center request for family st. clair county housing
TRANSCRIPT
REQUEST FOR PROPOSALS
FAMILY RESOURCE CENTER SERVICES
ST. CLAIR COUNTY HOUSING AUTHORITY
CONTACT: NICHOLAS URBAN, ADMINISTRATIVE SPECIALIST
AUTHORIZED BY: LARRY MCLEAN, SCCHA EXECUTIVE DIRECTOR
SCCHA BOARD OF COMMISSIONERS
EUGENE VERDU, CHAIRMANDANIEL BARGER
VIVIAN CASHSR. JULIA HUISKAMPBILLIE JEAN MILLER
MAY 18, 2020
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SECTION 1
GENERAL INSTRUCTIONS TO PROPOSERS
GENERAL
The purpose of this request for proposal (REP) is to provide prospective proposers withsufficient information to prepare and submit proposals for Family Resource Center Coordinationand Administration Program Services. Proposals submitted in response to this RFP will be usedby the St. Clair County Housing Authority (SCCHA) to select a preferred contractor for finalconsideration and contract negotiations.
PRE-PROPOSAL CONFERENCE
Mr. Larry McLean, Executive Director, shall be available on Wednesday, June 3, 2020 at10:00 p.m. to answer questions from potential respondents and to tour the targeted location/facilities.Attendance at the conference is encouraged, but not required. Note: Due to COVID-19 SafetyPrecautions, the meeting will be limited to no more than ten (10) participants. If you plan toattend the pre-proposal conference it is requested you notify Nicholas Urban, AdministrativeSpecialist, no later than Friday, May 28, 2020 (by phone at 618-277-6919 or e-mail [email protected]). If prior notifications indicate more than ten individuals plan to attendarrangements will be made to allow participation by conference call.
TYPE OF PROCUREMENT
This is considered a competitive negotiation procurement since there is a pre-establishedmaximum contract amount for the minimum services to be performed and the award shall be madeon what is considered an overall ‘best buy” basis and not solely on the basis of cost.
PREFERRED CONTRACTING METHOD
To efficiently and effectively accomplish the desired results, SCCHA intends to award asingle contract for each of the two defined service delivery areas. SCCHA reserves the right toapprove participation by all sub- contractors. If a primary Contractor elects to use sub-contractors,SCCHA must approve in writing each sub-contractor before work is begun. Proposers must submit alist of any proposed sub-contractors prior to work starting. The primary Contractor(s) will remainresponsible for all aspects of the work and will assume responsibility for the work of all subcontractors.
SECTION 3 CLAUSE
The work to be performed under this contract is on a project assisted under a programproviding direct Federal financial assistance from the Department of Housing and UrbanDevelopment and is subject to the requirements of Section 3 of the Housing and Urban DevelopmentAct of 1968, as amended, 12 U.S.C. 1701 u, Section 3 requires that to the greatest extent feasible,opportunities for training and employment be given to lower income residents of the area of theSection 3 covered project, and contracts for work in connection with the project be awarded tobusiness concerns which are located in, or owned in substantial part by persons residing in the areaof the Section 3 covered project.
The parties to this contract will comply with the provisions of said Section 3 and theregulations issued pursuant thereto by the Secretary of Housing and Urban Development set forth in24 part CFR 135, and all applicable rules and orders of the Department issued there under prior to
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the execution of this contract. The parties to this contract certify and agree that they are under nocontractual or other disability that would prevent them from complying with these requirements.
The contractor will include the Section 3 clause in every subcontract for work in connectionwith the project and will, at the direction of the applicant for or recipient of Federal Financialassistance, take appropriate action pursuant to the subcontract upon finding that the subcontractor isin violation of regulations issued by the Secretary of Housing and Urban Development, 24 CAR Part135. The contractor will not subcontract with any subcontractor where it has notice or knowledge thatthe latter has been found in violation of regulations under 24 CAR part 135 and will not let anysubcontract unless the subcontractor has first provided it with a preliminary statement of ability tocomply with the requirements of these regulations. Compliance with the provisions of section 3, theregulations set forth in 24 CAR part 135, and all applicable rules and orders of the Department issuedthere under prior to the execution of the contract, shall be a condition of the Federal financialassistance provided to the project, binding upon the applicant or recipient, its contractors andsubcontractors, its successors, and assigns to those sanctions specified by the grant or loanagreement or contract through which Federal assistance is provided, and to such sanctions as arespecified by 24 CFR part 135.
Forms that need to be completed by respondents to document compliance with Section 3Requirements are included in Appendix #9.
DIVERSITY: SCCHA strongly encourages minority-owned and women-owned businesses, sociallyand economically disadvantaged businesses, and small businesses to respond to this RFQ or toparticipate in a subcontracting capacity on SCCHA contracts.
INTEREST OF MEMBERS, OFFICERS OR EMPLOYEES AND FORMER MEMBERS, OFFICERSOF EMPLOYEES
No member, officer or employee of SCCHA or former member, officer or employee of theSCCHA who ceased to be a member, officer or employee within one year shall voluntarily acquireany interest, direct or indirect, in any property included or planned to be included in the project, or inthis contract or any subcontracts relating to the project. If any such person involuntarily acquires anysuch interest or had acquired any such interest prior to appointment or employment as such member,officer or employee then such person shall immediately disclose any such interest in writing toSCCHA. Upon any such disclosure, a member, officer or employee shall not participate in any actionby SCCHA relating to the property or contract in which he may have any such interest.
INTEREST OF MEMBER OF CONGRESS
No member of or delegate to the Congress of the United States of America shall be admittedto any share or part of this Contract or to any benefit to arise there-from, unless it be made with acorporation for its general benefit.
NONDISCRIMINATION IN EMPLOYMENT
In connection with the performance of work under this Contract, the contractor agrees not todiscriminate against any employee or applicant for employment because of race, religion, color ornational origin. The aforesaid provision shall include, but not be limited to the following: employment,upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination rates ofpay or other forms of compensation; and selection for training, including apprenticeship. TheContractor agrees to post hereafter in conspicuous places available for employees and applicants foremployment, notices to be provided by the contracting officer setting forth the provisions of thenondiscrimination clause. The Contractor further agrees to insert the foregoing pro-vision in allsubcontracts hereunder, except subcontracts for standard commercial supplies of raw materials.
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PROPOSAL SUBMISSIONS
Respondents must submit at least three copies of their proposals in an envelope markedTamily Resource Center Coordination and Administration Proposal” no later than 2:00 p.m.. Friday,June 19, 2020. The proposals must be submitted to:
Nicholas Urban, Administrative SpecialistSt. Clair County Housing Authority
1790 South 74th StreetBelleville, IL 62223
All submitted proposals will become the property of SCCHA and will not be returned to theproposer. SCCHA reserves the right to extend the time and date it sets for submitting and evaluatingproposals.
DURATION OF PROPOSAL
Proposals are to be valid for at least sixty (60) days from the proposal opening date. Allproposals must be signed by a Corporate Officer or their designated representative to be consideredvalid.
REQUESTS FOR INFORMATION
All requests for information concerning this REP must be directed, in writing, at the addresslisted above. SCCHA reserves the right to respond to informational requests at its sole discretion.Any informational requests received by SCCHA will be made available to all proposers at the SCCHACentral Office. Similarly, any responses by SCCHA to requests for information will be made availableto all proposers at the SCCHA Central Office. Proposers shall not communicate directly with otherSCCHA employees about the RFP or their proposal, unless authorized by Larry McLean, DeputyDirector. It is the intent of SCCHA to control the REP process and ensure that all proposers receivefair treatment.
REJECTION OF PROPOSALS
SCCHA reserves the right to reject any and all proposals that it does not deem in its bestinterest. If SCCHA determines that competition was inadequate, it will seek services through non-competitive negotiation. SCCHA also reserves the right to award contracts to those proposers thatpropose solutions which, in SCCHA’s discretion, best serve its interest.
MODIFICATION OR WITHDRAWAL OF PROPOSALS
Responses to this RFP may be modified only by written communication with SCCHA. Suchcommunication must be received by SCCHA before the date set for proposal opening. Proposalssubmitted in response to this RFP may be withdrawn by communicating the intent to withdraw aproposal in writing to SCCHA before the date set for proposal opening.
ADDENDUM TO THIS RFP
It SCCHA determines that this RFP should be modified before the date set for receipt ofproposals, it will so inform prospective proposers by distributing an addendum to this RFP.
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AUTHORITY TO DO BUSINESS IN ILLINOIS
All proposers submitting proposals in response to this REP must be authorized to dobusiness in the State of Illinois at the time of proposal opening. Any proposer determined to lack theproper authorization as of that date will be disqualified.
PAYMENTS
A suggested payment schedule should be detailed in the submitted proposal, but is subject tonegotiation at the time of contract execution. SCCRA will process payment within thirty (30) daysafter receipt of invoices and all supporting documentation, subject to HUD approval and/or processingby HUDs electronic financial management systems.
TAXES
SCCHA is exempt from local, state and federal taxes and will not be responsible for any taxliabilities arising out of this REP or any subsequent acquisition of products or services. Proposersmust not include such taxes in their proposal costs.
TRANSPORTATION/TRAVEL TIME/SHIPPING COSTS
The Contractor(s) under this contract assumes full responsibility for all transportation, traveltime, and shipping costs and is required to include these costs within the indicated proposal for eachtraining component. The SCCHA will not accept or prepare subsequent paper work to effect paymentin this area after contract award.
LENGTH OF CONTRACT
The initial term of the contract will be for a two (2) year period; however, SCCHA reserves theright to extend the contract for an additional two (2) year period, subject to satisfactory performanceand fund availability.
NEGOTIATION OF CONTRACT
SCCHA will invite the primary proposer to enter into contract negotiations. If the negotiationsare unsuccessful, SCCHA will enter into negotiations with another proposer.
AWARD OF CONTRACT
Award of the contract shall be subject to the approval of SCCHA’s Executive Director and/orthe Board of Commissioners. SCCHA requires the selected proposer to execute a Contract with theSCCHA following issuance of its Letter of Contract Award. Failure to enter into such an agreementshall give SCCHA the right to award the contract to another proposer.
NOTICE TO PROCEED
SCCHA’s issuance of the Notice to Proceed shall be conditioned on the selected proposerpresenting to SCCHA sufficient evidence of required insurance coverage within 10 days of contractexecution.
INSURANCE AND CONTRACTOR’S LIABILITY
Prior to entry on the site(s) where the services are to be performed, the contractor shall
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furnish the SCCHA with satisfactory evidence (subject to approval of the SCCHA) that they and theirSub-Contractors have the following insurance coverage(s) which shall not be canceled or permitted tolapse until final completion and approval of the performance of the contract, and shall contain aprovision that the policy will not be canceled or changed until 10 days alter the SCCHA has receivedwritten notice, by certified or registered mail, that the cancellation or change of such policy iscontemplated.
Required Coverage
For any business entity that employs person(s) other than the owner/operator must have thefollowing insurance;
A. Workmen(s) Compensation Insurance in compliance with the lawsof the State of Illinois.
B. Owned/HiredlNon-owned Automobile Liability Insurance, with bodily injury andproperty and property damage limits of not less than $300,000 for any vehicle drivenon SCCHA premises.
C. Comprehensive General or Professional Liability, with coverage limit ofnot less than $1,000,000 for each occurrence, with an aggregate limit of $2,000,000.The SCCHA shall be listed as an “Additional Insured” on said policy. Additionalcoverage must be primary over any other valid and collectable insurance available toSCCHA whether primary, excess, contingent or on any other basis.
Hold Harmless Condition - The following conditions will be incorporated into the Contract betweenSCCHA and the Contractor:
Contractual Liability (Hold Harmless). The contractor shall in the contract assumeresponsibility for any and all injury due to damage to any person and/or property includingloss of human life arising directly or indirectly from or in connection with activities or servicesperformed or to be performed under this contract, including extra work and shall hold suchinjury, damage or death, and shall defend any such claims asserted or suit brought againstSCCHA or its employees thereon, and shall pay any judgment against SCCHA and itsemployees resulting in any such suit; provided however, that SCCHA and its employees shallhave the right at its option to participate in any such litigation hereunder, and further providedthat this indemnity agreement shall not apply to injury, sickness, disease, death ordestruction, the sole proximate cause of which is an act of omission of the SCCHA.
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SECTION 2
BACKGROUND INFORMATION
SCCHA
SCCHA is a special-purpose, municipal corporation organized under Chapter 67.5 of theIllinois State Statute as authorized by the 1937 National Housing Act. SCCHA’s jurisdiction covers allof St. Clair County, excluding the City of East St. Louis. SCCHA’s Central Office is located inBelleville, Illinois, which is approximately 10 miles east of St. Louis, Missouri.
SCCHA operates a public housing program with about 1000 units, administers approximately1600 Section 8 Housing Choice Vouchers and owns and manages a total of 24 Rural DevelopmentSection 515 (with Rental Assistance) and 22 Section 8 New Construction units.
PRIMARY RESIDENT POPULATIONS
Private Mathison Manor - Centreville
The Private Mathison Manor neighborhood is comprised of three separate public housingdevelopments. 1L30-60 is located in the front, 1L30-80 in the middle, and lL3O-10 in the rear of thedevelopment. There are a total of 213 housing units, consisting of 17 one-bedroom, 114 two-bedroom, 65 three-bedroom, and 17 four-bedroom units. There are a total of 44, row-type buildings.Refer to Appendix Item 1. Characteristics of the resident population are summarized in AppendixItem #2.
Ernest Smith Apartments - Centreville
The Ernest Smith Apartments neighborhood also consists of three separate public housingdevelopments---1L30-6, lL3O-8, and 1L30-20. There are a total of 161 housing units, consisting of 8walk-up units for the elderly and 20 one-bedroom, 40 two-bedroom, 81 three-bedroom, 4 four-bedroom, and 8 five-bedroom family units. There are a total of 39 row-type buildings. Refer toAppendix Item #3. Characteristics of the resident population are summarized in Appendix Item #4.
