARS Sections 38-501 et. Seq. & City Charter Chapter 11 State law and the Phoenix City Charter and Code prohibit public officers or employees, their close relatives, and any businesses they, or their relatives, own from (1) representing before the City any person or business for compensation, (2) doing business with the City by any means other than through a formal procurement, and (3) doing business with the City without disclosing that the person has an interest in the contract. This prohibition extends to subcontracts on City contracts and also applies to parent, subsidiary, or partner businesses owned by a public officer or employee. See A.R.S. Sections 38-501 through 38-511, for more information (City Charter, Chapter 11, applies the state conflict-of-interest law to City employees). Please note that any contract in place at the time a person becomes a public officer or employee may remain in effect. But the contract may not be amended, extended, modified, or changed in any manner during the officer’s or employee’s city service without following city administrative regulations.




Are you aware of any fact(s) with regard to this contract that would raise a “conflict of interest” issue under A.R.S. Sections 38-501 through 38-511 (See Arizona Revised Statutes regarding conflict of interest at www.azleg.gov).

I am not aware of any conflict(s) of interest under Arizona Revised Statutes Sections 38-501 through 38-511.

I am aware of the following conflict(s) of interest: 8. Acknowledgements

A.Solicitation Transparency Policy – No Contact with City Officials or Staff During Evaluation

I understand that a person or entity who seeks or applies for a city contract, or any other person acting on behalf of that person or entity, is prohibited from contacting city officials and employees regarding the contract after a solicitation has been posted.

This “no-contact” provision only concludes when the contract is awarded at a City Council meeting. If contact is required with City official or employees, the contact will take place in accordance with procedures by the City. Violation of this prohibited contacts provision, set out in City Code Sections 2-190.4 and 43-36, by respondents, or their agents, will lead to disqualification.

B.Fraud Prevention and Reporting Policy

I acknowledge that the City has a fraud prevention and reporting policy and takes fraud seriously. I will report fraud, suspicion of fraud, or any other inappropriate

http://www.azleg.gov/




action to: telephone no. 602-261-8999 or 602-534-5500 (TDD); or [email protected].

The purpose of the fraud policy is to maintain the City's high ethical standards. The policy includes a way for our business partners to report wrongdoing or bad behavior. Suspected fraud should be reported immediately to the Phoenix Integrity Line. The City has adopted a zero-tolerance policy regarding fraud.

OATH I affirm that the statements contained in this form, including any attachments, to the best of my knowledge and belief are true, correct, and complete. Should any of the answers to the above questions change during the course of the contract, particularly as it relates to any changes in ownership, applicant agrees to update this form with the new information within 30 days of such changes. Failure to do so may be deemed a breach of contract. PRINT NAME TITLE

SIGNATURE DATE

COMPANY (CORPORATION, LLC, ETC.) NAME and DBA


SECTION VII – ATTACHMENTS



1. RFP FY22-086-05 Attachment 1 – Loan Agreement Checklist 2. RFP FY22-086-05 Attachment 2 – Underwriting Criteria 3. RFP FY22-086-05 Attachment 3 – Affidavit of Lawful Presence 4. RFP FY22-086-05 Attachment 4 – Statement of Citizenship or Qualified

Alien Status for Federal Public Benefits 5. HUD 5370-C Section 1 General Conditions of the Contract (With or without

Maintenance Work) 6. HUD 5370-C Section 2 General Conditions of the Contract (With

Maintenance Work)

SECTION VII – ATTACHMENTS



Primary Applicant: Male Female

Secondary Applicant: Male Female

Secondary Applicant: Male Female

Property Address:

Close of Escrow Date:

Household Size:

Household AMI (%):

Purchase Price:

Maximum Household Income for Family Size:

Source documentation:

Notes

Signed and dated by borrower

Includes copy of ID (both sides)

Form is completed in its entirety

Current credit report reviewed

Verified all other sources of income (SSI, child support, pension,

etc.)

Zero Income Affidavit(s) completed (if applicable)

Asset verification completed (if applicable)

Correct HUD Income Limits utilized

Applicant meets ratio requirements

Dates and income match supporting documentation

Budget worksheet completed

Income Eligibility Worksheet (HUD Section 8 Guidelines)

Applicant meets 80% AMI requirement

Form is completed in its entirety

Notes

Loan Agreement Checklist

Eligibility Determination

Most recent 60 consecutive days of pay stubs

2 most recent years of federal tax returns

2 most recent years of W-2s

Prescreening Document Completed

Application Signed and Dated by Applicant(s)

Income Source Documentation

Application Sent to Applicant(s)

Intake

Household Annual Income:

Date

Completed

Date

Completed

2 most recent monthly bank statements

*ALL ITEMS BELOW ARE INCLUDED IN CLIENT FILE

Prescreening

Statement of Citizenship or Qualified Alien Status for Federal

Public Benefits (for applicant(s))

Affidavit of Lawful Presence (for applicant(s))

Accurately identified ID utilized is indicated on form

Intake Form Completed

RFP FY22-086-05 Attachment 1 - Loan Agreement Checklist

Notes

Appraised value:

Year built:

Source documentation:

Date

Completed

Minimum of 2-year home warranty is included

IDs collected (driver's license, passport, birth certificate, etc.)

Disbursement date matches City loan COE

Correct COE is listed

Mold Disclosure (if applicable)

Lead-Based Paint Disclosure and visual inspection (if applicable)

All addendums are included

All sections are included

Draft Closing Disclosure

Verified year of construction to determine if Lead-Based Paint

Disclosure is applicable (homes built before 1978)

Uniform Physical Condition Standard (UPCS)

Appraised value is at or below 95% of HUD Maximum Purchase

Price

Verified accuracy of Primary Housing Expense/Income and Total

Obligation/Income Ratios and compared to Income Eligibility

Worksheet for significant discrepancies

Appraisal

Mortgage Loan Commitment

Includes copy of ID (both sides)

Required Identification for Other Household Members

If conflict exists, City of Phoenix has been notified

First Lender Loan Application

Purchase Contract

Purchase Price is correct and matches Draft Settlement Statement

and Closing Disclosure figure

Loan Processing

HUD-Certified Homebuyer Education Certificate (8 hours)

Qualification

Submitted Environmental Clearance Request (ECR) to City

Loan amount on Closing Disclosure matches figure on Draft

Settlement Statement

Purchase Price is correct and matches Draft Settlement Statement

and Purchase Contract figures

Conflict of Interest Determination Form

Each box is marked

Signed and dated by borrower (on or before intake)

Provided List of HUD-Certified Homebuyer Education Programs to

Applicant

Application is complete and correct

First Lender Uniform Underwriting and Transmittal Summary

Passed and failed (if applicable) UPCS reports in file

Signed and dated by borrower

Submitted Escrow Instructions to Title Company

Notes

Notes

Date

Completed

Date

Completed

Zero Income Affidavit(s) completed (if applicable)

All other sources of income (SSI, child support, pension, etc.) have

been verified

Loan Packet Submitted by 5pm on the 11th Business Day Prior to

City Loan COE

Current credit report reviewed

Loan Documents

Loan Packet for City of Phoenix Must Include:

Approved by City of Phoenix Prior to Borrower Signing

Loan Agreement Checklist

Loan amount matches figure on Closing Disclosure

Applicant meets ratio requirements

Dates and income match supporting documentation

Income Eligibility Worksheet (HUD Section 8 Guidelines)

(completed within 120 days prior to COE)

City of Phoenix loan is listed

Purchase Price is correct and matches Closing Disclosure and

Purchase Contract figures

Draft Settlement Statement Date and Disbursement Date match

City loan COE

Appraised value matches Appraisal Report

No disallowed mortgage features, per Open Doors DPA

Underwriting Guidelines

Draft Settlement Statement

City Loan is in 2nd Lien Position (exception: City loan is in 3rd

position when there is a NSP loan)

Borrower(s) Signed City of Phoenix Loan Agreement

City of Phoenix Loan Agreement (borrower signature; must match

final and approved electronic version)

