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REPLACEMENT OF CABINETS AND APPLIANCES, AND INSTALLATION OF VCT FLOORING AT LYERLY ELDERLY HOUSING DEVELOPMENT 75 LYERLY HOUSTON, TEXAS 77022 IFB # 11-40 HOUSTON HOUSING AUTHORITY HOUSTON, TEXAS TORY GUNSOLLEY PRESIDENT & CHIEF EXECUTIVE OFFICER September 2011 ________________________________________________________ BIDDING REQUIREMENTS TABLE OF CONTENTS Number Title Pages BIDDING REQUIREMENTS Section 00030 Invitation for Bids 00030-1 through 3 Section 00031 Profile of the Houston Housing Authority 00031-1 Section 00032 Statement of Work 00032-1 Section 00033 General Requirements 00033-1 Section 00100 Instructions to Bidders 00100-1 through 6 Section 00120 Supplementary Instructions to Bidders 00120-1 through 2 Section 00300 Form of Bid 00300-1 through 3 Section 00410 Form of Bid Bond 00410-1 through 3 Section 00480 Form of Non-Collusive Affidavit 00480-1 Section 00481 Previous Participation Certification 00481-1 through 5 Section 00482 Representations, Certifications and Other Statements of Bidders 00482-1 through 5 Section 00483 Contractor’s and/or Bidder’s Information, Fact Sheet and Questionnaire (IFSQ) 00483-1 through15 Section 00484 M/WBE Participation (And Bidder’s Proposed MBE/WBE Participation Form) 00484-1 through 2 Section 00490 Evaluation Criteria 00490-1 Section 00491 Conflict of Interest Questionnaire (Form CIQ) 00491-1 through 3 Table of Contents – Bidding Requirements Page1 2640 Fountain View Drive ■ Houston, Texas 77057 ■ 713.260.0500 P ■ 713.260.0547 TTY ■ www.housingforhouston.com Purchasing Department Section 00030 INVITATION FOR BIDS The Houston Housing Authority hereby invites bids from general contractors offering to furnish all labor, materials, equipment and necessary services required for the replacement of cabinets and appliances, installation of VCT flooring, and asbestos abatement at Lyerly Elderly Housing Development, 75 Lyerly, Houston, Texas 77022, as stated in the specifications of Invitation for Bids No. 11-40. The work must be in accordance with the specifications and the Statement of Work in this Invitation for Bids package. Interested general contractors may obtain the bid package from: Sarah Monigold, Purchasing Officer Houston Housing Authority 2640 Fountainview, Suite 408 Houston, Texas 77057 (713) 260-0552 (713) 260-0810 (FAX) Prospective bidders desiring any further information regarding this solicitation, must request it in writing, seven (7) calendar days before the scheduled bid opening. Any information given to a prospective bidder concerning this solicitation will be furnished promptly to all other prospective bidders in the form of a written addendum to the solicitation. The request must be addressed to Sarah Monigold, Purchasing Officer, Houston Housing Authority, 2640 Fountainview, Suite 408, Houston, Texas 77057, faxed to 713-260-0810 or emailed to firstname.lastname@example.org. All bids must be delivered to: Sarah Monigold, Purchasing Officer, Houston Housing Authority, 2640 Fountainview, Suite 408, Houston, Texas 77057. The bids submitted must be enclosed in a sealed envelope and labeled as follows: BID OFFERING TO PROVIDE LABOR AND MATERIALS FOR REPLACEMENT OF CABINETS AND INSTALLATION OF VCT FLOORING AT LYERLY ELDERLY HOUSING DEVELOPMENT ____________________________________ Bidder’s Name Invitation for Bids No. 11-40 October 26, 2011 2:00 p.m. local time Invitation for Bids 00030-1 A Fair and Equal Employment Opportunity Agency. For assistance: Individuals with disabilities may contact the 504/ADA Administrator at 713-260-0528, TTY 713-260-0574 or 504ADA@housingforhouston.com Bids must reach the Houston Housing Authority no later than 2:00 p.m., on October 26, 2011. Bids received after the deadline will be rejected unless the conditions allowed for late bids exist for consideration. No bid(s) will be considered for award if the bid is not responsive to all the requirements of this solicitation. Non-responsive bid or bids which limit Houston Housing Authority’s rights will be rejected. All Bids received prior to the deadline shall be opened publicly and read aloud in the Boardroom of the Houston Housing Authority at 2:01 p.m. on October 26, 2011. No commitment will be made to any bidder at the bid opening. The bids received prior to the deadline will be evaluated according to the evaluation criteria outlined in this Invitation for Bids and applicable Procurement Law and the contract will be awarded to the lowest, most responsive and responsible bidder who meets the requirements of this Invitation for Bids. A satisfactory bid guarantee or bid bond, executed by an acceptable surety on the Bid Bond Form contained in the Project Manual, and in an amount equal to five percent (5%) of the greatest amount of bid, shall be submitted with each bid. The successful bidder will be required to furnish and pay for a satisfactory 100% Performance and Payment Bond(s). Attention is called to the fact that not less than the minimum salaries and wages as set forth in the, “Wage Determination,” “the General Conditions,” and the “Supplemental General Conditions” must be paid on this project. All contractors shall provide Equal Opportunity Employment. Bids may not be withdrawn for a period of ninety (90) days subsequent to the opening of bids without the consent of the Owner. A Pre-Bid Conference will be conducted in the Community Center at Lyerly Elderly Housing Development, 75 Lyerly, Houston, TX 77022, at 10:00 A.M. on October 12 2011. All questions pertaining to the project will be reviewed and discussed at that time. All prospective bidders are urged to attend the Pre-Bid Conference. Attention is called to the fact that the Houston Housing Authority provides that Minority/Women Business Enterprises shall be encouraged to participate in Houston Housing Authority procurement and construction contracts. The Houston Housing Authority encourages participation in its contracts by M/WBEs as subcontractors or as the general contractor. A good faith effort must be made to ensure that when they participate as subcontractors, the total of M/WBE subcontractor participation is at least 30% of the total dollar value of the base bid. Bid Forms and Contract Documents may be inspected at the office of Dodge McGraw Hill, 4101 Greenbriar, Suite 320, Houston, TX 77098; Associated General Contractors (AGC) 3825 Dacoma, Houston, TX 77092; Houston Minority Business Development (MBDC), 4801 Woodway Drive, Suite 210, Houston, TX 77056. Invitation for Bids 00030-2 Interested and qualified contractors may obtain the Invitation for Bids package beginning October 3, 2011, by depositing FIVE HUNDRED DOLLARS ($500.00) at the Purchasing Department, Houston Housing Authority, 2640 Fountainview, Suite 408, Houston, Texas 77057. Deposits shall be made in the form of a Certified Check, Cashier’s Check, or Money Order made payable to the Houston Housing Authority. Such deposits will be refunded to each Contractor who returns the bid package and other documents in good condition within TEN (10) days after the bid opening. The Houston Housing Authority reserves the right to waive any informalities and reject any and all bids. Invitation for Bids 00030-3 SECTION 00031 PROFILE OF THE HOUSTON HOUSING AUTHORITY The Houston Housing Authority is currently governed by the state of Texas Housing Authorities Law codified in the Local Government code. It is a unit of government and its functions are essential governmental functions. It operates and manages its housing projects to provide decent, safe, sanitary and affordable housing to low income families and implements various programs designed and funded by the U.S. Department of Housing and Urban Development (HUD). The property of the Houston Housing Authority is used for essential public and governmental purposes. The Houston Housing Authority and its property are exempt from all taxes, including sales tax on all its purchases of supplies and services by virtue of Section 392-005 of the Local Government Code. The Houston Housing Authority enters into and executes contracts and other instruments that are necessary and convenient to the exercise of its powers. The Houston Housing Authority maintains contractual arrangements with HUD to manage and operate public housing units through its conventional public housing program and administers the Section 8 Housing Assistance Payments Program. The Houston Housing Authority’s programs are federally funded along with development grants and rental income. The Houston Housing Authority currently employs 220 regular full time staff, owns and manages over 5,200 low rent public housing, Section 8 and affordable multi-family units. Additionally, the Housing Authority administers rental assistance for 16,000 privately owned rental units through the Section 8 programs. The Housing Authority’s total operating and development budget for fiscal year 2011 is approximately $160 million. Profile of the Houston Housing Authority 00031-1 SECTION 00032 STATEMENT OF WORK The work consists of, but is not limited to the following: Provide all materials, labor and equipment necessary for the replacement of base and wall mounted cabinets, countertops, linen closets, appliances, kitchen sinks and faucets, installation of VCT flooring, and asbestos abatement at Lyerly Elderly Housing Development, as stated in the specifications in the Invitation for Bids # 11-40. The work is described in the Project Manual, Specifications, and Drawings for this Project. The General Contractor is required to complete the work in a timely manner and to comply with all local, state, and national building codes. All workmanship shall comply with the requirements of the Contract Documents and meet or exceed all construction standards. The Scope of Work (Work) includes but is not limited to the following: Base Bid: Removal and hauling away of existing base and wall mounted cabinets, countertops and linen closets. Removal of all appliances (refrigerators, ranges and vent hoods), kitchen sinks and faucets, and handing these over to the Property Management at the storage area on the first floor. Asbestos abatement and legal disposal of contaminants to designated areas. Providing and installing new base and wall mounted cabinets, countertops, kitchen sinks and faucets, linen closets, appliances, sheetrock behind the cabinets and linen closets, and associated work, all as stated in the Specifications and Drawings. The work is to be carried out in 195 units. Installation of 10,000 s. f. of vinyl tile flooring on the existing vinyl tile flooring in about 25 units. The Contractor will include the cost of moving the furniture. All the work is to be carried out with the units occupied. The Contractor shall provide 72 hours notice to the Housing Authority prior to start of work in a unit and restore the use of the kitchen in a day. In addition to accomplishing the above work, the contractor shall: 1. Obtain and pay for all necessary permits and approvals from the City of Houston and TSDHS. 2. Schedule inspection(s) of all work with the City of Houston, TSDHS and appropriate utility companies. 3. Satisfy all City of Houston demolition requirements and obtain all necessary permits and inspections. Statement of Work 00032-1 SECTION 00033 GENERAL REQUIREMENTS The bids submitted must remain open for a period of 90 days from the date of opening bids. The authorized representative able to bind the bidder must complete all blanks in the bid package. Each bidder must submit along with the Bid, a Bid Bond or a Bid Guarantee in the amount of 5% of the greatest amount of bid. The successful bidder shall also submit a satisfactory Performance Bond and Payment Bond for 100% of the contract price. A pre-bid conference will be held on October 12 2011 in the Community Center of Lyerly Elderly Housing Development located at 75 Lyerly, Houston, Texas 77022, at 10:00 a.m. All prospective bidders are urged to attend the pre-bid conference. All questions pertaining to the handicap accessibility work will be discussed at this time. All bidders shall be responsible for information and/or clarifications issued at the pre-bid conference, whether or not the bidder attends the conference. Bidders must carefully study the “Instructions to Bidders for Contracts” contained in Form HUD- 5369 attached hereto. Bidders are required to comply with the said instructions. Those relating to Indian Housing Programs are to be ignored. Form HUD-5369-A attached hereto contains Representations, Certifications and other Statements of Bidders. Bidders are required to sign the Form HUD-5369-A, to certify that the information contained in the Certifications and Representations is current, accurate and complete. Bidders must submit bids in quadruplicate with one (1) copy signed. Bidders are required to execute all the forms in the IFB package. Failure to do so may render the bid non-responsive and may result in rejection of the bid. General Requirements 00033-1 SECTION 00100 INSTRUCTIONS TO BIDDERS Form HUD-5369 “Instructions to Bidders for Contracts” – Public and Indian Housing Programs, dated October 2002, pages one through four, is hereby included in the Contract Documents as enumerated on the following pages. Instructions to Bidders 00100-1 U.S. Department of Housing and Urban Development Office of Public and Indian Housing Instructions to Bidders for Contracts Public and Indian Housing Programs Previous edition is obsolete form HUD-5369 (10/2002) Instructions to Bidders for Contracts Public and Indian Housing Programs Table of Contents Clause Page 2. Explanations and Interpretations to Prospective 1. Bid Preparation and Submission 1 Bidders 2. Explanations and Interpretations to Prospective Bidders 1 (a) Any prospective bidder desiring an explanation or interpretation of the solicitation, specifications, drawings, etc., must request it at 3. Amendments to Invitations for Bids 1 least 7 days before the scheduled time for bid opening. Requests 4. Responsibility of Prospective Contractor 1 may be oral or written. Oral requests must be confirmed in writing. 5. Late Submissions, Modifications, and Withdrawal of Bids 1 The only oral clarifications that will be provided will be those clearly related to solicitation procedures, i.e., not substantive technical 6. Bid Opening 2 information. No other oral explanation or interpretation will be 7. Service of Protest 2 provided. Any information given a prospective bidder concerning 8. Contract Award 2 this solicitation will be furnished promptly to all other prospective 9. Bid Guarantee 3 bidders as a written amendment to the solicitation, if that information is necessary in submitting bids, or if the lack of it would be prejudicial 10. Assurance of Completion 3 to other prospective bidders. 11. Preconstruction Conference 3 (b) Any information obtained by, or provided to, a bidder other than 12. Indian Preference Requirements 3 by formal amendment to the solicitation shall not constitute a change to the solicitation. 1. Bid Preparation and Submission (a) Bidders are expected to examine the specifications, drawings, 3. Amendments to Invitations for Bids all instructions, and, if applicable, the construction site (see also the (a) If this solicitation is amended, then all terms and conditions contract clause entitled Site Investigation and Conditions Affect- which are not modified remain unchanged. ing the Work of the General Conditions of the Contract for Construc- tion). Failure to do so will be at the bidders’ risk. (b) Bidders shall acknowledge receipt of any amendment to this solicitation (1) by signing and returning the amendment, (2) by (b) All bids must be submitted on the forms provided by the Public identifying the amendment number and date on the bid form, or (3) Housing Agency/Indian Housing Authority (PHA/IHA). Bidders shall by letter, telegram, or facsimile, if those methods are authorized in furnish all the information required by the solicitation. Bids must be the solicitation. The PHA/IHA must receive acknowledgement by the signed and the bidder’s name typed or printed on the bid sheet and time and at the place specified for receipt of bids. Bids which fail to each continuation sheet which requires the entry of information by acknowledge the bidder’s receipt of any amendment will result in the the bidder. Erasures or other changes must be initialed by the person rejection of the bid if the amendment(s) contained information which signing the bid. Bids signed by an agent shall be accompanied by substantively changed the PHA’s/IHA’s requirements. evidence of that agent’s authority. (Bidders should retain a copy of their bid for their records.) (c) Amendments will be on file in the offices of the PHA/IHA and the Architect at least 7 days before bid opening. (c) Bidders must submit as part of their bid a completed form HUD- 5369-A, “Representations, Certifications, and Other Statements of 4. Responsibility of Prospective Contractor Bidders.” (a) The PHA/IHA will award contracts only to responsible prospec- tive contractors who have the ability to perform successfully under (d) All bid documents shall be sealed in an envelope which shall be the terms and conditions of the proposed contract. In determining clearly marked with the words “Bid Documents,” the Invitation for the responsibility of a bidder, the PHA/IHA will consider such matters Bids (IFB) number, any project or other identifying number, the as the bidder’s: bidder’s name, and the date and time for receipt of bids. (1) Integrity; (e) If this solicitation requires bidding on all items, failure to do so will disqualify the bid. If bidding on all items is not required, bidders (2) Compliance with public policy; should insert the words “No Bid” in the space provided for any item (3) Record of past performance; and on which no price is submitted. (4) Financial and technical resources (including construction (f) Unless expressly authorized elsewhere in this solicitation, alter- and technical equipment). nate bids will not be considered. (b) Before a bid is considered for award, the bidder may be re- (g) Unless expressly authorized elsewhere in this solicitation, bids quested by the PHA/IHA to submit a statement or other documenta- submitted by telegraph or facsimile (fax) machines will not be tion regarding any of the items in paragraph (a) above. Failure by the considered. bidder to provide such additional information shall render the bidder nonresponsible and ineligible for award. (h) If the proposed contract is for a Mutual Help project (as de- scribed in 24 CFR Part 905, Subpart E) that involves Mutual Help contributions of work, material, or equipment, supplemental informa- tion regarding the bid advertisement is provided as an attachment to this solicitation. Previous edition is obsolete Page 1 of 4 form HUD-5369 (10/2002) 5. Late Submissions, Modifications, and Withdrawal of Bids 6. Bid Opening (a) Any bid received at the place designated in the solicitation after All bids received by the date and time of receipt specified in the the exact time specified for receipt will not be considered unless it is solicitation will be publicly opened and read. The time and place of received before award is made and it: opening will be as specified in the solicitation. Bidders and other interested persons may be present. (1) Was sent by registered or certified mail not later than the fifth calendar day before the date specified for receipt of offers (e.g., 7. Service of Protest an offer submitted in response to a solicitation requiring receipt of (a) Definitions. As used in this provision: offers by the 20th of the month must have been mailed by the 15th); “Interested party” means an actual or prospective bidder whose (2) Was sent by mail, or if authorized by the solicitation, was direct economic interest would be affected by the award of the sent by telegram or via facsimile, and it is determined by the PHA/IHA contract. that the late receipt was due solely to mishandling by the PHA/IHA after receipt at the PHA/IHA; or “Protest” means a written objection by an interested party to this solicitation or to a proposed or actual award of a contract pursuant (3) Was sent by U.S. Postal Service Express Mail Next Day to this solicitation. Service - Post Office to Addressee, not later than 5:00 p.m. at the place of mailing two working days prior to the date specified for (b) Protests shall be served on the Contracting Officer by obtaining receipt of proposals. The term “working days” excludes weekends written and dated acknowledgement from — and observed holidays. (b) Any modification or withdrawal of a bid is subject to the same conditions as in paragraph (a) of this provision. (c) The only acceptable evidence to establish the date of mailing of a late bid, modification, or withdrawal sent either by registered or certified mail is the U.S. or Canadian Postal Service postmark both on the envelope or wrapper and on the original receipt from the U.S. or Canadian Postal Service. Both postmarks must show a legible date or the bid, modification, or withdrawal shall be processed as if mailed late. “Postmark” means a printed, stamped, or otherwise [Contracting Officer designate the official or location where a protest placed impression (exclusive of a postage meter machine impres- may be served on the Contracting Officer] sion) that is readily identifiable without further action as having been (c) All protests shall be resolved in accordance with the PHA’s/ supplied and affixed by employees of the U.S. or Canadian Postal IHA’s protest policy and procedures, copies of which are maintained Service on the date of mailing. Therefore, bidders should request the at the PHA/IHA. postal clerk to place a hand cancellation bull’s-eye postmark on both the receipt and the envelope or wrapper. 8. Contract Award (a) The PHA/IHA will evaluate bids in response to this solicitation (d) The only acceptable evidence to establish the time of receipt at the without discussions and will award a contract to the responsible PHA/IHA is the time/date stamp of PHA/IHA on the proposal wrapper or bidder whose bid, conforming to the solicitation, will be most advan- other documentary evidence of receipt maintained by the PHA/IHA. tageous to the PHA/IHA considering only price and any price-related (e) The only acceptable evidence to establish the date of mailing of factors specified in the solicitation. a late bid, modification, or withdrawal sent by Express Mail Next Day (b) If the apparent low bid received in response to this solicitation Service-Post Office to Addressee is the date entered by the post exceeds the PHA’s/IHA’s available funding for the proposed contract office receiving clerk on the “Express Mail Next Day Service-Post work, the PHA/IHA may either accept separately priced items (see Office to Addressee” label and the postmark on both the envelope or 8(e) below) or use the following procedure to determine contract wrapper and on the original receipt from the U.S. Postal Service. award. The PHA/IHA shall apply in turn to each bid (proceeding in “Postmark” has the same meaning as defined in paragraph (c) of this order from the apparent low bid to the high bid) each of the separately provision, excluding postmarks of the Canadian Postal Service. priced bid deductible items, if any, in their priority order set forth in Therefore, bidders should request the postal clerk to place a legible this solicitation. If upon the application of the first deductible item to hand cancellation bull’s eye postmark on both the receipt and Failure all initial bids, a new low bid is within the PHA’s/IHA’s available by a bidder to acknowledge receipt of the envelope or wrapper. funding, then award shall be made to that bidder. If no bid is within (f) Notwithstanding paragraph (a) of this provision, a late modifica- the available funding amount, then the PHA/IHA shall apply the tion of an otherwise successful bid that makes its terms more second deductible item. The PHA/IHA shall continue this process favorable to the PHA/IHA will be considered at any time it is received until an evaluated low bid, if any, is within the PHA’s/IHA’s available and may be accepted. funding. If upon the application of all deductibles, no bid is within the PHA’s/IHA’s available funding, or if the solicitation does not request (g) Bids may be withdrawn by written notice, or if authorized by this separately priced deductibles, the PHA/IHA shall follow its written solicitation, by telegram (including mailgram) or facsimile machine policy and procedures in making any award under this solicitation. transmission received at any time before the exact time set for opening of bids; provided that written confirmation of telegraphic or (c) In the case of tie low bids, award shall be made in accordance facsimile withdrawals over the signature of the bidder is mailed and with the PHA’s/IHA’s written policy and procedures. postmarked prior to the specified bid opening time. A bid may be (d) The PHA/IHA may reject any and all bids, accept other than the withdrawn in person by a bidder or its authorized representative if, lowest bid (e.g., the apparent low bid is unreasonably low), and waive before the exact time set for opening of bids, the identity of the person informalities or minor irregularities in bids received, in accordance requesting withdrawal is established and the person signs a receipt with the PHA’s/IHA’s written policy and procedures. for the bid. Previous edition is obsolete Page 2 of 4 form HUD-5369 (10/2002) (e) Unless precluded elsewhere in the solicitation, the PHA/IHA (c) Each bond shall clearly state the rate of premium and the total may accept any item or combination of items bid. amount of premium charged. The current power of attorney for the person who signs for the surety company must be attached to the (f) The PHA/IHA may reject any bid as nonresponsive if it is bond. The effective date of the power of attorney shall not precede materially unbalanced as to the prices for the various items of work the date of the bond. The effective date of the bond shall be on or after to be performed. A bid is materially unbalanced when it is based on the execution date of the contract. prices significantly less than cost for some work and prices which are significantly overstated for other work. (d) Failure by the successful bidder to obtain the required assur- ance of completion within the time specified, or within such extended (g) A written award shall be furnished to the successful bidder within period as the PHA/IHA may grant based upon reasons determined the period for acceptance specified in the bid and shall result in a adequate by the PHA/IHA, shall render the bidder ineligible for binding contract without further action by either party. award. The PHA/IHA may then either award the contract to the next 9. Bid Guarantee (applicable to construction and equip- lowest responsible bidder or solicit new bids. The PHA/IHA may ment contracts exceeding $25,000) retain the ineligible bidder’s bid guarantee. All bids must be accompanied by a negotiable bid guarantee which 11. Preconstruction Conference (applicable to construction shall not be less than five percent (5%) of the amount of the bid. The contracts) bid guarantee may be a certified check, bank draft, U.S. Government After award of a contract under this solicitation and prior to the start Bonds at par value, or a bid bond secured by a surety company of work, the successful bidder will be required to attend a acceptable to the U.S. Government and authorized to do business in preconstruction conference with representatives of the PHA/IHA and the state where the work is to be performed. In the case where the its architect/engineer, and other interested parties convened by the work under the contract will be performed on an Indian reservation PHA/IHA. The conference will serve to acquaint the participants with area, the bid guarantee may also be an irrevocable Letter of Credit the general plan of the construction operation and all other require- (see provision 10, Assurance of Completion, below). Certified ments of the contract (e.g., Equal Employment Opportunity, Labor checks and bank drafts must be made payable to the order of the Standards). The PHA/IHA will provide the successful bidder with the PHA/IHA. The bid guarantee shall insure the execution of the date, time, and place of the conference. contract and the furnishing of a method of assurance of completion by the successful bidder as required by the solicitation. Failure to 12. Indian Preference Requirements (applicable only if submit a bid guarantee with the bid shall result in the rejection of the this solicitation is for a contract to be performed on a bid. Bid guarantees submitted by unsuccessful bidders will be project for an Indian Housing Authority) returned as soon as practicable after bid opening. (a) HUD has determined that the contract awarded under this 10. Assurance of Completion solicitation is subject to the requirements of section 7(b) of the Indian (a) Unless otherwise provided in State law, the successful bidder Self-Determination and Education Assistance Act (25 U.S.C. 450e(b)). shall furnish an assurance of completion prior to the execution of any Section 7(b) requires that any contract or subcontract entered into for contract under this solicitation. This assurance may be [Contracting the benefit of Indians shall require that, to the greatest extent feasible Officer check applicable items] — (1) Preferences and opportunities for training and employment [ ] (1) a performance and payment bond in a penal sum of 100 (other than core crew positions; see paragraph (h) below) in connec- percent of the contract price; or, as may be required or permitted by tion with the administration of such contracts or subcontracts be State law; given to qualified “Indians.” The Act defines “Indians” to mean persons who are members of an Indian tribe and defines “Indian [ ] (2) separate performance and payment bonds, each for 50 tribe” to mean any Indian tribe, band, nation, or other organized percent or more of the contract price; group or community, including any Alaska Native village or regional or village corporation as defined in or established pursuant to the [ ] (3) a 20 percent cash escrow; Alaska Native Claims Settlement Act, which is recognized as eligible [ ] (4) a 25 percent irrevocable letter of credit; or, for the special programs and services provided by the United States to Indians because of their status as Indians; and, [ ] (5) an irrevocable letter of credit for 10 percent of the total contract price with a monitoring and disbursements agreement with (2) Preference in the award of contracts or subcontracts in the IHA (applicable only to contracts awarded by an IHA under the connection with the administration of contracts be given to Indian Indian Housing Program). organizations and to Indian-owned economic enterprises, as de- fined in section 3 of the Indian Financing Act of 1974 (25 U.S.C. (b) Bonds must be obtained from guarantee or surety companies 1452). That Act defines “economic enterprise” to mean any Indian- acceptable to the U.S. Government and authorized to do business in owned commercial, industrial, or business activity established or the state where the work is to be performed. Individual sureties will organized for the purpose of profit, except that the Indian ownership not be considered. U.S. Treasury Circular Number 570, published must constitute not less than 51 percent of the enterprise; “Indian annually in the Federal Register, lists companies approved to act as organization” to mean the governing body of any Indian tribe or entity sureties on bonds securing Government contracts, the maximum established or recognized by such governing body; “Indian” to mean underwriting limits on each contract bonded, and the States in which any person who is a member of any tribe, band, group, pueblo, or the company is licensed to do business. Use of companies listed in community which is recognized by the Federal Government as this circular is mandatory. Copies of the circular may be downloaded eligible for services from the Bureau of Indian Affairs and any on the U.S. Department of Treasury website http:// “Native” as defined in the Alaska Native Claims Settlement Act; and www.fms.treas.gov/c570/index.html, or ordered for a minimum