RESIDENT COUNCILS/FAMILY RESOURCE CENTERS
Each resident population referenced is represented by an organized Resident Council (PC).Effective communication with the RCs is vital to the program success.
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SECTION 3
SCOPE OF SERVICES
FAMILY RESOURCE CENTER COORDINATION AND ADMINISTRATION
Family Resource Centers are intended to provide for the social well-being of the residentpopulation in each of the targeted public housing communities. Targeted groups are youth (thoseunder age 18) and unemployed or underemployed adults.
The focus of the programming varies by location based upon the desires of the local ResidentCouncil (RC) and depending upon whether elementary, junior high and high schools are in session.
1. Programming For Youth
A. School Year Programming
During the school year and “After School” Recreational and Activity Program will beorganized. The Program will have at least two components---a “tutorial” component and an ‘activity’component. The Program must be designed to accommodate up to 20 youth at each site. The agegroup(s) targeted is to be determined through consultation with SCCHA and Resident Councils ofeach area based upon the known needs of the resident population. The program should runapproximately 15-20 hours per week with three hours per day of programming generally 3:00 - 6:00p.m. at each site, in addition to preparation and planning time.
The “After School” Program must include an education incentive component. The programcontent may vary by location depending upon the targeted age groups, the desires of the ResidentCouncil, etc., but the program shall generally serve to encourage academic success with specialrecognition, parties for special achievements, etc. A written narrative describing the educationalincentive program must be submitted within 30 days of contract execution.
B. Non-School Year Programming
During the summer vacation, the Contractor shall provide a structured activity program forchildren. The targeted age group(s) shall be determined eventually by the Contractor, SCCHA andthe Resident Councils. The Program should last a minimum of 3 weeks during the period from Juneto mid August at each site and provide a minimum of 4 hours of activity daily 4 days per week.
Daily programming shall include structured activities, academic tutoring, and organizedrecreation (i.e. competitive sports, playground time, etc.). Daily programming should besupplemented by a series of special events or field trips (minimum three per site). A programnarrative must be submitted describing the summer activity program no later than May 31’ of eachyear. The resident council shall be consulted during the development of the activity plan.
Contractor is responsible for arranging access to tree lunch and/or breakfast for participatingyouth in conjunction with the federal program administered by local school district or other socialservice provider.
2. Programming For Adults
Contractor shall arrange social service programming for adult residents. It is anticipated thatthese programs shall be conducted primarily during the daytime hours while school is in session dueto space limitations. Programs should be targeted to meet the social needs of residents. Examplesinclude literacy training, GED instruction, and Job-Training Program enrollment (for on-the-job-
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training programs). Cultural and/or special interest workshops shall be determined in consultationwith the Resident Councils. A workshop schedule shall be submitted within 30 days of contractexecution.
3. Information and Referral Center
The ARCs serve as Information and Referral Centers. Brochures, pamphlets, catalogs, andother printed information regarding a wide variety of subjects important to residents (i.e. availability ofdrug and alcohol abuse counseling, health programs, job training, literacy training, educationalopportunities, etc.) are to maintain at the FRCs.
The objective of the FRC is to increase resident access to available community services,educational programs, social service programming, etc.
NOTES
#1. Contractor is responsible for ensuring that each program component includes activities andevents that serve to reinforce consistent with a drug/violence prevention theme.
#2. The Contractor must develop in cooperation with the appropriate Resident Council andsubmit to SCCHA a “Social Service / Activity Plan” for each site. The SSAP shall provide anarrative description of the programming activity that will be undertaken during the contractterm. The “plan” shall include narrative descriptions of each program component (i.e. afterschool program, educational program, educational incentive program, summer recreationand adult program).
#3. The Contractor must develop in cooperation with the appropriate Resident Council andsubmit the SCCHA and “Education Incentive Program.” The EIP shall provide a narrativedescription of the activities designed to provide positive reinforcement of educationalachievements for the targeted age groups (i.e. grade 1-6).
#4. The Contractor will be responsible for planning, organizing and coordinating special events inconcert with National, State, or local observation that build on the anti drug / violence andeducational theme. Such special events shall include but not be limited to Red Ribbon Week,National Night Out, National Law Enforcement Appreciation Week, Black History Month,National Youth Violence Prevention Week, and HUD’s Father’s Day Initiative.
#5. The Contractor must submit monthly status reports and spending summaries. Status reportsmust contain a narrative description of the activities undertaken, attendance/participationlevels, and other pertinent information.
#6. The Contractor must agree to collaborate with SCCHA to establish specific performancegoals and objectives for the program and monitor results.
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SECTION 4
REQUIRED FORMAT/CONTENT OF PROPOSER’S PROPOSAL
This section describes the format for submitting proposals. Contractors must submitproposals that effectively communicate how they intend to fulfill the specifications and should useconcise, non-technical English prose to describe their proposal. Advertising material or promotionalliterature will not be acceptable in place of an accurate, clear, presentation.
The following is the required information that proposers must include in their proposals:
TRANSMITTAL LETTER
The letter of transmittal will identify the Contractor(s), including business address andtelephone number; other involved parties; and the intent of all parties to the proposal to enter into acontract with SCCHA to provide requested services within a SCCHA specified time frame.
BUSINESS PROFILE
Identify all parties to the proposal and for each involved company, include:
1. Business name
2. Years in business
3. Address of all business office(s).
4. Address of office responsible for performance of the proposed technical assistance.
5. Identification of all company officers and/or employees and provide background summaries(including previous work experience, education, other qualifications, etc.) for the same.Indicate whether company qualifies as bonafide minority-owned or women-owned business.
6. Identify employees/officers that will be assigned responsibilities under the proposedagreement and indicate their availability and time commitment to this project. Addressspecifically the availability/willingness to conduct sessions in the evening and/or weekendhours to accommodate other commitments of residents.
7. Statement specifying the company’s commitment to employing SCCHA residents from thetargeted locations to perform the services specified under this REP.
8. Statement of the company’s experience during the past three years in similar projectsrequired by the REP (be specific ---provide names, locations, contacts, services provided,characteristics of clients served).
9. Job titles and corresponding percentages of minority representation within the company. Ifthe company does sub-contracting with minority firms, identity same.
10. If the company proposes to sub-contract any of the training activities, identify subcontractors and provide information requested in items 1-7 above for all subcontractors.
11. The proposal must bear the signature of the authorized business representative.
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PROPOSAL DESCRIPTION
The proposer shall include for both the social service coordination and recreation activitiesorganization components a general description of the approach to be used to complete thecomponent.
PROPOSAL COSTS
Proposers must provide a proposed budget detailing how the available funds will be utilized.A proposed method and schedule for payment should also be included. Maximum fundingavailable to support the FRC programming is $67,500 annually.
REQUIRED CERTIFICATION AND DISCLOSURE
Each person submitting a proposal for the work contemplated by the RFP shall execute anaffidavit in the form herein provided (see Appendix #3), to the effect that he/she has not colluded withany other person, firm or corporation in regard to any proposal submitted. Such affidavit shall beattached to the proposal.
OPTIONAL INFORMATION
Proposers may use this section of the proposal to present information not required bySCCHA but which in the Proposer’s judgment, helps to communicate their capabilities. This sectionmay include written testimonials, company brochures, benchmark results from similar servicesprovided to others, and other pertinent items.
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SECTION 5
SELECTION CRITERIA
All proposals will receive an objective review by SCCHA. Proposals will be evaluated usingthe following criteria:
CRITERIA POINTS AVAILABLE
1. Contractors prior demonstrated ability 15 pointsto successfully administer programssimilar to that being proposed.
2. Cost effectiveness and utilization/leveraging of 15 pointsother resources (funds or services).
3. Extent to which Program Content 15 pointspromotes community and/or common “Drug/Violence’Prevention efforts and promotes education.
4. Contribution to SCCHA’s Section 3 10 pointsobjectives (i.e. goals related to minority/residentemployment/business opportunities.
5. Quality of the proposal. 10 points
65 Total Points Possible
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APPENDIX
#1 Resident Demographics for Private Mathison Manor
#2 Site Drawing Private Mathison Manor, Centreville
#3 Resident Demographics for Ernest Smith Sr. Apartments
#4 Site Drawing Ernest Smith Sr., Centrevilie
#5 Non-Collusion Affidavit (Complete, sign and return form with proposal)
#6 Representations, Certifications and other Statement of Bidders (HUD 5369-A)Complete, sign and return with proposal.
#7 Instructions to Offerors Non- Construction (HUD 5369-B)
#8 Certifications and Representations of Offerors Non-Construction (HUD 5369-C)
#9 General Conditions for Non-Construction Contracts (HUD 5370-C) [Complete, sign and returnwith the proposal]
#10 SCCHA’s Section 3 Policy and related Forms / Documents (Complete, sign and return withthe proposal, as applicable)
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Appendix Item #1 - Resident Demographics for Private Mathison Manor
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ST. CLAIR COUNTY HOUSING AUTHORITYLow RENT MANAGEMENT DEPARTMENT
1790 South 74th StreetBelIeville, IL 62223
Fax: (618) 277-1806 TDD: (800) 545-1833 x 933
Certification Listing - Member Statistic Report
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www.sccha.org
Private Mathison Manor
Gender Breakdown: Ethnicity Breakdown:
Female Head of Household 336 6575% Hispanic 11 2. 15%Male Head of Household 175 34.25% Non-Hispanic 500 97.85%Unknown Gender 0 0.00%
Race Breakdown: Age Breakdown:
White 13 2.54% Age Under 18 290 56.75%African Arnerican)Black 495 96.87% Age 18-54 183 35.81%American Indian/Native Alaskan 0 0.00% Age 55-74 35 6.85%Asian 1 0.20% Age 75+ 3 0.59%Native Hawaiian/Qth Pacific Island 0 0.00%
Other 163 31 .90%
Handicappedloisabled or Elderly Totals:Breakdown:Disabled 51 9.98% Total Households 193Elderly (62+) 24 4,70% Total Members 511
Phone: (618) 277-3290
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Appendix Item #2 - Site Drawing Private Mathison Manor, Centreville
Page 15
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Appendix Item #3 - Resident Demographics for Ernest Smith Sr. Apartments
Page 16
ST. CLAIR COUNTY HOUSING AUTHORITYLow RENT MANAGEMENT DEPARTMENT
1790 South 74th StreetBelleville, IL 62223
Fax: (618) 277-1806 TOO: (800) 545-1833 x 933
Certification Listing - Member Statistic Report
II’i’II:i illiilhIII iIlII•
www.sccha.org
Ernest Smith Sr. Apartments
Gender Breakdown: Ethnicity Breakdown:Female Head of Household 292 6334% Hispanic 1 0.22%Male Head of Household 169 36.66% Non-Hispanic 460 99.78%unknown Gender 0 0.00%
Race Breakdown: Age Breakdown:White 9 1.95% Age Under 18 270 58.57%African American/Black 458 99.35% Age 18-54 150 32.54%American Indian/Native Alaskan 0 0.00% Age 55-74 35 7.59%Asian 1 0.22% Age 75÷ 6 1.30%
Native Hawahan/Oth Pacific Island 0 0.00%
Other 116 25.16%
HandicappedlOisabled or Elderly Totals:Breakdown:Disabled 64 13.88% Total Households 161Elderly (62+) 29 6.29% Total Members 461
Phone: (618) 277-3290
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Appendix Item #4 - Site Drawing Ernest Smith Sr., Centreville
Page 17
S
lI
_
I III liii H — -
LEiiZ*1F> SL Clair Couniy in
Housing AuthorityAMP 3 DEVELOPMENTS CENTREVILLE L3D-6, 1L30-S, L3D-20 I! I
r
j
Appendix Item #5 - Non-Collusion Affidavit
(Form must be completed, signed and returned with proposal)
Page 18
NON-COLLUSION AFFIDAVIT
STATE OF ILLINOISss
COUNTY OF ST. CLAIR
________________________
BEING FIRST DULY SWORN. DEPOSES NDSYS:
TI IAT IIF/SI
IF IS (a partner or officer of
________________ __________________________________________________________________________________
said tirm, the party making theforegoing proposal or bid that such proposal is genuine and not collusive or sham; thatsaid bidder has not colluded, conspired, connived, or agrees, directly or indirectly, withany bidder or person, to put in a sham bid or to refrain from bidding, and he/she is not norin any manner, directly or indirectly, sought by agreement or collusion, or commitment orconference with any person, to lix the bid or affidavit or of any other bidder, or to ix anyoverhead. proilt or cost element of said bidder, or of any other bidder, or to secure anyother advantage against the ST. (lAIR COUNTY IIOUISING AUTI IORITY or anyother person interested in the proposed contract, and that all statements in said proposalor bid are true.
Signature of Bidder—il’ bidder isan Individual
Signature of Partner—if bidder isa Partnership
Signature of Officer—if bidder isa Corporation
Subscribed and sworn to before me this
_____________
day of
_____________________________________ ____,20
Notary Public
Mv Commission Expires
___________________________________________
Month Day Year
THIS FOW1 MUST BE SUBMITTED WITH ALL BIDS
Appendix item #6- RePresentations
Cenfffcation and other Statement Of Bidde
(Hun 5369-4)
Complete, Sign ancj return with proposal
Page 19
U.S. Department of Housingand Urban DevelopmentOffice of Public and Indian Housing
Representations, Certifications,and Other Statements of Bidders
Public and Indian Housing Programs
Previous edition is obsolete farm HUD-5369-A (11192)
Representations, Certifications,and Other Statements of BiddersPublic and Indian Housing Programs
Table of Contents
Clause
1. Certificate of Independent Price Determination
2. contingent Fee Representation and Agreement3. certification and Disclosure Regarding Payments
to Influence Certain Federal Transactions
Organizational Conflicts of Interest Certification
Bidders Certification of Eligibility
5. Minimum Bid Acceptance Period7. Small, Minority, Women-Owned Business concern
Representation
8. Indian-Owned Economic Enterprise and IndianOrganization Representation
Certification of Eligibility Under the Davis-Bacon Act9.