Purchase Price is correct and matches Purchase Contract, Draft

Settlement Statement and Closing Disclosure figures

Loan amount matches Draft Settlement Statement and Closing

Disclosure figures

Income Source Documentation

Requalification

No cash out is provided to buyer

Fees are reasonable

Loan Policy of Title Insurance (ALTA) is listed for the homebuyer and

City of Phoenix Loan AgreementHomeowner's Insurance Policy

Budget worksheet completed

Asset verification completed (if applicable)

2 most recent monthly bank statements

Correct HUD Income Limits utilized

Most recent 60 consecutive days of pay stubs

2 most recent years of federal tax returns

2 most recent years of W-2s

Applicant meets 80% AMI requirement

Prepared By:

Signature Date

Approved By:

Signature Date

Final Documents to City of Phoenix

Ensure City of Phoenix receives recorded original Deed of Trust and

LURA

W-9 (2 copies)

Loan Release Request Letter (date matches packet submission;

entered information is correct)

Wire Instructions (2 copies)

Loan Application

Entered all borrower information on Open Doors DPA log

Ensure City of Phoenix receives copy of the Loan Policy of Title

Insurance and that the City of Phoenix Housing Department is listed

as a lost payee on the homeowner's insurance policy

Promissory Note (Borrower Signature and Notarized)

Deed of Trust (Borrower Signature and Notarized)

Declaration of Affirmative Land Use Restrictions (LURA) (Borrower

Signature and Notarized)

*Signatures above certify this file was reviewed for accuracy and completeness

Ensure City of Phoenix receives Final Closing Disclosure

Ensure City of Phoenix receives Final Settlement Statement

City of Phoenix

Open Doors Down Payment Assistance (DPA) Program

Underwriting Criteria

Eligibility o First-time homebuyer, as defined by HUD (has not owned property in the past 3 years)o Household income must be equal to or less than 80% AMI for the Phoenix-Mesa-Scottsdale MSAo Property is within Phoenix city limitso Purchase price cannot exceed 95% of the HUD determined HOME Homeownership Value Limits (updated annually)o Purchase price must not exceed the appraised value of the propertyo Borrower must be a US citizen or permanent residento Borrower must maintain the property as their primary residence for the duration of the City DPA loan

- Primary residence status will be verified annually throughout the period of affordability

Loan Term and Forgiveness

o Minimum loan amount $1,000o Maximum assistance – up to 10% of purchase price depending on need and eligibility of homebuyero For loans $15,000 and higher

- 15-year period of affordability- 10% of the loan forgiven annually beginning on the sixth anniversary/year of the recording of the City Deed of Trust- If there is no disqualifying event the loan is fully forgiven when the period of affordability is met

o For loans of $14,999 or less:- 5-year period of affordability- 25% of loan value forgiven annually beginning on the second anniversary/year of the recording of the City Deed of Trust- If there is no disqualifying event this loan is a fully forgiven when the period of affordability is met

o Must meet City refinancing and subordination requirementso Must demonstrate the ability of homebuyer to sustain homeownership throughout the applicable period of affordability at a

minimum

Income o Income must be calculated at intake and again at requalification within 120 days of the close of escrowo Income must be calculated in accordance with Section 8 Part 5 guidelineso Income must be averaged, based on the number of pay periods, then annualizedo Borrower must provide 2 most recent years of federal tax returns and W-2so Borrower must provide 2 most recent months of bank statementso All income must be verified using source documentation (i.e. employment pay stubs; Social Security award letter;

unemployment; short term disability; worker’s compensation; severance pay etc.) and two months of documentation mustbe provided as applicable

o Pay stubs must be provided for the most recent 60 consecutive dayso Must provide calculation for the entire household that is projected not anticipated income and is not solely determined by

last year’s incomeo Income may not be included in borrower’s income calculation if it cannot be verified, is not stable, or will not continue

RFP FY22-086-05 Attachment 2 Underwriting Criteria


o Zero Income Affidavit must be completed for household members aged 18 years or older, if they have no source of income

Assets for Income Calculation

o Assets must be calculated in accordance with Section 8 Part 5 guidelines (24 CFR 5.609 (b) and (c)), including which types are included or excluded in any calculations for the DPA program

o Asset inclusions: cash; money market; savings accounts o Asset exclusions: lump sum additions to assets (i.e. automobiles; cash equivalents; 401K accounts; IRA’s; college savings

accounts; inheritance; insurance payments; capital gains; settlements from personal or property loss) o Any withdrawal of cash or assets from investment will be included in income o If net family assets are greater than $5,000, annual income will include the greater of actual income derived from all net

family assets or the percentage of value of said assets based on the passbook savings rate o For any assets over $5,000 that produce little or no income, an imputed asset calculation must be completed according to

the City of Phoenix Section 8 passbook savings rate (Note: could use HUD Office of Multifamily Housing or self-established rate instead of COP Section 8 rate)

o Any asset disposed of at less than fair market value less than 2 years prior to income determination must be included in household assets, including any difference between cash value of asset and actual amount received in disposition

o Assets must be verified at intake and reviewed again at re-qualification with the most current supporting documentation

Contribution Assets and Cash Reserves

o Minimum cash contribution of $1,000 by homebuyer o Minimum cash reserves post-purchase must equal 1x monthly expenses o Maximum cash reserve post-purchase cannot exceed six months gross household income

Fees o No fees can be charged to the homebuyer for the application for and the use of HOME funds for this program

Credit o Credit check must be completed at intake o An additional credit check must be completed within 120 days of the close of escrow for re-qualification o Minimum FICO credit score: 580 o Expenses listed on the credit report, including credit card and loan payments, must be included in back-end debt ratio

calculation o Any expenses not listed on the credit report generally are not included in the back-end ratio unless payments are to begin

or will come due within 12 months of the City close of escrow o Closed-end debt do not need to be included if they will be paid off within 10 months and cumulatively all closed-end debt

payments are less than or equal to 5% of the borrower’s gross monthly income

Ratios o Ratios must be calculated at intake and recalculated at re-qualification o Front-end debt ratio must be between 28% and 31% of household income (include PITI, escrow payments, mortgage

insurance) o Back-end debt ratio must be equal to or less than 45% of household income o Back-end ratio will include all items described for front-end plus monthly payments on student loans, car loans, credit

cards, IRS tax liens; paycheck garnishments, and other debt listed on the credit report o Debt payments must be included in back-end calculation if they are scheduled to begin or come due within 12 months of

the City close of escrow


o Cannot exceed 90% of total monthly expenses gross income ratio (includes back end ratio items, back end ratio items and all other monthly expenses i.e. utilities; transportation; childcare; child support; alimony, healthcare premium; retirement contributions insurance medical etc.)

Budget o Borrower must complete a budget sheet at intake and at requalification

Home Warranty o Minimum of 2-year home warranty is required

Homeowners Insurance o The City of Phoenix Housing Department is listed as a lost payee on the homeowners insurance policy

UPCS o Property must pass an Uniform Physical Condition Standards (UPCS) inspection no more than 90 days prior to commitment (close of escrow)

Prohibited Features o The following items are not permissible on any first mortgages supplemented by the DPA program: - Loan term greater than 30 years - Adjustable-rate mortgages (ARMs), including all those with fixed-rate periods - Negative amortization - Balloon payments - Interest-only payments - Interest rates cannot exceed double the industry standard - Prepayment penalties - Closing costs, including origination fees, points and other lender charges cannot exceed 3% of the loan amount - Fees cannot be charged to the homebuyer for any processing/collaboration for the DPA assistance - No cash out

o The City reserves the right to determine that any additional terms on the first mortgage are disqualifying if they adversely affect the mortgage’s long-term affordability or are determined to be excessively risky

Mortgage Refinancing o If borrower refinances the same front-end and back-end ratio requirements described under “Ratios” must be met o All standards described under Prohibited Features also apply to mortgage refinancing and any other loans to which the

City DPA loan will subordinate

Escrow o Borrower pays for 5 years of mortgage insurance plus monthly payments into escrow

Homebuyer Education and Counseling

o Borrower must complete an 8-hour HUD-approved homebuyer education course and present a certificate of completion as verification

o Borrower has completed pre-purchase counseling through a HUD certified housing counselor working for a HUD approved housing counselor agency

o Housing counseling options must be available to homebuyers through more than one mean (i.e. individual, group, internet) o Homebuyers can be charged reasonable fees for the homebuyer education course

City of Phoenix AFFIDAVIT OF LAWFUL PRESENCE

Your completion of this form is required by Arizona state law. A.R.S. §§ 1-501 and -502.