fee Indian “tribe” to mean any Indian tribe, band, group, pueblo, or by contacting the Government Printing Office at (202) 512-2168. community including Native villages and Native groups (including Previous edition is obsolete Page 3 of 4 form HUD-5369 (10/2002) corporations organized by Kenai, Juneau, Sitka, and Kodiak) as (f) (1) All bidders must submit with their bids a statement describ- defined in the Alaska Native Claims Settlement Act, which is recog- ing how they will provide Indian preference in the award of subcon- nized by the Federal Government as eligible for services from the tracts. The specific requirements of that statement and the factors Bureau of Indian Affairs. to used by the IHA in determining the statement’s adequacy are included as an attachment to this solicitation. Any bid that fails to (b) (1) The successful Contractor under this solicitation shall com- include the required statement shall be rejected as nonresponsive. ply with the requirements of this provision in awarding all subcon- The IHA may require that comparable statements be provided by tracts under the contract and in providing training and employment subcontractors to the successful Contractor, and may require the opportunities. Contractor to reject any bid or proposal by a subcontractor that fails (2) A finding by the IHA that the contractor, either (i) awarded to include the statement. a subcontract without using the procedure required by the IHA, (ii) (2) Bidders and prospective subcontractors shall submit a falsely represented that subcontracts would be awarded to Indian certification (supported by credible evidence) to the IHA in any enterprises or organizations; or, (iii) failed to comply with the instance where the bidder or subcontractor believes it is infeasible to contractor’s employment and training preference bid statement shall provide Indian preference in subcontracting. The acceptance or be grounds for termination of the contract or for the assessment of rejection by the IHA of the certification shall be final. Rejection shall penalties or other remedies. disqualify the bid from further consideration. (c) If specified elsewhere in this solicitation, the IHA may restrict the (g) All bidders must submit with their bids a statement detailing their solicitation to qualified Indian-owned enterprises and Indian organi- employment and training opportunities and their plans to provide zations. If two or more (or a greater number as specified elsewhere preference to Indians in implementing the contract; and the number in the solicitation) qualified Indian-owned enterprises or organiza- or percentage of Indians anticipated to be employed and trained. tions submit responsive bids, award shall be made to the qualified Comparable statements from all proposed subcontractors must be enterprise or organization with the lowest responsive bid. If fewer submitted. The criteria to be used by the IHA in determining the than the minimum required number of qualified Indian-owned enter- statement(s)’s adequacy are included as an attachment to this prises or organizations submit responsive bids, the IHA shall reject solicitation. Any bid that fails to include the required statement(s), or all bids and readvertise the solicitation in accordance with paragraph that includes a statement that does not meet minimum standards (d) below. required by the IHA shall be rejected as nonresponsive. (d) If the IHA prefers not to restrict the solicitation as described in (h) Core crew employees. A core crew employee is an individual paragraph (c) above, or if after having restricted a solicitation an who is a bona fide employee of the contractor at the time the bid is insufficient number of qualified Indian enterprises or organizations submitted; or an individual who was not employed by the bidder at the submit bids, the IHA may advertise for bids from non-Indian as well time the bid was submitted, but who is regularly employed by the as Indian-owned enterprises and Indian organizations. Award shall bidder in a supervisory or other key skilled position when work is be made to the qualified Indian enterprise or organization with the available. Bidders shall submit with their bids a list of all core crew lowest responsive bid if that bid is - employees. (1) Within the maximum HUD-approved budget amount estab- (i) Preference in contracting, subcontracting, employment, and lished for the specific project or activity for which bids are being training shall apply not only on-site, on the reservation, or within the solicited; and IHA’s jurisdiction, but also to contracts with firms that operate outside (2) No more than the percentage specified in 24 CFR 905.175(c) these areas (e.g., employment in modular or manufactured housing higher than the total bid price of the lowest responsive bid from any construction facilities). qualified bidder. If no responsive bid by a qualified Indian-owned (j) Bidders should contact the IHA to determine if any additional economic enterprise or organization is within the stated range of the local preference requirements are applicable to this solicitation. total bid price of the lowest responsive bid from any qualified enterprise, award shall be made to the bidder with the lowest bid. (k) The IHA [ ] does [ ] does not [Contracting Officer check applicable box] maintain lists of Indian-owned economic enterprises (e) Bidders seeking to qualify for preference in contracting or and Indian organizations by specialty (e.g., plumbing, electrical, subcontracting shall submit proof of Indian ownership with their bids. foundations), which are available to bidders to assist them in meeting Proof of Indian ownership shall include but not be limited to: their responsibility to provide preference in connection with the (1) Certification by a tribe or other evidence that the bidder is administration of contracts and subcontracts. an Indian. The IHA shall accept the certification of a tribe that an individual is a member. (2) Evidence such as stock ownership, structure, manage- ment, control, financing and salary or profit sharing arrangements of the enterprise. Previous edition is obsolete Page 4 of 4 form HUD-5369 (10/2002) SECTION 00120 SUPPLEMENTARY INSTRUCTIONS TO BIDDERS PART I – GENERAL REVISIONS TO INSTRUCTIONS TO BIDDERS The “Instructions to Bidders for Contracts”, Form HUD-5369, October 2002 Edition, bound herein, is revised as follows: Paragraph 1-Bid Preparation and Submission (a) Extend subparagraph b. by adding the following: “Bidders shall submit bids in quadruplicate, with only one (1) copy signed. The other three (3) copies shall be conformed. The following executed forms shall also be included in the bid proposal: 1. Completed Bid Proposal; 2. Non-Collusive Affidavit of Prime Bidder; 3. Previous Participation Certificate (Form HUD-2530); 4. Bid Guarantee or Five Percent (5%) Bid Bond; 5. Complete M/WBE form, signed and notarized; 6. Bidder’s Information, Fact Sheet and Questionnaire; 7. Representations, Certifications and Other Statements of Bidders (Form HUD- 5369-A). 8. Conflict of Interest Questionnaire (Form CIQ) 9. Section 3 Business Certification 10. Section 3 Resident Employment Plan (b) Extend subparagraph (d) by adding the following: (c) “If the Bid is sent by mail, the sealed envelopes with the above information shall be enclosed in a separate sealed mailing envelope with the notation “SEALED BID ENCLOSED” clearly indicated on the face of the outer envelope.” Paragraph 2 – Explanations and Interpretations to Prospective Bidders: (a) Extend subparagraph (b) by adding the following: “Submit written questions concerning interpretations and bidding in writing to: Houston Housing Authority 2640 Fountainview, Suite 408 Houston, Texas 77057 Attn: Ms. Sarah Monigold Purchasing Officer email@example.com Supplementary Instructions to Bidders 00120-1 Paragraph 9 – Bid Guarantee (a) Extend the paragraph by adding the following: “The Attorney-in-Fact who executes the bond on behalf of the Surety shall affix to the bond a certified and current copy of the Power of Attorney. Individual sureties will not be considered. U.S. Treasury Circular Number 570, published annually in the Federal Register, lists companies approved to act as sureties on bonds securing Government contracts, the maximum underwriting limits one each contract bonded, and the States in which the company is licensed to do business. Use of companies listed in this circular is mandatory. Free copies of the circular may be obtained by writing directly to: U.S. Department of Treasury, Financial Management Services, Surety Bond Branch, 401 14th Street, S.W., 2nd Floor, West Wing, Washington, D.C. 20226.” Paragraph 13 through 14: Add to following paragraphs: “13. Pre-Bid Conference: On October 12 2011, a pre-bid conference will be held in the Community Center, Lyerly Elderly Housing Development, at 75 Lyerly, Houston, Texas 77022 at 10:00 a.m. At that time, all requests for interpretation, clarification and/or correction shall be received. All bidders will be responsible for any information issued at the conference, whether or not attended by the Bidder. All Bidders are urged to attend this pre-bid conference.” “14. All Bidders are advised that failure to complete and submit in their entirety the following requirements with subject bids, may render each bid non-responsive, and thus, disqualified. a. Completed Bid Proposal; b. Non-Collusive Affidavit of Prime Bidder; c. Previous Participation Certificate (Form HUD-2530); d. Bid Guarantee or Five Percent (5%) Bid Bond; e. Complete M/WBE form, signed and notarized; f. Bidder’s Information, Fact Sheet and Questionnaire; g. Representations, Certifications and Other Statements of Bidders (Form HUD- 5369-A). h. Conflict of Interest Questionnaire (Form CIQ).” i. Section 3 Business Certification j. Section 3 Resident Employment Plan Supplementary Instructions to Bidders 00120-2 SECTION 00300 FORM OF BID Bid Opening: October 26, 2011 at 2:01p.m. Invitation for Bids No: 11-40 To: Purchasing Officer I/We offer to provide all materials, labor, equipment and services required for the replacement of base and wall mounted cabinets, countertops, linen closets, appliances, kitchen sinks and faucets in 195 units, and installation of VCT flooring in 50 units at Lyerly Elderly Housing Development, as stated in the specifications in the Invitation for Bids # 11-40. The charges for labor and materials are shown separately in the price quoted, with all overhead contained in the labor category. Bidder proposes the following amount to carry out the said work at Lyerly Elderly Housing Development: Base Bid: Removal and hauling away of existing base and wall mounted cabinets, countertops, and linen closets. Removal of all appliances (refrigerators, ranges and vent hoods), kitchen sinks and faucets, and handing these over to the Property Management storage area in the first floor. Asbestos abatement and legal disposal of contaminants to designated areas. Providing and installing, new base and wall mounted cabinets, countertops, kitchen sinks and faucets, linen closets, appliances, sheetrock behind the cabinets and linen closets, and associated work, all as stated in the Specifications and Drawings. The work is to be carried out in 195 units. Installation of 10,000 s. f. of vinyl tile flooring on the existing vinyl tile flooring in about 25 units, including the cost of moving the furniture. Labor/Overhead and Profit: $ Materials: $ Total Base Bid Amount: $ Unit rates I/We propose the following unit rates for addition and/or deletion of items of work. I/We confirm that the unit rates are inclusive of all costs for the removal and hauling away the existing, providing and installing new items, associated work, bond and insurance costs, Contractors and sub-contractors Overheads and Profits. Form of Bid 00300-1 No. Description Unit Amount ($) 1 Base cabinet, including countertop L.F. 2 Wall cabinet L.F. 3 Linen closet L.F. 4 Kitchen sink and faucets, including associated plumbing Each 5 Refrigerator Each 6 Range Each 7 Vent hood Each 8 Installing vinyl tile flooring S.F. 9 Vinyl wall base L.F. 10 Moving of furniture in the unit for the installation of flooring L. S. and base per unit Bidders Representations: Bidder will commence physical work at the site with adequate forces and equipment within ten (10) calendar days after receipt of a written Notice to Proceed. Bidder will complete all the work in the Base Bid in its entirety within 150 (one hundred fifty) consecutive calendar days after the date indicated in the Notice to Proceed. I/We accept the contractor’s responsibility stated in clause 2 of the Form HUD-5370 and agree to discharge said responsibility fully while performing work included in this bid. I/We acknowledge that we have completed the site investigation and understand the conditions affecting the work, ascertained the nature and location of work. I/We have made all the investigations required under clause 7 of the Form HUD-5370. I/We have noted that all the work is to be carried out in occupied units. I/We have examined the drawings and Specifications and Statement of Work for construction. I/We have read the General Conditions of the Contract for Construction and accept the conditions therein. I/We have read and understand the Instructions to Bidders for Contracts and all its implications. I/We have read and understand the Representations, Certifications and Other Statements of Bidders required from me/us and I/we have certified by signing Form HUD-5369-A that the information contained in these Representations and Certifications is accurate, complete and current. I/We agree to keep the bid open for a period of 90 days from the date of the opening of the bid. I/We are herewith submitting the Bid Bond or Bid Guarantee in the amount of 5% of the greatest amount of bid. If the Contract is awarded to me/us, we will furnish the Performance Bond and the Payment Bond in the required amount, prior to the execution of the contract. Form of Bid 00300-2 I/We hereby acknowledge the receipt of the following addenda to the drawings and project manual, all of the provisions and requirements of which have been taken into consideration in preparation of the foregoing bid: a. Addenda #_______________ dated __________________ I/We reaffirm that the construction work will commence within 10 days after receipt of the Notice to Proceed and that I/We will complete the entire work within the time stated herein. Name of Bidder Signature of the Authorized Person The Signature in Print Business Address ___________________________________________________________ Title Phone Number ____________________________________________________________ Fax Number Form of Bid 00300-3 SECTION 00410 FORM OF BID BOND KNOW ALL MEN BY THESE PRESENT, that we the undersigned, ___________________________________________________ (Name of Principal) as PRINCIPAL, and ___________________________________________________ (Name of Surety) as SURETY, are held and firmly bound unto the HOUSTON HOUSING AUTHORITY hereinafter called Owner, in the penal sum of _________________________________ DOLLARS ($ ) lawful money of the United States, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH, that whereas the principal has submitted the accompanying bid, dated __________________, 2011, for the: Replacement of cabinets and installation of VCT flooring at Lyerly Elderly Housing Development Houston, TX as described in these documents, and shown on the drawings. NOW THEREFORE, if the Principal shall not withdraw said bid within the period specified therein after opening of the same, or if no period be specified, within ninety (90) days after the said opening, and shall within the period specified therefore, or if no period be specified, within ten (10) days after the prescribed forms are presented to him/her for signing, enter into a written contract with the Owner in accordance with the bid as accepted, and give bond with good and sufficient surety or sureties, as may be required, for the faithful performance and proper fulfillment of such contact; or in the event of the withdrawal of said Bid within the period specified, or the failure to enter into such contract and give such bond within the period specified, if the Principal shall pay the Owner the difference between the amount specified in said Bid and the amount for which the Owner may procure the required work or supplies or both, if the latter amount be in excess of the former, then the above obligation shall be void and of no effect, otherwise to remain in full force, virtue and effect. It is further agreed by said surety that the surety will upon demand forthwith make payment to the Obligee upon said bond if the Bidder fails to execute the contract in accordance with the Bid Bond and upon failure to forthwith make payment, the surety shall pay to the Obligee an amount equal to double the amount of said Bid Bond. Form of Bid Bond 00410-1 IN WITNESS WHEREOF, the above bounded parties have executed this instrument under their several seals this _____ day of __________________, 2011, the name and corporate seal of each corporate party being hereto affixed and these presents duly signed by its undersigned representatives, pursuant to authority of its governing body. IN PRESENCE OF: ________________________________________________________(SEAL) (Individual Principal) _____________________________________________________________ (Business Address) _____________________________________________________________ (Individual Principal) _____________________________________________________________ (Business Address) ATTEST: ________________________________________________________(SEAL) (Corporate Principal) _____________________________________________________________ (Business Address) _____________________________________________________________ (Corporate Surety) _____________________________________________________________ (Business Address) (Power of Attorney for person signing for Surety Company must be attached to bond.) Form of Bid Bond 00410-2 CERTIFICATE AS TO CORPORATE PRINCIPAL I, ______________________________________________, certify that I am the ______________________________, of the Corporation named as Principal in the within bond; that _____________________________________ who signed the bond on behalf of the Principal was then ___________________________________ of said corporation; that I know his/her signature and his/her signature thereto is genuine; and that said bond was duly signed, sealed and attested to, for and in behalf of said corporation by authority of its governing body. __________________________________ AFFIX CORPORATE SEAL Form of Bid Bond 00410-3 SECTION 00480 FORM OF NON-COLLUSIVE AFFIDAVIT STATE OF TEXAS COUNTY OF HARRIS ____________________, being first duly sworn, deposes and says that he is _______________________________ (a partner or officer of the firm of, etc.) the party making the foregoing proposal or bid, that such proposal or bid is genuine and not collusive or sham; that said bidder has not colluded, conspired, connived or agreed, directly or indirectly, in any manner, directly or indirectly, sought by agreement or collusion, or communication or conference with any person to fix the bid price of affiant or of any other bidder, or to fix any overhead, profit, or cost element of said bid price, or of that of any other bidder, or to secure any advantage against the HOUSTON HOUSING AUTHORITY or any person interested in the proposed Contract; and that all statements in said proposal or bid are true. ___________________________________ Signature of Bidder, if Bidder is an Individual ___________________________________ Signature of Bidder, if Bidder is a Partnership ___________________________________ Signature of Officer, if Bidder is a Corporation Subscribed and sworn to before me this _____ day of ________________, 2011. _______________________ Notary Public My Commission expires _________________ Form of Non-Collusive Affidavit 00480-1 SECTION 00481 PREVIOUS PARTICIPATION CERTIFICATION HUD Form, “Previous Participation Certification”, pages one and two inclusive; and “Instructions for Completing the Previous Participation Certification, Form HUD-2530”, pages one and two inclusive are included herein on the following pages. These forms shall be submitted as part of the bid package. Previous Participation Certification 00481-1 Previous Participation U.S. Department of Housing U.S. Department of Agriculture OMB Approval No. 2502-0118 and Urban Development Farmers Home Administration (exp11/30/2012) Certification Office of Housing/Federal Housing Commissioner Part I To be completed by Principals of Multifamily Projects. See Instructions For HUD HQ/FmHA use only Reason for Submitting Certification 1. Agency Name and City where the application is filed 2. Project Name, Project Number, City and Zip Code contained in the application 3. Loan or Contract Amount 4. Number of Units or Beds 5. Section of Act 6. Type of Project (check one) Existing Rehabilitation Proposed (New) List of ll roposed Principal Participants and attach organization chart for all organizations. 7. Names and Addresses of All Known Principals and Affiliates (people, businesses & organizations) 8. Role of Each 9. Expected % Owner 10. Social Security or IRS proposing to participate in the project described above. (list names alphabetically; last, first, middle initial) Principal in Project ship Interest in Project Employer Number Certifications: I (meaning the individual who signs insured project of HUD, USDA FmHA and State complaint or indictment charging a felony. (A 5. I am not a principal participant in an assisted or as well as the corporations, partnerships or other and local government housing finance agencies in felony is defined as any offense punishable by insured project as of this date on which parties listed above who certify) hereby apply to which I have been or am now a principal. imprisonment for a term exceeding one year, but construction has stopped for a period in excess HUD or USDA FmHA, as the case maybe, for 2. For the period beginning 10 years prior to the date does not include any offense classified as a of 20 days or which has been substantially approval to participate as a principal in the role and of this certification, and except as shown by me on misdemeanor under the laws of a State and completed for more than 90 days and documents project listed above based upon my following the certification. punishable by imprisonment of two years or less); for closing, including final cost certification have previous participation record and this Certification. a. No mortgage on a project listed by me has ever f. have not been suspended, debarred or otherwise not been filed with HUD or FmHA Verify that neither you nor any of your principals or been in default, assigned to the Government or restricted by any Department or Agency of the 6. To my knowledge I have not been found by affiliates have ever been found to be in foreclosed, nor has mortgage relief by the Federal Government or of a State Government HUD or FmHA to be in noncompliance with any noncompliance with any applicable fair housing and mortgagee been given; from doing business with such Department or applicable fair housing and civil rights civil rights requirements in 24 CFR 5.105 (a). If you b. I ave not experienced defaults or Agency. requirements in 24 CFR 5.10 (a). or any of your principals or affiliates have been found noncompliances under any Conventional g. I have not defaulted on an obligation covered by a 7. I am not a Member of Congress or a Resident to be in noncompliance with any such requirements, Contract or Turnkey Contract of Sale in surety or performance bond and have not been the Commissioner nor otherwise prohibited or limited attach a signed statement explaining the relevant connection with a public housing project; subject of a claim under an employee fidelity by law from contracting with the Government of facts, circumstances, and resolution, if any. c. To the best of my knowledge, there are no bond. the United States of America. I certify that all the statements made by me are true, unresolved findings raised as a result of HUD 3. All the names of the parties, known to me to be 8. Statements above (if any) to which I cannot complete and correct to the best of my knowledge audits, management reviews or other principals in this project(s) in which I propose to certify have been deleted by striking through the and belief and are made in good faith, including the Governmental investigations concerning me or participate, are listed above. words with a pen. I have initialed each deletion (if data contained in Schedule A and Exhibits signed by my projects; 4. I am not a HUD/FmHA employee or a member of a any) and have attached a true and accurate signed me and attached to this form. HUD will d. There has not been a suspension or termination HUD/FmHA employee's immediate household as statement (if applicable) to explain the facts and prosecute false claims and statements. Conviction of payments under any HUD assistance contract defined in Standards of Ethical Conduct or circumstances which I think helps to qualify me may result in criminal and/or civil penalties. (18 in which I have had a legal or beneficial Employees of the Executive Branch in 5C.F.R. Part as a responsible principal for participation in this U.S.C. 1001, 1010, 1012; 31U.S.C. 3729, 3802) interest; 2635 (57 FR 35006) and HUD's Standard of project. I further certify that: e. I have not been convicted of a felony and am not Conduct in 24 C.F.R. Part and USDA's Standard 1. Schedule A contains a listing of every assisted or presently, to my knowledge, the subject of a of Conduct in 7 C.F.R. Part Subpart B. Typed or Printed Name of Principal Signature of Principal Certification Date (mm/dd/yyyy) Area Code and Telephone No. This form was prepared by (Please print name) Area Code and Telephone No. Previous editions are obsolete Page 1 of 2 ref Handbook 4065.1 form HUD-2530 (7/2009) Schedule A: List of Previous Projects and Section 8 Contracts. By my name below is the complete list of my previous projects and my participation history as a principal; in Multifamily Housing programs of HUD/FmHA, State, and Local Housing Finance Agencies. Note: Read and follow the instruction sheet carefully. Abbreviate where possible. Make full disclosure. Add extra sheets if you need more space. Double check for accuracy. If you have no previous projects write, by your name, "No previous participation, First Experience." 1. List each Principal's Name 2. List Previous Projects 3. List Principals' Role(s) 4. Status of Loan 5. Was Project ever in Default, 6. Last Mgmt. (give the I.D. number, project name, city location, (current, defaulted, during your participation? and/or (list in alphabetical order, & government agency involved (indicate dates participated, and assigned, or . Physical Inspctn last name first) if other than HUD) if fee or identity of interest participant) foreclosed) Yes No If "Yes," explain Rating and Date Part II – For HUD Internal Processing Only Received and checked by me for accuracy and completeness; recommend approval or transferral to Headquarters as checked below: Date (mm/dd/yyyy) Telephone Number and Area Code A. No adverse information; form HUD-2530 C. Disclosure or Certification problem approval is recommended. Staff Processing and Control B. Name match in system D. Other, our memorandum is attached. Supervisor Director of Housing / Director, Multifamily Division Approved Date (mm/dd/yyyy) Yes No Previous editions are obsolete Page 2 of 2 ref Handbook 4065.1 form HUD-2530 (7/2009) Instructions for Completing the Previous Who Must Sign and File Form HUD-2530: Exemptions – The names of the following Participation Certificate, form HUD-2530 If you do request reconsideration by the Form HUD-2530 must be completed and signed parties do not need to be listed on form HUD- Review Committee and the reconsideration Carefully read these instructions and the ap- by all parties applying to become principal 2530: Public Housing Agencies, tenants, own- results in an adverse determination, you may plicable regulations. A copy of those regula- participants in HUD multifamily housing ers of less than five condominium or coopera- then request a hearing before a Hearing Of- tions published at 24 C.F.R. 200.210 to 200.245 projects, including those who have no previ- tive units and all others whose interests were ficer. The Hearing Officer will issue a report to can be obtained from the Multifamily Housing ous participation. The form must be signed acquired by inheritance or court order. the Review Committee. You will be notified of Representative at any HUD Office. Type or and filed by all principals and their affiliates Where and When Form HUD-2530 Must Be the final ruling by certified mail. print neatly in ink when filling out this form. who propose participating in the HUD project. Use a separate form for each role in the Filed: The original of this form must be Specific Line Instructions: Mark answers in all blocks of the form. If the submitted to the HUD Office where your project form is not filled completely, it will delay ap- project unless there is an identity of interest. Reason for submitting this Certificatioin: e.g., application will be processed at the same time proval of your application. Principals include all individuals, joint ven- you file your initial project application. This refinance, management, change in ownership, Attach extra sheets as you need them. Be tures, partnerships, corporations, trusts, non- form must be filed with applications for projects, transfer of physical assets, etc. sure to indicate "Continued on Attachments" profit organizations, any other public or pri- or when otherwise required in the situations Block 1: Fill in the name of the agency to wherever appropriate. Sign each additional vate entity, that will participate in the proposed listed below: which you are applying. For example: HUD page that you attach if it refers to you or your project as a sponsor, owner, prime contractor, Office, Farmers Home Administration District turnkey developer, managing agent, nursing • Projects to be financed with mortgages in- record. If you have many projects to list (20 or sured under the National Housing Act (FHA). office, or the name of a State or local housing more) and expect to be applying frequently for home administrator or operator, packager, or finance agency. Below that, fill in the name of participation in HUD projects, you should con- consultant. Architects and attorneys who have • Projects to be financed according to Section the city where the office is located. sider filing a Master List. See Master List any interest in the project other than an arms 202 of the Housing Act of 1959 (Elderly and Handicapped). Block 2: Fill in the name of the project, such instructions below under "Instructions for Com- length fee arrangement for professional ser- as "Greenwood Apts." If the name has not yet pleting Schedule A." vices are also considered principals by HUD. • Projects in which 20 percent or more of the been selected, write "Name unknown." Below Carefully read the certification before you In the case of partnerships, all general units are to receive a subsidy as described in that, enter the HUD contract or project identi- sign it. Any questions regarding the form or partners regardless of their percentage inter- 24 C.F.R. 200.213. fication number, the Farmers Home Adminis- how to complete it can be answered by your est and limited partners having a 25 percent or • Purchase of a project subject to a mortgage tration project number, or the State or local HUD Office Multifamily Housing Representative. more interest in the partnership are consid- insured or held by the Secretary of HUD. housing finance agency project or contract ered principals. In the case of public or private number. Include all project or contract identi- Purpose: This form provides HUD with a corporations or governmental entities, princi- • Purchase of a Secretary-owned project. certified report of all previous participation in fication numbers that are relevant to the pals include the president, vice president, • Proposed substitution or addition of a princi- project.Also enter the name of the city in