10. Certification of Nonsegregated Facilities
11. Clean Air and Water Certification
12. Previous Participation Certificate
13. Bidder’s Signature
1. Certificate of Independent Price Determination(a) The bidder certifies that—
(1) The prices in this bid have been arrived at independently,without, for the purpose of restricting competition, any consultation,communication, or agreement with any other bidder or competitorrelating to (i) those prices, (ii) the intention to submit a bid, or (iii) themethods or factors used to calculate the prices offered;
(2) The prices in this bid have not been and will not beknowingly disclosed by the bidder, directly or indirectly, to any otherbidder or competitor before bid opening (in the case of a sealed bidsolicitation) or contract award (in the case of a competitive proposalsolicitation) unless otherwise required by law; and
(3) No attempt has been made or will be made by the bidder toinduce any other concern to submit or not to submit a bid for thepurpose of restricting competition.
(b) Each signature on the bid is considered to be a certification bythe signatory That the signatory—
(1) Is the person in the bidder’s organization responsible fordetermining the prices being offered in this bid or proposal, and thatthe signatory has not participated and will not participate in anyaction contrary to subparagraphs (a)(l) through (a)(3) above; or
(2) (i) Has been authorized, in writing, to act as agent for thefollowing principals in certifying that those principals have notparticipated, and will not participate in any action contrary tosubparagraphs (a)Q) through (a)(3) above.
Linsertfull name of person(s) in the bidder’s organization responsible fordetermining the prices offered in this bid or proposal, and the title ofhis or her position in The bidder’s organization];
(ü) As an authorized agent, does certify that the principalsnamed in subdivision (b)(2)(i) above have not participated, and willnot participate, in any action contrary to subparagraphs (a)(1)through (a)(3) above; and
Page (üi) As an agent, has not personally participated, and will
1 not participate in any action contrary to subparagraphs (a)(1)through (a)(3) above.
1(c) If the bidder deletes or modifies subparagraph (a)2 above, thebidder must furnish with its bid a signed statement setting forth indetail the circumstances of the disclosure.
[Contracting Officer check if following paragraph is applicable]2
2(d) Non-collusive affidavit. (applicable to contracts for construction
2 and equipment exceeding $50,000)
2(1) Each bidder shall execute, in the form provided by the PHN
IHA, an affidavit to the effect that he/she has not colluded with anyother person, firm or corporation in regard to any bid submitted in
2 response to this solicitation. If the successful bidder did not submit3 the affidavit with his/her bid, he/she must submit it within three (3)
working days of bid opening. Failure to submit the affidavit by thatdate may render the bid nonresponsive. No contract award will bemade without a properly executed affidavit.
(2) A fully executed “Non-collusive Affidavit” [1 is, [1 is not3 included with the bid.
2. Contingent Fee Representation and Agreement
(a) Definitions. As used in this provision:
“Bona fide employee” means a person, employed by a bidderand subject to the bidder’s supervision and control as to time, place,and manner of performance, who neither exerts, nor proposes toexert improper influence to solicit or obtain contracts nor holds outas being able to obtain any contract(s) through improper influence.
“Improper influence” means any influence that induces or tendsto induce a PHNIHA employee or officer to give consideration or toact regarding a PHNIHA contract on any basis other than the meritsof the matter.
(b) The bidder represents and certifies as part of its bid that, exceptfor full-time bona fide employees working solely for the bidder, thebidder:
(1) [ ] has, [ j has not employed or retained any person orcompany to solicit or obtain this contract; and
(2) [ ] has, [ ] has not paid or agreed to pay to any person orcompany employed or retained to solicit or obtain this contract anycommission, percentage, brokerage, or other fee contingent upon orresulting from the award of this contract.
(c) If the answer to either (a)(1) or (a)(2) above is affirmative, thebidder shall make an immediate and full written disclosure to thePHNIHA Contracting Officer.
(d) Any misrepresentation by the bidder shall give the PHNIHA theright to (1) terminate the contract; (2) at its discretion, deduct fromcontract payments the amount of any commission, percentage,brokerage, or other contingent fee; or (3) take other remedypursuant to the contract.
3. Certification and Disclosure Regarding Payments toInfluence Certain Federal Transactions (applicable tocontracts exceeding $100,000)
(a) The definitions and prohibitions contained in Section 1352 oftitle 31, United States Code, are hereby incorporated by referencein paragraph (b) of this certification.
4.
5.
Previous edition is obsolete Pagel of3 form HUD-5369-A (11192)
or her knowledge and belief as of December 23, 1989 that:(b) The bidder, by signing its bid, hereby certifies to the best of his 6. Minimum Bid Acceptance Period
(1) No Federal appropriated funds have been paid or will bepaid to any person for influencing or attempting to influence anofficer or employee of any agency, a Member of Congress, an officeror employee of Congress, or an employee of a Member of Congresson his or her behalf in connection with the awarding of a contractresulting from this solicitation;
(2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) havebeen paid, or will be paid, to any person for influencing or attemptingto influence an officer or employee of any agency, a Member ofCongress, an officer or employee of Congress, or an employee of aMember of Congress on his or her behalf in connection with thissolicitation, the bidder shall complete and submit, with its bid, 0MBstandard form LLL, “Disclosure of Lobbying Activities; and
(3) He or she will include the language of this certification in allsubcontracts at any tier and require that all recipients of subcontractawards in excess of $100,000 shall certify and disclose accordingly.
(c) Submission of this certification and disclosure is a prerequisitefor making or entering into this contract imposed by section 1352,title 31, United States Code. Any person who makes an expenditureprohibited under this provision or who fails to file or amend thedisclosure form to be filed or amended by this provision, shall besubject to a civil penalty of not less than $10,000, and not more than$100,000, for each such failure.
(d) Indian tribes (except those chartered by States) and Indianorganizations as defined in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 4508) are exemptfrom the requirements of this provision.
4. Organizational Conflicts of Interest Certification
The bidder certifies that to the best of its knowledge and belief andexcept as otherwise disclosed, he or she does not have anyorganizational conflict of interest which is defined as a situation inwhich the nature of work to be performed under this proposedcontract and the bidder’s organizational, financial, contractual, orother interests may, without some restriction on future activities:(a) Result in an unfair competitive advantage to the bidder; or,(b) Impair the bidder’s objectivity in performing the contract work.
I In the absence of any actual orapparent conflict, I hereby certifythat to the best of my knowledge and belief, no actual or apparentconflict of interest exists with regard to my possible performance ofthis pmcurement.
5. Bidder’s Certification of Eligibility
(a) By the submission of this bid, the bidder certifies that to the bestof its knowledge and belief, neither it, nor any person or firm whichhas an interest in the bidder’s firm, nor any of the bidder’s subcontractors, is ineligible to:
(1) Be awarded contracts by any agency of the United StatesGovemment, HUD, or the State in which this contract is to beperformed; or,
(2) Participate in HUD programs pursuant to 24 CFR Part 24.
(b) The certification in paragraph (a) above is a material representation of fact upon which reliance was placed when making award,If it is later determined that the bidder knowingly rendered anerroneous certification, the contract may be terminated for default,and the bidder may be debarred or suspended from participation inHUD programs and other Federal contract programs.
(a) “Acceptance period,” as used in this provision, means thenumber of calendar days available to the PHNIHA for awarding acontract from the date specified in this solicitation for receipt of bids.
(b) This provision supersedes any language pertaining to theacceptance period that may appear elsewhere in this solicitation.
(c) The PHAllI-IA requires a minimum acceptance period of[Contracting Officer insert time period] calendar days.
(d) In the space provided immediately below, bidders may specifya longer acceptance period than the PHA’s/IHA’s minimum requirement. The bidder allows the following acceptance period:calendar days.
(e) A bid allowing less than the PHA’s/IHA’s minimum acceptanceperiod will be rejected.
(f) The bidder agrees to execute all that it has undertaken to do, incompliance with its bid, if that bid is accepted in writing within (1) theacceptance period stated in paragraph (c) above or (2) any longeracceptance period stated in paragraph (d) above.
7. Small, Minority, Women-Owned Business ConcernRepresentation
The bidder represents and certifies as part of its bid/ offer that it —
(a) [ ) is, [ ] is not a small business concern. “Small businessconcern,” as used in this provision, means a concern, including itsaffiliates, that is independently owned and operated, not dominantin the field of operation in which it is bidding, and qualified as a smallbusiness under the criteria and size standards in 13 CFR 121.
(b) [ ] is, [ J is not a women-owned business enterprise. “Women-owned business enterprise,” as used in this provision, means abusiness that is at least 51 percent owned by a woman or womenwho are U.S. citizens and who also control and operate the business.
(c) [ ] is, [ ] is not a minority business enterprise. ‘Minoritybusiness enterprise,” as used in this provision, means a businesswhich is at least 51 percent owned or controlled by one or moreminority group members or, in the case ofa publiclyowned business,at least 51 percent of its voting stock is owned by one or moreminority group members, and whose management and daily operations are controlled by one or more such individuals. For the purposeof this definition, minority group members are:
(Check the block applicable to you)
Black Americans
Hispanic Americans
Native Americans
Asian Pacific Americans
Asian Indian Americans
Hasidic Jewish Americans
8. Indian-Owned Economic Enterprise and IndianOrganization Representation (applicable only if thissolicitation is for a contract to be performed on a project for anIndian Housing Authority)
The bidder represents and certifies that it:
(a) [ J is, [ I is not an Indian-owned economic enterprise.“Economic enterprise,” as used in this provision, means any commercial, industrial, or business activity established or organized forthe purpose of profit, which is at least 51 percent Indian owned.indian,” as used in this provision, means any person who is amember of any tribe, band, group, pueblo, or community which isrecognized by the Federal Government as eligible for services fromthe Bureau of Indian Affairs and any ‘Native” as defined in the AlaskaNative Claims Settlement Act.
(b) [ ] is, [ ] is not an Indian organization. “Indian organization.”as used in this provision, means the governing body of any Indiantribe or entity established or recognized by such governing body.Indian “tribe’ means any Indian tribe, band, group, pueblo, or
Previous edition is obsolete Page 2 of 3 form HUD.5369-A (11/92)
community including Native villages and Native groups (including Notice to Prospective Subcontractors of Requirement forcorporations organized by Kenai, Juneau, Sitka, and Kodiak) asdefined in the Alaska Native Claims Settlement Act, which isrecognized by the Federal Government as eligible for services fromthe Bureau of Indian Affairs.
9. Certification of Eligibility Under the Davis-BaconAct (applicable to construction contracts exceeding $2,000)
(a) By the submission of this bid, the bidder certifies that neither itnor any person or firm who has an interest in the bidders firm is aperson or firm ineligible to be awarded contracts by the United StatesGovernment by virtue of section 3(a) of the Davis-Bacon Act or 29CFR 5.12(a)(1).
(b) No part of the contract resulting from this solicitation shall besubcontracted to any person or firm ineligible to be awardedcontracts by the United States Government by virtue of section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1).(c) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
10. Certification of Nonsegregated Facilities (applicableto contracts exceeding $10,000)
(a) The bidders attention is called to the clause entitled EqualEmployment Opportunity of the General Conditions of the Contract for Construction.
(b) Segregated facilities7 as used in this provision, means anywaiting rooms, work areas, rest rooms and wash rooms, restaurantsand other eating areas, time clocks, locker rooms and other storageor dressing areas, parking lots, drinking fountains, recreation orentertainment areas, transportation, and housing facilities providedfor employees, that are segregated by explicit directive or are in factsegregated on the basis of race, color, religion, or national originbecause of habit, local custom, or otherwise.
(c) By the submission of this bid, the bidder certifies that it does notand will not maintain or provide for its employees any segregatedfacilities at any of its establishments, and that it does not and will notpermit its employees to perform their services at any location underits control where segregated facilities are maintained. The bidderagrees that a breach of this certification is a violation of the EqualEmployment Opportunity clause in the contract
(d) The bidder further agrees that (except where it has obtainedidentical certifications from proposed subcontractors for specifictime periods) prior to entering into subcontracts which exceed$10,000 and are not exempt from the requirements of the EqualEmployment Opportunity clause, it will:
(1) Obtain identical certifications from the proposed subcontractors;
Certifications of Nonsegregated Facilities
A Certification of Nonsegregated Facilities must be submitted beforethe award of a subcontract exceeding $10,000 which is not exemptfrom the provisions of the Equal Employment Opportunity clause ofthe prime contract. The certification may be submitted either foreach subcontract or for all subcontracts during a period (i.e.,quarterly, semiannually, or annually)
Note: The penalty for making false statements in bids is prescribedin 18 U.S.C. 1001.
11. Clean Air and Water Certification (applicable to contracts exceeding $100,000)
The bidder certifies that:
(a) Any facility to be used in the performance of this contractis, [ ] is not listed on the Environmental Protection Agency List ofViolating Facilities:
(b) The bidder will immediately notify the PHMHA ContractingOfficer, before award, of the receipt of any communication from theAdministrator, or a designee, of the Environmental ProtectionAgency, indicating that any facility that the bidder proposes to usefor the performance of the contract is under consideration to belisted on the EPA List of Violating Facilities; and,
(c) The bidder will include a certification substantially the same asthis certification, including this paragraph (c), in every nonexemptsubcontract.
12, Previous Participation Certificate (applicable toconstruction and equipment contracts exceeding $50,000)
(a) The bidder shall complete and submit with his/her bid the FormHUD-2530, “Previous Participation Certificate.” If the successfulbidder does not submit the certificate with his/her bid, he/she mustsubmit it within three (3) working days of bid opening. Failure tosubmit the certificate by that date may render the bid nonresponsive.No contract award will be made without a properly executed certificate.