I, ________________________________________________(print full name exactly as on document), hereby affirm, upon penalty of perjury, that I presented the document marked below to the City of Phoenix, that I am lawfully present in the United States, and that I am the person stated on the document. (select one category only)

Arizona driver license issued after 1996. Print first four numbers/letters from license:

Arizona non-operating identification license. Print first four numbers/letters:

Birth certificate or delayed birth certificate issued in any state, territory or possession of the U.S. Year of birth: ____________; Place of birth: _________________________________

United States Certificate of Birth Abroad. Year of birth: ____________; Place of birth: _________________________________

United States Passport. Print first four numbers/letters on Passport:

Foreign Passport with United States Visa.

Print first four numbers/letters on Passport: Print first four numbers/letters on Visa:

I-94 Form with a photograph. Print first four numbers on I-94:

USCIS Employment Authorization Document (EAD).

Print first four numbers/letters on EAD: or Perm. Resident Card (acceptable alternative):

Refugee Travel Document. Date of issuance: _______________; Refugee country: _________________________

U.S. Certificate of Naturalization. Print first four digits of CIS Reg. No.:

U.S. Certificate of Citizenship. Date of issuance: _______________; Place of issuance: _________________________

Tribal Certificate of Indian Blood. Date of issuance: _______________; Name of tribe: ___________________________

Tribal or Bureau of Indian Affairs Affidavit of Birth. Year of birth: ____________; Place of birth: _________________________________

Signed: _____________________________________ Dated: ____________________

RFP FY22-086-05 Attachment 3 - Affidavit of Lawful Presence

1

STATEMENT OF CITIZENSHIP OR QUALIFIED ALIEN STATUS FOR FEDERAL PUBLIC BENEFITS

Title IV of the federal Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (the “Act”), 8 U.S.C. § 62, provides that, with certain exceptions, only United States citizens, United States non-citizen nationals, non-exempt “qualified aliens” (and sometimes only particular categories of qualified aliens), are eligible to receive federal, state or local public benefits. A loan of federal funds to individuals for the purpose of assisting them to purchase a home is a federal public benefit.

Directions: All applicants must complete Sections I, II, and IV. Applicants who are not U.S. citizens or nationals must also complete Section III. Submit this completed form and copy of one or more documents that evidence your citizenship or alien status with your loan application.

APPLICANT’S NAME (Print or type):

________________________________________________________________________

NAME OF PERSON SIGNING FOR APPLICANT, if any* (print or type):

________________________________________________________________________

[*If Applicant is an unemancipated minor under 18 years of age or an adult who is not competent to execute the declaration then this Application and declaration must be executed by a parent, legal guardian, or other person legally qualified to act on behalf of the Applicant.]

DATE: ________________ PROPERTY ADDRESS:________________________________

Directions: Attach a legible copy of the front and the back (if any), of a document from the attached List A or other document that demonstrates U.S. citizenship or nationality.

Name of document provided: _______________________________________________

A. Are you a citizen or national of the United States? (check one)

Yes No

B. If the answer is “Yes,” where were you born? List city, state (or equivalent), and country

City______________________ State (or equivalent)_________________________

Country or Territory____________________________________________________

If you are a citizen or national of the United States, go to Section IV. If you are not a citizen or national of the United States, please complete Sections III and IV.

SECTION I - APPLICANT INFORMATION

SECTION I - APPLICANT INFORMATION SECTION II - CITIZENSHIP OR NATIONAL STATUS DECLARATION

RFP FY22-086-05 Attachment 4

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Directions: To be completed by applicants who are not citizens or nationals of the United States. An applicant who has not attested to being a U.S. national must present the Applicant’s most recent evidence of alien registration issued by the Immigration and Naturalization Service pursuant to 8 C.F.R. § 264.1(b).

Registration document received

Registration document not received (explain):____________________________ ______________________________________________________________________

Please indicate alien status by checking the appropriate box. Attach a legible copy of the front, and back (if any), of a document from the attached List B or other document that evidences your status. Name of document provided: ______________________________________________________________________

“Qualified Alien” Status [8 U.S.C. §1641(b) and (c)]

1. An alien lawfully admitted for permanent residence under the Immigration and Nationality Act (INA).

2. An alien who is granted asylum under Section 208 of the INA

3. A refugee admitted to the United States under Section 207 of the INA.

4. An alien paroled into the United States for at least one year under Section 212(d)(5) of the INA.

5. An alien whose deportation is being withheld under Section 243(h) of the INA.

6. An alien granted conditional entry under Section 203(a) (7) of the INA as in effect prior to April1, 1980.

7. An alien who is a Cuban and Haitian entrant (as defined in section 501(e) of the Refugee Education Assistance Act of 1980).

8. An alien who is, or whose child or child’s parent is, a “battered alien” or an alien subjected to extreme cruelty in the United States.

All applicants must complete this section. I declare under penalty of perjury under the laws of the state of Arizona that the answers I have given are true and correct to the best of my knowledge. I understand that serious legal consequences—civil, criminal, or both—may result from a false declaration. I further consent to the City of Phoenix investigating my status for purposes of determining my eligibility to receive the federal public benefits for which I have applied.

_______________________________ ____________________________________ APPLICANT’S SIGNATURE TODAY’S DATE

Attachment: Lists A and B Evidence of U.S. Citizenship, U.S. National Status, or Qualified Alien Status

SECTION I - APPLICANT INFORMATION SECTION III – QUALIFIED ALIEN STATUS DECLARATION

SECTION I - APPLICANT INFORMATION SECTION IV – DECLARATION AND CONSENT

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Attachment to Applicant Statement EVIDENCE OF U.S. CITIZENSHIP, U.S. NATIONAL STATUS, OR ALIEN STATUS

LIST A: U.S. CITIZEN OR U.S. NATIONAL

Note: In this List, the term “Service” refers to the U.S. Citizenship and Immigration Service, formerly, the U.S. Immigration and Naturalization Service (INS). [Source: Proposed Rules, Verification of Eligibility for Public Benefits, 8 CFR §104.23; 63 FR 41662-01 August 4, 1998); and Interim Guidance of Verification of Citizenship, Qualified Alien Status and Eligibility under Title IV of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (“Interim Guidance”), 62 FR 6 1344 (Nov. 17, 1997), Attachment 4].

Evidence showing U.S. citizen or U.S. national status includes the following:

a. Primary Evidence:

(1) A birth certificate showing birth in one of the 50 states, the District of Columbia, Puerto Rico (on or after January13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, or the Northern Mariana Islands (on or after November 4,1986, Northern Mariana Islands local time)(unless the applicant was born to foreign diplomats residing in such a jurisdiction);

(2) United States passport;

(3) Report of birth abroad of a U.S. citizen (FS-240)(issued by the Department of State to U.S. citizens);

(4) Certificate of Birth (FS-545)(issued by a foreign service post) or Certification of Report of Birth (DS-1350), copies of which are available from the Department of State;

(5) Form N-561, Certificate of Citizenship;

(6) Form I-197, United States Citizen Identification Card (issued by the Service until April 7, 1983 to U.S. citizens living near the Canadian or Mexican border who needed it for frequent border crossings)(formerly Form I-179, last issued in February 1974);

(7) Form I-873 (or prior versions), Northern Marianas Card (issued by the Service to a collectively naturalized U.S. citizen who was born in the Northern Mariana Islands before November 3,1986);

(8) Statement provided by a U.S. consular official certifying that the individual is a U.S. citizen (given to an individual born outside the United States who derives citizenship through a parent but does not have an FS-240, FS-545, orDS-1350); or

(9) Form I-872 (or prior version), American Indian Card with a classification code “KIC” and a statement on the back identifying the bearer as a U.S. citizen (issued by the Service to U.S. citizen members of the Texas Band of Kickapoos living near the U.S./Mexican border).