which HUD multifamily housing projects by those secretary, treasurer and all other executive pal, or principal participation in a different parties making application. The information the project is located, and the ZIP Code of the officers who are directly responsible to the capacity from that previously approved for site location. requested in this form is used by HUD to board of directors, or any equivalent govern- the same project. determine if you meet the standards estab- Block 3: Fill in the dollar amount requested in ing body, as well as all directors and each • Proposed acquisition by an existing limited lished to ensure that all principal participants the proposed mortgage, or the annual amount stockholder having a 10 percent or more inter- partner of an additional interest in a project in HUD projects will honor their legal, financial of rental assistance requested. est in the corporation. resulting in a total interest of 25 percent or and contractual obligations and are accept- Block 4: Fill in the number of apartment units able risks from the underwriting standpoint of Affiliates are defined as any person or more, or proposed acquisition by a corpo- rate stockholder of an additional interest in a proposed, such as "40 units." For hospital an insurer, lender or governmental agency. business concern that directly or indirectly project resulting in a total interest of 10 projects or nursing homes, fill in the number of HUD requires that you certify your record of controls the policy of a principal or has the percent or more. beds proposed, such as "100 beds." previous participation in HUD/USDA-FmHA, power to do so. A holding or parent corpora- State and Local Housing Finance Agency tion would be an example of an affiliate if one • Projects with U.S.D.A., Farmers Home Ad- Block 5: Fill in the section of the Housing Act projects by completing and signing this form, of its subsidiaries is a principal. ministration, or with state or local govern- under which the application is filed. before your project application or participation Exception for Corporations – All principals ment housing finance agencies that include Block 7: Definitions of all those who are can be approved. and affiliates must personally sign the certifi- rental assistance under Section 8 of the considered principals and affiliates are given HUD approval of your certification is a cate except in the following situation. When a Housing Act of 1937. For projects of this above in the section titled "Who Must Sign and necessary precondition for your participation corporation is a principal, all of its officers, type, form HUD-2530 should be filed with the File...." in the project and in the capacity that you directors, trustees and stockholders with 10 appropriate applications directly to those Block 8: Beside the name of each principal, propose. If you do not file this certification, do percent or more of the common (voting) stock agencies. fill in the role that each will perform. The not furnish the information requested accu- need not sign personally if they all have the Review of Adverse Determination: If ap- following are possible roles that the principals rately, or do not meet established standards, same record to report. The officer who is proval of your participation in a HUD project is may perform: Sponsor, Owner, Prime Con- HUD will not approve your certification. authorized to sign for the corporation or agency denied, withheld, or conditionally granted on tractor, Turnkey Developer, Managing Agent, will list the names and title of those who elect the basis of your record of previous participa- Packager, Consultant, General Partner, Lim- Note that approval of your certification does not to sign. However, any person who has a not obligate HUD to approve your project ap- tion, you will be notified by the HUD Office. ited Partner (include percentage), Executive record of participation in HUD projects that is You may request reconsideration by the HUD Officer, Director, Trustee, Major Stockholder, plication, and it does not satisfy all other HUD separate from that of his or her organization program requirements relative to your qualifi- Review Committee. Alternatively, you may or Nursing Home Administrator. Beside the must report that activity on this form and sign request a hearing before a Hearing Officer. name of each affiliate, write the name of the cations. his or her name. The objective is full disclosure. Either request must be made in writing within person or firm of affiliation, such as "Affiliate of 30 days from your receipt of the notice of Smith Construction Co." determination. Previous editions are obsolete Page 1 of 2 ref Handbook 4065.1 form HUD-2530 (7/2009) Block 9: Fill in the percentage of ownership in Column 3 List the role(s) of your participa- and provide a telephone number where you HUD-2530"). Beside each signature, fill in the the proposed project that each principal is tion, dates participated, and if fee or identity of can be reached during the day. No determina- role of each party (the same as shown in block 8). expected to have. Also specify if the partici- interest with owners. tions will be made on these certificates. In addition, each person who signs the form pant is a general or limited partner. Beside the Column 4 Indicate the current status of the File one copy of the Master List with each should fill in the date that he or she signs, as name of those parties who will not be owners, loan. Except for current loans, the date asso- HUD Office where you do business and mail well as providing a telephone number where write "None." ciated with the status is required. Loans under one copy to the following address: he or she can be reached during business Block 10: Fill in the Social Security Number a workout arrangement are considered as- hours. By providing a telephone number where or IRS employer number of every party listed, signed. An explanation of the circumstances HUD-2530 Master List you can be reached, you will help to prevent including affiliates. surrounding the status is required for all non- Participation and Compliance any possible delay caused by mailing and current loans. Division – Housing processing time in the event HUD has any Instructions for Completing Schedule A: U.S. Department of Housing and questions. Be sure that Schedule A is filled-in completely, Column 5 Explain any project defaults during Urban Development accurately and the certification is properly your participation. 451 Seventh Street, S.W. If you cannot certify and sign the certifica- dated and signed, because it will serve as a Column 6 Enter the latest Management and/ Washington, D.C. 20410 tion as it is printed because some statements legal record of your previous experience. All or Physical Inspection Review rating. If either do not correctly describe your record, use a Multifamily Housing projects involving HUD/ of the ratings are below average, the report pen and strike through those parts that differ Once you have filed a Master List, you do not with your record, then sign and certify to that FmHA, and State and local Housing Finance issued by HUD is required to be submitted need to complete Schedule A when you sub- remaining part which does describe you or Agencies in which you have previously partici- along with the applicant's explanation of the mit form HUD-2530. Instead, write the name of your record. pated must be listed. Applicants are re- circumstances surrounding the rating. the participant in column 1 of Schedule A and minded that previous participation pertains to No Previous Record: Even if you have never Attach a signed letter, note or an explana- beside that write "See Master List on file." the individual principal within an entity as well participated in a HUD project before, you must tion of the items you have struck out on the Also give the date that appears on the Master as the entity itself. A newly formed company complete form HUD-2530. If you have no certification and report the facts of your cor- List that you submitted. Below that, report all may not have previous participation, but the record of previous projects to list, fill in your rect record. Item A(2)(e) relates to felony changes and additions that have occurred principals within the company may have had name in column 1 of Schedule A, and write convictions within the past 10 years. If you since that date. Be sure to include any mort- extensive participation and disclosure of that across the form by your name – "No previous have been convicted of a felony within 10 gage defaults, assignments or foreclosures activity is required. To avoid duplication of participation, first experience." years, strike out all of A(2)(e) on the certificate not listed previously. disclosure, list the project and then the enti- and attach your statement giving your expla- ties or individuals involved in that project. You Master List System: If you expect to file this If you have withdrawn from a project since nation. A felony conviction will not necessarily may use the name or a number code to denote form frequently and you have a long list of the date the Master List was filed, be sure to cause your participation to be disapproved the entity or individual that participated. The previous projects to report on Schedule A, you name the project. Give the project identifica- unless there is a criminal record or other number code can then be used in column 3 to should consider filing a Master List. By doing tion number, the month and year your partici- evidence that your previous conduct or method denote role. so, you will avoid having to list all your previous pation began and/or ended. of doing business has been such that your projects each time you file a new application. Certification: participation in the project would make it an Column 2 List the project or contract identifi- cation of each previous project. All previous To make a Master List, use form HUD- After you have completed all other parts of unacceptable risk from the underwriting stand- projects must be included or your certifica- 2530. On page 1, in block 1, enter (in capital form HUD-2530, including Schedule A, read point of an insurer, lender or governmental tion cannot be processed. Include the name letters) the words "Master List." In blocks 2 the Certification carefully. In the box below agency. of all projects, the cities in which they are through 6 enter in "N.A." meaning Not Appli- the statement of certification, fill in the name located and the government agency (HUD, cable. Complete blocks 7 through 10. of all principals and affiliates (type or print USDA-FmHA or State or local housing finance In the box below the statement of certifica- neatly). Beside the name of each principal and agency) that was involved. At the end of your tion, fill in the names of all parties who wish to affiliate, each party must sign the form, with list of projects, draw a straight line across the file a Master List together (type or print neatly). the exception in some cases of individuals page to separate your record of projects from Beside each name, every party must sign the associated with a corporation (see "Exception that of others signing this form who have a form. In the box titled "Proposed Role," fill in for Corporations" in the section of the instruc- different record to report. "N.A." Also, fill in the date you sign the form tions titled "Who Must Sign and File form The Department of Housing and Urban Development (HUD) is authorized to collect this information by law (42 U.S.C. 3535(d) and 24 C.F.R. 200.217) and by regulation at 24 CFR 200.210. This information is needed so that principals applying to participate in multifamily programs can become HUD-approved participants. The information you provide will enable HUD to evaluate your record with respect to established standards of performance, responsibility and eligibility. Without prior approval, a principal may not participate in a proposed or existing multifamily project. HUD uses this information to evaluate whether or not principals pose an unsatisfactory underwriting risk. The information is used to evaluate the potential principals and approve only individuals and organizations who will honor their legal, financial and contractual obligations. Privacy Act Statement: The Housing and Community Development Act of 1987, 42 U.S.C. 3543 requires persons applying for a Federally-insured or guaranteed loan to furnish his/her Social Security Number (SSN). HUD must have your SSN for identification of your records. HUD may use your SSN for automated processing of your records and to make requests for information about you and your previous records with other public agencies and private sector sources. HUD may disclose certain information to Federal, State and local agencies when relevant to civil, criminal, or regulatory investigations and prosecutions. It will not be otherwise disclosed or released outside of HUD, except as required and permitted by law. You must provide all of the information requested in this application, including your SSN. Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB control number. A response is mandatory. Failure to provide any of the information will result in your disapproval for participation in this HUD program. Previous editions are obsolete Page 2 of 2 ref Handbook 4065.1 form HUD-2530 (7/2009) SECTION 00482 REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF BIDDERS Form HUD-5369-A “Representations, Certifications and Other Statements of Bidders” – Public and Indian Housing Programs, dated November 1992 pages one through three, is hereby included in the Contract Documents as enumerated on the following pages. Representations, Certifications and Other 00482-1 Statements of Bidders U.S. Department of Housing and Urban Development Office of Public and Indian Housing Representations, Certifications, and Other Statements of Bidders Public and Indian Housing Programs Previous edition is obsolete form HUD-5369-A (11/92) Representations, Certifications, and Other Statements of Bidders Public and Indian Housing Programs Table of Contents Clause Page (iii) As an agent, has not personally participated, and will not 1. Certificate of Independent Price Determination 1 participate in any action contrary to subparagraphs (a)(1) through (a)(3) above. 2. Contingent Fee Representation and Agreement 1 (c) If the bidder deletes or modifies subparagraph (a)2 above, the 3. Certification and Disclosure Regarding Payments bidder must furnish with its bid a signed statement setting forth in detail to Influence Certain Federal Transactions 1 the circumstances of the disclosure. 4. Organizational Conflicts of Interest Certification 2 [ ] [Contracting Officer check if following paragraph is applicable] 5. Bidder's Certification of Eligibility 2 (d) Non-collusive affidavit. (applicable to contracts for construction 6. Minimum Bid Acceptance Period 2 and equipment exceeding $50,000) 7. Small, Minority, Women-Owned Business Concern (1) Each bidder shall execute, in the form provided by the PHA/ Representation 2 IHA, an affidavit to the effect that he/she has not colluded with any other 8. Indian-Owned Economic Enterprise and Indian person, firm or corporation in regard to any bid submitted in response Organization Representation 2 to this solicitation. If the successful bidder did not submit the affidavit 9. Certification of Eligibility Under the Davis-Bacon Act 3 with his/her bid, he/she must submit it within three (3) working days of 10. Certification of Nonsegregated Facilities 3 bid opening. Failure to submit the affidavit by that date may render the bid nonresponsive. No contract award will be made without a properly 11. Clean Air and Water Certification 3 executed affidavit. 12. Previous Participation Certificate 3 (2) A fully executed "Non-collusive Affidavit" [ ] is, [ ] is not 13. Bidder's Signature 3 included with the bid. 2. Contingent Fee Representation and Agreement 1. Certificate of Independent Price Determination (a) Definitions. As used in this provision: (a) The bidder certifies that-- "Bona fide employee" means a person, employed by a bidder and (1) The prices in this bid have been arrived at independently, subject to the bidder's supervision and control as to time, place, and without, for the purpose of restricting competition, any consultation, manner of performance, who neither exerts, nor proposes to exert communication, or agreement with any other bidder or competitor improper influence to solicit or obtain contracts nor holds out as being relating to (i) those prices, (ii) the intention to submit a bid, or (iii) the able to obtain any contract(s) through improper influence. methods or factors used to calculate the prices offered; "Improper influence" means any influence that induces or tends (2) The prices in this bid have not been and will not be knowingly to induce a PHA/IHA employee or officer to give consideration or to act disclosed by the bidder, directly or indirectly, to any other bidder or regarding a PHA/IHA contract on any basis other than the merits of the competitor before bid opening (in the case of a sealed bid solicitation) matter. or contract award (in the case of a competitive proposal solicitation) (b) The bidder represents and certifies as part of its bid that, except unless otherwise required by law; and for full-time bona fide employees working solely for the bidder, the (3) No attempt has been made or will be made by the bidder to bidder: induce any other concern to submit or not to submit a bid for the (1) [ ] has, [ ] has not employed or retained any person or purpose of restricting competition. company to solicit or obtain this contract; and (b) Each signature on the bid is considered to be a certification by the (2) [ ] has, [ ] has not paid or agreed to pay to any person or signatory that the signatory-- company employed or retained to solicit or obtain this contract any (1) Is the person in the bidder's organization responsible for commission, percentage, brokerage, or other fee contingent upon or determining the prices being offered in this bid or proposal, and that resulting from the award of this contract. the signatory has not participated and will not participate in any action (c) If the answer to either (a)(1) or (a)(2) above is affirmative, the contrary to subparagraphs (a)(l) through (a)(3) above; or bidder shall make an immediate and full written disclosure to the PHA/ (2) (i) Has been authorized, in writing, to act as agent for the IHA Contracting Officer. following principals in certifying that those principals have not partici- (d) Any misrepresentation by the bidder shall give the PHA/IHA the pated, and will not participate in any action contrary to subparagraphs right to (1) terminate the contract; (2) at its discretion, deduct from (a)(l) through (a)(3) above. contract payments the amount of any commission, percentage, _______________________________________________ [insert brokerage, or other contingent fee; or (3) take other remedy pursuant full name of person(s) in the bidder's organization responsible for to the contract. determining the prices offered in this bid or proposal, and the title of his or her position in the bidder's organization]; 3. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions (applicable to (ii) As an authorized agent, does certify that the principals contracts exceeding $100,000) named in subdivision (b)(2)(i) above have not participated, and will not (a) The definitions and prohibitions contained in Section 1352 of title participate, in any action contrary to subparagraphs (a)(1) through 31, United States Code, are hereby incorporated by reference in (a)(3) above; and paragraph (b) of this certification. Previous edition is obsolete Page1 of 3 form HUD-5369-A (11/92) (b) The bidder, by signing its bid, hereby certifies to the best of his or 6. Minimum Bid Acceptance Period her knowledge and belief as of December 23, 1989 that: (a) "Acceptance period," as used in this provision, means the number (1) No Federal appropriated funds have been paid or will be paid of calendar days available to the PHA/IHA for awarding a contract from to any person for influencing or attempting to influence an officer or the date specified in this solicitation for receipt of bids. employee of any agency, a Member of Congress, an officer or (b) This provision supersedes any language pertaining to the accep- employee of Congress, or an employee of a Member of Congress on tance period that may appear elsewhere in this solicitation. his or her behalf in connection with the awarding of a contract resulting (c) The PHA/IHA requires a minimum acceptance period of from this solicitation; [Contracting Officer insert time period] calendar days. (2) If any funds other than Federal appropriated funds (including (d) In the space provided immediately below, bidders may specify a profit or fee received under a covered Federal transaction) have been longer acceptance period than the PHA's/IHA's minimum requirement. paid, or will be paid, to any person for influencing or attempting to The bidder allows the following acceptance period: calendar days. influence an officer or employee of any agency, a Member of Con- gress, an officer or employee of Congress, or an employee of a (e) A bid allowing less than the PHA's/IHA's minimum acceptance Member of Congress on his or her behalf in connection with this period will be rejected. solicitation, the bidder shall complete and submit, with its bid, OMB (f) The bidder agrees to execute all that it has undertaken to do, in standard form LLL, "Disclosure of Lobbying Activities;" and compliance with its bid, if that bid is accepted in writing within (1) the (3) He or she will include the language of this certification in all acceptance period stated in paragraph (c) above or (2) any longer subcontracts at any tier and require that all recipients of subcontract acceptance period stated in paragraph (d) above. awards in excess of $100,000 shall certify and disclose accordingly. 7. Small, Minority, Women-Owned Business Concern (c) Submission of this certification and disclosure is a prerequisite for Representation making or entering into this contract imposed by section 1352, title 31, The bidder represents and certifies as part of its bid/ offer that it -- United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form (a) [ ] is, [ ] is not a small business concern. "Small business to be filed or amended by this provision, shall be subject to a civil concern," as used in this provision, means a concern, including its penalty of not less than $10,000, and not more than $100,000, for each affiliates, that is independently owned and operated, not dominant in such failure. the field of operation in which it is bidding, and qualified as a small business under the criteria and size standards in 13 CFR 121. (d) Indian tribes (except those chartered by States) and Indian organizations as defined in section 4 of the Indian Self-Determination (b) [ ] is, [ ] is not a women-owned business enterprise. "Women- and Education Assistance Act (25 U.S.C. 450B) are exempt from the owned business enterprise," as used in this provision, means a requirements of this provision. business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and operate the business. 4. Organizational Conflicts of Interest Certification (c) [ ] is, [ ] is not a minority business enterprise. "Minority business The bidder certifies that to the best of its knowledge and belief and enterprise," as used in this provision, means a business which is at except as otherwise disclosed, he or she does not have any organiza- least 51 percent owned or controlled by one or more minority group tional conflict of interest which is defined as a situation in which the members or, in the case of a publicly owned business, at least 51 nature of work to be performed under this proposed contract and the percent of its voting stock is owned by one or more minority group bidder's organizational, financial, contractual, or other interests may, members, and whose management and daily operations are con- without some restriction on future activities: trolled by one or more such individuals. For the purpose of this (a) Result in an unfair competitive advantage to the bidder; or, definition, minority group members are: (b) Impair the bidder's objectivity in performing the contract work. (Check the block applicable to you) [ ] In the absence of any actual or apparent conflict, I hereby certify [ ] Black Americans [ ] Asian Pacific Americans that to the best of my knowledge and belief, no actual or apparent [ ] Hispanic Americans [ ] Asian Indian Americans conflict of interest exists with regard to my possible performance of this [ ] Native Americans [ ] Hasidic Jewish Americans procurement. 5. Bidder's Certification of Eligibility 8. Indian-Owned Economic Enterprise and Indian Organization Representation (applicable only if this (a) By the submission of this bid, the bidder certifies that to the best solicitation is for a contract to be performed on a project for an of its knowledge and belief, neither it, nor any person or firm which has Indian Housing Authority) an interest in the bidder's firm, nor any of the bidder's subcontractors, is ineligible to: The bidder represents and certifies that it: (1) Be awarded contracts by any agency of the United States (a) [ ] is, [ ] is not an Indian-owned economic enterprise. "Economic Government, HUD, or the State in which this contract is to be enterprise," as used in this provision, means any commercial, indus- performed; or, trial, or business activity established or organized for the purpose of profit, which is at least 51 percent Indian owned. "Indian," as used in (2) Participate in HUD programs pursuant to 24 CFR Part 24. this provision, means any person who is a member of any tribe, band, (b) The certification in paragraph (a) above is a material representa- group, pueblo, or community which is recognized by the Federal tion of fact upon which reliance was placed when making award. If it Government as eligible for services from the Bureau of Indian Affairs is later determined that the bidder knowingly rendered an erroneous and any "Native" as defined in the Alaska Native Claims Settlement certification, the contract may be terminated for default, and the bidder Act. may be debarred or suspended from participation in HUD programs (b) [ ] is, [ ] is not an Indian organization. "Indian organization," as and other Federal contract programs. used in this provision, means the governing body of any Indian tribe or entity established or recognized by such governing body. Indian "tribe" Previous edition is obsolete Page 2 of 3 form HUD-5369-A (11/92) means any Indian tribe, band, group, pueblo, or community including Notice to Prospective Subcontractors of Requirement for Native villages and Native groups (including corporations organized by Certifications of Nonsegregated Facilities Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native A Certification of Nonsegregated Facilities must be submitted before Claims Settlement Act, which is recognized by the Federal Govern- the award of a subcontract exceeding $10,000 which is not exempt ment as eligible for services from the Bureau of Indian Affairs. from the provisions of the Equal Employment Opportunity clause of the 9. Certification of Eligibility Under the Davis-Bacon Act prime contract. The certification may be submitted either for each (applicable to construction contracts exceeding $2,000) subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually). (a) By the submission of this bid, the bidder certifies that neither it nor any person or firm who has an interest in the bidder's firm is a person Note: The penalty for making false statements in bids is prescribed or firm ineligible to be awarded contracts by the United States in 18 U.S.C. 1001. Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). 11. Clean Air and Water Certification (applicable to contracts exceeding $100,000) (b) No part of the contract resulting from this solicitation shall be subcontracted to any person or firm ineligible to be awarded contracts The bidder certifies that: by the United States Government by virtue of section 3(a) of the Davis- Bacon Act or 29 CFR 5.12(a)(1). (a) Any facility to be used in the performance of this contract [ ] is, [ ] is not listed on the Environmental Protection Agency List of Violating (c) The penalty for making false statements is prescribed in the U. S. Facilities: Criminal Code, 18 U.S.C. 1001. (b) The bidder will immediately notify the PHA/IHA Contracting 10. Certification of Nonsegregated Facilities (applicable to Officer, before award, of the receipt of any communication from the contracts exceeding $10,000) Administrator, or a designee, of the Environmental Protection Agency, (a) The bidder's attention is called to the clause entitled Equal indicating that any facility that the bidder proposes to use for the Employment Opportunity of the General Conditions of the Contract performance of the contract is under consideration to be listed on the for Construction. EPA List of Violating Facilities; and, (b) "Segregated facilities," as used in this provision, means any (c) The bidder will include a certification substantially the same as this waiting rooms, work areas, rest rooms and wash rooms, restaurants certification, including this paragraph (c), in every nonexempt subcon- and other eating areas, time clocks, locker rooms and other storage tract. or dressing areas, parking lots, drinking fountains, recreation or 12. Previous Participation Certificate (applicable to entertainment areas, transportation, and housing facilities provided for construction and equipment contracts exceeding $50,000) employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin (a) The bidder shall complete and submit with his/her bid the Form because of habit, local custom, or otherwise. HUD-2530, "Previous Participation Certificate." If the successful bidder does not submit the certificate with his/her bid, he/she must (c) By the submission of this bid, the bidder certifies that it does not submit it within three (3) working days of bid opening. Failure to submit and will not maintain or provide for its employees any segregated the certificate by that date may render the bid nonresponsive. No facilities at any of its establishments, and that it does not and will not contract award will be made without a properly executed certificate. permit its employees to perform their services at any location under its control where segregated facilities are maintained. The bidder agrees (b) A fully executed "Previous Participation Certificate" that a breach of this certification is a violation of the Equal Employment [ ] is, [ ] is not included with the bid. Opportunity clause in the contract. 