(b) A fully executed “Previous Participation Certificate”
3 is, [ j is not included with the bid
13. Bidder’s Signature
The bidder hereby certifies that the information contained in thesecertifications and representations is accurate, complete, andcurrent.
(2) Retain the certifications in its files; and
(3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identicalcertifications for specific time periods);
(Signature and Data)
(Typed or Printed Name)
(Tine)
(company Name)
(company Addre5s)
Previous edition is obsolete Page 3 of 3 form HUD-5369-A(1I/92)
Appendix Item - #7- Instruction to Offerers - Non-Construction (HUD 5369-B)
Page 20
Instructions to OfferorsNon-Construction
U.S. Department of Housingand Urban DevelopmentOffice of Public and Indian Housing
—03291—
1. PreparatIon of Offers
(a) Offerors are expected to examine the statement of work, theproposed contract terms and conditions, and all instructions. Failureto do so will be at the otferor’s risk.(b) Each olleror shall furnish the information required by the solicitation. The off eror shall sign the offer and print or type Its name on thecover sheet and each continuation sheet on which it makes an entry.Erasures or other changes must be initialed by the person signing theoffer. Offers signed by an agent shall be accompanied by evidence ofthat agents authority, unless that evidence has been previouslyfurnished to the HA.
(c) Offers for services other than those specified will not be considered.
2. SubmissIon of Offers
(a) Offers and modifications thereof shall be submitted in sealedenvelopes or packages (1) addressed to the office specified in thesolicitation, and (2) showing the time specified for receipt, the solicitation number, and the name and address of the offeror.
(b) Telegraphic offers will not be considered unless authorized by thesolicitation; however, offers may be modified by written or telegraphicnotice.
(c) Facsimile offers, modifications or withdrawals will not be considered unless authorized by the solicitation.
3. Amendments to Solicitations
(a) If this solicitation Is amended, then all terms and conditions whichare not modified remain unchanged.
(b) Otferors shall acknowledge receipt of any amendments to thissolicitation by
(1) signing and returning the amendment;(2) identifying the amendment number and date In the space
provided for this purpose on the form for submitting an offer,(3) loner or telegram, or(4) facsimile, if facsimile offers are authorized in the solicitation.
The HAIHUD must receive the acknowledgment by the timespecified for receipt of offers.
4. ExplanatIon to Prospective Offerors
Any prospective offeror desiring an explanation or interpretation of thesohcitation, statement of work, etc., must request it in writing soonenough to allow a reply to reach all prospective off erors before thesubmission of their offers. Oral explanations or instructions givenbefore the award of the contract will not be binding. Any informationgiven to a prospective offeror concerning a solicitation will be furnishedpromptly to all other prospective offerors as an amendment of thesolicitation, if that information is necessary in submitting offers or if thelack of it would be prejudicial to any other prospective ofterors.
5. Responsibility of ProspectIve Contractor
(a) The HA shall award a contract only to a responsible prospectivecontractor who is able to perform successfully under the terms andconditions of the proposed contract. To be determined responsible,a prospective contractor must -
(1) Have adequate financial resources to perform the contract, orthe ability to obtain them;
(2) Have a satisfactory performance record;(3) Have a satisfactory record of integrity and business ethics;(4) Have a satisfactory record of compliance with public policy
(e.g., Equal Employment Opportunity); and(5) Not have been suspended, debarred, or otherwise determined
to be ineligible for award of contracts by the Department ofHousing and Urban Development or any other agency of theU.S. Government. Current lists of ineligible contractors areavailable for inspection at the HAIHUD.
(b) Before an offer is considered for award, the offeror may berequested by the HA to submit a statement or other documentationregarding any of the foregoing requirements. Failure by the offerortoprovide such additional information may renderthe offeror ineligible foraward.
6. Late Submissions, ModIfications, and Withdrawal of Offers
(a) Any offer received at the place designated in the solicitation afterthe exact time specified for receipt will not be considered unless it isreceived before award is made and it-
(1) Was sent by registered or certified mall not later than the fifthcalendar day before the date specified for receipt of offers(e.g., an offer submitted in response to a solicitation requiringreceipt of offers by the 20th of the month must have beenmailed by the 15th);
(2) Was sent by mall, or if authorized by the solicitation, was sentby telegram or via facsimile, and it is determined by the RNHUD that the late receipt was due solely to mishandling bytheHAIHUD after receipt at the HA;
(3) Was sent by U.S. Postal Service Express Mail Next DaySeice-Post Office to Addressee, not later than 5:00 p.m. atthe place of mailing two working days prior to the date specifiedfor receipt of proposals. The term “working days” excludesweekends and U.S. Federal holidays; or
(4) Is the only offer received.
(b) Any modification of an offer, except a modification resulting fromthe HA’s request for ‘test and final” off er (if this solicitation isa requestfor proposals), is subject to the same conditions as in subparagraphs(a)(1), (2), and (3) of this provision.
(c) A modification resulting from the HA’s request for “best and finafoffer received after the time and date specified in the request will notbe considered unless received bet ore award andthe late receipt isduesolely to mishandling by the HA after receipt at the HA.
(d) The only acceptable evidence to establish the date of mailing of alate offer, modification, or withdrawal sent either by registered orcertified mail is the U.S. or Canadian Postal Service postmark both onthe envelope or wrapper and on the original receipt from the U.S. orCanadian Postal Service. Both postmarks must show a legible dateorthe offer, modification, orwithdrawal shall be processed as if mailedlate. Postmark” means a printed, stamped, or otherwise placedimpression (exclusive of a postage meter machine Impression) that Isreadily tfentifiable without further action as having been suppred andaffixed by emptoyees of the U.S. or Canadian Postal Service on thedate of mailing. Therefore, off erors should request the postal clerk toplace a hand cancellation bull’s:eye postmark on both the receipt andthe envelope or wrapper.
(e) The only acceptable evidence to establish the time of receipt at theHA is the time/date stamp of HA on the offer wrapper or otherdocumentary evidence of receipt maintained by the HA.
Ion HUD-5369-e (8192)Previous edition is obsolete page 1 of 2 ref. Handbook 7460.8
(f) The only acceptable evidence to establish the date of mailing of a (d) A written award or acceptance of offer mailed or otherwise
late offer, modification, or withdrawal sent by Express Mail Next DayService-Post Office to Addresses isthe date entered bythe post officereceiving clerk on the “Express Mail Next Day Service-Post Office toAddressee” label and the postmark on both the envelope or wrapperand on the original receipt from thu U.S. Postal Service. “Postmark”has the same meaning as defined in paragraph (c) of this provision,excluding postmarks of the Canadian Postal Service. Therefore,
offerors should request the postal clerk to place a legible hand
cancellation bulls eye postmark on both the receipt and the envelopeor wrapper.
(g) Notwithstanding paragraph (a) of this provision, a late modification
of an otherwise successful offer that makes its terms more favorable
to the HA will be considered at any time it is received and may beaccepted.
(h) if this solicitation Is a request for proposals, proposals may be
withdrawn by written notice, or if authorized by this solicitation, bytelegram (including maiigram) or facsimile machine transmissionreceived at any time before award. Proposals may be withdrawn inperson by a offeror or its authorized representative if the enthy of theperson requesting withdrawal is established and the person signs areceipt for the offer before award, if this solicitation is an Invitation forbids, bids may be withdrawn at any time prior to bid opening.
7. Contract Award
(a) The HA will award a contract resulting from this solicitation to theresponsible offeror whose offer conforming to the soilcitatlon will bemost advantageous tothe HA, cost or priceand otherfactors, specifiedelsewhere In this solicitation, considered.
(b) The HA may(1) reject any or all offers if such action is in the HA’s Interest,(2) accept other than the lowest offer,(3) waive inforrnalitles and minor irregularitIes in offers received,
and (4) award more than one contract for all or part of therequirements stated.
(c) If this solicitation is a request for proposals, the HA may award acontract on the basis of initial offers received, without discussions.Therefore,each initiaioffershouldcontaintheofferor’sbesttermsfrom
a cost or price and technical standpoint.
fumished to the successful off eror within the time for acceptajcespecified in the offer shall result in a binding contract without furtheraction by either party. if this solicitation is a request for proposalsbefore the offers specified expiration time, the HA may accept an offer,whether or not there are negotiations after its receipt, unless a writtennotice of wifhdrnwal is received before award. Negotiations conductedafter receipt of an offer do not constitute a rejection or counteroffer bythe HA.
(e) Neither financial data submitted with an offer, nor representationsconcerning facilities or financing, will form a part of the resultingcontract.
B. Service of Protest
Any protest against the award of a contract pursuant to this solicitationshall be served on the HA by obtaining written and dated acknowiedg.ment of receipt from the HA at the address shown on the cover of thissolicitation. The determination of the HA with regard to such protestor to proceed to award notwithstanding such protest shall be finalunless appealed by the protestor.
9. Offer SubmIssIon
Offers shall be submitted as follows and shall be enclosed in a sealedenvelope and addressed to the office specified in the solicitation. Theproposal shall show the hour and date specified In the solicitationfor receipt, the solIcitation number, and the name and address ofthe afleror, on the face of the envelope.
It Is very lrrçortant that the offer be properly identified on the faceof the envelope as set forth above in order to Insure that the date andtime of receipt is stamped on the face of the offer envelope. Receivingprocedures are: date and time stamp those envelopes identified asproposals anddelivur them immediateiyto the appropriate contracting
official, and only date stamp those envetopes which do not contain
identification of the contents and deliver them to the appropriateprocuring activity only through the routine mall delivery procedure.
[Describe bid or proposal preparation instructions here:)
torm HUO-5369-S (8,93ref. Handbook 7460.!Previous edition is obsolete page 1 of 2
Appendix Item #8 - Certifications and Representations of Offerors Non-Construction(HUD 5369-C)
Page 21
Certifications andRepresentationsof OfferorsNon-Construction Contract
U.S. Department of Housingand Urban DevelopmentOffice of Public and Indian Housing
Public reporting burden forthis collection of information is estimated to average 5 minutes perresponse, including the timefor reviewing instructions, searchingexisting data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.
This form includes clauses required by OMB’s common rule on bidding/oftering procedures, implemented by HUD in 24 CFR 85.36, and those requirementsset forth in Executive Order 11625 torsmatl, minority, women-owned businesses, and certifications forindependent price determination, and contlictof interest.The form is required for nonconstruction contracts awarded by Housing Agencies (HAs). The form is used by bidders/otferors to certify to the HA’s ContractingOfficer for cortract compliance. If the form were not used, HAs would be unable to enforce their contracts. Responses to the collection of information arerequired to obtain a oenefit or to retain a benefit. The information requested does not lend itself to confidentiality.
1. Contingent iet Rci)resettttttion and .Agreemeni
(a) The hidder/offeror represents and certifies as part of its bid!
otter that, except for lull—time bonn tide employees workingsolely’ ‘or the hidder/ofteror, the hidder/offeror:
I) [ J has. I ] has nol employed or retained any person orcotnpanv to solicit or obtain this contract: and
(2) [ has. I I has not paid or agreed to pay 10 any personor company employed or retained to solicit or obtain thiscon I act any coin iiii 5 SI on. ic rce lit age, broke rage, or 01 herfee cotitingetu upon or resulting front the award of this
con t r a ci.
(b) If the answer to either (a)( I) or (a) (2) above is’i’firtiiative.(lie bidder/ofleror slial I niake an immediate and lull writtendisclosure to t lie PHA Contract ing Officer.
(c) Any misrepresentation by the bidder/ofl’eror shall give thePHA the right to (I) terminate the resultant contract: (2) at itsdiscretion, to deduct from contract payments the amount of anycommission, percentage, brokerage. or other contingent fee’, or(3) take ol iCr re mnedy po rs u aft I to the con t rae I.
2. Small, Minority, Women-Owned Btisiness Concern Rep
resen tat ion
The bidder/otteror represents and cerli lies as part of its hid! offerthat it:
(a) I I is. I I is itol a small business concern. ‘‘Small business
cotiL’ern. as used in this provision, means a concern. incliid—
lug its :ti’fmhiates. tintt i.s mdependeiitlv owned and operated,not dotititiamit itt the field of operation itt winch it is bidding.
and qualified as a small business under the criteria and sizestandards in 13 CFR 121
(h) ( is, ( is not a woinen—owtied small husitiess concern.‘‘Wotnen—owned,’’ as used in this provision, means a smallbusiness that is at least 51 percetit owned by a woman orwomen Im tie U.S. citizens and who also cotitrol andoperate t lie ho si ness.
(c) ( I is. I I is not a mitioritv etiterprise which, pursuant toExecutive Order 1 1625. is defined as a busitiess which is at
least 5 I percent owtied by’ one or more minority group
nietuhers or. in the case ola ptthlicly owned httsiness, at least
5 I percent of its voting stock is owtted by one or moreminority group members, and whose tnanagetiient and daily
operations are cotttrol led by one or more sitcit individuals.
For the purpose of this definition, minority group members are:
(Check the block applicable to you)
I Black Americans I I Asian Pacific itnericans
I Hispanic Atitericans
I Native Americans
3. Certificate of Independent Price Determination
(a.) The bidder/offeror certifies that—
(I) The prices in this bid/offer have been arrived at independently, without, for the purpose of restricting cotnpetition, atty consoltatioti, cottilnunication, or agreementwit hi ttny other bi dder/offeror or con pe ii tor relating to ( i)
those prices. (ii) the intent ion to submit a bid/offer, or
(iii) the methods or factors used to calculate the pricesnIle red;
(2) The prices in this bid/offer have not been and will not beknowingly disclosed by the bidder/offeror, directly orindirectly, to any oilier bidder/offeror or competitor before hid opetting (in the ease of a sealed hid solicitation)or contract award (in the case of a negotiated solicitation)unless otherwise reqtu red by law: and
(3) No attempt has been made or will be made by the bidder/offeror to induce any other concern to submit or not tosubmit a bid/offer for (lie purpose of restricting competition.