[Source: Interim Guidance of Verification of Citizenship, Qualified Alien Status and Eligibility Under Title IV of the Personal Responsibility and Work Opportunity Reconciliation Act of1996 (“Interim Guidance”), 62 FR 61344 (Nov.17,1997), Attachment 4]

b. Secondary Evidence If the applicant cannot present one of the documents listed in (a) above, the following may be relied upon to establish U.S. citizenship or U.S. national status:

(1) Religious record recorded in one of the 50 states, the District of Columbia, Puerto Rico (on or after January 13,1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, or the

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Northern Mariana Islands (on or after November 4,1986, Northern Mariana Islands local time)(unless the applicant was born to foreign diplomats residing in such a jurisdiction) within three 3 months after birth showing that the birth occurred in such jurisdiction and the date of birth or the individual’s age at the time the record was made;

(2) Evidence of civil service employment by the U.S. government before June 1, 1976;

(3) Early school records (preferably from the first school) showing the date of admission to the school, the applicant’s date and U.S. place of birth, and the name(s) and place(s) of birth of the applicant’s parents(s);

(4) Census record showing name, U.S. nationality or a U.S. place of birth, and applicant’s date of birth or age;

(5) Adoption finalization papers showing the applicant’s name and place of birth in one of the 50 states, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, or the Northern Mariana Islands (on or after November 4, 1986, Northern Mariana Islands local time)(unless the applicant was born to foreign diplomats residing in such a jurisdiction), or, when the adoption is not finalized and the state or other U.S. jurisdiction listed above will not release a birth certificate prior to final adoption, a statement from a State-or jurisdiction-approved adoption agency showing the applicant’s name and place of birth in one of such jursdictions, and stating that the source of the information is an original birth certificate;

(6) Any other document that establishes a U.S. place of birth or otherwise indicates U.S. nationality (e.g., a contemporaneous hospital record of birth in that hospital in one of the 50 states, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, or the Northern Mariana Islands (on or after November 4, 1986, Northern Mariana Islands local time)(unless the applicant was born to foreign diplomats residing in such a jurisdiction);

c. Collective Naturalization

If the applicant cannot present one of the documents listed in (a) or (b) above, the following will establish U.S. citizenship for collectively naturalized individuals:

Puerto Rico:

•Evidence of birth in Puerto Rico on or after April11,1899 and the applicant’s statement that he or she was residing in the U.S., a U.S. possession or Puerto Rico on January 13, 1941; or

•Evidence that the applicant was a Puerto Rican citizen and the applicant’s statement that he or she was residing in Puerto Rico on March 1, 1917 and that he or she did not take an oath of allegiance to Spain.

U.S. Virgin Islands:

• Evidence of birth in the U.S. Virgin Islands, and the applicant’s statement of residence in the U.S., a U.S. possession or the U.S. Virgin Islands on February 25, 1927;

•The applicant’s statement indicating resident in the U.S. Virgin Islands as a Danish citizen on January 17, 1917 and residence in the U.S., a U.S. possession or the U.S. Virgin Islands on February 25,1927, and that he or she did not make a declaration to maintain Danish citizenship; or

•Evidence of birth in the U.S. Virgin Islands and the applicant’s statement indicating residence in the U.S., a U.S. possession or territory or the Canal Zone on June 28, 1932.

Northern Mariana Islands (NMI)(formerly part of the Trust Territory of the Pacific Islands (TTPI)):

•Evidence of birth in the NMI, TTPI citizenship and residence in the NMI, the U.S., or a U.S. territory or possession on November 3,1986 (NMI local time) and the applicant’s statement that he or she did not owe

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allegiance to a foreign state on November 4,1986 (NMI local time);

•Evidence of TTPI citizenship, continuous residence in the NMI since before November 3, 1981 (NMI local time), voter registration prior to January 1, 1975 and the applicant’s statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time).

•Evidence of continuous domicile in the NMI since before January 1, 1974 and the applicant’s statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time). Note: If a person entered the NMI as a non-immigrant and lived in the NMI since January 1, 1974, this does not constitute continuous domicile and the individual is not a U.S. citizen.

d. Derivative Citizenship

If the applicant cannot present one of the documents listed in a or b above, the following may be used to make a determination of derivative U.S. citizenship:

Applicant born abroad to two U.S. citizen parents: -Evidence of the U.S. citizenship of the parents and the relationship of the applicant to the parents, and evidence that at least one parent resided in the U.S. or an outlying possession prior to the applicant’s birth.

Applicant born abroad to a U.S. citizen parent and a U.S. non-citizen national parent: -Evidence that one parent is a U.S. citizen and that the other is a U.S. non-citizen national, evidence of the relationship of the applicant to the U.S. citizen parent, and evidence that the U.S. citizen parent resided in the U.S., a U.S. possession, American Samoa or Swain’s Island for a period of at least one year prior to the applicant’s birth.

Applicant born out of wedlock abroad to a U.S. citizen mother: - Evidence of the U.S. citizenship of the mother, evidence of the relationship to the applicant and, for births on or before December 24, 1952, evidence that the mother resided in the U.S. prior to the applicant’s birth or, for births after December 24, 1952, evidence that the mother had resided, prior to the child’s birth, in the U.S. or a U.S. possession for a period of one year.

Applicant born in the Canal Zone or the Republic of Panama:

•A birth certificate showing birth in the Canal Zone on or after February 26, 1904 and before October 1, 1979 and evidence that one parent was a U.S. citizen at the time of applicant’s birth; or

•A birth certificate showing birth in the Republic of Panama on or after February 26, 1904 and before October 1, 1979 and evidence that at least one parent was a U.S. citizen and employed by the U.S. government or the Panama Railroad Company or its successor in title.

In all other situations in which an applicant claims to have a U.S. citizen parent and an alien parent, or claims to fall within one of the above categories, but is unable to present the listed documentation:

•If the applicant is in the U.S., the applicant should contact the local U.S. Citizenship and Immigration Service office for determination of U.S. citizenship;

•If the applicant is outside the U.S., the applicant should contact the State Department for a U.S. citizenship determination.

e. Adoption of Foreign-Born Child by U.S. Citizen

•If the birth certificate shows a foreign place of birth and the applicant cannot be determined to be a naturalized citizen under any of the above criteria, obtain other evidence of U.S. citizenship;

•Because foreign-born adopted children do not automatically acquire U.S. citizenship by virtue of adoption by U.S. citizens, the applicant should contact the local U.S. Citizenship and Immigration Service office for a determination of U.S. citizenship, if the applicant provides no evidence of U.S. citizenship.

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f. U.S. Citizenship By Marriage

A woman acquired U.S. citizenship through marriage to a U.S. citizen before September 22, 1922. Provide evidence of U.S. citizenship of the husband, and evidence showing the marriage occurred before September 22, 1922.

Note: If the husband was an alien at the time of the marriage, and became naturalized before September 22, 1922, the wife also acquired naturalized citizenship. If the marriage terminated, the wife maintained her U.S. citizenship if she was residing the U.S. at that time and continued to reside in the U.S.

LIST B: QUALIFIED ALIENS, NON-IMMIGRANTS, AND ALIENS PAROLED INTO U.S. FOR LESS THAN ONE YEAR

The documents listed below that are registration documents are indicated with an asterisk (“*”).

Evidence of “Qualified Alien” status includes the following:

Alien Lawfully Admitted for Permanent Residence

-*Form I-551 (Alien Registration Receipt Card, commonly known as a “green card”); or

- Unexpired Temporary I-551 stamp in foreign passport or on *I Form I-94.

Asylee

-*Form I-94 annotated with stamp showing grant of asylum under section 208 of the INA;

-*Form I-688B (Employment Authorization Card) annotated “274a.12(a)(5)”;

-*Form I-766 (Employment Authorization Document) annotated “A5”;

-Grant letter from the Asylum Office of the U.S. Citizenship and Immigration Service; or

-Order of an immigration judge granting asylum.

Refugee

-*Form I-94 annotated with stamp showing admission under §207 of the INA;

-*Form I-688B (Employment Authorization Card) annotated “274a.12(a)(3)”; or-*Form I-766 (Employment Authorization Document) annotated “A3”

Alien Paroled Into the U.S. for at Least One Year

-*Form I-94 with stamp showing admission for at least one year under section 212(d)(5) of the INA. (Applicant cannot aggregate periods of admission for less than one year to meet the one-year requirement.)