13. Bidder's Signature (d) The bidder further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time The bidder hereby certifies that the information contained in these periods) prior to entering into subcontracts which exceed $10,000 and certifications and representations is accurate, complete, and current. are not exempt from the requirements of the Equal Employment Opportunity clause, it will: ___________________________________________________________________ (1) Obtain identical certifications from the proposed subcontrac- (Signature and Date) tors; ___________________________________________________________________ (2) Retain the certifications in its files; and (Typed or Printed Name) (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical ___________________________________________________________________ (Title) certifications for specific time periods): ___________________________________________________________________ (Company Name) (Company Address) Previous edition is obsolete Page 3 of 3 form HUD-5369-A (11/92) SECTION 00483 CONTRACTOR’S AND/OR BIDDER’S INFORMATION, FACT SHEET AND QUESTIONNAIRE The following form, (pages two through fifteen, inclusive), must be completed and submitted with the Form of Bid as part of the bid package. Contractor’s and/or Bidder’s Information 00483-1 ■ Houston, Texas 77057 ■ 713.260.0500 P ■ 713.260.0547 TTY ■ www.housingforhouston.com 2640 Fountain View Drive ____________________________________________________________________________ CONTRACTOR’S AND/OR BIDDER’S INFORMATION, FACT SHEET AND QUESTIONNAIRE (IFSQ) NAME OF PROJECT: _____________________________________________ NAME OF OWNER: _______________________________________________ NAME OF PROPOSED CONTRACTOR/BIDDER ________________________ ________________________________________________________________ ADDRESS: ______________________________________________________ ---------------------------------------------------------------------------------------------------------------- GENERAL This document is a part of the bid document and shall be completed in its entirety. Failure to complete and submit subject document may cause the bid proposal to be considered non-responsive, thus disqualified. I. INSTRUCTIONS A. All questions are to be answered in full, without exception. If copies of other documents will answer the questions completely, they may be attached and clearly labeled. If additional space is needed, additional pages may be attached and clearly labeled. B. The Houston Housing Authority and/or its representative shall be entitled to contact each and every reference listed in response to this IFSQ, and each entity referenced in any response to any question in this document. The Contractor,___________________________________________________________ (hereinafter “Contractor”), by completing this document, expressly agrees that any information concerning the contractor in possession of said entities and references may be made available to the Owner. A Fair Housing and Equal Employment Opportunity Agency. For assistance: Individuals with disabilities may contact the 504/ADA Administrator at 713-260-0528, TTY 713-260-0547 or 504_ADA@housingforhouston.com Contractor’s and/or Bidder’s Information 00483-2 C. Only complete and accurate information shall be provided by the Contractor. The Contractor hereby warrants that, to the best of it knowledge and belief, the responses contained herein are true, accurate, and complete. The Contractor also acknowledges that the Owner is relying on the truth and accuracy of the responses contained herein. If it is later discovered that any material information given in response to a question was provided by the contractor, knowing it was false, it shall constitute grounds for immediate termination or rescission by the Houston Housing Authority of any subsequent agreement between the Houston Housing Authority and the Contractor. D. The completed form is due in with each bid proposal to the Houston Housing Authority. E. This form, its completion by the Contractor, and its use by the Houston Housing Authority shall not give rise to any liability on the part of the Houston Housing Authority to the Contractor or any third party or person. II. GENERAL BACKGROUND A. CURRENT NAME AND ADDRESS OF CONTRACTOR: _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ ___________________ B. PREVIOUS NAME OR ADDRESS OF CONTRACTOR, IF ANY: _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ ___________________ C. CURRENT PRESIDENT OR CHIEF EXECUTIVE OFFICER: ___________________________________________________________ YEARS IN THAT POSITION: ______________________ Contractor’s and/or Bidder’s Information 00483-3 D. NUMBER OF EMPLOYEES (PERMANENT): ___________________________________________________________ E. NAME AND ADDRESS OF CURRENT AFFILIATED COMPANIES (PARENT, SUBSIDIARY, DIVISIONS): _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ ____________________________________________________________________ III. FINANCIAL STATUS A. Attach completed financial statements for the past three years. The financial statement for last year must be an audited financial statement. If such statements are not available, please furnish the following information: LAST COMPLETE FISCAL YEAR; YEAR PRIOR TO LAST COMPLETE FISCAL YEAR AND 2ND YEAR PRIOR TO LAST COMPLETE FISCAL YEAR 1. Revenues (Gross) _____________________ 2. Expenditures (Gross) _____________________ 3. Overhead & Admin. Cost (Gross) _____________________ 4. Profit (Gross) _____________________ Contractor’s and/or Bidder’s Information 00483-4 B. BANKRUPTCIES 1. Has the Contractor, or any of its parents or subsidiaries, ever had a Bankruptcy Petition filed in its name, voluntarily or involuntarily? (If yes, specify date, circumstances, and resolution) ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ 2. Has any majority shareholder ever had a bankruptcy petition filed in his/her name, voluntarily or involuntarily? (If yes, specify date, circumstances, and resolution) _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ __________________________________ C. LOANS 1. Is this Contractor currently in default of any loan agreement or financing agreement with any bank, financial institution, or other entity? (If yes, specify details, circumstances, and prospects for resolution) _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ D. BONDING 1. What is the Contractor’s current bonding capacity with a contract surety company? _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ Contractor’s and/or Bidder’s Information 00483-5 2. Please identify the Contractor’s surety company and the current line of bonding credit that company has extended to the Contractor. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 3. Please give the name, address, and telephone number of your current surety agent or underwriting contact. _______________________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 4. Have performance and payment bond claims ever been made to a surety for this Contractor on any project, past or present? _______________________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 5. If the answer to (4) is yes, please describe the claim, the name of the company or person making the claim, and the resolution of the claim. _______________________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 6. In the past five years, has any surety company refused to bond the Contractor on any project? (If answer is yes, specify the reasons given for that refusal, and the name and address of the surety company that refused to bond.) _______________________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ Contractor’s and/or Bidder’s Information 00483-6 7. In the past five years, has any surety company refused to bound the Contractor’s parent, or subsidiaries, on any project? (If answer is yes, please specify the reasons given for that refusal, and the name of the surety company.) _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ IV. PROPOSED PROJECT PERSONNEL A. PROPOSED PROJECT MANAGER 1. List the name, qualifications, and background of your proposed project manager for this project. (Include the names and addresses of companies he/she has been affiliated with in the past five years.) _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 2. List at least three projects, by size, type, and duration, that the proposed project manager has supervised in the last five years for the Contractor, of for any other company. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ B. PROPOSED SUPERINTENDENT 1. List the qualifications and background of your proposed job superintendent (if different than the project manager) and include the names and addresses of any companies he/she has been affiliated with in the last five years. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ Contractor’s and/or Bidder’s Information 00483-7 2. List at least three projects, by size, type, and duration, that the proposed job superintendent has supervised in the last five years, for the Contractor, or for any other company. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ V. COMPANY EXPERIENCE – SIMILAR PROJECTS A. List all projects of reasonably similar nature, scope, and duration performed by your company in the last seven years, specifying, where possible, the name and last known address of each owner of those projects. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Contractor’s and/or Bidder’s Information 00483-8 B. Of the projects listed in response to Subsection (A), identify any which was the subject of a substantial claim or lawsuit by, or against, the Contractor. Please identify in your response the nature of such claim or lawsuit, the court in which the case was filed, and the details of its resolution. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ VI. LEGAL PROCEEDINGS A. ARBITRATIONS List all construction arbitration demands filed by, or against, the Contractor in the last five years, and identify the nature of the claim, the amount in dispute, the parties, and the ultimate resolution of the proceeding. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ B. LAWSUITS List all construction related lawsuits (other than labor or personal injury litigation) filed by, or against, the Contractor in the last five years, and identity the nature of the claim, the amount in dispute, the parties, and the ultimate resolution of the lawsuit. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Contractor’s and/or Bidder‘s Information 00483-9 C. OTHER PROCEEDINGS 1. Identify any lawsuits, administrative proceedings, or hearings initiated by the National Labor Relations Board of similar state agency in the past seven years concerning any labor practices of the Contractor. Identify the nature of any proceeding and its ultimate resolution. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 2. Identify any lawsuits, administrative proceedings, or hearings initiated by the Occupational Safety and Health Administration concerning the project safety practices of the Contractor in the last seven years. Identify the nature of any proceeding and its ultimate resolution. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 3. Identify any lawsuits, administrative proceedings, or hearings initiated by the Internal Revenue Service, or any state revenue department, concerning the tax liability of the Contractor (other than audits) in the last seven years. Identify the nature of any proceeding and its ultimate resolution. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ Contractor’s and/or Bidder‘s Information 00483-10 4. Have any criminal proceedings or investigations been brought against the Contractor in the last ten years? (If the answer is yes, please attach a complete and detailed report with your responses to this questionnaire.) _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ VII. REFERENCES A. BANKS Bank #1 Name: _____________________________________________________ Address: ___________________________________________________ City/State: __________________________________________________ Contact: ____________________________________________________ Phone: _____________________________________________________ Bank #2 Name: _____________________________________________________ Address: ___________________________________________________ City/State: __________________________________________________ Contact: ____________________________________________________ Phone: _____________________________________________________ Contractor’s and/or Bidder‘s Information 00483-11 B. SUPPLIES Major Supplier #1 Name: _____________________________________________________ Address: ___________________________________________________ City/State: __________________________________________________ Contact: ____________________________________________________ Phone: _____________________________________________________ Major Supplier #2 Name: _____________________________________________________ Address: ___________________________________________________ City/State: __________________________________________________ Contact: ____________________________________________________ Phone: _____________________________________________________ C. OWNERS Project #1 Name: _____________________________________________________ Location: ___________________________________________________ Contract Price: ______________________________________________ Contractor’s and/or Bidder’s Information 00483-12 Owner: ____________________________________________________ Address: ___________________________________________________ City/State: __________________________________________________ Contact: ____________________________________________________ Phone: _____________________________________________________ Arch/Eng: __________________________________________________ Contact: ____________________________________________________ Phone: _____________________________________________________ D. OWNERS Project #2 Name: _____________________________________________________ Location: ____________________________________________________ Contract Price: ________________________________________________ Owner: ______________________________________________________ Address: ______________________________________________________ City/State: _____________________________________________________ Contact: _______________________________________________________ Phone: ________________________________________________________ Arch/Eng: _____________________________________________________ Contact: __________________________________________ Phone: ____________________________________________ Contractor’s and/or Bidder’s Information 00483-13 E. OWNERS Project #3 Name: _________________________________________ Location: _______________________________________ Contract Price: Owner: Address: City/State: Contact: Phone: Arch/Eng: _______________________________________ Contact: Phone: Contractor’s and/or Bidder’s Information 00483-14 VIII. COMMENTS Please list any additional information that you believe would assist the Houston Housing Authority in evaluating the possibility of using the Contractor on this project. Contractor’s and/or Bidder‘s Information 00483-15 ■ Houston, Texas 77057 ■ 713.260.0500 P ■ 713.260.0547 TTY ■ www.housingforhouston.com 2640 Fountain View Drive ____________________________________________________________________________________ SECTION 00484 M/WBE PARTICIPATION M/WBE PARTICIPATION: The Contractor agrees to makes its best efforts to subcontract with minority business enterprises and/or women business enterprises (herein called M/WBE) certified as such or recognized by Houston Housing Authority as a certified M/WBE. Contractor shall make its best efforts to subcontract a sufficient dollar amount with M/WBEs to ensure that a minimum of 30 percent of the final contract dollars are expended on one or more M/WBEs. All adjustments that cause the contract price to increase will also increase the total amount that Contractor must make its best efforts to expend on M/WBEs. USING BEST EFFORTS TO FULFILL M/WBE REQUIREMENT: In the event Houston Housing Authority has a reasonable belief that Contractor will not use his/her/its best efforts to meet the 30 percent M/WBE participation goal, Houston Housing Authority reserves the right to pull work from the contract. Best efforts may be established by a showing that Contractor has contacted and solicited bids/quotes from subcontractors and worked with the Housing Authority to seek assistance in identifying M/WBEs. FAILURE TO USE YOUR BEST EFFORTS TO COMPLY WITH HOUSTON HOUSING AUTHORITY BOARD OF COMMISSIONERS RESOLUTION NO. 1058 MAY CONSTITUTE BREACH OF CONTRACT AND SUBJECT THE CONTRACT TO TERMINATION. NOTIFICATION OF M/WBE PARTICIPATION: Contractor agrees to promptly complete and return all M/WBE Confirmation of Participation and M/WBE Confirmation of Payment forms utilized by Houston Housing Authority to confirm M/WBE participation. Contractor agrees to submit proof of payment made to each M/WBE subcontractor by submitting copies of checks made payable to the respective M/WBE subcontractor signed by the Contractor. ________________________________ ___________________ CONTRACTOR DATE Note: This form must bear a signature. A Fair Housing and Equal Employment Opportunity Agency. For assistance: Individuals with disabilities may contact the 504/ADA Administrator at 713-260-0528, TTY 713-260-0547 or 504_ADA@housingforhouston.com. M/WBE Participation 00484-1 BIDDER’S PROPOSED M/WBE PARTICIPATION FORM Bidder proposes to work with the following M/WBE participants: Name of M/WBE Certifying Entity Percent of Participant (City/Metro/HISD) Total Work ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ M/WBE Participation 00484-2 SECTION 00490 EVALUATION CRITERIA The Housing Authority will evaluate bids in response to this solicitation without discussions and will award a contract to the responsible bidder whose bid, conforming to the solicitation, will be most advantageous to the Housing Authority. In determining the responsibility of a bidder, the Housing Authority will consider such matters as the bidder’s integrity, compliance with public policy, record of past performance and financial and technical resources (including construction and technical equipment). The Housing Authority will award a contract only to a responsible prospective contractor who has the ability to perform successfully under the terms and conditions of the proposed contract. Evaluation Criteria 00490-1 SECTION 00491 CONFLICT OF INTEREST QUESTIONNAIRE Letter dated August 2011 issued by the Purchasing Department of Houston Housing Authority to all Vendors, and Form CIQ “Conflict of Interest Questionnaire”, are included herein on the following pages. The Form shall be submitted as part of the bid package. Conflict of Interest Questionnaire 00491-1 2640 Fountain View Drive Suite 408 Houston, Texas 77057 | 713.260.0552 P| 713.260.0810 F Purchasing Department TO: ALL VENDORS FROM: PURCHASING DEPARTMENT DATE: AUGUST 5, 2011 SUBJECT: NOTICE TO VENDORS A person who contracts or seeks to contract with the Houston Housing Authority (“Housing Authority") for the sale or purchase of property, goods or services or is an agent of such a person (a “vendor") shall file a completed Conflict of Interest Questionnaire (CIQ) with the Housing Authority's records administrator not later than the seventh (7th) business day after the date that the vendor (i) begins contract discussions or negotiations with the Housing Authority, or (ii) submits to the Housing Authority an application, response to a request for proposals or bids, correspondence, or another writing related to a potential agreement with the Housing Authority. A vendor shall file an updated completed CIQ with the Housing Authority's records administrator not later than (i) September 1st of each year in which an activity described above is pending and (ii) the seventh (7th) business day after the date of an event that would make a statement in the CIQ incomplete or inaccurate. Completed CIQs may be addressed to and filed with Sarah Monigold, Purchasing Officer, Houston Housing Authority 2640 Fountain View, Suite 408, Houston, TX 77057. The Houston Housing Authority's designated local government officers include: Commissioners – David Mincberg, Reuben Casarez, Lance Gilliam, Bobbie Figures, Nicola F. Toubia, Assata-Nicole Richards and Phillis Wilson. Officers – Tory Gunsolley, Sharon Haynie, Lloyd Waguespack, Joshua Meehan, Bobken Simonians, Mark Thiele, George Griffin. Should you have any question please contact Sarah Monigold at 713-260-0552. Sincerely, Sarah Monigold Purchasing Officer Fair Housing and Equal Employment Opportunity Agency Individuals with disabilities may contact the 504/ADA Administrator at 713-260-0528 TTY 713-260-0547 or 504_ADA@housingforhouston.com to request reasonable accommodations. CONFLICT OF INTEREST QUESTIONNAIRE FORM CIQ For vendor or other person doing business with local governmental entity This questionnaire reflects changes made to the law by H.B. 1491, 80th Leg., Regular Session. OFFICE USE ONLY This questionnaire is being filed in accordance with Chapter 176, Local Government Code Date Received by a person who has a business relationship as defined by Section 176.001(1-a) with a local governmental entity and the person meets requirements under Section 176.006(a). By law this questionnaire must be filed with the records administrator of the local governmental entity not later than the 7th business day after the date the person becomes aware of facts that require the statement to be filed. See Section 176.006, Local Government Code. A person commits an offense if the person knowingly violates Section 176.006, Local Government Code. An offense under this section is a Class C misdemeanor. 1 Name of person who has a business relationship with local governmental entity. 2 Check this box if you are filing an update to a previously filed questionnaire. (The law requires that you file an updated completed questionnaire with the appropriate filing authority not later than the 7th business day after the date the originally filed questionnaire becomes incomplete or inaccurate.) 3 Name of local government officer with whom filer has employment or business relationship. Name of Officer This section (item 3 including subparts A, B, C & D) must be completed for each officer with whom the filer has an employment or other business relationship as defined by Section 176.001(1-a), Local Government Code. Attach additional pages to this Form CIQ as necessary. A. Is the local government officer named in this section receiving or likely to receive taxable income, other than investment income, from the filer of the questionnaire? Yes No B. Is the filer of the questionnaire receiving or likely to receive taxable income, other than investment income, from or at the direction of the local government officer named in this section AND the taxable income is not received from the local governmental entity? Yes No C. Is the filer of this questionnaire employed by a corporation or other business entity with respect to which the local government officer serves as an officer or director, or holds an ownership of 10 percent or more? Yes No D. Describe each employment or business relationship with the local government officer named in this section. 4 Signature of person doing business with the governmental entity Date Adopted 06/29/2007 CONTRACTING REQUIREMENTS TABLE OF CONTENTS Number Title Pages CONTRACT REQUIREMENTS Section 00500 Construction Contract 00500-1 through 8 Section 00610 Form of Performance Bond 00610-1 through 4 Section 00620 Form of Payment Bond 00620-1 through 3 Section 00700 General Conditions (Form HUD- 5370 – General Conditions of the Contract For Construction – Public Housing Programs) 00700-1 through 20 Section 00800 Supplementary General Conditions 00800-1 through 12 Section 00821 Equal Opportunity for Business and Lower Income Persons 00821-1 through 22 Section 00822 Affirmative Action for Handicapped Workers 00822-1 through 2 Section 00823 Houston housing Authority Section 3 Policy 00823-1 through 21 Section 00830 Wage Determination 00830-1 through 4 Table of Contents – Contract Requirements Page1 SECTION 00500 DRAFT CONSTRUCTION CONTRACT Replacement of cabinets and appliances, and installation of VCT flooring at Lyerly Elderly Housing Development 75 Lyerly, Houston, Texas 77022 This Contract is made and entered into by and between the Houston Housing Authority, having its principal place of business at 2640 Fountainview, Suite 400, Houston, Texas 77057, hereinafter referred to as the “HOUSTON HOUSING AUTHORITY” and _______________, having its principal place of business at _________________________ hereinafter referred to as the “CONTRACTOR”. WHEREAS, the Houston Housing Authority is a public body corporate and politic, duly organized and validly existing and in good standing under the laws of the State of Texas and currently engaged in such business as defined in the Housing Authorities Law in the Local Government code of the State of Texas, including the services of providing decent, safe and sanitary housing to the residents of its facilities, low income families, the elderly, the handicapped and the disabled; WHEREAS, the CONTRACTOR is in the business of construction and is licensed to conduct business in the State of Texas as an Independent Contractor. WHEREAS, the Houston Housing Authority in order to carry out Replacement of cabinets and installation of VCT flooring at Lyerly Elderly Housing Development issued an Invitation for Bids # 11-40, inviting bids from general CONTRACTORS offering to perform the specified work; and WHEREAS, the bids received were evaluated according to the evaluation criteria stated, and the contract was awarded to the CONTRACTOR who was determined to be the lowest responsible and responsive bidder; and NOW THEREFORE, in consideration of the promises of the parties herein and the mutual covenants set forth in this contract, the HOUSTON HOUSING AUTHORITY and the CONTRACTOR agree to be legally bound as follows: TERM This contract shall become effective on the date it is executed and shall continue in effect for a period of 150 consecutive calendar days after issuance of a Notice to Proceed or for a period stated in the Notice to Proceed, or until terminated sooner or extended by authorized Change Order. The HOUSTON HOUSING AUTHORITY may terminate this contract for cause or for convenience by giving thirty (30) days prior notice to the CONTRACTOR, in which event the CONTRACTOR will be entitled to payment of the portion of the work performed until the date the contract is terminated. Work performed will be defined as those items which have been completed or are in the process of being completed, which will include those items ordered as part of this contract. Construction Contract 00500-1 COMPENSATION In consideration of the accessibility improvement work to be performed by the CONTRACTOR the HOUSTON HOUSING AUTHORITY shall pay the CONTRACTOR a fee of ($________________). The fee is bifurcated into labor and materials charges as follows: Labor/Overhead and Profit $____________ Materials $____________ Total Amount $____________ Payments will be made progressively within thirty (30) days of receipt of approvable invoices. Each invoice must be approved by the Contracting Officer. STATEMENT OF WORK The statement of work described in Invitation for Bids # 11-40 is incorporated herein as if fully copied verbatim and is made part of this contract. Any request for changes in the scope of work must be submitted in writing to and approved by the Contracting Officer through a duly executed change order. Such change order will be incorporated into this contract as if fully copied verbatim and made a part of this contract. PROJECT SCHEDULE The CONTRACTOR shall provide the HOUSTON HOUSING AUTHORITY with a schedule of the dates during which the work will be performed according to the terms of this agreement. The schedule must be submitted to HOUSTON HOUSING AUTHORITY within five (5) days after issuance of the Notice to Proceed. Any request for extension of time to perform under this contract must be made to and approved by the Contracting Officer. NON-APPROPRIATION CLAUSE CONTRACTOR understands that HOUSTON HOUSING AUTHORITY is a governmental entity and should it not be funded for any period during the term of this Agreement, any sums due for the remainder of the term shall be forgiven, and this agreement shall be automatically terminated and HOUSTON HOUSING AUTHORITY shall not be liable for payment thereof. HOUSTON HOUSING AUTHORITY must give written notice to the CONTRACTOR as soon as possible after learning that funds will not be available. For this contract the HOUSTON HOUSING AUTHORITY hereby certifies that adequate funds are available to complete the services outlined herein. INSURANCE Before commencing work the CONTRACTOR shall furnish HOUSTON HOUSING AUTHORITY with certificates of insurance showing that the following insurance is in force and will insure all operations under this Agreement, and name HOUSTON HOUSING AUTHORITY as an additional insured. Construction Contract 00500-2 a. Worker’s compensation in accordance with the State of Texas rules and regulations. b. General liability insurance with a single limit for bodily injury of $1,000,000 per occurrence and property damage limit of no less than $1,000,000 per occurrence. The insurance may have a combined aggregate of coverage amounting to no less than $1,000,000. Such insurance shall protect the Houston Housing Authority against claims of bodily injury or death and property damage to others. The insurance shall cover the use of all equipment, hoists and vehicles used on the site(s) not covered by CONTRACTOR automobile liability under paragraph c. below. If CONTRACTOR has a “claims made policy”, then the following additional requirements apply: The policy must provide a “retroactive date” which must be on or before the execution date of the Agreement and the extended reporting period may not be less than five years following the completion date of the Agreement. c. Automobile liability on owned and non-owned motor vehicles used on the site(s) or in connection herewith for a combined single limit of bodily injury and property damage of not less than $1,000,000 per occurrence. All insurance shall be carried with companies that are financially responsible and admitted to do business in the State of Texas. The CONTRACTOR shall not permit the insurance policies required for this Agreement to lapse during the period for which this contract is in effect. All certificates of insurance shall provide that no coverage may be cancelled or non-renewed by the insurance company until at least 30 days prior written notice has been given to HOUSTON HOUSING AUTHORITY. Proof of the required insurance coverage must be provided to HOUSTON HOUSING AUTHORITY before CONTRACTOR commences work under this contract. GOVERNING LAW This contract shall be construed under and in accordance with the laws of the State of Texas. Its validity and the interpretation of its terms shall be governed by the laws of the State of Texas. If any provisions of this contract are determined to be invalid or unenforceable by a court of competent jurisdiction, the remaining terms and conditions hereof shall remain in full force and effect. LEGAL CONSTRUCTION In case any one or more of the provisions contained in this contract shall for any reason be held to be invalid, illegal, or unenforceable in any respect, such invalidity, illegality, or unenforceability shall not affect any other provision thereof and this contract shall be construed as if such invalid, illegal, or unenforceable provision had never been contained herein. Construction Contract 00500-3 DISPUTES In the event of any controversy, claim, or dispute between HOUSTON HOUSING AUTHORITY and CONTRACTOR affecting or relating to the subject matter or the performance of this Contract, the prevailing party will be entitled to recover from the non- prevailing party all the prevailing party’s reasonable expenses, including but not limited to reasonable attorney’s fees, expert witness fees, and court costs. COURT ACTIONS The CONTRACTOR agrees to give HOUSTON HOUSING AUTHORITY immediate notice in writing of any actions or suits filed and prompt notice of any claims made against HOUSTON HOUSING AUTHORITY or any of the parties involved in the implementation and administration of this Contract. DEFAULT If the CONTRACTOR fails to prosecute the work with diligence and fails to complete the work within the specified time of this Contract, or any extension thereof, the HOUSTON HOUSING AUTHORITY may by a written notice to the CONTRACTOR, terminate this Contract. In this event the HOUSTON HOUSING AUTHORITY may complete the work as necessary and may take possession of and use any materials or equipment on the work site which is necessary for completing the work. The CONTRACTOR shall be liable for any damage to the HOUSTON HOUSING AUTHORITY resulting from the CONTRACTOR’S failure to complete the work within the specified time, whether or not the CONTRACTOR continues to work under the terms of this Contract. This liability includes any increased costs incurred by the HOUSTON HOUSING AUTHORITY in completing the work. LIQUIDATED DAMAGES If the CONTRACTOR fails to complete the work within the time specified in the Bid Documents dated August 2011, the CONTRACTOR shall pay to the HOUSTON HOUSING AUTHORITY as liquidated damages the sum of $1,000.00 per day for each day of delay as stated in the Bid Documents dated August 2011. If the CONTRACTOR’S delay or non- performance is excused by HOUSTON HOUSING AUTHORITY