(h) Each signature on the bid/otter is considered to he a certifi
cation by (lie signatory ihat the signatory:
(I) Is the person itt the hidder/offeror’s orgattization respon
sible for determining the prices being offered in this bid
or proposal. atid that the signatory has not participated
and will not participate in any action contrary’ to subpara—graphs (a )(lj through (a)(3) above: or
(2) (i) Has been authorized, in writing, to act as agent for thefollowing principals itt certifying that those principals
lutve not participated, and will riot participate in any
action contrary’ to 5 tI bparag raphs (a) (I) through (a) (3)
ttbove (insert fitll name of person(s) iii the bidder/ofteror’s
organization responsible for determining the prices of
fered in this hid or proposal. and the title of his or her
positioti in the bidder/of’feror’s organization):
(ii) As ati authorized agetit. does certify that the pritici—
pals named in subdivision (h)(2)(i) above have not par
ticipated, and will not participate, in any action contrary
to stt b paragraphs (a) (I) through (a) (3) above: and
form HUD-5369-C (8/93)ret. Handbook 7460.8
I Asian Indian Atiiericans
I I Hasidic Jewish Americans
Previous edition is obsotete page 1 of 2
(iii) As an agent, has tot personally participated, and willnot participate in any action contrary to subparagraphsa)( I) through (an 3) above.
(c) II the bidder/offerer deletes or modifies subparagraph (a)2above. the bidderh,Neror must furnish with ts hid/oiler asigned statement seti ig k)rth in detail the circumstances ofthe disclosure.
4. 0 rga nizatin nat I Con file Is of Interest Curt i lie at ion
(a) The Contractor warrants that to the best oh its knowledge andheliet’and except as otherwise disclosed, it does not have anyorganitational conflict of interest winch is defined as asituation in which the nat ure of work under a proposedcon tract and a prospective contractor’s organizational. Ii—tiancial, contractual or other interest are such that:
i ) A ward of the contract iii ay re Stilt n an u ii fair corn peti —
live advantage:
(ii) The Contractor’s objectivity in performing the con—I mct work nay be impaired: or
(Hi) ‘[hat the Contractor has disclosed all relevant infor—nation and requested the HA to make a determination
with respect to tIns Contract.
(I,) The Contractor agrees thai if after award he or she discoversan organizational conflict of interest with respect to thiscontract, he or she shall make an immediale and full disclosure in writing to the HA which shall include a description ofthe atction which the Contractor has taken or intends toeliminate or neutralize the conflict. The HA may, however,terminate the Contract far the convenience of HA if it wouldhe in the best in te rest of I-IA.
(c) In the event the Contractor was aware of an organizationalconliict of interest before the award of this Contract andintentionally did not disclose the conflict to the HA. the HAmay terminate the Contract or default.
(d) Tue Contractor shall require a disclosure or representationfrom stibcontraetors and consultants who may be itt a positionto influence the adv ice or assistance rendered to the HA andshall inclttde any necessary provisions to eliminate or neutralizeconflicts of inierest in consttltant agreetnents or subcommtractsinvolving perfonnamtce or work under this Contract,
5. Au LIt o rized Nego Ii at to r (K FPs only)
The ol’t’eror represents that the following persotts are authorizedto negotiate on its behalf with the Pu—IA in connection with thisrequest for proposals: (list names, titles, and telephone ittimhersof the attthorized negotiators):
6. Conflict of Interesi
In the abse nec of any actual or apparent conflict - the o fferor, bysubmission of a proposal, hereby warrants that to the best of itsknow ledge and belief, no actual or apparent con Wet of interestexists vihlt regard to my possible performance of this procuretitetmt. as described in the clause in this solicitation titled “Organizational Cot,flict of Interest.’’
7. Offuror’s Signature
The ol’l’eror hereby certifies that the information contained inthese certi hicat ions and representat ions is accurate, complete,antI current
Signature & Date:
Typed or Printed Name:
‘ritle:
form KU 0-5369-C (8/93)ref. Handbook746o.8Previous edition is obsotete page 2 of 2
Appendix Item #9 — General Conditions for Non-Construction Contracts (HUD 5370-C)
(Complete, sign and return with proposal)
Page 22
U.S. Department of Housing and UrbanGeneral Conditions for Non-ConstructionContractsSection I — (With or without Maintenance Work)
DevelopmentOffice of Public and Indian HousingOffice of Labor Relations0MB Approval No. 2577-0157 (exu. 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. Sendcomments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to theReports Management Officer, Office of Information Policies and Systems. U.S. Department of Housing and Urban Development, Washington, D.C.20410-3600; and to the Office of Management and Budget, Paperwork Reduction Project (2577-0157). Washington, D.C. 20503. Do not send thiscompleted form to either of these addressees.
Applicability. This form HUD-5370-C has 2 SectIons. TheseSections must be Inserted into non-construction contracts asdescribed below:
1) Non-constructIon contracts (without maintenance)greater than $100,000- use SectIon I;
2) Maintenance contracts (including nonroutinemaintenance 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 nonroutinemaintenance), greater than $100,000— use Sections Iand Ii.
Section I - Clauses for All Non-construction Contracts greaterthan $100,000
1. Deflnitlens
The following definitions are applicable to this contract:(a) “Authority or Housing Authority (HA)” means the
Housing Authority.(b) “Contract” means the contract entered into between the
Authority and the contractor. It includes the contract form,the Certifications and Representations, these contractclauses, and the scope of work, It includes all formalchanges to any of those documents by addendum, changeOrder, or other modification.
(c) “Contractor” means the person or other entity entering intothe contract with the Authority to perform all of the workrequired under the contract.
(d) “Day” means calendar days, unless otherwise stated.(e) “HUD” means the Secretary of Housing and Urban
development, his delegates, successors, and assigns, andthe officers and employees of the United StatesDepartment of Housing and Urban Development acting forand on behalf of the Secretary.
2. Changes
(a) The HA may at anytime, by written order, and withoutnotice to the sureties, if any, make changes within thegeneral scope of this contract in the services to beperformed or supplies to be delivered.
(b) If any such change causes an increase or decrease in thehourly rate, the not-to-exceed amount of the contract, orthe time required for performance of any part of the workunder This contract, whether or not changed by the order,or otherwise affects the conditions of this contract, the HAshall make an equitable adjustment in the not-to-exceedamount, the hourly rate, the delivery schedule, or otheraffected terms, and shall modify the contract accordingly.
(c) The Contractor must assert its right to an equitableadjustment under this clause within 30 days from the dateof receipt of the written order. However, if the HA decidesthat the facts justify it, the HA may receive and act upon a
proposal submitted before final payment of the contract,(d) Failure to agree to any adjustment shall be a dispute under
clause Disputes, herein. However, nothing in this clauseshall excuse the Contractor from proceeding with thecontract as changed.
(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 ofthe Contractor to fulfill the contract obligations (default).The HA shall terminate by delivering to the Contractor awritten Notice of Termination specifying the nature, extent,and effective date of the termination. Upon receipt of thenotice, the Contractor shall: (i) immediately discontinue allservices affected (unless the notice directs otherwise); and(U) deliver to the HA all information, reports, papers, andother materials accumulated or generated in performingthis contract, whether completed or in process.
(b) If the termination is for the convenience of the HA, the HAshall be liable only for payment for services renderedbefore the effective date of the termination.
(c) If the termination is due to the failure of the Contractor tofulfill its obligations under the contract (default), the HAmay (i) require the Contractor to deliver to it, in the mannerand to the extent directed by the HA, any work asdescribed in subparagraph (a)Oi) above, and compensationbe determined in accordance with the Changes clause,paragraph 2, above; (H) 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; (UI) withhold any payments to the Contractor, forthe purpose of off-set or partial payment, as the case maybe, of amounts owed to the HA by the Contractor.
(d) If, after termination for failure to fulfill contract obligations(default), it is determined that the Contractor had not failed,the termination shall be deemed to have been effected forthe convenience of the HA, and the Contractor shall beentitled to payment as described in paragraph (b) above.
(e) Any disputes with regard to this clause are expressly madesubject to the terms of clause titled Disputes herein.
4. ExaminatIon and Retention of Contractor’s Records
(a) The HA, HUD, or Comptroller General of the United States,or any of their duly authorized representatives shall, until 3years after final payment under this contract, have accessto and the right to examine any of the Contracto(s 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 6 form HuD-5370-C (10/2006)
(b) The Contractor agrees to include in first-tier subcontractsunder this contract a clause substantially the same asparagraph (a) above. “Subcontract,’ as used in this clause,excludes purchase orders not exceeding $10,000.
(c) The periods of access and examination in paragraphs (a)and (b) above for records relating to:(i) appeals under The clause titled Disputes;(H) litigation or settlement of claims arising from theperformance of this contract; or,(iH) costs and expenses of this contract to which the HA,HUD, or Comptroller General or any of their dulyauthorized representatives has taken exception shallcontinue until disposition of such appeals, litigation, claims,or exceptions.
5. Rights In Data (Ownership and Proprietary Interest)
The HA shall have exclusive ownership of, all proprietaryinterest in, and the right to full and exclusive possession of allinformation, materials and documents discovered or producedby Contractor pursuant to the terms of this Contract, includingbut not limited to reports, memoranda or letters concerning theresearch and reporting tasks of this Contract.
6. Energy EffIciency
The contractor shall comply with all mandatory standards andpolicies relating to energy efficiency which are contained in theenergy conservation plan issued in compliance with the EnergyPolicy and Conservation Act (Pub.L. 94-163) for the State inwhich the work under this contract is performed.
7. Disputes
(a) All disputes arising under or relating to this contract, exceptfor disputes arising under clauses contained in Section III,Labor Standards Provisions, including any claims fordamages for the alleged breach there of which are notdisposed of by agreement, shall be resolved under thisclause.
(b) All claims by the Contractor shall be made in writing andsubmitted to the HA. A claim by the HA against theContractor shall be subject to a written decision by the HA.
(c) The HA shall, with reasonable promptness, but in no eventin no more Than 60 days, render a decision concerning anyclaim hereunder. Unless the Contractor, within 30 daysafter receipt of the HA’s decision, shall notify the HA inwriting that it takes exception to such decision, the decisionshall be final and conclusive.
(d) Provided the Contractor has (I) given the notice within thetime stated in paragraph (c) above, and (ii) excepted itsclaim relating to such decision from the final release, and(iii) brought suit against The HA not later than one year afterreceipt of final payment, or if final payment has not beenmade, not later Than one year after the Contractor has hada reasonable time to respond to a written request by theHA that it submit a final voucher and release, whichever isearlier, Then the HA’s decision shall not be final orconclusive, but the dispute shall be determined on themerits by a court of competent jurisdiction.
(e) The Contractor shall proceed diligently with performance ofthis contract, pending final resolution of any request forrelief, claim, appeal, or action arising under the contract,and comply with any decision of the HA.
8. Contract Termination; Debarment
A breach of these Contract clauses may be grounds fortermination of the Contract and for debarment or denial ofparticipation in HUD programs as a Contractor and asubcontractor as provided in 24 CFR Part 24.
9. AssIgnment of Contract
The Contractor shall not assign or transfer any interest in thiscontract; except that claims for monies due or to become duefrom the HA under the contract may be assigned to a bank,trust company, or other financial institution. If the Contractor is apartnership, this contract shall inure to the benefit of thesurviving or remaining member(s) of such partnership approvedby the HA.
10. Certificate and Release
Prior to final payment under this contract, or prior to settlementupon termination of this contract, and as a condition precedentthereto, the Contractor shall execute and deliver to the HA acertificate and release, in a form acceptable to the HA, of allclaims against the HA by the Contractor under and by virtue ofthis contract, other than such claims, if any, as may bespecifically excepted by the Contractor in stated amounts setforth therein.
11. Organizational Conflicts of Interest
(a) The Contractor warrants that to The best of its knowledgeand belief and except as otherwise disclosed, it does nothave any organizational conflict of interest which is definedas a situation in which the nature of work under thiscontract and a contractors organizational, financial,contractual or other interests are such that:(i) Award of the contract may result in an unfair
competitive advantage; or(H) The Contractor’s objectivity in performing the contract
work may be impaired.(b) The Contractor agrees that if after award it discovers an
organizational conflict of interest with respect to thiscontract or any taslddelivery order under the contract, he orshe shall make an immediate and full disclosure in writingto the Contracting Officer which shall include a descriptionof the action which the Contractor has taken or intends totake to eliminate or neutralize the conflict. The HA may,however, terminate the contract or taskfdelivery order forthe convenience of The HA if it would be in The best interestof the HA.
(c) In the event the Contractor was aware of an organizationalconflict of interest before the award of this contract andintentionally did not disclose The conflict to The ContractingOfficer, the HA may terminate the contract for default.
(d) The terms of this clause shall be included in allsubcontracts and consulting agreements wherein the workto be performed is similar to the service provided by theprime Contractor. The Contractor shall include in suchsubcontracts and consulting agreements any necessaryprovisions to eliminate or neutralize conflicts of interest.
12. Inspection and Acceptance
(a) The HA has the right to review, require correction, ifnecessary, and accept the work products produced by theContractor. Such review(s) shall be carried out within 30days so as to not impede the work of the Contractor. Any
Section I - Page 2 of 6 Form HUD-5370-C (1012006)
product of work shall be deemed accepted as submitted ifthe HA does not issue written comments and/or requiredcorrections within 30 days from the date of receipt of suchproduct from the Contractor.
(b) The Contractor shall make any required correctionspromptly at no additional charge and return a revised copyof the product to the HA within 7 days of notification or alater date if extended by the HA.
(c) Failure by the Contractor to proceed with reasonablepromptness to make necessary corrections shall be adefault. If the Contractors submission of corrected workremains unacceptable, the HA may terminate this contract(or the task order involved) or reduce the contract price orcost to reflect the reduced value of services received.