Alien Whose Deportation or Removal Was Withheld

-*Form I-688B (Employment Authorization Card) annotated “274a.12 (a) (10)”;

-*Form I-766 (Employment Authorization Document) annotated “A10”; or

-Order from an immigration judge showing deportation withheld under §243(h) of the INA as in effect prior to April1, 1997, or removal withheld under §241)(b)(3) of the INA.

Alien Granted Conditional Entry

-*Form I-94 with stamp showing admission under §203(a)(7) of the INA;

-*Form I-688B (Employment Authorization Card) annotated “274a.12 (a)(3)”; or

-*Form I-766 (Employment Authorization Document) annotated “A3.”

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Cuban/Haitian Entrant

-*Form I-551 (Alien Registration Receipt Card, commonly known as a “green card”) with the code CU6, CU7, or CH6;

-Unexpired temporary I-551 stamp in foreign passport or on *Form I-94 with the code CU6 or CU7; or

-Form I-94 with stamp showing parole as “Cuba/Haitian Entrant” under Section 212(d)(5) of the INA.

Alien Who Has Been Declared a Battered Alien or Alien Subjected to Extreme Cruelty

-U.S. Citizenship and Immigration Service petition and supporting documentation

U.S. Department of Housing and UrbanDevelopment Office of Public and Indian Housing Office of Labor Relations OMB Approval No. 2577-0157 (exp. 11/30/2023)

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

Public Reporting Burden for this collection of information is estimated to average one hour 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. HUD may not conduct or sponsor, and an applicant is not required to respond to a collection of information unless it displays a currently valid OMB control number.

Applicability. This form HUD-5370-C has 2 Sections. These proposal submitted before final payment of the contract.Sections must be inserted into non-construction contracts as (d) Failure to agree to any adjustment shall be a dispute underdescribed below: clause Disputes, herein. However, nothing in this clause

shall excuse the Contractor from proceeding with thecontract as changed.1) Non-construction contracts (without maintenance)

greater than $150,000 - use Section I; 2) Maintenance contracts (including nonroutine

maintenance as defined at 24 CFR 905.100) greater than $2,000 but not more than $150,000 - use Section II; and

3) Maintenance contracts (including nonroutine maintenance), greater than $150,000 – use Sections I and II.

Section I - Clauses for All Non-Construction Contracts greater than $150,000

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 contract clauses, and the scope of work. It includes all formal changes to any of those documents by addendum, Change Order, or other modification.

(c) "Contractor" means the person or other entity entering into the contract with the Authority to perform all of the work required 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, and the officers and employees of the United States Department of Housing and Urban Development acting for and on behalf of the Secretary.

2. Changes

(a) The HA may at any time, by written order, and without notice to the sureties, if any, make changes within the general scope of this contract in the services to be performed or supplies to be delivered.

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

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

(e) No services for which an additional cost or fee will becharged by the Contractor shall 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 of theContractor to fulfill the contract obligations (default). TheHA shall terminate by delivering to the Contractor a writtenNotice of Termination specifying the nature, extent, andeffective date of the termination. Upon receipt of the notice,the Contractor shall: (i) immediately discontinue all servicesaffected (unless the notice directs otherwise); and (ii)deliver to the HA all information, reports, papers, and othermaterials 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 HA may(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; (ii) 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; (iii) withhold any payments to the Contractor, for thepurpose 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 Contractor's directlypertinent books, documents, papers, or other recordsinvolving transactions related to this contract for thepurpose of making audit, examination, excerpts, andtranscriptions.

Section I - Page 1 of 7 form HUD-5370-C (01/2014)

(b) The Contractor agrees to include in first-tier subcontractsunder this contract a clause substantially the same as A breach of these Contract clauses may be grounds forparagraph (a) above. "Subcontract," as used in this clause, termination of the Contract and for debarment or denial ofexcludes purchase orders not exceeding $10,000. participation in HUD programs as a Contractor and a

(c) The periods of access and examination in paragraphs (a) subcontractor as provided in 24 CFR Part 24.and (b) above for records relating to:(i) appeals under the clause titled Disputes; 9. Assignment of Contract(ii) litigation or settlement of claims arising from theperformance of this contract; or, The Contractor shall not assign or transfer any interest in this(iii) costs and expenses of this contract to which the HA, contract; except that claims for monies due or to become dueHUD, or Comptroller General or any of their duly from the HA under the contract may be assigned to a bank,authorized representatives has taken exception shall trust company, or other financial institution. If the Contractor iscontinue until disposition of such appeals, litigation, a partnership, this contract shall inure to the benefit of theclaims, or exceptions. surviving or remaining member(s) of such partnership approved

by the HA.5. Rights in Data (Ownership and Proprietary Interest)

10. Certificate and ReleaseThe HA shall have exclusive ownership of, all proprietaryinterest in, and the right to full and exclusive possession of all Prior to final payment under this contract, or prior to settlementinformation, materials and documents discovered or produced upon termination of this contract, and as a condition precedentby Contractor pursuant to the terms of this Contract, including thereto, the Contractor shall execute and deliver to the HA abut not limited to reports, memoranda or letters concerning the certificate and release, in a form acceptable to the HA, of allresearch and reporting tasks of this Contract. claims against the HA by the Contractor under and by virtue of

this contract, other than such claims, if any, as may be6. Energy Efficiency specifically excepted by the Contractor in stated amounts set

forth therein.The contractor shall comply with all mandatory standards andpolicies relating to energy efficiency which are contained in the 11. Organizational Conflicts of Interestenergy conservation plan issued in compliance with the EnergyPolicy and Conservation Act (Pub.L. 94-163) for the State in (a) The Contractor warrants that to the best of its knowledgewhich the work under this contract is performed. and belief and except as otherwise disclosed, it does not

have any organizational conflict of interest which is defined7. Disputes as a situation in which the nature of work under this

contract and a contractor's organizational, financial,(a) All disputes arising under or relating to this contract, except contractual or other interests are such that:

for disputes arising under clauses contained in Section III, (i) Award of the contract may result in an unfairLabor Standards Provisions, including any claims for competitive advantage; ordamages for the alleged breach there of which are not (ii) The Contractor's objectivity in performing the contractdisposed of by agreement, shall be resolved under this work may be impaired.clause. (b) The Contractor agrees that if after award it discovers an

(b) All claims by the Contractor shall be made in writing and organizational conflict of interest with respect to this contractsubmitted to the HA. A claim by the HA against the or any task/delivery order under the contract, he or she shallContractor shall be subject to a written decision by the HA. make an immediate and full disclosure in writing to the

(c) The HA shall, with reasonable promptness, but in no event Contracting Officer which shall include a description of thein no more than 60 days, render a decision concerning any action which the Contractor has taken or intends to take toclaim hereunder. Unless the Contractor, within 30 days after eliminate or neutralize the conflict. The HA may, however,receipt of the HA's decision, shall notify the HA in writing terminate the contract or task/delivery order for thethat it takes exception to such decision, the decision convenience of the HA if it would be in the best interestshall be final and conclusive. of the HA.

(d) Provided the Contractor has (i) given the notice within the (c) In the event the Contractor was aware of an organizationaltime stated in paragraph (c) above, and (ii) excepted its conflict of interest before the award of this contract andclaim relating to such decision from the final release, and (iii) intentionally did not disclose the conflict to the Contractingbrought suit against the HA not later than one year after Officer, the HA may terminate the contract for default.receipt of final payment, or if final payment has not been (d) The terms of this clause shall be included in allmade, not later than one year after the Contractor has had a subcontracts and consulting agreements wherein the workreasonable time to respond to a written request by the HA to be performed is similar to the service provided by thethat it submit a final voucher and release, whichever is prime Contractor. The Contractor shall include in suchearlier, then the HA's decision shall not be final or subcontracts and consulting agreements any necessaryconclusive, but the dispute shall be determined on the provisions to eliminate or neutralize conflicts of interest.merits by a court of competent jurisdiction.