in writing then the liquidated damages shall not be due to the HOUSTON HOUSING AUTHORITY. MATERIALS AND WORKMANSHIP All equipment, materials and articles furnished under this Contract shall be new and of the most suitable quality for the purpose intended. The CONTRACTOR shall obtain HOUSTON HOUSING AUTHORITY’S approval of all the material and equipment which the CONTRACTOR contemplates incorporating into the work. The CONTRACTOR shall secure and pay for all permits fees and licenses necessary for the proper execution and completion of the work stated herein. Construction Contract 00500-4 RETAINAGE The CONTRACTOR shall receive payment less ten percent (10%) retainage as set forth in the Contract Documents. The retained payment shall be released by HOUSTON HOUSING AUTHORITY upon completion of all work, acceptance, issuance of full certificate of occupancy and receipt by HOUSTON HOUSING AUTHORITY of all certified close out documents as provided in the Contract Documents. The retainage amount will be deposited in an interest bearing account in accordance with applicable law. GENERAL CONDITIONS AND SUPPLEMENTAL GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The CONTRACTOR shall comply with the general conditions of the Contract for Construction and the Supplementary General Conditions herewith attached and made an essential part of this contract. The CONTRACTOR shall comply with, and shall carry out the work listed in the Summary of Work attached hereto. The CONTRACTOR has furnished the required Performance Bond and the Payment Bond. The CONTRACTOR shall make its best efforts to meet the 30% M/WBE participation goal and submit proof of payment to M/WBE subcontractors. The CONTRACTOR has signed the M/WBE Participation Form attached to this contract. ASSIGNMENT This Contract is not assignable by the CONTRACTOR or the HOUSTON HOUSING AUTHORITY without the written consent of the other. Such consent shall be provided within fifteen (15) days of the request of this assignment. If such consent is not provided within fifteen (15) days of the request for assignment, such request shall be deemed rejected. COOPERATION WITH ARCHITECT & HOUSING AUTHORITY STAFF CONTRACTOR agrees to cooperate with the Architect, Engineer and Housing Authority staff. NON-WAIVER No covenant or condition of this contract may be waived except by written consent of the waiving party. Forbearance or indulgence by one party in any regard whatsoever shall not constitute a waiver of the covenant or condition to be performed by the other party to which the same may apply, and until complete performance of any covenant or condition, the aggrieved party shall be entitled to invoke any remedy available to it under this contract or by law or in equity despite such forbearance or indulgence. Construction Contract 00500-5 NOTICES Service of all notices under this contract shall be sufficient if given personally or mailed to the party involved at its respective address herein set forth, or at such address as such party may provide in writing from time to time. Any such notice mailed to such address shall be effective when deposited in the United States mail, duly addressed, and with postage prepaid. Notices delivered in person shall be deemed communicated at the time of actual delivery. The contact person of the HOUSTON HOUSING AUTHORITY will be: Bobken Simonians Vice-President, Real Estate Investments and Development Houston Housing Authority 2640 Fountainview, 4th Floor, Suite 406 Houston, TX 77057 (713) 260-0767 (713) 260-0815 (FAX) SPECIAL REQUIREMENTS The CONTRACTOR agrees that if the U. S. Department of Housing and Urban Development requires a cost certification after substantial completion of the work performed under this Contract, then the CONTRACTOR agrees to cooperate and assist in provision of such cost certification, provided that any payment to the CONTRACTOR hereunder shall not be conditioned upon any such cost certification, but shall be paid in accordance with the terms of this Contract. TIME Time is of the essence in this Contract and each and all of its provisions. LAW APPLICABLE This Contract shall be construed under and in accordance with the laws of the State of Texas and all the obligations of the parties created hereunder are enforceable in Harris County, Texas. PARTIES BOUND This Contract shall be binding on and inure to the benefit of the parties hereto and their respective heirs, executors, administrators, legal representatives, successors and assigns. Construction Contract 00500-6 COMPLIANCE WITH FEDERAL REGULATIONS The CONTRACTOR shall comply with the Federal Regulations listed below: The requirements of Title VII of the Civil Rights Act of 1968 and Title VI of the Civil Rights Act of 1964, relating to prohibitions against the discrimination in housing and the benefits of federally funded programs because of race, color, religion, sex or national origin. Shall adhere to the prohibitions against discrimination on the basis of age under the Age Discrimination Act of 1975 and prohibit discrimination against handicapped individuals under Section 504 of the Rehabilitation Act of 1973 and the American with Disabilities Act of 1990. The requirements of Executive Order 11246 relating to equal employment opportunity in connection with federally funded programs. Meet the requirements of Section 3 of the Housing and Urban Development Act of 1968 relating to the training and employment of individuals and contracting for business opportunities in metropolitan areas in which federally funded programs are being operated. The requirements of Executive Order 11625, 12432 and 12138 to implement Minority Business Enterprises (MBE) and Women’s Business Enterprise (WBE) participation goals in Federal Agencies Programs. TAX EXEMPT STATUS The HOUSTON HOUSING AUTHORITY is a unit of government and its property is used solely for essential public and governmental purposes, and is exempt from all taxes, pursuant to Section 392.005 and 392.006 of the Housing Authorities Law. Construction Contract 00500-7 ENTIRE AGREEMENT This contract along with the Statement of Work, the Invitation for Bids (IFB) # 11-40 and the Bid submitted by the CONTRACTOR, which are incorporated herein as if fully copied verbatim, constitute the entire contract between the HOUSTON HOUSING AUTHORITY and CONTRACTOR and supersede any prior understandings, written or oral, between the parties respecting the subject matter herein. Any oral representations or modifications concerning this instrument shall be of no force or effect. This contract shall not be amended, altered or changed except by a written agreement signed by the parties herein. Executed in Houston, Harris County, Texas, this the _______ day of _____________, 2011. HOUSTON HOUSING AUTHORITY CONTRACTOR _______________________________ _______________________________ Tory Gunsolley President & CEO (Name of the Company and Title) Construction Contract 00500-8 SECTION 00610 FORM OF PERFORMANCE BOND THE STATE OF TEXAS KNOW ALL MEN BY THESE PRESENT COUNTY OF HARRIS That we (1) ____________________________________________________________ __________________________ (2)________________________________________ __________ hereinafter called Principal, and (3) _______________________________ ____________ of _________________________________________________, State of _________________________ hereinafter called the Surety, are held and firmly bound unto (4) _________________________________________________________ hereinafter called the Owner, in the penal sum of ______________________________ _________________________________________________________ ($ __________ ___________) Dollars in lawful money of the United States, to be paid in (5) _________ _________________________________________________for payment of which sum will and truly to be made, we bind ourselves, our heirs, executors, administrators and successors, jointly and severally, firmly by these presents. THE CONDITIONOF THIS OBLIGATION is such that Whereas, the Principal entered into a certain contract with (6) ______________________________________________ ___________________the Owner, dated the _______ day of _______________ A.D., 2010 a copy of which is hereto attached and made a part thereof for the modernization and site improvement of: ______________________________________________________________________________ ______________________________________________________________________________ ___________________ hereinafter called the "work." These footnotes refer to the numbers in body of Contract above: (1) Correct name of Contractor. (2) A Corporation, a Partnership, or an Individual as the case may be. (3) Correct name of Surety. (4) Correct name of Owner. (5) Owner NOW THEREFORE, if the Principal shall promptly, truly and faithfully perform the work in accordance with the Plans, Specifications and Contract Documents during the original term thereof, and any extensions thereof which may be granted by the Owner, with or without notice to the Surety, and if he shall satisfy all claims and demands incurred under such Contract, and shall fully indemnify and save harmless the Owner from all costs and damages which it may suffer by reason of failure to do so, and shall reimburse and repay the Owner all outlay and expense which the Owner may incur in making good any default, then this obligation shall be void; otherwise it shall remain in full force and effect. Form of Performance Bond 00610-1 PROVIDED FURTHER, that if legal action be filed upon this bond, venue shall lie in Harris County, Texas, and that said surety, for value received hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or to the work to be performed there under or the specifications accompanying the same shall in any wise affect its obligation on this bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the work or to the specifications. IN WITNESS WHEREOF, this instrument is executed in six counterparts, each one of which shall be deemed an original, this the ______ day of _______________________ 2011. ATTEST: ________________________________ Principal ______________________________ By:_____________________________ Principal Secretary (SEAL) ______________________________ ________________________________ Witness as to Principal Address ATTEST: ________________________________ (Surety) ________________________________ By:_____________________________ Surety Secretary Attorney-in-fact (SEAL) ______________________________ ________________________________ Witness as to Surety Address Form of Performance Bond 00610-2 Note: If Contractor is Partnership, all partners should execute bond. ______________________________ ________________________________ Individual Principal ______________________________ ________________________________ Address Business Address ______________________________ Corporate Principal ______________________________ Business Address (Affix Corporate Seal) By:___________________________ ________________________________ ______________________________ ATTEST: ________________________________ Corporate Surety ________________________________ Business Address (Affix Corporate Seal) By:___________________________ Attorney-in-fact ______________________________ ________________________________ Form of Performance Bond 00610-3 CERTIFICATION AS TO CORPORATE PRINCIPAL I, ___________________________________________________, certify that I am the _______________________________, of the Corporation names as Principal in the within bond; that _______________________________ who signed the bond on behalf of the Principal was then _________________________________________ of said corporation; that I know his signature and his signature thereto is genuine; and that said bond was duly signed, sealed and attested to, for and in behalf of said corporation by authority of its governing body. ___________________________ AFFIX CORPORATE SEAL The rate of premium on this bond is per thousand. Total amount of premium charges $_____________________________________________. Form of Performance Bond 00610-4 SECTION 00620 FORM OF PAYMENT BOND THE STATE OF TEXAS KNOW ALL MEN BY THESE PRESENT COUNTY OF HARRIS That we, ________________________________________________ as principal, and ______________________________________ as surety(s) are hereby held and firmly bound unto the Houston Housing Authority a public corporation in the State of Texas in the penal sum of __________________________________________ Dollars ($ _____________________) for the payment, whereof, the said principal and surety(s) bind themselves, their heirs, executors, administrators and successors, jointly and severally and firmly by these presents. The conditions of this obligation are such that whereas, the Principal entered into a certain contract incorporated herein by reference and made part thereof; with the said Housing Authority, dated ________________________ for the provision of ___________________, in Houston, Texas 770___, in accordance with the Contract Documents. NOW THEREFORE, the condition of this obligation is such that, if the Principal shall promptly make payment to all claimants as defined in Article 5160 Revised Civil Statues of Texas, 1925 as amended by House Bill 544, Acts 56th Legislature, prosecution of the work provided for in said contract, then this obligation shall be null and void, otherwise it shall remain in full force and affect. This bond is made and entered into solely for the protection of all claimants supplying labor and material in the protection of the work provided for in said Contract, and all such claimants shall have a direct right of action under the bond amended by House Bill 544, Act 56th Legislature, Regular Session, 1959. PROVIDED FURTHER, that the surety for value received hereby stipulates and agrees that no change, extension of time, alteration, or addition to the term of the Contract, for the work performed thereunder, or the specifications accompanying the same, shall in any wise affect its obligation on this bond and it does hereby waive notice of any changes, extension of time, alterations, or addition to the terms of the Contract, or to the work or the specifications. PROVIDED FURTHER, that if any legal action be filled upon this bond, venue shall lie in _________________ County, ___________________________________,at the ___________ day of ________________, 2011. Form of Payment Bond 00620-1 _____________________________________________(SEAL) (Individual Principal) _____________________________________________(Address) (Business Address) (SEAL) ________________________ ________________________Witness as to Surety Address NOTE: If Contractor is a Partnership, all parties should execute bond. _________________________________________________ Individual Principal _________________________________________________ (Address) (Business Address) _________________________________________________ Corporate Principal _________________________________________________ (Business Address) (Affix Corporate Seal) By: ____________________________ _______________________ ATTEST: ____________________________ Corporate Surety ____________________________ Business Address (Affix Corporate Seal) By: Attorney-in-fact ____________________________ _______________________ Form of Payment Bond 00620-2 CERTIFICATION AS TO CORPORATE PRINCIPAL I, ____________________________________________________, certify that I am the __________________________________, of the Corporation names as Principal in the within bond: that ___________________________________________ who signed the bond on behalf of the Principal was then ____________________________________ of said corporation; that I know his signature and his signature thereto is genuine; and that said bond was duly signed, sealed and attested to, for and in behalf of said corporation by authority of its governing body. ________________________________ AFFIX CORPORATE SEAL The rate of premium on this bond is per thousand. Total amount of premium charges $______________________. Form of Payment Bond 00620-3 SECTION 00700 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION Form HUD-5370 “General Conditions for Construction Contracts – Public Housing Programs”, dated November 2006, pages one through nineteen, is hereby included in the Contract Documents as enumerated on the following pages. General Conditions of the Contract for 00700-1 Construction General Conditions for Construction U.S. Department of Housing and Urban Development Contracts - Public Housing Programs Office of Public and Indian Housing OMB Approval No. 2577-0157 (exp. 12/31/2011) Applicability. This form is applicable to any construction/development contract greater than $100,000. This form includes those clauses required by OMB's common rule on grantee procurement, implemented at HUD in 24 CFR 85.36, and those requirements set forth in Section 3 of the Housing and Urban Development Act of 1968 and its amendment by the Housing and Community Development Act of 1992, implemented by HUD at 24 CFR Part 135. The form is required for construction contracts awarded by Public Housing Agencies (PHAs). The form is used by Housing Authorities in solicitations to provide necessary contract clauses. If the form were not used, HAs would be unable to enforce their contracts. Public reporting burden for this collection of information is estimated to average 1.0 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. Responses to the collection of information are required to obtain a benefit or to retain a benefit. The information requested does not lend itself to confidentiality. HUD may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB number. Table of Contents Clause Page Clause Page 1. Definitions 2 Administrative Requirements 2. Contractor’s Responsibility for Work 2 25. Contract Period 9 3. Architect’s Duties, Responsibilities and Authority 2 26. Order of Precedence 9 4. Other Contracts 3 27. Payments 9 Construction Requirements 28. Contract Modifications 10 5. Preconstruction Conference and Notice to Proceed 3 29. Changes 10 6. Construction Progress Schedule 3 30. Suspension of Work 11 7. Site Investigation and Conditions Affecting the Work 3 31. Disputes 11 8. Differing Site Conditions 4 32. Default 11 9. Specifications and Drawings for Construction 4 33. Liquidated Damages 12 10. As-Built Drawings 5 34. Termination of Convenience 12 11. Material and Workmanship 5 35. Assignment of Contract 12 12. Permits and Codes 5 36. Insurance 12 13. Health, Safety, and Accident Prevention 6 37. Subcontracts 13 14. Temporary Buildings and Transportation Materials 6 38. Subcontracting with Small and Minority Firms, Women’s 13 Business Enterprise, and Labor Surplus Area Firms 15. Availability and Use of Utility Services 6 39. Equal Employment Opportunity 13 16. Protection of Existing Vegetation, Structures, Equipment, 40. Employment, Training, and Contracting Opportunities for 14 Utilities, and Improvements 6 Low-Income Persons, Section 3 of the Housing and Urban Development Act of 1968 17. Temporary Buildings and Transportation Materials 7 41. Interest of Members of Congress 15 18. Clean Air and Water 7 42. Interest of Members, Officers, or Employees and Former 15 Members, Officers, or Employees 19. Energy Efficiency 7 43. Limitations on Payments Made to Influence 15 20. Inspection and Acceptance of Construction 7 44. Royalties and Patents 15 21. Use and Possession Prior to Completion 8 45. Examination and Retention of Contractor’s Records 15 22. Warranty of Title 8 46. Labor Standards-Davis-Bacon and Related Acts 15 23. Warranty of Construction 8 47. Non-Federal Prevailing Wage Rates 19 24. Prohibition Against Liens 9 48. Procurement of Recovered Materials 19 Previous editions are obsolete Page 1 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G 1. Definitions (a) The Contractor shall furnish all necessary labor, materials, tools, equipment, and transportation necessary (a) “Architect” means the person or other entity engaged by for performance of the work. The Contractor shall also the PHA to perform architectural, engineering, design, furnish all necessary water, heat, light, and power not and other services related to the work as provided for in made available to the Contractor by the PHA pursuant to the contract. When a PHA uses an engineer to act in this the clause entitled Availability and Use of Utility Services capacity, the terms “architect” and “engineer” shall be herein. synonymous. The Architect shall serve as a technical (b) The Contractor shall perform on the site, and with its own representative of the Contracting Officer. The Architect’s organization, work equivalent to at least [ ] (12 percent authority is as set forth elsewhere in this contract. unless otherwise indicated) of the total amount of work to (b) “Contract” means the contract entered into between the be performed under the order. This percentage may be PHA and the Contractor. It includes the forms of Bid, the reduced by a supplemental agreement to this order if, Bid Bond, the Performance and Payment Bond or Bonds during performing the work, the Contractor requests a or other assurance of completion, the Certifications, reduction and the Contracting Officer determines that the Representations, and Other Statements of Bidders (form reduction would be to the advantage of the PHA. HUD-5370), these General Conditions of the Contract for (c) At all times during performance of this contract and until Construction (form HUD-5370), the applicable wage rate the work is completed and accepted, the Contractor shall determinations from the U.S. Department of Labor, any directly superintend the work or assign and have on the special conditions included elsewhere in the contract, the work site a competent superintendent who is satisfactory specifications, and drawings. It includes all formal to the Contracting Officer and has authority to act for the changes to any of those documents by addendum, Contractor. change order, or other modification. (d) The Contractor shall be responsible for all damages to (c) “Contracting Officer” means the person delegated the au- persons or property that occur as a result of the thority by the PHA to enter into, administer, and/or Contractor’s fault or negligence, and shall take proper terminate this contract and designated as such in writing safety and health precautions to protect the work, the to the Contractor. The term includes any successor workers, the public, and the property of others. The Contracting Officer and any duly authorized Contractor shall hold and save the PHA, its officers and representative of the Contracting Officer also designated agents, free and harmless from liability of any nature in writing. The Contracting Officer shall be deemed the occasioned by the Contractor’s performance. The authorized agent of the PHA in all dealings with the Contractor shall also be responsible for all materials Contractor. delivered and work performed until completion and (d) “Contractor” means the person or other entity entering acceptance of the entire work, except for any completed into the contract with the PHA to perform all of the work unit of work which may have been accepted under the required under the contract. contract. (e) “Drawings” means the drawings enumerated in the (e) The Contractor shall lay out the work from base lines and schedule of drawings contained in the Specifications and bench marks indicated on the drawings and be as described in the contract clause entitled Specifications responsible for all lines, levels, and measurements of all and Drawings for Construction herein. work executed under the contract. The Contractor shall (f) “HUD” means the United States of America acting through verify the figures before laying out the work and will be the Department of Housing and Urban Development held responsible for any error resulting from its failure to including the Secretary, or any other person designated do so. to act on its behalf. HUD has agreed, subject to the (f) The Contractor shall confine all operations (including provisions of an Annual Contributions Contract (ACC), to storage of materials) on PHA premises to areas provide financial assistance to the PHA, which includes authorized or approved by the Contracting Officer. assistance in financing the work to be performed under (g) The Contractor shall at all times keep the work area, this contract. As defined elsewhere in these General including storage areas, free from accumulations of Conditions or the contract documents, the determination waste materials. After completing the work and before of HUD may be required to authorize changes in the work final inspection, the Contractor shall (1) remove from the or for release of funds to the PHA for payment to the premises all scaffolding, equipment, tools, and materials Contractor. Notwithstanding HUD’s role, nothing in this (including rejected materials) that are not the property of contract shall be construed to create any contractual the PHA and all rubbish caused by its work; (2) leave the relationship between the Contractor and HUD. work area in a clean, neat, and orderly condition (g) “Project” means the entire project, whether construction satisfactory to the Contracting Officer; (3) perform all or rehabilitation, the work for which is provided for in specified tests; and, (4) deliver the installation in whole or in part under this contract. complete and operating condition. (h) “PHA” means the Public Housing Agency organized (h) The Contractor’s responsibility will terminate when all under applicable state laws which is a party to this work has been completed, the final inspection made, and contract. the work accepted by the Contracting Officer. The (j) “Specifications” means the written description of the Contractor will then be released from further obligation technical requirements for construction and includes the except as required by the warranties specified elsewhere criteria and tests for determining whether the in the contract. requirements are met. (l) “Work” means materials, workmanship, and manufacture 3. Architect’s Duties, Responsibilities, and Authority and fabrication of components. (a) The Architect for this contract, and any successor, shall 2. Contractor’s Responsibility for Work be designated in writing by the Contracting Officer. Previous editions are obsolete Page 2 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (b) The Architect shall serve as the Contracting Officer’s technical representative with respect to architectural, 6. Construction Progress Schedule engineering, and design matters related to the work performed under the contract. The Architect may provide (a) The Contractor shall, within five days after the work direction on contract performance. Such direction shall be commences on the contract or another period of time within the scope of the contract and may not be of a determined by the Contracting Officer, prepare and nature which: (1) institutes additional work outside the submit to the Contracting Officer for approval three scope of the contract; (2) constitutes a change as defined copies of a practicable schedule showing the order in in the Changes clause herein; (3) causes an increase or which the Contractor proposes to perform the work, and decrease in the cost of the contract; (4) alters the the dates on which the Contractor contemplates starting Construction Progress Schedule; or (5) changes any of and completing the several salient features of the work the other express terms or conditions of the contract. (including acquiring labor, materials, and equipment). The (c) The Architect’s duties and responsibilities may include but schedule shall be in the form of a progress chart of shall not be limited to: suitable scale to indicate appropriately the percentage of (1) Making periodic visits to the work site, and on the work scheduled for completion by any given date during basis of his/her on-site inspections, issuing written the period. If the Contractor fails to submit a schedule reports to the PHA which shall include all observed within the time prescribed, the Contracting Officer may deficiencies. The Architect shall file a copy of the withhold approval of progress payments or take other report with the Contractor’s designated representative remedies under the contract until the Contractor submits at the site; the required schedule. (2) Making modifications in drawings and technical (b) The Contractor shall enter the actual progress on the specifications and assisting the Contracting Officer in chart as required by the Contracting Officer, and the preparation of change orders and other contract immediately deliver three copies of the annotated modifications for issuance by the Contracting Officer; schedule to the Contracting Officer. If the Contracting (3) Reviewing and making recommendations with respect Officer determines, upon the basis of inspection to - (i) the Contractor’s construction progress conducted pursuant to the clause entitled Inspection and schedules; (ii) the Contractor’s shop and detailed Acceptance of Construction, herein that the Contractor is drawings; (iii) the machinery, mechanical and other not meeting the approved schedule, the Contractor shall equipment and materials or other articles proposed take steps necessary to improve its progress, including for use by the Contractor; and, (iv) the Contractor’s those that may be required by the Contracting Officer, price breakdown and progress payment estimates; without additional cost to the PHA. In this circumstance, and, the Contracting Officer may require the Contractor to (4) Assisting in inspections, signing Certificates of increase the number of shifts, overtime operations, days Completion, and making recommendations with of work, and/or the amount of construction plant, and to respect to acceptance of work completed under the submit for approval any supplementary schedule or contract. schedules in chart form as the Contracting Officer deems necessary to demonstrate how the approved rate of 4. Other Contracts progress will be regained. (c) Failure of the Contractor to comply with the requirements The PHA may undertake or award other contracts for of the Contracting Officer under this clause shall be additional work at or near the site of the work under this grounds for a determination by the Contracting Officer contract. The Contractor shall fully cooperate with the that the Contractor is not prosecuting the work with other contractors and with PHA employees and shall sufficient diligence to ensure completion within the time carefully adapt scheduling and performing the work under specified in the Contract. Upon making this this contract to accommodate the additional work, heeding determination, the Contracting Officer may terminate the any direction that may be provided by the Contracting Contractor’s right to proceed with the work, or any Officer. The Contractor shall not commit or permit any act separable part of it, in accordance with the Default clause that will interfere with the performance of work by any of this contract. other contractor or by PHA employees 7. Site Investigation and Conditions Affecting the Work Construction Requirements (a) The Contractor acknowledges that it has taken steps 5. Pre-construction Conference and Notice to Proceed reasonably necessary to ascertain the nature and location of the work, and that it has investigated and (a) Within ten calendar days of contract execution, and prior satisfied itself as to the general and local conditions to the commencement of work, the Contractor shall which can affect the work or its cost, including but not attend a preconstruction conference with representatives limited to, (1) conditions bearing upon transportation, of the PHA, its Architect, and other interested parties disposal, handling, and storage of materials; (2) the convened by the PHA. The conference will serve to availability of labor, water, electric power, and roads;(3) acquaint the participants with the general plan of the uncertainties of weather, river stages, tides, or similar construction operation and all other requirements of the physical conditions at the site; (4) the conformation and contract. The PHA will provide the Contractor with the conditions of the ground; and (5) the character of date, time, and place of the conference. equipment