13. Interest of Members of Congress
No member of or delegate to the Congress of the United Statesof America or Resident Commissioner shall be admitted to anyshare or part of this contract or to any benefit to arise therefrom, but this provision shall not be construed to extend to thiscontract if made with a corporation for its general benefit.
14. Interest of Members, Officers, or Employees and FormerMembers, Officers, or Employees
No member, officer, or employee of the HA, no member of thegoveming body of the locality in which the project is situated, nomember of the governing body in which the HA was activated,and no other pubic official of such locality or localities whoexercises any functions or responsibilities with respect to theproject, shall, during his or her tenure, or for one yearthereafter, have any interest, direct or indirect, in this contract orthe proceeds thereof.
15. LImitation on Payments to Influence Certain FederalTransactions
(a) Definitions. As used in this clause:“Agency”, as defined inS U.S.C. 552(f), includes Federal
executive departments and agencies as well as independentregulatory commissions and Government corporations, asdefined in 31 U.S.C. 9101(1).
“Covered Federal Action” means any of the followingFederal actions:
(i) The awarding of any Federal contract;(ii) The making of any Federal grant;(Hi) The making of any Federal loan;(iv) The entering into of any cooperative agreement; and,(v) The extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, orcooperative agreement.
Covered Federal action does not include receiving from anagency a commitment providing for the United States to insureor guarantee a loan.
“Indian tribe” and “tribal organization” have the meaningprovided in section 4 of the Indian Self-Determination andEducation Assistance Act (25 USC. 45GB). Alaskan Nativesare included under the definitions of Indian thbes in that Act.
“Influencing or attempting to influence’ means making, withthe intent to influence, any communication to or appearancebefore an officer or employee of any agency, a Member ofCongress, an officer or employee of Congress, or an employeeof a Member of Congress in connection with any coveredFederal action.
“Local government” means a unit of government in a Stateand, if chartered, established, or otherwise recognized by aState for the performance of a govemmental duty, including alocal public authority, a special district, an intrastate district, acouncil of governments, a sponsor group representativeorganization, and any other instrumentality of a localgovernment.
“Officer or employee of an agency” includes the followingindividuals who are employed by an agency:
(i) An individual who is appointed to a position in theGovernment under title 5, U.S.C., including a positionunder a temporary appointment;
(H) A member of the uniformed services as defined insection 202, title 18, U.S.C.;
(Hi) A special Government employee as defined in section202, title 18, U.S.C.; and,
(iv) An individual who is a member of a Federal advisorycommittee, as defined by the Federal AdvisoryCommittee Act, title 5, appendix 2.
“Person” means an individual, corporation, company,association, authority, firm, partnership, society, State, and localgovernment, regardless of whether such entity is operated forprofit or not for profit. This term excludes an Indian tribe, tribalorganization, or other Indian organization with respect toexpenditures specifically permitted by other Federal law.
“Recipient” includes all contractors, subcontractors at anytier, and subgrantees at any tier of the recipient of fundsreceived in connection with a Federal contract, grant, loan, orcooperative agreement. The term excludes an Indian tribe, tribalorganization, or any other Indian organization with respect toexpenditures specifically permitted by other Federal law.
“Regularly employed means, with respect to an officer oremployee of a person requesting or receiving a Federalcontract, grant, loan, or cooperative agreement, an officer oremployee who is employed by such person for at least 130working days within one year immediately preceding the date ofthe submission that initiates agency consideration of suchperson for receipt of such contract, grant, loan, or cooperativeagreement. An officer or employee who is employed by suchperson for less than 130 working days within one yearimmediately preceding the date of submission that initiatesagency consideration of such person shall be considered to beregularly employed as soon as he or she is employed by suchperson for 130 working days.
“State” means a State of the United States, the District ofColumbia, the Commonwealth of Puerto Rico, a territory orpossession of the United States, an agency or instrumentality ofa State, and a multi-State, regional, or interstate entity havinggovernmental duties and powers.(b) Prohibiho n.
(i) Section 1352 of title 31, U.S.C. provides in part that noappropriated funds may be expended by the recipientof a Federal contract, grant, loan, or cooperativeagreement to pay any person for influencing orattempting to influence an officer or employee of anyagency, a Member of Congress, an officer oremployee of Congress, or an employee of a Memberof Congress in connection with any of the followingcovered Federal actions: the awarding of any Federalcontract, the making of any Federal grant, the makingof any Federal loan, the entering into of anycooperative agreement, and the extension,continuation, renewal, amendment, or modification ofany Federal contract, grant, loan, or cooperativeagreement.
(H) The prohibition does not apply as follows:
Section I - Page 3 of6 Form HUD-5370-C (10/2006)
(1) Agency and legislative liaison by OwnEmployees.
(a) The prohibition on the use of appropriatedfunds, in paragraph (i) of this section, does notapply in the case of a payment of reasonablecompensation made to an officer or employee ofa person requesting or receiving a Federalcontract, grant, loan, or cooperative agreement, ifthe payment is for agency and legislativeactivities not directly related to a covered Federalaction.
(b) For purposes of paragraph (b)(i)(1 )(a) ofthis clause, providing any information specificallyrequested by an agency or Congress is permittedat any time.
(c) The following agency and legislative liaisonactivities are permitted at any time only wherethey are not related to a specific solicitation forany covered Federal action:
(1) Discussing with an agency(including individual demonstrations) the qualitiesand characteristics of the person’s products orservices, conditions or terms of sale, and servicecapabilities; and,
(2) TecHnical discussions and otheractivities regarding the application or adaptationof the person’s products or services for anagency’s use.
(d) The following agency and legislative liaisonactivities are permitted where they are prior toformal solicitation of any covered Federal action:
(1) Providing any information notspecifically requested but necessary for anagency to make an informed decision aboutinitiation of a covered Federal action;
(2) Technical discussions regarding thepreparation of an unsolicited proposal prior to itsofficial submission; and
(3) Capability presentations by personsseeking awards from an agency pursuant to theprovisions of the Small Business Act asamended by Public Law 95-507 and othersubsequent amendments.
(e) Only those activities expressly authorizedby subdivision (b)(ii)(1 )(a) of this clause arepermitted under this clause.
(2) Proressional and technical services.(a) The prohibition on the use of appropriated
funds, in subparagraph (b)(i) of this clause,does not apply in the case of(i) A payment of reasonable compensation
made to an officer or employee of aperson requesting or receiving acovered Federal action or an extension,continuation, renewal, amendment, ormodification of a covered Federalaction, if payment is for professional ortechnical services rendered directly inthe preparation, submission, ornegotiation of any bid, proposal, orapplication for that Federal action or formeeting requirements imposed by orpursuant to law as a condition forreceiving that Federal action.
(U) Any reasonable payment to a person,other than an officer or employee of a
person requesting or receiving acovered Federal action or an extension,continuation, renewal, amendment, ormodification of a covered Federal actionif the payment is for professional ortechnical services rendered directly inthe preparation, submission, ornegotiation of any bid, proposal, orapplication for that Federal action or formeeting requirements imposed by orpursuant to law as a condition forreceiving that Federal action. Personsother than officers or employees of aperson requesting or receiving acovered Federal action includeconsultants and trade associations.
(b) For purposes of subdivision (b)(i)(2)(a) ofclause, “professional and technical services”shall be limited to advice and analysisdirectly applying any professional ortechnical discipline.
(c) Requirements imposed by or pursuant to lawas a condition for receiving a coveredFederal award include those required by lawor regulation, or reasonably expected to berequired by law or regulation, and any otherrequirements in the actual awarddocuments.
(d) Only those services expressly authorized bysubdivisions (b)Qi)(2)(a)(i) and (ii) of thissection are permitted under this clause.
(iii) Selling activities by independent salesrepresentatives.
(c) The prohibition on the use of appropriated funds, insubparagraph (b)(i) of this clause, does not apply to thefollowing selling activities before an agency by independentsales representatives, provided such activities are prior toformal solicitation by an agency and are specifically limitedto the merits of the mailer(i) Discussing with an agency (including individual
demonstration) the qualities and characteristics of theperson’s products or services, conditions or terms ofsale, and service capabilities; and
(U) Technical discussions and other activities regardingthe application or adaptation of the person’s productsor services for an agency’s use.
(d) Agreement. In accepting any contract, grant, cooperativeagreement, or loan resulting from this solicitation, theperson submitting the offer agrees not to make anypayment prohibited by this clause.
(e) Penalties. Any person who makes an expenditureprohibited under paragraph (b) of this clause shall besubject to civil penalties as provided for by 31 U.S.C. 1352.An imposition of a civil penalty does not prevent theGovernment from seeking any other remedy that may beapplicable.
(f) Cost Allowability. Nothing in this clause is to be interpretedto make allowable or reasonable any costs which would beunallowable or unreasonable in accordance with Part 31 ofthe Federal Acquisition Regulation (FAR), or 0MBCirculars dealing with cost allowability for recipients ofassistance agreements. Conversely, costs madespecifically unallowable by the requirements in this clausewill not be made allowable under any of the provisions ofFAR Part 31 or the relevant 0MB Circulars.
Section I - Page 4 of6 Form HUD-5370-C (1012006)
16. Equal Employment Opportunity
During the performance of this contract, the Contractor agreesas follows:(a) The Contractor shall not discriminate against any employee
or applicant for employment because of race, color,religion, sex, or national origin.
(b) The Contractor shall take affirmative action to ensure thatapplicants are employed, and that employees are treatedduring employment without regard to their race, color,religion, sex, or national origin. Such action shall include,but not be limited to (1) employment; (2) upgrading; (3)demotion; (4) transfer; (5) recruitment or recruitmentadvertising; (6) layoff or termination; (7) rates of pay orother forms of compensation; and (8) selection for training,including apprenticeship.
Cc) The Contractor shall post in conspicuous places availableto employees and applicants for employment the notices tobe provided by the Contracting Officer that explain thisclause.
(d) The Contractor shall, in all solicitations or advertisementsfor employees placed by or on behalf of the Contractor,state that all qualified applicants will receive considerationfor employment without regard to race, color, religion, sex,or national origin.
(e) The Contractor shall send, to each labor union orrepresentative of woricers with which it has a collectivebargaining agreement or other contract or understanding,the notice to be provided by the Contracting Officeradvising the labor union or workers’ representative of theContractors commitments under this clause, and postcopies of The notice in conspicuous places available toemployees and applicants for employment.
(f) The Contractor shall comply with Executive Order 11246,as amended, and the rules, regulations, and orders of theSecretary of Labor.
(g) The Contractor shall furnish all information and reportsrequired by Executive Order 11246, as amended and byrules, regulations, and orders of the Secretary of Labor, orpursuant thereto. The Contractor shall permit access to itsbooks, records, and accounts by the Secretary of Labor forpurposes of investigation to ascertain compliance with suchrules, regulations, and orders.
(h) In the event of a determination that the Contractor is not incompliance with this clause or any rule, regulation, or orderof the Secretary of Labor, this contract may be canceled,terminated, or suspended in whole or in part, and theContractor may be declared ineligible for furtherGovernment contracts, or federally assisted constructioncontracts under the procedures authorized in ExecutiveOrder 11246, as amended. in addition, sanctions may beimposed and remedies invoked against the Contractor asprovided in Executive Order 11246, as amended, the rules,regulations. and orders of the Secretary of Labor, or asotherwise provided by law.
(i) The Contractor shall include the terms and conditions ofthis clause in every subcontract or purchase order unlessexempted by the rules, regulations, or orders of theSecretary of Labor issued under Executive Order 11246, asamended, so that these terms and conditions will bebinding upon each subcontractor or vendor. TheContractor shall take such action with respect to anysubcontractor or purchase order as the Secretary ofHousing and Urban Development or the Secretary of Labormay direct as a means of enforcing such provisions,including sanctions for noncompliance; provided that if the
Contractor becomes involved in, or is threatened with,litigation with a subcontractor or vendor as a result of suchdirection, the Contractor may request the United States toenter into the litigation to protect the interests of the UnitedStates.
17. DIssemination or Disclosure of Information
No information or material shall be disseminated or disclosed tothe general public, The news media, or any person ororganization without prior express written approval by the HA.
18. Contractor’s Status
It is understood that the Contractor is an independent contractorand is not to be considered an employee of The HA, or assumeany right, privilege or duties of an employee, and shall saveharmless the HA and its employees from claims suits, actionsand costs of every description resulting from the Contractorsactivities on behalf of the HA in connection with this Agreement.
19. Other Contractors
HA may undertake or award other contracts for additional workat or near the site(s) of the work under this contract. Thecontractor shall fully cooperate with the other contractors andwith HA and HUD employees and shall carefully adaptscheduling and performing the work under this contract toaccommodate the additional work, heeding any direction thatmay be provided by the Contracting Officer. The contractor shallnot commit or permit any act that will interfere with theperformance of work by any other contractor or HA employee.
20. Liens
The Contractor is prohibited from placing a lien on HA’sproperty. This prohibition shall apply to all subcontractors.
21. TraIning and Employment Opportunities for Residents inthe Project Area (Section 3, HUD Act of 1968; 24 CFR 135)
(a) The work to be performed under this contract is subject to therequirements of section 3 of the Housing and UrbanDevelopment Act of 1968, as amended, 12 U.S.C. 1701 u(section 3). The purpose of section 3 is to ensure thatemployment and other economic opportunities generated byHUD assistance or HUD-assisted projects covered by section 3,shall, to the greatest extent feasible, be directed to low- and verylow-income persons, particularly persons who are recipients ofHUD assistance for housing.
(b) The parties to this contract agree to comply with HUDsregulations in 24 CFR Part 135, which implement section 3. Asevidenced by their execution of this contract, the parties to thiscontract certify that they are under no contractual or otherimpediment that would prevent them from complying with thePart 135 regulations.