(e) The Contractor shall proceed diligently with performance of 12. Inspection and Acceptancethis contract, pending final resolution of any request for

(a) The HA has the right to review, require correction, ifrelief, claim, appeal, or action arising under the contract,necessary, and accept the work products produced by theand comply with any decision of the HA.Contractor. Such review(s) shall be carried out within 30

8. Contract Termination; Debarment days so as to not impede the work of the Contractor. Any


product of work shall be deemed accepted as submitted if "Local government" means a unit of government in a Statethe HA does not issue written comments and/or required and, if chartered, established, or otherwise recognized by acorrections within 30 days from the date of receipt of such State for the performance of a governmental duty, including aproduct from the Contractor. local public authority, a special district, an intrastate district, a

(b) The Contractor shall make any required corrections council of governments, a sponsor group representativepromptly at no additional charge and return a revised copy organization, and any other instrumentality of a localof the product to the HA within 7 days of notification or a government.later date if extended by the HA. "Officer or employee of an agency" includes the following

(c) Failure by the Contractor to proceed with reasonable individuals who are employed by an agency:promptness to make necessary corrections shall be a (i) An individual who is appointed to a position in thedefault. If the Contractor's submission of corrected work Government under title 5, U.S.C., including a positionremains unacceptable, the HA may terminate this contract under a temporary appointment;(or the task order involved) or reduce the contract price or (ii) A member of the uniformed services as defined incost to reflect the reduced value of services received. section 202, title 18, U.S.C.;

(iii) A special Government employee as defined in section13. Interest of Members of Congress 202, title 18, U.S.C.; and,

(iv) An individual who is a member of a Federal advisoryNo member of or delegate to the Congress of the United States committee, as defined by the Federal Advisoryof America or Resident Commissioner shall be admitted to any Committee Act, title 5, appendix 2.share or part of this contract or to any benefit to arise there from, “Person" means an individual, corporation, company,but this provision shall not be construed to extend to this association, authority, firm, partnership, society, State, and localcontract if made with a corporation for its general benefit. government, regardless of whether such entity is operated for

profit or not for profit. This term excludes an Indian tribe, tribal14. Interest of Members, Officers, or Employees and Former organization, or other Indian organization with respect to

Members, Officers, or Employees expenditures specifically permitted by other Federal law."Recipient" includes all contractors, subcontractors at any

No member, officer, or employee of the HA, no member of the tier, and subgrantees at any tier of the recipient of funds receivedgoverning body of the locality in which the project is situated, no in connection with a Federal contract, grant, loan, or cooperativemember of the governing body in which the HA was activated, agreement. The term excludes an Indian tribe, tribal organization,and no other pubic official of such locality or localities who or any other Indian organization with respect toexercises any functions or responsibilities with respect to the expenditures specifically permitted by other Federal law.project, shall, during his or her tenure, or for one year "Regularly employed means, with respect to an officer or

employee of a person requesting or receiving a Federalthereafter, have any interest, direct or indirect, in this contract orthe proceeds thereof. contract, grant, loan, or cooperative agreement, an officer or

employee who is employed by such person for at least 13015. Limitation on Payments to Influence Certain Federal working days within one year immediately preceding the date of

Transactions the submission that initiates agency consideration of suchperson for receipt of such contract, grant, loan, or cooperative

(a) Definitions. As used in this clause: agreement. An officer or employee who is employed by such"Agency", as defined in 5 U.S.C. 552(f), includes Federal person for less than 130 working days within one year

executive departments and agencies as well as independent immediately preceding the date of submission that initiatesregulatory commissions and Government corporations, as agency consideration of such person shall be considered to bedefined in 31 U.S.C. 9101(1). regularly employed as soon as he or she is employed by such

"Covered Federal Action" means any of the following person for 130 working days.Federal actions: "State" means a State of the United States, the District of

(i) The awarding of any Federal contract; Columbia, the Commonwealth of Puerto Rico, a territory or(ii) The making of any Federal grant; possession of the United States, an agency or instrumentality of(iii) The making of any Federal loan; a State, and a multi-State, regional, or interstate entity having(iv) The entering into of any cooperative agreement; and, governmental duties and powers.(v) The extension, continuation, renewal, amendment, or (b) Prohibition.

modification of any Federal contract, grant, loan, or (i) Section 1352 of title 31, U.S.C. provides in part that nocooperative agreement. appropriated funds may be expended by the recipient

Covered Federal action does not include receiving from an of a Federal contract, grant, loan, or cooperativeagency a commitment providing for the United States to insure agreement to pay any person for influencing oror guarantee a loan. attempting to influence an officer or employee of any

"Indian tribe" and "tribal organization" have the meaning agency, a Member of Congress, an officer orprovided in section 4 of the Indian Self-Determination and employee of Congress, or an employee of a MemberEducation Assistance Act (25 U.S.C. 450B). Alaskan Natives of Congress in connection with any of the followingare included under the definitions of Indian tribes in that Act. covered Federal actions: the awarding of any Federal

"Influencing or attempting to influence" means making, with contract, the making of any Federal grant, the makingthe intent to influence, any communication to or appearance of any Federal loan, the entering into of anybefore an officer or employee of any agency, a Member of cooperative agreement, and the extension,Congress, an officer or employee of Congress, or an employee continuation, renewal, amendment, or modification ofof a Member of Congress in connection with any covered any Federal contract, grant, loan, or cooperativeFederal action. agreement.

(ii) The prohibition does not apply as follows:


(1) Agency and legislative liaison by Own person requesting or receiving aEmployees. covered Federal action or an extension,

(a) The prohibition on the use of appropriated continuation, renewal, amendment, orfunds, in paragraph (i) of this section, does not modification of a covered Federal actionapply in the case of a payment of reasonable if the payment is for professional orcompensation made to an officer or employee of technical services rendered directly ina person requesting or receiving a Federal the preparation, submission, orcontract, grant, loan, or cooperative agreement, if negotiation of any bid, proposal, orthe payment is for agency and legislative application for that Federal action or foractivities not directly related to a covered Federal meeting requirements imposed by oraction. pursuant to law as a condition for

(b) For purposes of paragraph (b)(i)(1)(a) of receiving that Federal action. Personsthis clause, providing any information specifically other than officers or employees of arequested by an agency or Congress is permitted person requesting or receiving aat any time. covered Federal action include

(c) The following agency and legislative liaison consultants and trade associations.activities are permitted at any time only where (b) For purposes of subdivision (b)(ii)(2)(a) ofthey are not related to a specific solicitation for clause, "professional and technical services"any covered Federal action: shall be limited to advice and analysis

(1) Discussing with an agency (including directly applying any professional orindividual demonstrations) the qualities and technical discipline.characteristics of the person's products or (c) Requirements imposed by or pursuant to lawservices, conditions or terms of sale, and service as a condition for receiving a coveredcapabilities; and, Federal award include those required by law

(2) Technical discussions and other or regulation, or reasonably expected to beactivities regarding the application or adaptation required by law or regulation, and any otherof the person's products or services for an requirements in the actual awardagency's use. documents.

(d) The following agency and legislative liaison (d) Only those services expressly authorized byactivities are permitted where they are prior to subdivisions (b)(ii)(2)(a)(i) and (ii) of thisformal solicitation of any covered Federal action: section are permitted under this clause.

(1) Providing any information not (iii) Selling activities by independent salesspecifically requested but necessary for an representatives.agency to make an informed decision about (c) The prohibition on the use of appropriated funds, ininitiation of a covered Federal action; subparagraph (b)(i) of this clause, does not apply to the

(2) Technical discussions regarding the following selling activities before an agency by independentpreparation of an unsolicited proposal prior to its sales representatives, provided such activities are prior toofficial submission; and formal solicitation by an agency and are specifically limited

(3) Capability presentations by persons to the merits of the matter:seeking awards from an agency pursuant to the (i) Discussing with an agency (including individualprovisions of the Small Business Act, as demonstration) the qualities and characteristics of theamended by Public Law 95-507 and other person's products or services, conditions or terms ofsubsequent amendments. sale, and service capabilities; and

(e) Only those activities expressly authorized (ii) Technical discussions and other activities regardingby subdivision (b)(ii)(1)(a) of this clause are the application or adaptation of the person's productspermitted under this clause. or services for an agency's use.