and facilities needed preliminary to and during (b) The contractor shall begin work upon receipt of a written work performance. The Contractor also acknowledges Notice to Proceed from the Contracting Officer or that it has satisfied itself as to the character, quality, and designee. The Contractor shall not begin work prior to quantity of surface and subsurface materials or obstacles receiving such notice. to be encountered insofar as this information is Previous editions are obsolete Page 3 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G reasonably ascertainable from an inspection of the site, promptly submitted to the Contracting Officer, who shall including all exploratory work done by the PHA, as well promptly make a determination in writing. Any adjustment as from the drawings and specifications made a part of by the Contractor without such a determination shall be at this contract. Any failure of the Contractor to take the its own risk and expense. The Contracting Officer shall actions described and acknowledged in this paragraph furnish from time to time such detailed drawings and will not relieve the Contractor from responsibility for other information as considered necessary, unless estimating properly the difficulty and cost of successfully otherwise provided. performing the work, or for proceeding to successfully (b) Wherever in the specifications or upon the drawings the perform the work without additional expense to the PHA. words “directed”, “required”, “ordered”, “designated”, (b) The PHA assumes no responsibility for any conclusions “prescribed”, or words of like import are used, it shall be or interpretations made by the Contractor based on the understood that the “direction”, “requirement”, “order”, information made available by the PHA. Nor does the “designation”, or “prescription”, of the Contracting Officer PHA assume responsibility for any understanding is intended and similarly the words “approved”, reached or representation made concerning conditions “acceptable”, “satisfactory”, or words of like import shall which can affect the work by any of its officers or agents mean “approved by”, or “acceptable to”, or “satisfactory before the execution of this contract, unless that to” the Contracting Officer, unless otherwise expressly understanding or representation is expressly stated in stated. this contract. (c) Where “as shown”, “as indicated”, “as detailed”, or words of similar import are used, it shall be understood that the 8. Differing Site Conditions reference is made to the drawings accompanying this contract unless stated otherwise. The word “provided” as (a) The Contractor shall promptly, and before the conditions used herein shall be understood to mean “provide are disturbed, give a written notice to the Contracting complete in place” that is “furnished and installed”. Officer of (1) subsurface or latent physical conditions at (d) “Shop drawings” means drawings, submitted to the PHA the site which differ materially from those indicated in this by the Contractor, subcontractor, or any lower tier contract, or (2) unknown physical conditions at the site(s), subcontractor, showing in detail (1) the proposed of an unusual nature, which differ materially from those fabrication and assembly of structural elements and (2) ordinarily encountered and generally recognized as the installation (i.e., form, fit, and attachment details) of inhering in work of the character provided for in the materials of equipment. It includes drawings, diagrams, contract. layouts, schematics, descriptive literature, illustrations, (b) The Contracting Officer shall investigate the site schedules, performance and test data, and similar conditions promptly after receiving the notice. Work shall materials furnished by the Contractor to explain in detail not proceed at the affected site, except at the specific portions of the work required by the contract. The Contractor’s risk, until the Contracting Officer has PHA may duplicate, use, and disclose in any manner and provided written instructions to the Contractor. If the for any purpose shop drawings delivered under this conditions do materially so differ and cause an increase contract. or decrease in the Contractor’s cost of, or the time (e) If this contract requires shop drawings, the Contractor required for, performing any part of the work under this shall coordinate all such drawings, and review them for contract, whether or not changed as a result of the accuracy, completeness, and compliance with other conditions, the Contractor shall file a claim in writing to contract requirements and shall indicate its approval the PHA within ten days after receipt of such instructions thereon as evidence of such coordination and review. and, in any event, before proceeding with the work. An Shop drawings submitted to the Contracting Officer equitable adjustment in the contract price, the delivery without evidence of the Contractor’s approval may be schedule, or both shall be made under this clause and returned for resubmission. The Contracting Officer will the contract modified in writing accordingly. indicate an approval or disapproval of the shop drawings (c) No request by the Contractor for an equitable adjustment and if not approved as submitted shall indicate the PHA’s to the contract under this clause shall be allowed, unless reasons therefore. Any work done before such approval the Contractor has given the written notice required; shall be at the Contractor’s risk. Approval by the provided, that the time prescribed in (a) above for giving Contracting Officer shall not relieve the Contractor from written notice may be extended by the Contracting responsibility for any errors or omissions in such Officer. drawings, nor from responsibility for complying with the (d) No request by the Contractor for an equitable adjustment requirements of this contract, except with respect to to the contract for differing site conditions shall be variations described and approved in accordance with (f) allowed if made after final payment under this contract. below. (f) If shop drawings show variations from the contract 9. Specifications and Drawings for Construction requirements, the Contractor shall describe such variations in writing, separate from the drawings, at the (a) The Contractor shall keep on the work site a copy of the time of submission. If the Architect approves any such drawings and specifications and shall at all times give the variation and the Contracting Officer concurs, the Contracting Officer access thereto. Anything mentioned Contracting Officer shall issue an appropriate in the specifications and not shown on the drawings, or modification to the contract, except that, if the variation is shown on the drawings and not mentioned in the minor or does not involve a change in price or in time of specifications, shall be of like effect as if shown or performance, a modification need not be issued. mentioned in both. In case of difference between (g) It shall be the responsibility of the Contractor to make drawings and specifications, the specifications shall timely requests of the PHA for such large scale and full govern. In case of discrepancy in the figures, in the size drawings, color schemes, and other additional drawings, or in the specifications, the matter shall be information, not already in his possession, which shall be Previous editions are obsolete Page 4 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G required in the planning and production of the work. Such machinery and mechanical and other equipment. requests may be submitted as the need arises, but each When required by this contract or by the Contracting such request shall be filed in ample time to permit Officer, the Contractor shall also obtain the appropriate action to be taken by all parties involved so Contracting Officer’s approval of the material or as to avoid delay. articles which the Contractor contemplates (h) The Contractor shall submit to the Contracting Officer for incorporating into the work. When requesting approval four copies (unless otherwise indicated) of all approval, the Contractor shall provide full information shop drawings as called for under the various headings concerning the material or articles. Machinery, of these specifications. Three sets (unless otherwise equipment, material, and articles that do not have the indicated) of all shop drawings, will be retained by the required approval shall be installed or used at the risk PHA and one set will be returned to the Contractor. As of subsequent rejection. required by the Contracting Officer, the Contractor, upon (2) When required by the specifications or the completing the work under this contract, shall furnish a Contracting Officer, the Contractor shall submit complete set of all shop drawings as finally approved. appropriately marked samples (and certificates These drawings shall show all changes and revisions related to them) for approval at the Contractor’s made up to the time the work is completed and accepted. expense, with all shipping charges prepaid. The (i) This clause shall be included in all subcontracts at any Contractor shall label, or otherwise properly mark on tier. It shall be the responsibility of the Contractor to the container, the material or product represented, its ensure that all shop drawings prepared by subcontractors place of origin, the name of the producer, the are submitted to the Contracting Officer. Contractor’s name, and the identification of the construction project for which the material or product 10. As-Built Drawings is intended to be used. (3) Certificates shall be submitted in triplicate, describing (a) “As-built drawings,” as used in this clause, means each sample submitted for approval and certifying drawings submitted by the Contractor or subcontractor at that the material, equipment or accessory complies any tier to show the construction of a particular structure with contract requirements. The certificates shall or work as actually completed under the contract. “As- include the name and brand of the product, name of built drawings” shall be synonymous with “Record manufacturer, and the location where produced. drawings.” (4) Approval of a sample shall not constitute a waiver of (b) As required by the Contracting Officer, the Contractor the PHA right to demand full compliance with contract shall provide the Contracting Officer accurate information requirements. Materials, equipment and accessories to be used in the preparation of permanent as-built may be rejected for cause even though samples have drawings. For this purpose, the Contractor shall record on been approved. one set of contract drawings all changes from the (5) Wherever materials are required to comply with installations originally indicated, and record final locations recognized standards or specifications, such of underground lines by depth from finish grade and by specifications shall be accepted as establishing the accurate horizontal offset distances to permanent surface technical qualities and testing methods, but shall not improvements such as buildings, curbs, or edges of govern the number of tests required to be made nor walks. modify other contract requirements. The Contracting (c) This clause shall be included in all subcontracts at any Officer may require laboratory test reports on items tier. It shall be the responsibility of the Contractor to submitted for approval or may approve materials on ensure that all as-built drawings prepared by the basis of data submitted in certificates with subcontractors are submitted to the Contracting Officer. samples. Check tests will be made on materials delivered for use only as frequently as the Contracting 11. Material and Workmanship Officer determines necessary to insure compliance of materials with the specifications. The Contractor will (a) All equipment, material, and articles furnished under this assume all costs of retesting materials which fail to contract shall be new and of the most suitable grade for meet contract requirements and/or testing materials the purpose intended, unless otherwise specifically offered in substitution for those found deficient. provided in this contract. References in the contract to (6) After approval, samples will be kept in the Project equipment, material, articles, or patented processes by office until completion of work. They may be built into trade name, make, or catalog number, shall be regarded the work after a substantial quantity of the materials as establishing a standard of quality and shall not be they represent has been built in and accepted. construed as limiting competition. The Contractor may, at (c) Requirements concerning lead-based paint. The its option, use any equipment, material, article, or Contractor shall comply with the requirements concerning process that, in the judgment of, and as approved by the lead-based paint contained in the Lead-Based Paint Contracting Officer, is equal to that named in the Poisoning Prevention Act (42 U.S.C. 4821-4846) as specifications, unless otherwise specifically provided in implemented by 24 CFR Part 35. this contract. (b) Approval of equipment and materials. 12. Permits and Codes (1) The Contractor shall obtain the Contracting Officer’s approval of the machinery and mechanical and other (a) The Contractor shall give all notices and comply with all equipment to be incorporated into the work. When applicable laws, ordinances, codes, rules and requesting approval, the Contractor shall furnish to regulations. Notwithstanding the requirement of the the Contracting Officer the name of the manufacturer, Contractor to comply with the drawings and specifications the model number, and other information concerning in the contract, all work installed shall comply with all the performance, capacity, nature, and rating of the applicable codes and regulations as amended by any Previous editions are obsolete Page 5 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G waivers. Before installing the work, the Contractor shall examine the drawings and the specifications for 14. Temporary Heating compliance with applicable codes and regulations bearing on the work and shall immediately report any The Contractor shall provide and pay for temporary discrepancy it may discover to the Contracting Officer. heating, covering, and enclosures necessary to properly Where the requirements of the drawings and protect all work and materials against damage by specifications fail to comply with the applicable code or dampness and cold, to dry out the work, and to facilitate regulation, the Contracting Officer shall modify the the completion of the work. Any permanent heating contract by change order pursuant to the clause entitled equipment used shall be turned over to the PHA in the Changes herein to conform to the code or regulation. condition and at the time required by the specifications. (b) The Contractor shall secure and pay for all permits, fees, and licenses necessary for the proper execution and 15. Availability and Use of Utility Services completion of the work. Where the PHA can arrange for the issuance of all or part of these permits, fees and (a) The PHA shall make all reasonably required amounts of licenses, without cost to the Contractor, the contract utilities available to the Contractor from existing outlets amount shall be reduced accordingly. and supplies, as specified in the contract. Unless otherwise provided in the contract, the amount of each 13. Health, Safety, and Accident Prevention utility service consumed shall be charged to or paid for by the Contractor at prevailing rates charged to the PHA or, (a) In performing this contract, the Contractor shall: where the utility is produced by the PHA, at reasonable (1) Ensure that no laborer or mechanic shall be required rates determined by the Contracting Officer. The to work in surroundings or under working conditions Contractor shall carefully conserve any utilities furnished which are unsanitary, hazardous, or dangerous to without charge. his/her health and/or safety as determined under (b) The Contractor, at its expense and in a manner construction safety and health standards promulgated satisfactory to the Contracting Officer, shall install and by the Secretary of Labor by regulation; maintain all necessary temporary connections and (2) Protect the lives, health, and safety of other persons; distribution lines, and all meters required to measure the (3) Prevent damage to property, materials, supplies, and amount of each utility used for the purpose of determining equipment; and, charges. Before final acceptance of the work by the PHA, (4) Avoid work interruptions. the Contractor shall remove all the temporary (b) For these purposes, the Contractor shall: connections, distribution lines, meters, and associated (1) Comply with regulations and standards issued by the paraphernalia. Secretary of Labor at 29 CFR Part 1926. Failure to comply may result in imposition of sanctions pursuant 16. Protection of Existing Vegetation, Structures, to the Contract Work Hours and Safety Standards Act Equipment, Utilities, and Improvements (Public Law 91-54, 83 Stat. 96), 40 U.S.C. 3701 et seq.; and (a) The Contractor shall preserve and protect all structures, (2) Include the terms of this clause in every subcontract equipment, and vegetation (such as trees, shrubs, and so that such terms will be binding on each grass) on or adjacent to the work site, which are not to be subcontractor. removed under this contract, and which do not (c) The Contractor shall maintain an accurate record of unreasonably interfere with the work required under this exposure data on all accidents incident to work contract. performed under this contract resulting in death, (b) The Contractor shall only remove trees when specifically traumatic injury, occupational disease, or damage to authorized to do so, and shall avoid damaging vegetation property, materials, supplies, or equipment, and shall that will remain in place. If any limbs or branches of trees report this data in the manner prescribed by 29 CFR Part are broken during performance of this contract, or by the 1904. careless operation of equipment, or by workmen, the (d) The Contracting Officer shall notify the Contractor of any Contractor shall trim those limbs or branches with a clean noncompliance with these requirements and of the cut and paint the cut with a tree-pruning compound as corrective action required. This notice, when delivered to directed by the Contracting Officer. the Contractor or the Contractor’s representative at the (c) The Contractor shall protect from damage all existing site of the work, shall be deemed sufficient notice of the improvements and utilities (1) at or near the work site and noncompliance and corrective action required. After (2) on adjacent property of a third party, the locations of receiving the notice, the Contractor shall immediately which are made known to or should be known by the take corrective action. If the Contractor fails or refuses to Contractor. Prior to disturbing the ground at the take corrective action promptly, the Contracting Officer construction site, the Contractor shall ensure that all may issue an order stopping all or part of the work until underground utility lines are clearly marked. satisfactory corrective action has been taken. The (d) The Contractor shall shore up, brace, underpin, secure, Contractor shall not base any claim or request for and protect as necessary all foundations and other parts equitable adjustment for additional time or money on any of existing structures adjacent to, adjoining, and in the stop order issued under these circumstances. vicinity of the site, which may be affected by the (e) The Contractor shall be responsible for its subcontractors’ excavations or other operations connected with the compliance with the provisions of this clause. The construction of the project. Contractor shall take such action with respect to any (e) Any equipment temporarily removed as a result of work subcontract as the PHA, the Secretary of Housing and under this contract shall be protected, cleaned, and Urban Development, or the Secretary of Labor shall replaced in the same condition as at the time of award of direct as a means of enforcing such provisions. this contract. Previous editions are obsolete Page 6 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (f) New work which connects to existing work shall The contactor shall comply with the Clean Air Act, as correspond in all respects with that to which it connects amended, 42 USC 7401 et seq., the Federal Water and/or be similar to existing work unless otherwise Pollution Control Water Act, as amended, 33 U.S.C. 1251 required by the specifications. et seq., and standards issued pursuant thereto in the (g) No structural members shall be altered or in any way facilities in which this contract is to be performed. weakened without the written authorization of the Contracting Officer, unless such work is clearly specified 19. Energy Efficiency in the plans or specifications. (h) If the removal of the existing work exposes discolored or The Contractor shall comply with mandatory standards unfinished surfaces, or work out of alignment, such and policies relating to energy efficiency which are surfaces shall be refinished, or the material replaced as contained in the energy conservation plan issued in necessary to make the continuous work uniform and compliance with the Energy Policy and Conservation Act harmonious. This, however, shall not be construed to (Pub.L. 94-163) for the State in which the work under the require the refinishing or reconstruction of dissimilar contract is performed. finishes previously exposed, or finished surfaces in good condition, but in different planes or on different levels 20. Inspection and Acceptance of Construction when brought together by the removal of intervening work, unless such refinishing or reconstruction is (a) Definitions. As used in this clause - specified in the plans or specifications. (1) “Acceptance” means the act of an authorized (i) The Contractor shall give all required notices to any representative of the PHA by which the PHA approves adjoining or adjacent property owner or other party before and assumes ownership of the work performed under this the commencement of any work. contract. Acceptance may be partial or complete. (j) The Contractor shall indemnify and save harmless the (2) “Inspection” means examining and testing the work PHA from any damages on account of settlement or the performed under the contract (including, when loss of lateral support of adjoining property, any damages appropriate, raw materials, equipment, components, and from changes in topography affecting drainage, and from intermediate assemblies) to determine whether it all loss or expense and all damages for which the PHA conforms to contract requirements. may become liable in consequence of such injury or (3) “Testing” means that element of inspection that damage to adjoining and adjacent structures and their determines the properties or elements, including premises. functional operation of materials, equipment, or their (k) The Contractor shall repair any damage to vegetation, components, by the application of established scientific structures, equipment, utilities, or improvements, principles and procedures. including those that are the property of a third party, (b) The Contractor shall maintain an adequate inspection resulting from failure to comply with the requirements of system and perform such inspections as will ensure that this contract or failure to exercise reasonable care in the work performed under the contract conforms to performing the work. If the Contractor fails or refuses to contract requirements. All work is subject to PHA repair the damage promptly, the Contracting Officer may inspection and test at all places and at all reasonable have the necessary work performed and charge the cost times before acceptance to ensure strict compliance with to the Contractor. the terms of the contract. (c) PHA inspections and tests are for the sole benefit of the 17. Temporary Buildings and Transportation of Materials PHA and do not: (1) relieve the Contractor of responsibility for providing adequate quality control (a) Temporary buildings (e.g., storage sheds, shops, offices, measures; (2) relieve the Contractor of responsibility for sanitary facilities) and utilities may be erected by the loss or damage of the material before acceptance; (3) Contractor only with the approval of the Contracting constitute or imply acceptance; or, (4) affect the Officer and shall be built with labor and materials continuing rights of the PHA after acceptance of the furnished by the Contractor without expense to the PHA. completed work under paragraph (j) below. The temporary buildings and utilities shall remain the (d) The presence or absence of the PHA inspector does not property of the Contractor and shall be removed by the relieve the Contractor from any contract requirement, nor Contractor at its expense upon completion of the work. is the inspector authorized to change any term or With the written consent of the Contracting Officer, the condition of the specifications without the Contracting buildings and utilities may be abandoned and need not Officer’s written authorization. All instructions and be removed. approvals with respect to the work shall be given to the (b) The Contractor shall, as directed by the Contracting Contractor by the Contracting Officer. Officer, use only established roadways, or use temporary (e) The Contractor shall promptly furnish, without additional roadways constructed by the Contractor when and as charge, all facilities, labor, and material reasonably authorized by the Contracting Officer. When materials are needed for performing such safe and convenient transported in prosecuting the work, vehicles shall not be inspections and tests as may be required by the loaded beyond the loading capacity recommended by the Contracting Officer. The PHA may charge to the manufacturer of the vehicle or prescribed by any federal, Contractor any additional cost of inspection or test when state, or local law or regulation. When it is necessary to work is not ready at the time specified by the Contractor cross curbs or sidewalks, the Contractor shall protect for inspection or test, or when prior rejection makes them from damage. The Contractor shall repair or pay for reinspection or retest necessary. The PHA shall perform the repair of any damaged curbs, sidewalks, or roads. all inspections and tests in a manner that will not unnecessarily delay the work. Special, full size, and 18. Clean Air and Water performance tests shall be performed as described in the contract. Previous editions are obsolete Page 7 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (f) The PHA may conduct routine inspections of the occupied without proper remuneration therefore. If prior construction site on a daily basis. possession or use by the PHA delays the progress of the (g) The Contractor shall, without charge, replace or correct work or causes additional expense to the Contractor, an work found by the PHA not to conform to contract equitable adjustment shall be made in the contract price requirements, unless the PHA decides that it is in its or the time of completion, and the contract shall be interest to accept the work with an appropriate modified in writing accordingly. adjustment in contract price. The Contractor shall promptly segregate and remove rejected material from 22. Warranty of Title the premises. (h) If the Contractor does not promptly replace or correct The Contractor warrants good title to all materials, rejected work, the PHA may (1) by contract or otherwise, supplies, and equipment incorporated in the work and replace or correct the work and charge the cost to the agrees to deliver the premises together with all Contractor, or (2) terminate for default the Contractor’s improvements thereon free from any claims, liens or right to proceed. charges, and agrees further that neither it nor any other (i) If any work requiring inspection is covered up without ap- person, firm or corporation shall have any right to a lien proval of the PHA, it must, if requested by the Contracting upon the premises or anything appurtenant thereto. Officer, be uncovered at the expense of the Contractor. If at any time before final acceptance of the entire work, the 23. Warranty of Construction PHA considers it necessary or advisable, to examine work already completed by removing or tearing it out, the (a) In addition to any other warranties in this contract, the Contractor, shall on request, promptly furnish all Contractor warrants, except as provided in paragraph (j) necessary facilities, labor, and material. If such work is of this clause, that work performed under this contract found to be defective or nonconforming in any material conforms to the contract requirements and is free of any respect due to the fault of the Contractor or its defect in equipment, material, or workmanship performed subcontractors, the Contractor shall defray all the by the Contractor or any subcontractor or supplier at any expenses of the examination and of satisfactory tier. This warranty shall continue for a period of ________ reconstruction. If, however, such work is found to meet (one year unless otherwise indicated) from the date of the requirements of the contract, the Contracting Officer final acceptance of the work. If the PHA takes possession shall make an equitable adjustment to cover the cost of of any part of the work before final acceptance, this the examination and reconstruction, including, if warranty shall continue for a period of (one year unless completion of the work was thereby delayed, an otherwise indicated) from the date that the PHA takes extension of time. possession. (j) The Contractor shall notify the Contracting Officer, in (b) The Contractor shall remedy, at the Contractor’s writing, as to the date when in its opinion all or a expense, any failure to conform, or any defect. In designated portion of the work will be substantially addition, the Contractor shall remedy, at the Contractor’s completed and ready for inspection. If the Architect expense, any damage to PHA-owned or controlled real or determines that the state of preparedness is as personal property when the damage is the result of— represented, the PHA will promptly arrange for the (1) The Contractor’s failure to conform to contract require- inspection. Unless otherwise specified in the contract, the ments; or PHA shall accept, as soon as practicable after completion (2) Any defects of equipment, material, workmanship or and inspection, all work required by the contract or that design furnished by the Contractor. portion of the work the Contracting Officer determines (c) The Contractor shall restore any work damaged in and designates can be accepted separately. Acceptance fulfilling the terms and conditions of this clause. The shall be final and conclusive except for latent defects, Contractor’s warranty with respect to work repaired or fraud, gross mistakes amounting to fraud, or the PHA’s replaced will run for (one year unless otherwise indicated) right under any warranty or guarantee. from the date of repair or replacement. (d) The Contracting Officer shall notify the Contractor, in 21. Use and Possession Prior to Completion writing, within a reasonable time after the discovery of any failure, defect or damage. (a) The PHA shall have the right to take possession of or use (e) If the Contractor fails to remedy any failure, defect, or any completed or partially completed part of the work. damage within a reasonable time after receipt of notice, Before taking possession of or using any work, the the PHA shall have the right to replace, repair or Contracting Officer shall furnish the Contractor a list of otherwise remedy the failure, defect, or damage at the items of work remaining to be performed or corrected on Contractor’s expense. those portions of the work that the PHA intends to take (f) With respect to all warranties, express or implied, from possession of or use. However, failure of the Contracting subcontractors, manufacturers, or suppliers for work Officer to list any item of work shall not relieve