(c) The contractor agrees to send to each labor organization orrepresentative of workers with which the contractor has acollective bargaining agreement or other understanding, if any, anotice advising the labor organization or workers’ representativeof the contractor’s commitments under this section 3 clause, andwill post copies of the notice in conspicuous places at The worksite where both employees and applicants for training andemployment positions can see the notice. The notice shalldescribe the section 3 preference, shall set forth minimumnumber and job titles subject to hire, availability of
Section I PageS of 6 Form HUD-5370-C (1012006)
apprenticeship and training positions, the qualifications for each;and the name and location of the person(s) taking applicationsfor each of the positions; and the anticipated date the work shallbegin.
(d) The contractor agrees to include this section 3 clause in everysubcontract subject to compliance with regulations in 24 CFRPart 135, and agrees to take appropriate action, as provided inan applicable provision of the subcontract or in this section 3clause, upon a finding that the subcontractor is in violation of theregulations in 24 CFR Part 135. The contractor will notsubcontract with any subcontractor where the contractor hasnotice or knowledge that the subcontractor has been found inviolation of the regulations in 24 CFR Part 135.
(e) The contractor will certify that any vacant employment positions,including training positions, that are filled (1) after the contractoris selected but before the contract is executed, and (2) withpersons other than those to whom the regulations of 24 CFRPart 135 require employment opportunities to be directed, werenot filled to circumvent the contractor’s obligations under 24 CFRPart 135.
(f) Noncompliance with HUD’s regulations in 24 CFR Part 135 mayresult in sanctions, termination of this contract for default, anddebarment 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 theEnvironmental Protection Agency (EPA) at 40 CFR Part 247 thatcontain the highest percentage of recovered materialspracticable, consistent with maintaining a satisfactory level ofcompetition. The Contractor shall procure items designated inthe EPA guidelines that contain the highest percentage ofrecovered materials practicable unless the Contractordetermines that such items: (1) are not reasonably available in areasonable period of time; (2) fail to meet reasonableperformance standards, which shall be determined on the basisof the guidelines of the National Institute of Standards andTechnology, if applicable to the item; or (3) are only available atan unreasonable price.
(b) Paragraph (a) of this clause shall apply to items purchased underthis contract where: (1) the Contractor purchases in excess of$10,000 of the item under this contract; or (2) during thepreceding Federal fiscal year, the Contractor: (i) purchased anyamount of the items for use under a contract that was fundedwith Federal appropriations and was with a Federal agency or aState agency or agency of a political subdivision of a State; and(ii) purchased a total of in excess of $10,000 of the item bothunder and outside that contract.
Section I - Page 6 of 6 Form HUD-5370-C (10)2006)
Appendix Item #10 - SCCHA’s Section 3 Policy and related Forms I Documents
(Complete, sign and return with proposal, as applicable)
Page 23
St. Clair County Housing Authority (SCCHA)Management Department Contracts
Section 3 Compliance Certification I Declaration
By signing below, the respondent certifies that no vacant employment positions related to services to beperformed under the proposed contract, including training positions, that are filled (1) after thecontractor is selected but before the contract is executed, and (2) with persons other than those towhom the regulations of 24 CFR part 135 require employment opportunities to be directed, were notfilled to circumvent the contractor’s obligations under 24 CR part 135.
It is acknowledged that non-compliance with HUD’s regulations in 24 CFR partl35 may result insanctions, termination of this contract for default, and debarment or suspension from future HUDassisted contracts.
Certification I Declaration:
Respondent hereby certifies and declares:
a) That it is in compliance with Section 3 regulations in that:
No new employees will be hired to perform the work under the proposed contract, OR
b) It will comply with Section 3 regulations to the fullest extent feasible by:
— At least 30% of the aggregate number of full-time new hires created by thecontracted or grant driven work shall be Section 3 residents
At least 25% of the dollar award of all subcontracts shall be awarded to Section 3 businessconcerns.
Respondent’s Name
Project Title
Authorized Representative’s: Name
__________________________________________
Title:
_______________________________________________
E-Mail Address
The Respondent agrees to comply with all provisions of Section 3 as set forth in 24CFR 135.1 et alland SCCHA’s Policy implementing Section 3 requirements. The Respondent hereby submits thisdocument to identify employment and subcontracting for St. Clair County Housing Authority residentsand low and very-low income St. Clair County area residents during the term of the contract betweenSCCHA and the Respondent.
Signature of Authorized Representative:
Date:
____________________________
Note: This form must be completed, signed and returned with proposal
Board Approved 4/3/2013
ST. CLAIR COUNTY HOUSING AUTHORITYSECTION 3 POLICY
1. Background on the Section 3 Program
Section 3 is a policy mandated by the United States Congress. It refers to the third section ofthe Housing Act of 1968, as amended by section 915 of the Housing CommunityDevelopment Act of 1992. The purpose of Section 3is to “ensure that employment and othereconomic opportunities generated by certain Housing and Urban Development (HUD)financial assistance shall, to the greatest extent feasible, and consistent with existingFederal, State and local laws and regulations, be directed toward low and very low-incomepersons, particularly those who are recipients of government assistance for housing, and tobusiness concerns which provide economic opportunities to low and very low-incomepersons.”
Consistent with 24 CAR Part 135, as a recipient of HUD Public and Indian Housing funding,the St. Clair County Housing Authority (SCCHA) requires fulfillment of Section 3 obligationson contracts that make use of that assistance. These policies are consistent with theregulations governing the implementation of federally mandated Section 3 provisions,regardless of contract amount or whether it is designed as construction. The SCCHA worksto provide a positive effect of the employment, training, contracting and other economicopportunities to its residents and other low income persons. In doing so, the SCCHA utilizesSection 3 as a means of promoting its mission of assisting qualifying individuals with not onlyhousing assistance but assistance that leads ultimately to self-sufficiency.
2. Statement of Purpose
Section 3 of the Housing and Urban Development Act of 1968, as amended (12 U.S.C.1701 u)(Section 3) requires the SCCHA ensure that employment and other economic andbusiness opportunities generated by the Department of Housing and Urban Development(HUD) financial assistance, to the greatest extent feasible, are directed to public housingresidents and other low-income persons, particularly recipients of government housingassistance, and business concerns that provide economic opportunities to low and very low-income persons.
It is the policy of the St. Clair County Housing Authority to require its contractors to provideequal employment opportunity to all employees and applicants for employment withoutregard to race, color, religion, sex, national origin, disability, veteran’s or marital status, oreconomic status and to take affirmative action to ensure that both job applicants and existingemployees are given fair and equal treatment.
The SCCHA implements this policy through the awarding of contracts to create employmentand business opportunities for residents of SCCHA and other qualified low and very-lowincome persons.
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The policy should result in a reasonable level of success in the recruitment, employment andutilization of SCCHA residents and other eligible persons by SCCHA contractors working oncontracts partially or wholly funded by HUD monies. The SCCHA shall examine andconsider a contractor’s or vendor’s potential for success by providing employment andbusiness opportunities to SCCHA residents prior to acting on proposed contract awards.
3. Definitions
Definitions are as follows:
A) Low-income person: single persons and families whose incomes do not exceed 80% ofthe median income for the area.
B) Very Low income person: single persons or families whose incomes do not exceed 50%of the median family income for the area.
C) Section 3 Business concern: a business entity formed in accordance with State law that iseither: a) 51% or more owned by a Section 3 resident: b) a business employing at least30% full time Section 3 residents within 3 years of the date of first employment with thebusiness were Section 3 residents, or: c) providing evidence of a commitment tosubcontract in excess of 25% of the dollar award of all subcontracts to be awarded tobusinesses that meet the description of Section 3 business concern in sections a orb ofthis paragraph.
D) Section 3 resident: a) A public housing resident or: b) a person assisted by the locallyadministered Housing Choice Voucher program or: c) a person who resides in themetropolitan area or non-metropolitan county in which Section 3 covered assistance isexpended and is a person who is a low or very low income person.
4. Requirements of the SCCHA Section 3 Program
The Section 3 program seeks to aid Section 3 residents to the greatest extent feasible.SCCHA, its contractors and subcontractors have three ways they may satisfy the Section 3Requirements:
• Hiring low- and very low-income workers:
Consistent with Section 3 guidelines, to the greatest extent feasible, hire at least 30% ofthe aggregate number of full-time new hires created by the contracted or grant drivenwork with a preference for the residents at the development where work is beingperformed. If a contractor is hiring 3 employees as a result of the contract at least 1 ofthem must be a Section 3 worker.
• Awarding contracts to Section 3 business concerns:
Attempt to award at least 10% of the total dollar amount of all Section 3 coveredcontracts to Section 3 business concerns for building trades work includingmaintenance, repair, remodeling, modernization and abatement of Public Housing or forbuilding trades work arising in connection with housing rehabilitation, housingconstruction and other public construction.
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Attempt to have general contractors award in excess of 25% of the dollar award of allsubcontracts to be awarded to a Section 3 business concern.
It is the SCCHA goal to advocate for as many SCCHA residents as possible.Contractors are strongly encouraged to comply with Section 3 by hiring Section 3 eligiblepersons regardless of whether new hires are necessary.
Competitive Bids
The St. Clair County Housing Authority has chosen to exceed the stated guidelinesgoverning the participation of Section 3 business concerns in the SCCHA contracts forbuilding trades work including the maintenance, repair, remodeling, modernization andabatement of Public Housing or for building trades work arising in connection withhousing rehabilitation, housing construction and other public construction.
SCCHA shall provide those businesses that have been determined to quality as aSection 3 business concern with a monetary advantage in the bidding and awardprocess for all aforementioned contracts.
The SCCHA shall solicit bids from all businesses (Section 3 business concerns, andnon-Section 3 business concerns). An award shall be made to the qualified Section 3business concern with the highest priority ranking and with the lowest responsive bid ifthat bid:
(a) is within the maximum total contract price established in the contracting party’s budgetfor the specific project for which bids are being taken, and
(b) is not more than “X” higher than the total bid price of the lowest responsive bidfrom any responsible bidder. “X” is determined as follows:
X = lesser of:
When the lowest responsive bid is:At least $25,000, but less than $100,000 10% of that bid or $9,000.At least $1 00,000, but less than $200,000 9% of that bid or Si 6,000.At least $200,000, but less than $300,000 8% of that bid or $21,000.At least $300,000, but less than $400,000 7% of that bid or $24,000.At least $400,000, but less than $500,000 6% of that bid or $25,000.At least S500,000, but less than Si million 5% of that bid or $40,000.At least $1 million, but less than $2 million 4% of that bid or $60,000.At least $2 million, but less than $4 million 3% of that bid or $80,000.At least $4 million, but less than $7 million 2% of that bid or $105,000.$7 million or more W% of the lowest responsive bid with no dollar limit.
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5. St. Clair County Housing Authority Responsibilities
The SCCHA, as recipient of Public and Indian Housing funding, accepts the responsibility ofnot only enforcing the Section 3 requirements, but also pro-actively facilitating compliancewith Section 3. The SCCHA fulfills this responsibility in the following ways:
1. Notifying Section 3 residents of opportunities through posting job openings inthe Central Office and other management offices.
2. Notifying contractors in each pre-job meeting of the Section 3 requirements;3. Incorporating the Section 3 clause in all of its contracts;4. Providing applications for employment at the SCCHA front desk and allowing
applications to be submitted at the same location; and providing applicationsfor employment on the SCCHA website.
5. Encouraging training of Section 3 residents through support of the SCCHAResident Councils;
6. Providing an employment data form to interested Section 3 residents (uponadmittance to public or Section 8 housing) which is kept on file as a resourcefor the SCCHA and contractors when seeking to hire Section 3 workers;
7. Documenting actions taken to comply with Section 3 requirements;8. Reporting annually on its efforts regarding Section 3 implementation (see
form HUD-60002 Attachment B)9. Attempt to award at least 10% of the total dollar amount of all Section 3
covered contracts for building trades work including maintenance, repair,remodeling, modernization and abatement of Public Housing or for buildingtrades work arising in connection with housing rehabilitation, housingconstruction and other public construction.
10. SCCHA shall refuse to award contracts to businesses or persons found to bein prior violation with Section 3 requirements no matter the venue.
6. Contractor Responsibilities
SCCHA requires that contractors and subcontractors satisfy Section 3 requirements by:
• New Hires — Section 3 eligible individuals
New hires are described as full time employees for permanent, temporary or seasonalemployment opportunities. The general contractor and its subcontractor(s) have arequirement of 30% of new hires to be Section 3 residents.
• Section 3 business concerns
General contractors shall provide evidence of a commitment to subcontract in excess of25% of the dollar award of all subcontracts to be awarded to businesses that meet thedescription of Section 3 business concerns as defined above.
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. Documentation of Section 3 Compliance
1. Contractors must submit, with any and all bids or proposals, an action plan(Schedule “A”) describing their implementation of Section 3 regulations. Omissionof this document with a bid or proposal shall deem that bid or proposal non-responsive and therefore ineligible to be awarded a contract. Allowances maybe made by the SCCHA relative to contractor Section 3 submissions in emergencyprocurement situations.
2. Recommended activities to demonstrate “Training and Employment Efforts” and“Efforts to Award Contracts to Section 3 Business Concerns” are listed on pages704, 705 and 706 of 24 CFR Part 135, attached.
7. Preferences and Eligibility
A) Regarding the hiring of Section 3 residents, preference shall be given to those residentswho live in the complex where the covered assistance is expended. Next, the Section 3residents from other complexes to include those residents assisted by the HousingChoice Voucher Program shall be sought. If no Section 3 residents are available fromthe complexes, the SCCHA and the contractors shall give preference to any Section 3resident within SCCHA’s jurisdiction.
B) Regarding the contracting opportunities for section 3 business concern, preference shallbe given to business concerns owned at least 51% by residents of the complex where thecovered assistance is expended. Next, Section 3 business concerns that are owned atleast 51% by residents of other complexes shall be sought. If no Section 3 businessconcern is available from the complexes, the SCCHA and the contractor shall givepreference to any Section 3 business concern.