(2) Professional and technical services. (d) Agreement. In accepting any contract, grant, cooperative(a) The prohibition on the use of appropriated agreement, or loan resulting from this solicitation, the

funds, in subparagraph (b)(i) of this clause, person submitting the offer agrees not to make anydoes not apply in the case of- payment prohibited by this clause.(i) A payment of reasonable compensation (e) Penalties. Any person who makes an expenditure

made to an officer or employee of a prohibited under paragraph (b) of this clause shall beperson requesting or receiving a subject to civil penalties as provided for by 31 U.S.C. 1352.covered Federal action or an extension, An imposition of a civil penalty does not prevent thecontinuation, renewal, amendment, or Government from seeking any other remedy that may bemodification of a covered Federal applicable.action, if payment is for professional or (f) Cost Allowability. Nothing in this clause is to be interpretedtechnical services rendered directly in to make allowable or reasonable any costs which would bethe preparation, submission, or unallowable or unreasonable in accordance with Part 31 ofnegotiation of any bid, proposal, or the Federal Acquisition Regulation (FAR), or OMBapplication for that Federal action or for Circulars dealing with cost allowability for recipients ofmeeting requirements imposed by or assistance agreements. Conversely, costs madepursuant to law as a condition for specifically unallowable by the requirements in this clausereceiving that Federal action. will not be made allowable under any of the provisions of

(ii) Any reasonable payment to a person, FAR Part 31 or the relevant OMB Circulars.other than an officer or employee of a


16. Equal Employment Opportunity

During the performance of this contract, the

Contractor/Seller agrees as follows: (a)The [contractor/seller] will not discriminate against any emplo

yee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, disability, or national origin. The

[contractor/seller] will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, sexual orienta tion, gender identity, disability, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selec tion for training, including apprenticeship. The [contractor/seller] agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the contracting officer setting forth the provisions of this nondiscrimination clause.

(b)The [contractor/seller] will, in all solicitations or advertisements for employees placed by or on behalf of the [contractor/seller], state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, disability, or national origin.

(c)The [contractor/seller] will not discharge or in any other man ner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or ano ther employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the [contractor/seller]'s legal duty to furnish information.

(d)The [contractor/seller] will send to each labor union or representative of workers with which it has a collective bargaining agreement or oth er contract or understanding, a notice to be provided by the agency contracting officer, advising the labor union or workers' representative of the [contractor/seller] 's commitments under section 202 of Executive Order 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (e)The [contractor/seller] will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

f)The [contractor/seller] will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (g)In the event of the [contractor/seller]’s noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations, or orders, this contract may be canceled, terminated or suspended in whole or in part and the [contractor/seller] may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as other wise provided by law.

(g)In the event of the [contractor/seller]’s noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations, or orders, this contract may be canceled, termin ated or suspended in whole or in part and the [contractor/seller] may be declared ineligible for further Government contracts in acc ordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (h) The [contractor/seller] will include the provisions of paragraphs (a) through (h) in every subcontract or purchase order unless exe mpted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each sub[contractor/seller] or vendor. The [contractor/seller] will take such action with respect to any subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such provisions including sanctions for noncompliance: Provided, however, that in the event the [contractor/seller] becomes involved in, or is threatened with, litigation with a sub contractor or vendor as a result of such direction, the [contractor/ seller] may request the United States to enter into such litigation to protect the interests of the United States.

17. Equal Opportunity for Workers with Disabilities

1.The [contractor/seller] will not discriminate against any e mployee or applicant for employment because of physical or mental disability in regard to any position for which the employee or applicant for employment is qualified. The [contractor/seller] agrees to take affirmative action to employ and advance in employment individuals with disabilities, and to treat qualified individuals without discrimination on the basis of their physical or mental disability in all employment practices, including the following:

i.Recruitment, advertising, and job application procedures; ii.Hiring, upgrading, promotion, award of tenure, demotion,

transfer, layoff, termination, right of return from layoff and rehiring; iii.Rates of pay or any other form of compensation and chan

ges in compensation; iv.Job assignments, job classifications, organizational struct

ures, position descriptions, lines of progression, and seniority lists; v.Leaves of absence, sick leave, or any other leave; vi.Fringe benefits available by virtue of employment, whether or not administered by the [contractor/seller]; vii.Selection and financial support for training, including apprenticeship, professional meetings, conferences, and other related activities, and selection for leaves of absence to pursue training; viii.Activities sponsored by the [contractor/seller] including social or recreational programs; and ix.Any other term, condition, or privilege of employment.

2.The [contractor/seller] agrees to comply with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant to the act. 3.In the event of the [contractor/seller] noncompliance with the requirements of this clause, actions for noncompliance may be taken in accordance with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant to the act. 4.The [contractor/seller] agrees to post in conspicuous places, available to employees and applicants for employment, notices in a form to be prescribed by the Director, Office of Federal Contract Compliance Programs, provided by or through the contracting officer. Such notices shall state the rights of applicants and employees as well as the [contractor/seller] 's obligation under the law to take affirmative action to employ and advance in employment qualified employees and applicants with disabilities.


The [contractor/seller] must ensure that applicants or employees with disabilities are provided the notice in a form that is accessible and understandable to the individual applicant or employee (e.g., providing Braille or large print versions of the notice, or posting a copy of the notice at a lower height for easy viewing by a person using a wheelchair). With respect to employees who do not work at a physical location of the [contractor/seller] , a [contractor/seller] will satisfy its posting obligations by posting such notices in an electronic format, provided that the [contractor/seller] provides computers, or access to computers, that can access the electronic posting to such employees, or the [contractor/seller] has actual knowledge that such employees otherwise are able to access the electro nically posted notices. Electronic notices for employees must be posted in a conspicuous location and format on the company's intranet or sent by electronic mail to employees. An electronic posting must be used by the [contractor/seller] to notify job applicants of their rights if the [contractor/seller] utilizes an electronic application process. Such electronic applicant notice must be conspicuously stored with, or as part of, the electronic application. 5.The [contractor/seller] will notify each labor organization or representative of workers with which it has a collective bargaining agreement or other contract understanding, that the [contractor/ seller] is bound by the terms of section 503 of the Rehabilitation Act of 1973, as amended, and is committed to take affirmative action to employ and advance in employment, and shall not discriminate against, individuals with physical or mental disabilities. 6.The [contractor/seller] will include the provisions of this clause in every subcontract or purchase order in excess of $ 10,000, unless exempted by the rules, regulations, or orders of the Secretary issued pursuant to section 503 of the act, as amended, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the Director, Office of Federal Contract Compliance Programs may direct to enforce such provisions, including action for noncompliance. 7.The [contractor/seller] must, in all solicitations or advertisements for employees placed by or on behalf of the [contractor/seller], state that all qualified applicants will receive consideration for employment and will not be discriminated against on the basis of disability.

18. Dissemination or Disclosure of Information

No information or material shall be disseminated or disclosed to the general public, the news media, or any person or organization without prior express written approval by the HA.

19. Contractor's Status

It is understood that the Contractor is an independent contractor and is not to be considered an employee of the HA, or assume any right, privilege or duties of an employee, and shall save harmless the HA and its employees from claims suits, actions and costs of every description resulting from the Contractor's activities on behalf of the HA in connection with this Agreement.

20. Other Contractors

HA may undertake or award other contracts for additional work at or near the site(s) of the work under this contract. The contractor shall fully cooperate with the other contractors and with HA and HUD employees and shall carefully adapt scheduling and performing the work under this contract to accommodate the additional work, heeding any direction that may be provided by the Contracting Officer. The contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or HA employee.

21. Liens

The Contractor is prohibited from placing a lien on HA's property. This prohibition shall apply to all subcontractors.

22. Training and Employment Opportunities for Residents in the Project Area (Section 3, HUD Act of 1968; 24 CFR 135)

(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, particularly 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) 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

(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.

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 the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of


recovered materials practicable consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price.

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


General Conditions for Non-Construction Contracts

U.S. Department of Housing and Urban Development Office of Public and Indian Housing

Section II – (With Maintenance Work) Office of Labor Relations OMB Approval No. 2577-0157 (exp. 1/01/2014)

Public Reporting Burden for this collection of information is estimated to average 0.08 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. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Reports 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 this completed form to either of these addressees. Applicability. This form HUD-5370C has 2 Sections. These Sections must be inserted into non-construction contracts as described below:

1) Non-construction contracts (without maintenance) greater than $100,000 - use Section I;

2) Maintenance contracts (including nonroutine maintenance as defined at 24 CFR 968.105) greater than $2,000 but not more than $100,000 - use Section II; and

3) Maintenance contracts (including nonroutine maintenance), greater than $100,000 – use Sections I and II.