the performed and materials furnished under this contract, Contractor of responsibility for complying with the terms the Contractor shall: of the contract. The PHA’s possession or use shall not be (1) Obtain all warranties that would be given in normal deemed an acceptance of any work under the contract. commercial practice; (b) While the PHA has such possession or use, the (2) Require all warranties to be executed in writing, for the Contractor shall be relieved of the responsibility for (1) benefit of the PHA; and, the loss of or damage to the work resulting from the (3) Enforce all warranties for the benefit of the PHA. PHA’s possession or use, notwithstanding the terms of (g) In the event the Contractor’s warranty under paragraph the clause entitled Permits and Codes herein; (2) all (a) of this clause has expired, the PHA may bring suit at maintenance costs on the areas occupied; and, (3) its own expense to enforce a subcontractor’s, furnishing heat, light, power, and water used in the areas manufacturer’s or supplier’s warranty. Previous editions are obsolete Page 8 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (h) Unless a defect is caused by the negligence of the basis for determining progress payments. The breakdown Contractor or subcontractor or supplier at any tier, the shall be approved by the Contracting Officer and must be Contractor shall not be liable for the repair of any defect acceptable to HUD. If the contract covers more than one of material or design furnished by the PHA nor for the project, the Contractor shall furnish a separate repair of any damage that results from any defect in PHA breakdown for each. The values and quantities employed furnished material or design. in making up this breakdown are for determining the (i) Notwithstanding any provisions herein to the contrary, the amount of progress payments and shall not be construed establishment of the time periods in paragraphs (a) and as a basis for additions to or deductions from the contract (c) above relate only to the specific obligation of the price. The Contractor shall prorate its overhead and profit Contractor to correct the work, and have no relationship over the construction period of the contract. to the time within which its obligation to comply with the (d) The Contractor shall submit, on forms provided by the contract may be sought to be enforced, nor to the time PHA, periodic estimates showing the value of the work within which proceedings may be commenced to performed during each period based upon the approved establish the Contractor’s liability with respect to its breakdown of the contract price. Such estimates shall be obligation other than specifically to correct the work. submitted not later than _________ days in advance of (j) This warranty shall not limit the PHA’s rights under the the date set for payment and are subject to correction Inspection and Acceptance of Construction clause of this and revision as required. The estimates must be contract with respect to latent defects, gross mistakes or approved by the Contracting Officer with the concurrence fraud. of the Architect prior to payment. If the contract covers more than one project, the Contractor shall furnish a 24. Prohibition Against Liens separate progress payment estimate for each. (e) Along with each request for progress payments and the The Contractor is prohibited from placing a lien on the required estimates, the Contractor shall furnish the PHA’s property. This prohibition shall apply to all following certification, or payment shall not be made: subcontractors at any tier and all materials suppliers. I hereby certify, to the best of my knowledge and belief, that: Administrative Requirements (1) The amounts requested are only for performance in accordance with the specifications, terms, and 25. Contract Period conditions of the contract; (2) Payments to subcontractors and suppliers have been The Contractor shall complete all work required under made from previous payments received under the this contract within _______ calendar days of the contract, and timely payments will be made from the effective date of the contract, or within the time schedule proceeds of the payment covered by this certification, established in the notice to proceed issued by the in accordance with subcontract agreements; and, Contracting Officer. (3) This request for progress payments does not include any amounts which the prime contractor intends to 26. Order of Provisions withhold or retain from a subcontractor or supplier in accordance with the terms and conditions of the In the event of a conflict between these General subcontract. Conditions and the Specifications, the General Conditions shall prevail. In the event of a conflict between _________________________________________ the contract and any applicable state or local law or Name: regulation, the state or local law or regulation shall prevail; provided that such state or local law or regulation _________________________________________ does not conflict with, or is less restrictive than applicable Title: federal law, regulation, or Executive Order. In the event of such a conflict, applicable federal law, regulation, and _________________________________________ Executive Order shall prevail. Date: 27. Payments (f) Except as otherwise provided in State law, the PHA shall retain ten (10) percent of the amount of progress (a) The PHA shall pay the Contractor the price as provided in payments until completion and acceptance of all work this contract. under the contract; except, that if upon completion of 50 (b) The PHA shall make progress payments approximately percent of the work, the Contracting Officer, after every 30 days as the work proceeds, on estimates of consulting with the Architect, determines that the work accomplished which meets the standards of quality Contractor’s performance and progress are satisfactory, established under the contract, as approved by the the PHA may make the remaining payments in full for the Contracting Officer. The PHA may, subject to written work subsequently completed. If the Contracting Officer determination and approval of the Contracting Officer, subsequently determines that the Contractor’s make more frequent payments to contractors which are performance and progress are unsatisfactory, the PHA qualified small businesses. shall reinstate the ten (10) percent (or other percentage (c) Before the first progress payment under this contract, the as provided in State law) retainage until such time as the Contractor shall furnish, in such detail as requested by Contracting Officer determines that performance and the Contracting Officer, a breakdown of the total contract progress are satisfactory. price showing the amount included therein for each (g) The Contracting Officer may authorize material delivered principal category of the work, which shall substantiate on the site and preparatory work done to be taken into the payment amount requested in order to provide a consideration when computing progress payments. Previous editions are obsolete Page 9 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G Material delivered to the Contractor at locations other responsibilities of the parties (e.g., change in the PHA than the site may also be taken into consideration if the address). All other contract modifications shall be in the Contractor furnishes satisfactory evidence that (1) it has form of supplemental agreements signed by the acquired title to such material; (2) the material is properly Contractor and the Contracting Officer. stored in a bonded warehouse, storage yard, or similar (c) When a proposed modification requires the approval of suitable place as may be approved by the Contracting HUD prior to its issuance (e.g., a change order that Officer; (3) the material is insured to cover its full value; exceeds the PHA’s approved threshold), such and (4) the material will be used to perform this contract. modification shall not be effective until the required Before any progress payment which includes delivered approval is received by the PHA. material is made, the Contractor shall furnish such documentation as the Contracting Officer may require to 29. Changes assure the protection of the PHA’s interest in such materials. The Contractor shall remain responsible for (a) The Contracting Officer may, at any time, without notice such stored material notwithstanding the transfer of title to the sureties, by written order designated or indicated to to the PHA. be a change order, make changes in the work within the (h) All material and work covered by progress payments general scope of the contract including changes: made shall, at the time of payment become the sole (1) In the specifications (including drawings and designs); property of the PHA, but this shall not be construed as (1) (2) In the method or manner of performance of the work; relieving the Contractor from the sole responsibility for all (3) PHA-furnished facilities, equipment, materials, material and work upon which payments have been services, or site; or, made or the restoration of any damaged work; or, (2) (4) Directing the acceleration in the performance of the waiving the right of the PHA to require the fulfillment of all work. of the terms of the contract. In the event the work of the (b) Any other written order or oral order (which, as used in Contractor has been damaged by other contractors or this paragraph (b), includes direction, instruction, persons other than employees of the PHA in the course interpretation, or determination) from the Contracting of their employment, the Contractor shall restore such Officer that causes a change shall be treated as a damaged work without cost to the PHA and to seek change order under this clause; provided, that the redress for its damage only from those who directly Contractor gives the Contracting Officer written notice caused it. stating (1) the date, circumstances and source of the (i) The PHA shall make the final payment due the Contractor order and (2) that the Contractor regards the order as a under this contract after (1) completion and final change order. acceptance of all work; and (2) presentation of release of (c) Except as provided in this clause, no order, statement or all claims against the PHA arising by virtue of this conduct of the Contracting Officer shall be treated as a contract, other than claims, in stated amounts, that the change under this clause or entitle the Contractor to an Contractor has specifically excepted from the operation of equitable adjustment. the release. Each such exception shall embrace no more (d) If any change under this clause causes an increase or than one claim, the basis and scope of which shall be decrease in the Contractor’s cost of, or the time required clearly defined. The amounts for such excepted claims for the performance of any part of the work under this shall not be included in the request for final payment. A contract, whether or not changed by any such order, the release may also be required of the assignee if the Contracting Officer shall make an equitable adjustment Contractor’s claim to amounts payable under this contract and modify the contract in writing. However, except for a has been assigned. adjustment based on defective specifications, no (j) Prior to making any payment, the Contracting Officer may proposal for any change under paragraph (b) above shall require the Contractor to furnish receipts or other be allowed for any costs incurred more than 20 days (5 evidence of payment from all persons performing work days for oral orders) before the Contractor gives written and supplying material to the Contractor, if the notice as required. In the case of defective specifications Contracting Officer determines such evidence is for which the PHA is responsible, the equitable necessary to substantiate claimed costs. adjustment shall include any increased cost reasonably (k) The PHA shall not; (1) determine or adjust any claims for incurred by the Contractor in attempting to comply with payment or disputes arising there under between the the defective specifications. Contractor and its subcontractors or material suppliers; (e) The Contractor must assert its right to an adjustment or, (2) withhold any moneys for the protection of the under this clause within 30 days after (1) receipt of a subcontractors or material suppliers. The failure or written change order under paragraph (a) of this clause, refusal of the PHA to withhold moneys from the or (2) the furnishing of a written notice under paragraph Contractor shall in nowise impair the obligations of any (b) of this clause, by submitting a written statement surety or sureties under any bonds furnished under this describing the general nature and the amount of the contract. proposal. If the facts justify it, the Contracting Officer may extend the period for submission. The proposal may be 28. Contract Modifications included in the notice required under paragraph (b) above. No proposal by the Contractor for an equitable (a) Only the Contracting Officer has authority to modify any adjustment shall be allowed if asserted after final term or condition of this contract. Any contract payment under this contract. modification shall be authorized in writing. (f) The Contractor’s written proposal for equitable adjustment (b) The Contracting Officer may modify the contract shall be submitted in the form of a lump sum proposal unilaterally (1) pursuant to a specific authorization stated supported with an itemized breakdown of all increases in a contract clause (e.g., Changes); or (2) for and decreases in the contract in at least the following administrative matters which do not change the rights or details: Previous editions are obsolete Page 10 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (1) Direct Costs. Materials (list individual items, the been so suspended, delayed, or interrupted by any other quantity and unit cost of each, and the aggregate cause, including the fault or negligence of the Contractor cost); Transportation and delivery costs associated or for which any equitable adjustment is provided for or with materials; Labor breakdowns by hours or unit excluded under any other provision of this contract. costs (identified with specific work to be performed); (c) A claim under this clause shall not be allowed (1) for any Construction equipment exclusively necessary for the costs incurred more than 20 days before the Contractor change; Costs of preparation and/ or revision to shop shall have notified the Contracting Officer in writing of the drawings resulting from the change; Worker’s act or failure to act involved (but this requirement shall Compensation and Public Liability Insurance; not apply as to a claim resulting from a suspension Employment taxes under FICA and FUTA; and, Bond order); and, (2) unless the claim, in an amount stated, is Costs when size of change warrants revision. asserted in writing as soon as practicable after the (2) Indirect Costs. Indirect costs may include overhead, termination of the suspension, delay, or interruption, but general and administrative expenses, and fringe not later than the date of final payment under the benefits not normally treated as direct costs. contract. (3) Profit. The amount of profit shall be negotiated and may vary according to the nature, extent, and 31. Disputes complexity of the work required by the change. The allowability of the direct and indirect costs shall be (a) “Claim,” as used in this clause, means a written demand determined in accordance with the Contract Cost or written assertion by one of the contracting parties Principles and Procedures for Commercial Firms in Part seeking, as a matter of right, the payment of money in a 31 of the Federal Acquisition Regulation (48 CFR 1-31), sum certain, the adjustment or interpretation of contract as implemented by HUD Handbook 2210.18, in effect on terms, or other relief arising under or relating to the the date of this contract. The Contractor shall not be contract. A claim arising under the contract, unlike a allowed a profit on the profit received by any claim relating to the contract, is a claim that can be subcontractor. Equitable adjustments for deleted work resolved under a contract clause that provides for the shall include a credit for profit and may include a credit relief sought by the claimant. A voucher, invoice, or other for indirect costs. On proposals covering both increases routine request for payment that is not in dispute when and decreases in the amount of the contract, the submitted is not a claim. The submission may be application of indirect costs and profit shall be on the net- converted to a claim by complying with the requirements change in direct costs for the Contractor or subcontractor of this clause, if it is disputed either as to liability or performing the work. amount or is not acted upon in a reasonable time. (g) The Contractor shall include in the proposal its request (b) Except for disputes arising under the clauses entitled for time extension (if any), and shall include sufficient Labor Standards - Davis Bacon and Related Acts, herein, information and dates to demonstrate whether and to all disputes arising under or relating to this contract, what extent the change will delay the completion of the including any claims for damages for the alleged breach contract in its entirety. thereof which are not disposed of by agreement, shall be (h) The Contracting Officer shall act on proposals within 30 resolved under this clause. days after their receipt, or notify the Contractor of the (c) All claims by the Contractor shall be made in writing and date when such action will be taken. submitted to the Contracting Officer for a written decision. (i) Failure to reach an agreement on any proposal shall be a A claim by the PHA against the Contractor shall be dispute under the clause entitled Disputes herein. subject to a written decision by the Contracting Officer. Nothing in this clause, however, shall excuse the (d) The Contracting Officer shall, within 60 (unless otherwise Contractor from proceeding with the contract as changed. indicated) days after receipt of the request, decide the (j) Except in an emergency endangering life or property, no claim or notify the Contractor of the date by which the change shall be made by the Contractor without a prior decision will be made. order from the Contracting Officer. (e) The Contracting Officer’s decision shall be final unless the Contractor (1) appeals in writing to a higher level in 30. Suspension of Work the PHA in accordance with the PHA’s policy and procedures, (2) refers the appeal to an independent (a) The Contracting Officer may order the Contractor in mediator or arbitrator, or (3) files suit in a court of writing to suspend, delay, or interrupt all or any part of the competent jurisdiction. Such appeal must be made within work of this contract for the period of time that the (30 unless otherwise indicated) days after receipt of the Contracting Officer determines appropriate for the Contracting Officer’s decision. convenience of the PHA. (f) The Contractor shall proceed diligently with performance (b) If the performance of all or any part of the work is, for an of this contract, pending final resolution of any request for unreasonable period of time, suspended, delayed, or relief, claim, appeal, or action arising under or relating to interrupted (1) by an act of the Contracting Officer in the the contract, and comply with any decision of the administration of this contract, or (2) by the Contracting Contracting Officer. Officer’s failure to act within the time specified (or within a reasonable time if not specified) in this contract an 32. Default adjustment shall be made for any increase in the cost of performance of the contract (excluding profit) necessarily (a) If the Contractor refuses or fails to prosecute the work, or caused by such unreasonable suspension, delay, or any separable part thereof, with the diligence that will interruption and the contract modified in writing insure its completion within the time specified in this accordingly. However, no adjustment shall be made contract, or any extension thereof, or fails to complete under this clause for any suspension, delay, or said work within this time, the Contracting Officer may, by interruption to the extent that performance would have written notice to the Contractor, terminate the right to Previous editions are obsolete Page 11 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G proceed with the work (or separable part of the work) that completion of the work together with any increased costs has been delayed. In this event, the PHA may take over occasioned the PHA in completing the work. the work and complete it, by contract or otherwise, and (c) If the PHA does not terminate the Contractor’s right to may take possession of and use any materials, proceed, the resulting damage will consist of liquidated equipment, and plant on the work site necessary for damages until the work is completed or accepted. completing the work. The Contractor and its sureties shall be liable for any damage to the PHA resulting from the 34. Termination for Convenience Contractor’s refusal or failure to complete the work within the specified time, whether or not the Contractor’s right to (a) The Contracting Officer may terminate this contract in proceed with the work is terminated. This liability includes whole, or in part, whenever the Contracting Officer any increased costs incurred by the PHA in completing determines that such termination is in the best interest of the work. the PHA. Any such termination shall be effected by (b) The Contractor’s right to proceed shall not be terminated delivery to the Contractor of a Notice of Termination or the Contractor charged with damages under this specifying the extent to which the performance of the clause if— work under the contract is terminated, and the date upon (1) The delay in completing the work arises from which such termination becomes effective. unforeseeable causes beyond the control and without (b) If the performance of the work is terminated, either in the fault or negligence of the Contractor. Examples of whole or in part, the PHA shall be liable to the Contractor such causes include (i) acts of God, or of the public for reasonable and proper costs resulting from such enemy, (ii) acts of the PHA or other governmental termination upon the receipt by the PHA of a properly entity in either its sovereign or contractual capacity, presented claim setting out in detail: (1) the total cost of (iii) acts of another contractor in the performance of a the work performed to date of termination less the total contract with the PHA, (iv) fires, (v) floods, (vi) amount of contract payments made to the Contractor; (2) epidemics, (vii) quarantine restrictions, (viii) strikes, the cost (including reasonable profit) of settling and (ix) freight embargoes, (x) unusually severe weather, paying claims under subcontracts and material orders for or (xi) delays of subcontractors or suppliers at any tier work performed and materials and supplies delivered to arising from unforeseeable causes beyond the control the site, payment for which has not been made by the and without the fault or negligence of both the PHA to the Contractor or by the Contractor to the Contractor and the subcontractors or suppliers; and subcontractor or supplier; (3) the cost of preserving and (2) The Contractor, within days (10 days unless otherwise protecting the work already performed until the PHA or indicated) from the beginning of such delay (unless assignee takes possession thereof or assumes extended by the Contracting Officer) notifies the responsibility therefore; (4) the actual or estimated cost of Contracting Officer in writing of the causes of delay. legal and accounting services reasonably necessary to The Contracting Officer shall ascertain the facts and prepare and present the termination claim to the PHA; the extent of the delay. If, in the judgment of the and (5) an amount constituting a reasonable profit on the Contracting Officer, the findings of fact warrant such value of the work performed by the Contractor. action, time for completing the work shall be extended (c) The Contracting Officer will act on the Contractor’s claim by written modification to the contract. The findings of within days (60 days unless otherwise indicated) of the Contracting Officer shall be reduced to a written receipt of the Contractor’s claim. decision which shall be subject to the provisions of (d) Any disputes with regard to this clause are expressly the Disputes clause of this contract. made subject to the provisions of the Disputes clause of (c) If, after termination of the Contractor’s right to proceed, it this contract. is determined that the Contractor was not in default, or that the delay was excusable, the rights and obligations 35. Assignment of Contract of the parties will be the same as if the termination had been for convenience of the PHA. The Contractor shall not assign or transfer any interest in this contract; except that claims for monies due or to 33. Liquidated Damages become due from the PHA under the contract may be assigned to a bank, trust company, or other financial (a) If the Contractor fails to complete the work within the time institution. Such assignments of claims shall only be specified in the contract, or any extension, as specified in made with the written concurrence of the Contracting the clause entitled Default of this contract, the Contractor Officer. If the Contractor is a partnership, this contract shall pay to the PHA as liquidated damages, the sum of shall inure to the benefit of the surviving or remaining $___________ Contracting Officer insert amount] for member(s) of such partnership as approved by the each day of delay. If different completion dates are Contracting Officer. specified in the contract for separate parts or stages of the work, the amount of liquidated damages shall be 36. Insurance assessed on those parts or stages which are delayed. To the extent that the Contractor’s delay or nonperformance (a) Before commencing work, the Contractor and each is excused under another clause in this contract, subcontractor shall furnish the PHA with certificates of liquidated damages shall not be due the PHA. The insurance showing the following insurance is in force and Contractor remains liable for damages caused other than will insure all operations under the Contract: by delay. (1) Workers’ Compensation, in accordance with state or (b) If the PHA terminates the Contractor’s right to proceed, Territorial Workers’ Compensation laws. the resulting damage will consist of liquidated damages (2) Commercial General Liability with a combined single until such reasonable time as may be required for final limit for bodily injury and property damage of not less than $________ [Contracting Officer insert amount] Previous editions are obsolete Page 12 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G per occurrence to protect the Contractor and each (2) “Subcontractor” means any supplier, vendor, or firm subcontractor against claims for bodily injury or death that furnishes supplies, materials, equipment, or and damage to the property of others. This shall services to or for the Contractor or another cover the use of all equipment, hoists, and vehicles subcontractor. on the site(s) not covered by Automobile Liability (b) The Contractor shall not enter into any subcontract with under (3) below. If the Contractor has a “claims- any subcontractor who has been temporarily denied made” policy, then the following additional participation in a HUD program or who has been requirements apply: the policy must provide a suspended or debarred from participating in contracting “retroactive date” which must be on or before the programs by any agency of the United States execution date of the Contract; and the extended Government or of the state in which the work under this reporting period may not be less than five years contract is to be performed. following the completion date of the Contract. (c) The Contractor shall be as fully responsible for the acts or (3) Automobile Liability on owned and non -owned motor omissions of its subcontractors, and of persons either vehicles used on the site(s) or in connection therewith directly or indirectly employed by them as for the acts or for a combined single limit for bodily injury and omissions of persons directly employed by the property damage of not less than $______ Contractor. [Contracting Officer insert amount] per occurrence. (d) The Contractor shall insert appropriate clauses in all (b) Before commencing work, the Contractor shall furnish the subcontracts to bind subcontractors to the terms and PHA with a certificate of insurance evidencing that conditions of this contract insofar as they are applicable Builder’s Risk (fire and extended coverage) Insurance on to the work of subcontractors. all work in place and/or materials stored at the building (e) Nothing contained in this contract shall create any site(s), including foundations and building equipment, is contractual relationship between any subcontractor and in force. The Builder’s Risk Insurance shall be for the the PHA or between the subcontractor and HUD. benefit of the Contractor and the PHA as their interests may appear and each shall be named in the policy or 38. Subcontracting with Small and Minority Firms, policies as an insured. The Contractor in installing Women’s Business Enterprise, and Labor Surplus equipment supplied by the PHA shall carry insurance on Area Firms such equipment from the time the Contractor takes possession thereof until the Contract work is accepted by The Contractor shall take the following steps to ensure the PHA. The Builder’s Risk Insurance need not be that, whenever possible, subcontracts are awarded to carried on excavations, piers, footings, or foundations small business firms, minority firms, women’s business until such time as work on the superstructure is started. It enterprises, and labor surplus area firms: need not be carried on landscape work. Policies shall (a) Placing qualified small and minority businesses and furnish coverage at all times for the full cash value of all women’s business enterprises on solicitation lists; completed construction, as well as materials in place (b) Ensuring that small and minority businesses and and/or stored at the site(s), whether or not partial women’s business enterprises are solicited whenever payment has been made by the PHA. The Contractor they are potential sources; may terminate this insurance on buildings as of the date (c) Dividing total requirements, when economically feasible, taken over for occupancy by the PHA. The Contractor is into smaller tasks or quantities to permit maximum not required to carry Builder’s Risk Insurance for participation by small and minority businesses and modernization work which does not involve structural women’s business enterprises; alterations or additions and where the PHA’s existing fire (d) Establishing delivery schedules, where the requirements and extended coverage policy can be endorsed to of the contract permit, which encourage participation by include such work. small and minority businesses and women’s business (c) All insurance shall be carried with companies which are enterprises; and financially responsible and admitted to do business in the (e) Using the services and assistance of the U.S. Small State in which the project is located. If any such Business Administration, the Minority Business insurance is due to expire during the construction period, Development Agency of the U.S. Department of the Contractor (including subcontractors, as applicable) Commerce, and State and local governmental small shall not permit the coverage to lapse and shall furnish business agencies. evidence of coverage to the Contracting Officer. All certificates of insurance, as evidence of coverage, shall 39. Equal Employment Opportunity provide that no coverage may be canceled or non- renewed by the insurance company until at least 30 days During the performance of this contract, the Contractor prior written notice has been given to the Contracting agrees as follows: Officer. (a) The