C) Regarding eligibility, a Section 3 resident seeking employment must fulfill therequirements of the position sought and provide evidence of their Section 3 status.(e.g., receipt of public assistance, tax returns). A Section 3 business concern seeking towin a contract must fulfill the requirements of the contract in full and, if asked, provideevidence of their Section 3 status.
8. Complaints and Compliance
Any Section 3 resident or business concern that feels that the Section 3 regulations were notcomplied with may file a complaint directly to the Assistant Secretary for Fair Housing andEqual Opportunity at the following address:
Assistant Secretary for Fair Housing and Equal OpportunityDepartment of Housing and Urban AffairsWashington, DC 20410
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The complaint must be in writing and be received within 180 days from the date of the actionupon which the complaint is based. It should include the complainant’s name and address,the SCCHA or contractor’s name and address and a description of the act in question. Thecomplainant will receive a response from HUD within 10 days in which further investigationwill be explained.
Forms to file a complaint are not required but are available upon request.
9. Attachments
1. HUD Section 3 Business Registry2. Section 3 Contract Clause3. Section 3 Bid Submittal Forms
Regulatory Reference: Section 3 Regulations are contained in 24 CFR Part 135
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Attachment #1
HUD’s national Section 3 Business Registry is a new resource for qualified Section 3businesses—those that put a priority on hiring public housing or low-income residents. Theregistry allows these businesses to register their company so they can be notified about newcontracting opportunities. Local agencies can also search the database to find local Section 3businesses.
Agencies with existing lists of local Section 3 businesses are encouraged to ask those firms tosign-up for HUD’s national Section 3 Business Registry so they can be notified about HUDfunded contracts and jobs throughout the entire area. To learn more about HUD’s Section 3Business Registry, visit: www.hud.ov/sec3hiz.
Disclaimer:jUt) has iou veullied he infonnatiu’ui suhnuiiled 1w businesses listed in this restrv nod does riot endorse the services tint theyirntdt Usus of this d it th isc Jic stiortels tucofli iLtd to puhirin du diii cncc hs ‘crulsinc Scctwn 3 clucuhuiiiy hclorcprosidoig prelerence or awarding contracts to linus that have sellZcertilied their Section 3 siatos with the Department.
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Attachment #2
SECTION 3 CLAUSE
The work to be performed under this contract is on a project assisted under a program providingdirect Federal financial assistance from the Department of Housing and Urban Development and issubject to the requirements of SectionS of the Housing and Urban Development Act of 1968. asamended, 12 u.s.c. 1701 u, Section 3 requires that to the greatest extent feasible, opportunities fortraining and employment be given to lower income residents of the area of the Section 3 covered project,and contracts for work in connection with the project be awarded to business concerns which are locatedin, or owned in substantial part by persons residing in the area of the Section 3 covered project.
The parties to this contract will comply with the provisions of said Section 3 and the regulationsissued pursuant thereto by the Secretary of Housing and Urban Development set forth in 24 part CFR135, and all applicable rules and orders of the Department issued there under prior to the execution ofthis contract. The parties to this contract certify and agree that they are under no contractual or otherdisability that would prevent them from complying with these requirements.
The contractor will send to each labor organization or representative of workers with which he hasa collective bargaining agreement or other contract or understanding, if any, a notice advising the saidlabor organization or worker’s representative of his commitments under this Section 3 clause and shallpost copies of the notice in conspicuous places available to employees and applicants for employmentsor training.
The contractor will include the Section 3 clause in every subcontract for work in connection withthe project and will, at the direction of the applicant for or recipient of Federal Financial assistance, takeappropriate action pursuant to the subcontract upon finding that the subcontractor is in violation ofregulations issued by the Secretary of Housing and Urban Development, 24 CFR Part 135. Thecontractor will not subcontract with any subcontractor where it has notice or knowledge that the latter hasbeen found in violation of regulations under 24 CFR part 135 and will not let any subcontract unless thesubcontractor has first provided it with a preliminary statement of ability to comply with the requirementsof these regulations. Compliance with the provisions of section 3, the regulations set forth in 24 CFR part135, and all applicable rules and orders of the Department issued there under prior to the execution of thecontract, shall be a condition of the Federal financial assistance provided to the project, binding upon theapplicant or recipient, its contractors and subcontractors, its successors, and assigns to those sanctionsspecified by the grant or loan agreement or contract through which Federal assistance is provided, and tosuch sanctions as are specified by 24 CFR part 135.
The contractor will certify that any vacant employment positions, including training position, that are filled(1) after the contractor is selected but before the contract is executed, and (2) with persons other thanthose to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, werenot filled to circumvent the contractor’s obligations under 24 CFR part 135.
Noncompliance with HUD’s regulations in 24 CFR part 135 may result in sanctions, termination ofthis contract for default, and debarment or suspension from future HUD assisted contracts.
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Attachment #3
St. Clair County Housing Authority (SCCHA)Modernization Department Contracts
SCHEDULE A-SECTION 3 UTILIZATION PLAN(To be completed by Prime Contractor)
Prime Contractor’s Name________________________________________
RFP/IFB/Contract or PC Number_____________ Date Form Completed
Project Title___________________________________________________________
Contractor Name/Title___________________________________________
E-Mail Address________________________________________________
The contractor agrees to comply with all provisions of Section 3 as set forth in 24CFR 135.1 et all andSCCHA Resolutions implementing Section 3 requirements. The contractor hereby submits thisdocument to identify employment, subcontracting and other opportunities for St. Clair County HousingAuthority residents and low and very-low income St. Clair County area residents during the term of thecontract between SCCHA and the Contractor. Any changes to this Utilization Plan must be approvedby a Section 3 Change Form.
THE CONTRACTOR AGREES TO MEET ITS SECTION 3 REQUIREMENTS THROUGHTHE FOLLOWING:
Hiring
The contractor affirms that the jobs identified shall be for meaningful employment that mayormay not be related to the scope of services covered under Contract/PurchaseOrder#_______________
The Contractor has committed to employ
_______number
of resident(s) in order to comply withits Section 3 requirements.
NOTE: A prime contractor may satisfy the SCCHA Resident Hiring Requirements through thehiring of residents through their subcontractor(s).
A job order form must be submitted with this schedule A when hiring is one of the contractor’smethods is satisfying Section 3 requirements.
The contractor must complete the following table as instructed below:1. Indicate each job title for all phases of this contract.2. The number of positions which will be needed in each category.3. How many of those positions are currently filled.4. Number currently filled by low and very low income SCCHA residents.5. Number currently filled by low and very low income St. Clair County area residents.6. how many positions need to be filled for each job title.7. The number of low and very low income SCCHA residents (LISCCHAR) or Low and very low
income St. Clair Metropolitan Area residents (LISCCAR) to be hired at each job title.
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St. Clair County Housing AuthorityModernization Department Contracts
Hiring Commitments
Currently Filled(total employees currently working
2. 3. 4. 5. 6. 7.1. Total Total of all LISCCHAR LISCCAR Total new LISCCHAR
employees employees working at working at hires orneeded to at this job this job title this job title needed LISCCHAR
JOB complete title Indicate
TITl E the work how manyI Section 3
employeesyou will hiref or this job
title
;;: T__________3
4
5
6
7
8
9
10
11
12
13
14
15
OTHER ECONOMIC OPPORTUNITIES
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Per 24 CFR 135.40 other economic opportunities offer an effective means of empowering low-incomepersons, contractors are encouraged to undertake efforts to provide to low-income persons economicopportunities other than training, employment and contract awards, in connection with Section 3covered assistance.
St. Clair County Housing AuthorityModernization Department Contracts
Schedule Section 3 UTILIZATION PLAN(To be completed by Prime Contractor)
In the space provided below, please outline your plan to provide employment and trainingopportunities to Section 3 or low-income persons (if more space is needed, please provide anattachment to this page) Examples of plans may include: Advertising the training and employmentpositions by distributing flyers to every occupied dwelling unit and/or post notices in the SCCHAcommunity offices; Sponsoring a job informational meeting. Please note that attempts to directlysubcontract with a Section 3 business concern should also be described in the section below.
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St. Clair County Housing AuthorityModernization Department Contracts
Schedule Section 3 UTILIZATION PLAN(To be completed by Prime Contractor
Contracting
Per 24 CFR 135.30, Section 3 requires construction contracts to subcontract at least 10% of thework to Section 3 Business Concerns and 3% of the work for all other contracts.
A Section 3 Business concern, under HUD regulations, is a business concern:
1. that is 51% or more owned by Section 3 residents; or2. Whose permanent, full time employees include persons, at least 30% of whom are
currently Section 3 residents, or within three years of the date of first employmentwith the business concern were section 3 residents; or
3. That provides evidence of a commitment to subcontract in excess of 25% of thedollar award of all subcontracts to be awarded to business concerns that meet thequalifications set forth in paragraph (1) or (2) in this definition of ‘section 3 businessconcern”.
The prime contractor will subcontract with a total of
______Section
3 Business Concerns totaling
______%
of the contract value.
In the section below, outline the Section 3 business concern that will hold subcontracts with yourfirm under this contract (Note: Each subcontractor listed below must submit a correspondingSchedule C)
A. COMPANY NAME:______________________________________________
ADDRESS:
CONTACT PERSON:
___________________TELEPHONE:___________________
E-MAIL ADDRESS:
_________________________________________________
ORIGINAL CONTRACT DOLLAR VALUE:
________________________________
AMENDED CONTRACT VALUE:
_____________________________________
(Note: Amended contract value only used when changes are made and approved by SCCHA during acontract)
WORK TO BE PERFORMED/MATERIALS SUPPLIED:
________________________
Type of participation: Direct lndirectj
Anticipated performance timeframe (When will the contractor be onsite performing work and forhow long):
12
Board Approved 4/3/2013
St. Clair County Housing AuthorityModernization Department Contracts
Schedule Section 3 UTILIZATION PLAN(To be completed by Prime Contractor)
B. COMPANY NAME:
ADDRESS:
CONTACT PERSON:
___________________TELEPHONE:___________________
E-MAIL ADDRESS:
ORIGINAL CONTRACT DOLLAR VALUE:
________________________________
AMENDED CONTRACT VALUE:
_____________________________________
(Note: Amended contract value only used when changes are made and approved by SCCHA during acontract)
WORK TO BE PERFORMED/MATERIALS SUPPLIED:
________________________
Type of participation: Direct IndirectE
Anticipated performance timeframe (When will the contractor be onsite performing work and forhow long):
C. COMPANY NAME:
ADDRESS:
CONTACT PERSON:
___________________TELEPHONE:___________________
E-MAIL ADDRESS:
ORIGINAL CONTRACT DOLLAR VALUE:
________________________________
AMENDED CONTRACT VALUE:
______________________________________
(Note: Amended contract value only used when changes are made and approved by SCCHA duhng acontract)
WORK TO BE PERFORMED/MATERIALS SUPPLIED:
________________________
Type at participation: Direct lndirectD
Anticipated performance timetrame (When will the contractor be onsite performing work and forhow long):
13
Board Approved 4/3/2013
St. Clair County Housing AuthorityModernization Department Contracts
Schedule Section 3 UTILIZATION PLAN(To be completed by Prime Contractor)
D. COMPANY NAME:
ADDRESS:
CONTACT PERSON:
___________________TELEPHONE:___________________
E-MAIL ADDRESS:
ORIGINAL CONTRACT DOLLAR VALUE:
________________________________
AMENDED CONTRACT VALUE:
_____________________________________
(Note: Amended contract value only used when changes are made and approved by SCCHA during acontract)
WORK TO BE PERFORMED/MATERIALS SUPPLIED:
________________________
Type of participation: Direct D IndirectE
Anticipated performance timeframe (When will the contractor be onsite performing work and forhow long):
E. COMPANY NAME:
ADDRESS:
CONTACT PERSON:
___________________TELEPHONE:___________________
E-MAIL ADDRESS:
DRIGINAL CONTRACT DOLLAR VALUE:
________________________________
AMENDED CONTRACT VALUE:
______________________________________
(Note: Amended contract value only used when changes are made and approved by SCCHA during acontract)
WORK TO SE PERFORMED/MATERIALS SUPPLIED:
_______________________
Type of participation: Direct IndirectE
Anticipated performance timeframe (When will the contractor be onsite performing work and forhow long):
14
Board Approved 4/3/2013
St. Clair County Housing AuthorityModernization Department Contracts
Schedule Section 3 UTILIZATION PLAN(To be completed by Prime Contractor)
In the space below, please outline your plan to provide other economic opportunities to a Section 3 orlow-income person (if more space is needed, please provide an attachment to this page) Examples ofplans may include: internship programs, mentorship programs and teaming agreements. Please notethat any indirect subcontracting should also be described in the section below.
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Board Approved 4/3/2013
St. Clair County Housing AuthorityModernization Department ContractsSchedule Section 3 UTILIZATION PLAN(To be completed by Prime Contractor)
By signing below, the contractor hereby agrees to comply with the Section 3 requirementsindicated above. To the extent of this form is contingent upon future information, for example pricenegotiations, request for specific services, etc. the undersigned hereby affirms and agrees to fully adhereto the SCCHA Section 3 policy. Furthermore, the undersigned acknowledges and affirms responsibilityfor completion and submission off this form prior to bid award of a contract from the SCCHA.
Name of Prime Contractor (print or type)
Name of Authorized officer
___________________________________________________________Date:__________________
Name of Notary
State of
_______________________County
of
____________________on
This
___________Day
of , 20
BEFORE ME APPEARED (NAME)
__________________________
TO ME PERSONALLY KNOWN WHO, BEING DULY SWORN, DID EXECUTE THE FOREGOINGAFFIDAVIT AND DID STATE THAT (HE OR SHE) WAS PROPERLY AUTHORIZED BY THE PRIMECONTRACTOR TO EXECUTE THIS AFFIDAVIT AND DID SO AS HIS OR HER FREE ACT OR DEED.
NOTARY PUBLIC:
__________________
(SEAL):MY COMMISSION EXPIRES:
_________________
SCCHA APPROVAL:Director of Modernization Date
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