==================================================== Section II – Labor Standard Provisions for all Maintenance Contracts greater than $2,000 ==================================================== 1. Minimum Wages

(a) All maintenance laborers and mechanics employed under this Contract in the operation of the project(s) shall be paid unconditionally and not less often than semi-monthly, and without subsequent deduction (except as otherwise provided by law or regulations), the full amount of wages due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Housing and Urban Development which is attached hereto and made a part hereof. Such laborers and mechanics shall be paid the appropriate wage rate on the wage determination for the classification of work actually performed, without regard to skill. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein; provided, that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination, including any additional classifications and wage rates approved by HUD under subparagraph 1(b), shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

(b) (i) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the Contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate only when the following criteria have been met:

(1) The work to be performed by the classification required is not performed by a classification in the wage determination;

(2) The classification is utilized in the area by the industry; and

(3) The proposed wage rate bears a reasonable relationship to the wage rates contained in the wage determination.

(ii) The wage rate determined pursuant to this paragraph shall be paid to all workers performing work

in the classification under this Contract from the first day on which work is performed in the classification.

2. Withholding of funds

The Contracting Officer, upon his/her own action or upon request of HUD, shall withhold or cause to be withheld from the Contractor under this Contract or any other contract subject to HUD-determined wage rates, with the same prime Contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics employed by the Contractor or any subcontractor the full amount of wages required by this clause. In the event of failure to pay any laborer or mechanic employed under this Contract all or part of the wages required under this Contract, the Contracting Officer or HUD may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment or advance until such violations have ceased. The Public Housing Agency or HUD may, after written notice to the Contractor, disburse such amounts withheld for and on account of the Contractor or subcontractor to the respective employees to whom they are due.

3. Records

(a) The Contractor and each subcontractor shall make and maintain for three (3) years from the completion of the work records containing the following for each laborer and mechanic: (i) Name, address and Social Security Number; (ii) Correct work classification or classifications; (iii) Hourly rate or rates of monetary wages paid; (iv) Rate or rates of any fringe benefits provided; (v) Number of daily and weekly hours worked; (vi) Gross wages earned; (vii) Any deductions made; and (viii) Actual wages paid.

(b) The Contractor and each subcontractor shall make the records required under paragraph 3(a) available for inspection, copying, or transcription by authorized representatives of HUD or the HA and shall permit such representatives to interview employees during working hours on the job. If the Contractor or any subcontractor fails to make the required records available, HUD or its designee may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment, advance or guarantee of funds.

4. Apprentices and Trainees

(a) Apprentices and trainees will be permitted to work at less than the predetermined rate for the work they perform when they are employed pursuant to and individually registered in: (i) A bona fide apprenticeship program registered

with the U.S. Department of Labor, Employment and Training Administration (ETA), Office of

Section II - Page 1 of 3

form HUD-5370-C (10/2006)

Apprenticeship Training, Employer and Labor Services (OATELS), or with a state apprenticeship agency recognized by OATELS, or if a person is employed in his/her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by OATELS or a state apprenticeship agency (where appropriate) to be eligible for probationary employment as an apprentice;

(ii) A trainee program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, ETA; or

(iii) A training/trainee program that has received prior approval by HUD.

(b) Each apprentice or trainee must be paid at not less than the rate specified in the registered or approved program for the apprentice’s/trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Apprentices and trainees shall be paid fringe benefits in accordance with the provisions of the registered or approved program. If the program does not specify fringe benefits, apprentices/trainees must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification.

(c) The allowable ratio of apprentices or trainees to journeyman on the job site in any craft classification shall not be greater than the ratio permitted to the employer as to the entire work force under the approved program.

(d) Any worker employed at an apprentice or trainee wage rate who is not registered in an approved program, and any apprentice or trainee performing work on the job site in excess of the ratio permitted under the approved program, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed.

(e) In the event OATELS, a state apprenticeship agency recognized by OATELS or ETA, or HUD, withdraws approval of an apprenticeship or trainee program, the employer will no longer be permitted to utilize apprentices/trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

5. Disputes concerning labor standards

(a) Disputes arising out of the labor standards provisions contained in Section II of this form HUD-5370-C, other than those in Paragraph 6, shall be subject to the following procedures. Disputes within the meaning of this paragraph include disputes between the Contractor (or any of its subcontractors) and the HA, or HUD, or the employees or their representatives, concerning payment of prevailing wage rates or proper classification. The procedures in this section may be initiated upon HUD’s own motion, upon referral of the HA, or upon request of the Contractor or subcontractor(s). (i) A Contractor and/or subcontractor or other

interested party desiring reconsideration of findings of violation by the HA or HUD relating to the payment of straight-time prevailing wages or classification of work shall request such reconsideration by letter postmarked within 30 calendar days of the date of notice of findings issued by the HA or HUD. The request shall set

forth those findings that are in dispute and the reasons, including any affirmative defenses, with respect to the violations. The request shall be directed to the appropriate HA or HUD official in accordance with instructions contained in the notice of findings or, if the notice does not specify to whom a request should be made, to the Regional Labor Relations Officer (HUD).

(ii) The HA or HUD official shall, within 60 days (unless otherwise indicated in the notice of findings) after receipt of a timely request for reconsideration, issue a written decision on the findings of violation. The written decision on reconsideration shall contain instructions that any appeal of the decision shall be addressed to the Regional Labor Relations Officer by letter postmarked within 30 calendar days after the date of the decision. In the event that the Regional Labor Relations Officer was the deciding official on reconsideration, the appeal shall be directed to the Director, Office of Labor Relations (HUD). Any appeal must set forth the aspects of the decision that are in dispute and the reasons, including any affirmative defenses, with respect to the violations.

(iii) The Regional Labor Relations Officer shall, within 60 days (unless otherwise indicated in the decision on reconsideration) after receipt of a timely appeal, issue a written decision on the findings. A decision of the Regional Labor Relations Officer may be appealed to the Director, Office of Labor Relations, by letter postmarked within 30 days of the Regional Labor Relations Officer’s decision. Any appeal to the Director must set forth the aspects of the prior decision(s) that are in dispute and the reasons. The decision of the Director, Office of Labor Relations, shall be final.

(b) Disputes arising out of the labor standards provisions of paragraph 6 shall not be subject to paragraph 5(a) of this form HUD-5370C. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor set forth in 29 CFR Parts 5, 6 and 7. Disputes within the meaning of this paragraph 5(b) include disputes between the Contractor (or any of its subcontractors) and the HA, HUD, the U.S. Department of Labor, or the employees or their representatives.

6. Contract Work Hours and Safety Standards Act

The provisions of this paragraph 6 are applicable only where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” includes watchmen and guards. (a) Overtime requirements. No Contractor or subcontractor

contracting for any part of the Contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek.

(b) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the provisions set forth in paragraph 6(a), the Contractor and any


form HUD-5370-C (10/2006)

subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to the District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the provisions set forth in paragraph (a) of this clause, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by provisions set forth in paragraph (a) of this clause.

(c) Withholding for unpaid wages and liquidated damages. HUD or its designee shall upon its own action or upon written request of an authorized representative of the U.S. Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such Contract or any federal contract with the same prime Contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime Contractor such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the provisions set forth in paragraph (b) of this clause.

7. Subcontracts

The Contractor or subcontractor shall insert in any subcontracts all the provisions contained in this Section II and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts. The prime Contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the provisions contained in these clauses.

8. Non-Federal Prevailing Wage Rates

Any prevailing wage rate (including basic hourly rate and any fringe benefits), determined under state law to be prevailing, with respect to any employee in any trade or position employed under the Contract, is inapplicable to the contract and shall not be enforced against the Contractor or any subcontractor, with respect to employees engaged under the contract whenever such non-Federal prevailing wage rate, exclusive of any fringe benefits, exceeds the applicable wage rate determined by the Secretary of HUD to be prevailing in the locality with respect to such trade or position.


form HUD-5370-C (10/2006)