Contractor shall not discriminate against any employee or applicant for employment because of race, 37. Subcontracts color, religion, sex, national origin, or handicap. (b) The Contractor shall take affirmative action to ensure that (a) Definitions. As used in this contract - applicants are employed, and that employees are treated (1) “Subcontract” means any contract, purchase order, or during employment without regard to their race, color, other purchase agreement, including modifications religion, sex, national origin, or handicap. Such action and change orders to the foregoing, entered into by a shall include, but not be limited to, (1) employment, (2) subcontractor to furnish supplies, materials, upgrading, (3) demotion, (4) transfer, (5) recruitment or equipment, and services for the performance of the recruitment advertising, (6) layoff or termination, (7) rates prime contract or a subcontract. of pay or other forms of compensation, and (8) selection for training, including apprenticeship. Previous editions are obsolete Page 13 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (c) The Contractor shall post in conspicuous places available (a) The work to be performed under this contract is subject to to employees and applicants for employment the notices the requirements of section 3 of the Housing and Urban to be provided by the Contracting Officer that explain this Development Act of 1968, as amended, 12 U.S.C. 1701u clause. (section 3). The purpose of section 3 is to ensure that (d) The Contractor shall, in all solicitations or advertisements employment and other economic opportunities generated for employees placed by or on behalf of the Contractor, by HUD assistance or HUD-assisted projects covered by state that all qualified applicants will receive section 3, shall, to the greatest extent feasible, be consideration for employment without regard to race, directed to low- and very low-income persons, particularly color, religion, sex, national origin, or handicap. persons who are recipients of HUD assistance for (e) The Contractor shall send, to each labor union or housing. representative of workers with which it has a collective (b) The parties to this contract agree to comply with HUD's bargaining agreement or other contract or understanding, regulations in 24 CFR Part 135, which implement section the notice to be provided by the Contracting Officer 3. As evidenced by their execution of this contract, the advising the labor union or workers’ representative of the parties to this contract certify that they are under no Contractor’s commitments under this clause, and post contractual or other impediment that would prevent them copies of the notice in conspicuous places available to from complying with the Part 135 regulations. employees and applicants for employment. (c) The contractor agrees to send to each labor organization (f) The Contractor shall comply with Executive Order 11246, or representative of workers with which the contractor as amended, and the rules, regulations, and orders of the has a collective bargaining agreement or other Secretary of Labor. understanding, if any, a notice advising the labor (g) The Contractor shall furnish all information and reports organization or workers' representative of the contractor's required by Executive Order 11246, as amended, Section commitments under this section 3 clause, and will post 503 of the Rehabilitation Act of 1973, as amended, and copies of the notice in conspicuous places at the work by rules, regulations, and orders of the Secretary of site where both employees and applicants for training Labor, or pursuant thereto. The Contractor shall permit and employment positions can see the notice. The notice access to its books, records, and accounts by the shall describe the section 3 preference, shall set forth Secretary of Labor for purposes of investigation to minimum number and job titles subject to hire, availability ascertain compliance with such rules, regulations, and of apprenticeship and training positions, the qualifications orders. for each; and the name and location of the person(s) (h) In the event of a determination that the Contractor is not taking applications for each of the positions; and the in compliance with this clause or any rule, regulation, or anticipated date the work shall begin. order of the Secretary of Labor, this contract may be (d) The contractor agrees to include this section 3 clause in canceled, terminated, or suspended in whole or in part, every subcontract subject to compliance with regulations and the Contractor may be declared ineligible for further in 24 CFR Part 135, and agrees to take appropriate Government contracts, or Federally assisted construction action, as provided in an applicable provision of the contracts under the procedures authorized in Executive subcontract or in this section 3 clause, upon a finding that Order 11246, as amended. In addition, sanctions may be the subcontractor is in violation of the regulations in 24 imposed and remedies invoked against the Contractor as CFR Part 135. The contractor will not subcontract with provided in Executive Order 11246, as amended, the any subcontractor where the contractor has notice or rules, regulations, and orders of the Secretary of Labor, knowledge that the subcontractor has been found in or as otherwise provided by law. violation of the regulations in 24 CFR Part 135. (i) The Contractor shall include the terms and conditions of (e) The contractor will certify that any vacant employment this clause in every subcontract or purchase order unless positions, including training positions, that are filled (1) exempted by the rules, regulations, or orders of the after the contractor is selected but before the contract is Secretary of Labor issued under Executive Order 11246, executed, and (2) with persons other than those to whom as amended, so that these terms and conditions will be the regulations of 24 CFR Part 135 require employment binding upon each subcontractor or vendor. The opportunities to be directed, were not filled to circumvent Contractor shall take such action with respect to any the contractor's obligations under 24 CFR Part 135. subcontract or purchase order as the Secretary of (f) Noncompliance with HUD's regulations in 24 CFR Part Housing and Urban Development or the Secretary of 135 may result in sanctions, termination of this contract Labor may direct as a means of enforcing such for default, and debarment or suspension from future provisions, including sanctions for noncompliance; HUD assisted contracts. provided that if the Contractor becomes involved in, or is (g) With respect to work performed in connection with section threatened with, litigation with a subcontractor or vendor 3 covered Indian housing assistance, section 7(b) of the as a result of such direction, the Contractor may request Indian Self-Determination and Education Assistance Act the United States to enter into the litigation to protect the (25 U.S.C. 450e) also applies to the work to be interests of the United States. performed under this contract. Section 7(b) requires that (j) Compliance with the requirements of this clause shall be to the greatest extent feasible (i) preference and to the maximum extent consistent with, but not in opportunities for training and employment shall be given derogation of, compliance with section 7(b) of the Indian to Indians, and (ii) preference in the award of contracts Self-Determination and Education Assistance Act and the and subcontracts shall be given to Indian organizations Indian Preference clause of this contract. and Indian-owned Economic Enterprises. Parties to this 40. Employment, Training, and Contracting contract that are subject to the provisions of section 3 Opportunities for Low-Income Persons, Section 3 of and section 7(b)agree to comply with section 3 to the the Housing and Urban Development Act of 1968. maximum extent feasible, but not in derogation of compliance with section 7(b). Previous editions are obsolete Page 14 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G 41. Interest of Members of Congress (a) The PHA, HUD, or Comptroller General of the United States, or any of their duly authorized representatives No member of or delegate to the Congress of the United shall, until 3 years after final payment under this contract, States of America shall be admitted to any share or part have access to and the right to examine any of the of this contract or to any benefit that may arise therefrom. Contractor’s directly pertinent books, documents, papers, or other records involving transactions related to this 42. Interest of Members, Officers, or Employees and contract for the purpose of making audit, examination, Former Members, Officers, or Employees excerpts, and transcriptions. (b) The Contractor agrees to include in first-tier subcontracts No member, officer, or employee of the PHA, no member under this contract a clause substantially the same as of the governing body of the locality in which the project paragraph (a) above. “Subcontract,” as used in this is situated, no member of the governing body of the clause, excludes purchase orders not exceeding locality in which the PHA was activated, and no other $10,000. public official of such locality or localities who exercises (c) The periods of access and examination in paragraphs (a) any functions or responsibilities with respect to the and (b) above for records relating to (1) appeals under project, shall, during his or her tenure, or for one year the Disputes clause of this contract, (2) litigation or thereafter, have any interest, direct or indirect, in this settlement of claims arising from the performance of this contract or the proceeds thereof. contract, or (3) costs and expenses of this contract to which the PHA, HUD, or Comptroller General or any of 43. Limitations on Payments made to Influence Certain their duly authorized representatives has taken exception Federal Financial Transactions shall continue until disposition of such appeals, litigation, claims, or exceptions. (a) The Contractor agrees to comply with Section 1352 of Title 31, United States Code which prohibits the use of 46. Labor Standards - Davis-Bacon and Related Acts Federal appropriated funds to pay any person for influencing or attempting to influence an officer or If the total amount of this contract exceeds $2,000, the employee of any agency, a Member of Congress, and Federal labor standards set forth in the clause below officer or employee of Congress, or an employee of a shall apply to the development or construction work to be Member of Congress in connection with any of the performed under the contract. following covered Federal actions: the awarding of any (a) Minimum Wages. Federal contract; the making of any Federal grant; the (1) All laborers and mechanics employed under this making of any Federal loan; the entering into of any contract in the development or construction of the cooperative agreement; or the modification of any project(s) involved will be paid unconditionally and not Federal contract, grant, loan, or cooperative agreement. less often than once a week, and without subsequent (b) The Contractor further agrees to comply with the deduction or rebate on any account (except such payroll requirement of the Act to furnish a disclosure (OMB deductions as are permitted by regulations issued by the Standard Form LLL, Disclosure of Lobbying Activities) if Secretary of Labor under the Copeland Act (29 CFR Part any funds other than Federal appropriated funds 3)), the full amount of wages and bona fide fringe benefits (including profit or fee received under a covered Federal (or cash equivalents thereof) due at time of payment transaction) have been paid, or will be paid, to any computed at rates not less than those contained in the person for influencing or attempting to influence an officer wage determination of the Secretary of Labor which is or employee of any agency, a Member of Congress, an attached hereto and made a part hereof, regardless of officer or employee of Congress, or an employee of a any contractual relationship which may be alleged to exist Member of Congress in connection with a Federal between the Contractor and such laborers and contract, grant, loan, or cooperative agreement. mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 44. Royalties and Patents 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers The Contractor shall pay all royalties and license fees. It or mechanics, subject to the provisions of 29 CFR shall defend all suits or claims for infringement of any 5.5(a)(1)(iv); also, regular contributions made or costs patent rights and shall save the PHA harmless from loss incurred for more than a weekly period (but not less often on account thereof; except that the PHA shall be than quarterly) under plans, funds, or programs which responsible for all such loss when a particular design, cover the regular weekly period, are deemed to be process or the product of a particular manufacturer or constructively made or incurred during such weekly manufacturers is specified and the Contractor has no period. Such laborers and mechanics shall be paid the reason to believe that the specified design, process, or appropriate wage rate and fringe benefits in the wage product is an infringement. If, however, the Contractor determination for the classification of work actually has reason to believe that any design, process or product performed, without regard to skill, except as provided in specified is an infringement of a patent, the Contractor 29 CFR 5.5(a)(4). Laborers or mechanics performing shall promptly notify the Contracting Officer. Failure to work in more than one classification may be give such notice shall make the Contractor responsible compensated at the rate specified for each classification for resultant loss. for the time actually worked therein; provided, that the employer’s payroll records accurately set forth the time 45. Examination and Retention of Contractor’s Records spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR 5.5(a)(1)(ii) and the Davis-Bacon poster (WH-1321) shall Previous editions are obsolete Page 15 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G be posted at all times by the Contractor and its amount of any costs reasonably anticipated in subcontractors at the site of the work in a prominent and providing bona fide fringe benefits under a plan or accessible place where it can be easily seen by the program; provided, that the Secretary of Labor has workers. found, upon the written request of the Contractor, that (2) (i) Any class of laborers or mechanics, including the applicable standards of the Davis-Bacon Act have helpers, which is not listed in the wage been met. The Secretary of Labor may require the determination and which is to be employed under Contractor to set aside in a separate account assets the contract shall be classified in conformance for the meeting of obligations under the plan or with the wage determination. HUD shall approve program. an additional classification and wage rate and (b) Withholding of funds. HUD or its designee shall, upon its fringe benefits therefor only when all the following own action or upon written request of an authorized criteria have been met: (A) The work to be representative of the Department of Labor, withhold or performed by the classification requested is not cause to be withheld from the Contractor under this performed by a classification in the wage contract or any other Federal contract with the same determination; and (B) The classification is utilized prime Contractor, or any other Federally-assisted in the area by the construction industry; and (C) contract subject to Davis-Bacon prevailing wage The proposed wage rate, including any bona fide requirements, which is held by the same prime fringe benefits, bears a reasonable relationship to Contractor, so much of the accrued payments or the wage rates contained in the wage advances as may be considered necessary to pay determination. laborers and mechanics, including apprentices, trainees, (ii) If the Contractor and the laborers and mechanics and helpers, employed by the Contractor or any to be employed in the classification (if known), or subcontractor the full amount of wages required by the their representatives, and HUD or its designee contract. In the event of failure to pay any laborer or agree on the classification and wage rate mechanic, including any apprentice, trainee, or helper, (including the amount designated for fringe employed or working in the construction or development benefits where appropriate), a report of the action of the project, all or part of the wages required by the taken shall be sent by HUD or its designee to the contract, HUD or its designee may, after written notice to Administrator of the Wage and Hour Division, the Contractor, take such action as may be necessary to Employee Standards Administration, U.S. cause the suspension of any further payment, advance, Department of Labor, Washington, DC 20210. or guarantee of funds until such violations have ceased. The Administrator, or an authorized HUD or its designee may, after written notice to the representative, will approve, modify, or disapprove Contractor, disburse such amounts withheld for and on every additional classification action within 30 account of the Contractor or subcontractor to the days of receipt and so advise HUD or its designee respective employees to whom they are due. or will notify HUD or its designee within the 30-day (c) Payrolls and basic records. period that additional time is necessary. (1) Payrolls and basic records relating thereto shall be (iii) In the event the Contractor, the laborers or maintained by the Contractor during the course of the mechanics to be employed in the classification or work and preserved for a period of three years their representatives, and HUD or its designee do thereafter for all laborers and mechanics working in not agree on the proposed classification and wage the construction or development of the project. Such rate (including the amount designated for fringe records shall contain the name, address, and social benefits, where appropriate), HUD or its designee security number of each such worker, his or her shall refer the questions, including the views of all correct classification, hourly rates of wages paid interested parties and the recommendation of (including rates of contributions or costs anticipated HUD or its designee, to the Administrator of the for bona fide fringe benefits or cash equivalents Wage and Hour Division for determination. The thereof of the types described in section 1(b)(2)(B) of Administrator, or an authorized representative, will the Davis-Bacon Act), daily and weekly number of issue a determination within 30 days of receipt hours worked, deductions made, and actual wages and so advise HUD or its designee or will notify paid. Whenever the Secretary of Labor has found, HUD or its designee within the 30-day period that under 29 CFR 5.5(a)(1)(iv), that the wages of any additional time is necessary. laborer or mechanic include the amount of costs (iv) The wage rate (including fringe benefits where reasonably anticipated in providing benefits under a appropriate) determined pursuant to plan or program described in section 1(b)(2)(B) of the subparagraphs (a)(2)(ii) or (iii) of this clause shall Davis-Bacon Act, the Contractor shall maintain be paid to all workers performing work in the records which show that the commitment to provide classification under this contract from the first day such benefits is enforceable, that the plan or program on which work is performed in classification. is financially responsible, and that the plan or (3) Whenever the minimum wage rate prescribed in the program has been communicated in writing to the contract for a class of laborers or mechanics includes laborers or mechanics affected, and records which a fringe benefit which is not expressed as an hourly show the costs anticipated or the actual cost incurred rate, the Contractor shall either pay the benefit as in providing such benefits. Contractors employing stated in the wage determination or shall pay another apprentices or trainees under approved programs bona fide fringe benefit or an hourly cash equivalent shall maintain written evidence of the registration of thereof. apprenticeship programs and certification of trainee (4) If the Contractor does not make payments to a trustee programs, the registration of the apprentices and or other third person, the Contractor may consider as trainees, and the ratios and wage rates prescribed in part of the wages of any laborer or mechanic the the applicable programs. Previous editions are obsolete Page 16 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G (2) (i) The Contractor shall submit weekly for each week make such records available may be grounds for in which any contract work is performed a copy of debarment action pursuant to 29 CFR 5.12. all payrolls to the Contracting Officer for (d) (1) Apprentices. Apprentices will be permitted to work at transmission to HUD or its designee. The payrolls less than the predetermined rate for the work they submitted shall set out accurately and completely performed when they are employed pursuant to and all of the information required to be maintained individually registered in a bona fide apprenticeship under subparagraph (c)(1) of this clause. This program registered with the U.S. Department of information may be submitted in any form desired. Labor, Employment and Training Administration, Optional Form WH-347 (Federal Stock Number Office of Apprenticeship and Training, Employer and 029-005-00014-1) is available for this purpose Labor Services (OATELS), or with a State and may be purchased from the Superintendent of Apprenticeship Agency recognized by OATELS, or if Documents, U.S. Government Printing Office, a person is employed in his or her first 90 days of Washington, D.C. 20402. The Contractor is probationary employment as an apprentice in such an responsible for the submission of copies of apprenticeship program, who is not individually payrolls by all subcontractors. (Approved by the registered in the program, but who has been certified Office of Management and Budget under OMB by OATELS or a State Apprenticeship Agency (where Control Number 1214-0149.) appropriate) to be eligible for probationary (ii) Each payroll submitted shall be accompanied by a employment as an apprentice. The allowable ratio of “Statement of Compliance,” signed by the apprentices to journeymen on the job site in any craft Contractor or subcontractor or his or her agent classification shall not be greater than the ratio who pays or supervises the payment of the permitted to the Contractor as to the entire work force persons employed under the contract and shall under the registered program. Any worker listed on a certify the following: payroll at an apprentice wage rate, who is not (A) That the payroll for the payroll period contains registered or otherwise employed as stated in this the information required to be maintained paragraph, shall be paid not less than the applicable under paragraph (c) (1) of this clause and that wage rate on the wage determination for the such information is correct and complete; classification of work actually performed. In addition, (B) That each laborer or mechanic (including each any apprentice performing work on the job site in helper, apprentice, and trainee) employed on excess of the ratio permitted under the registered the contract during the payroll period has been program shall be paid not less than the applicable paid the full weekly wages earned, without wage rate on the wage determination for the work rebate, either directly or indirectly, and that no actually performed. Where a contractor is performing deductions have been made either directly or construction on a project in a locality other than that in indirectly from the full wages earned, other which its program is registered, the ratios and wage than permissible deductions as set forth in 29 rates (expressed in percentages of the journeyman’s CFR Part 3; and hourly rate) specified in the Contractor’s or (C) That each laborer or mechanic has been paid subcontractor’s registered program shall be observed. not less than the applicable wage rates and Every apprentice must be paid at not less than the fringe benefits or cash equivalents for the rate specified in the registered program for the classification of work performed, as specified apprentice’s level of progress, expressed as a in the applicable wage determination percentage of the journeyman hourly rate specified in incorporated into the contract. the applicable wage determination. Apprentices shall (iii) The weekly submission of a properly executed be paid fringe benefits in accordance with the certification set forth on the reverse side of provisions of the apprenticeship program. If the Optional Form WH-347 shall satisfy the apprenticeship program does not specify fringe requirements for submission of the “Statement of benefits, apprentices must be paid the full amount of Compliance” required by subparagraph (c)(2)(ii) of fringe benefits listed on the wage determination for this clause. the applicable classification. If the Administrator of the (iv) The falsification of any of the above certifications Wage and Hour Division determines that a different may subject the Contractor or subcontractor to practice prevails for the applicable apprentice civil or criminal prosecution under Section 1001 of classification, fringes shall be paid in accordance with Title 18 and Section 3729 of Title 31 of the United that determination. In the event OATELS, or a State States Code. Apprenticeship Agency recognized by OATELS, (3) The Contractor or subcontractor shall make the withdraws approval of an apprenticeship program, the records required under subparagraph (c)(1) available Contractor will no longer be permitted to utilize for inspection, copying, or transcription by authorized apprentices at less than the applicable predetermined representatives of HUD or its designee, the rate for the work performed until an acceptable Contracting Officer, or the Department of Labor and program is approved. shall permit such representatives to interview (2) Trainees. Except as provided in 29 CFR 5.16, employees during working hours on the job. If the trainees will not be permitted to work at less than the Contractor or subcontractor fails to submit the predetermined rate for the work performed unless required records or to make them available, HUD or they are employed pursuant to and individually its designee may, after written notice to the registered in a program which has received prior Contractor, take such action as may be necessary to approval, evidenced by formal certification by the U.S. cause the suspension of any further payment, Department of Labor, Employment and Training advance, or guarantee of funds. Furthermore, failure Administration. The ratio of trainees to journeymen on to submit the required records upon request or to the job site shall not be greater than permitted under Previous editions are obsolete Page 17 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G the plan approved by the Employment and Training (2) No part of this contract shall be subcontracted to any Administration. Every trainee must be paid at not less person or firm ineligible for award of a United States than the rate specified in the approved program for Government contract by virtue of section 3(a) of the the trainee’s level of progress, expressed as a Davis-Bacon Act or 29 CFR 5.12(a)(1). percentage of the journeyman hourly rate specified in (3) The penalty for making false statements is prescribed the applicable wage determination. Trainees shall be in the U. S. Criminal Code, 18 U.S.C. 1001. paid fringe benefits in accordance with the provisions (j) Contract Work Hours and Safety Standards Act. As used of the trainee program. If the trainee program does in this paragraph, the terms “laborers” and “mechanics” not mention fringe benefits, trainees shall be paid the include watchmen and guards. full amount of fringe benefits listed in the wage (1) Overtime requirements. No contractor or determination unless the Administrator of the Wage subcontractor contracting for any part of the contract and Hour Division determines that there is an work which may require or involve the employment of apprenticeship program associated with the laborers or mechanics, including watchmen and corresponding journeyman wage rate in the wage guards, shall require or permit any such laborer or determination which provides for less than full fringe mechanic in any workweek in which the individual is benefits for apprentices. Any employee listed on the employed on such work to work in excess of 40 hours payroll at a trainee rate who is not registered and in such workweek unless such laborer or mechanic participating in a training plan approved by the receives compensation at a rate not less than one Employment and Training Administration shall be paid and one-half times the basic rate of pay for all hours not less than the applicable wage rate in the wage worked in excess of 40 hours in such workweek. determination for the classification of work actually (2) Violation; liability for unpaid wages; liquidated performed. In addition, any trainee performing work damages. In the event of any violation of the on the job site in excess of the ratio permitted under provisions set forth in subparagraph (j)(1) of this the registered program shall be paid not less than the clause, the Contractor and any subcontractor applicable wage rate in the wage determination for responsible therefor shall be liable for the unpaid the work actually performed. In the event the wages. In addition, such Contractor and Employment and Training Administration withdraws subcontractor shall be liable to the United States (in approval of a training program, the Contractor will no the case of work done under contract for the District longer be permitted to utilize trainees at less than the of Columbia or a territory, to such District or to such applicable predetermined rate for the work performed territory), for liquidated damages. Such liquidated until an acceptable program is approved. damages shall be computed with respect to each (3) Equal employment opportunity. The utilization of individual laborer or mechanic (including watchmen apprentices, trainees, and journeymen under this and guards) employed in violation of the provisions clause shall be in conformity with the equal set forth in subparagraph (j)(1) of this clause, in the employment opportunity requirements of Executive sum of $10 for each calendar day on which such Order 11246, as amended, and 29 CFR Part 30. individual was required or permitted to work in excess (e) Compliance with Copeland Act requirements. The of the standard workweek of 40 hours without Contractor shall comply with the requirements of 29 CFR payment of the overtime wages required by Part 3, which are hereby incorporated by reference in this provisions set forth in subparagraph (j)(1) of this contract. clause. (f) Contract termination; debarment. A breach of this contract (3) Withholding for unpaid wages and liquidated clause may be grounds for termination of the contract damages. HUD or its designee shall upon its own and for debarment as a Contractor and a subcontractor action or upon written request of an authorized as provided in 29 CFR 5.12. representative of the Department of Labor withhold or (g) Compliance with Davis-Bacon and related Act cause to be withheld, from any moneys payable on requirements. All rulings and interpretations of the Davis- account of work performed by the Contractor or Bacon and related Acts contained in 29 CFR Parts 1, 3, subcontractor under any such contract or any Federal and 5 are herein incorporated by reference in this contract with the same prime Contractor, or any other contract. Federally-assisted contract subject to the Contract (h) Disputes concerning labor standards. Disputes arising out Work Hours and Safety Standards Act, which is held of the labor standards provisions of this clause shall not by the same prime Contractor, such sums as may be be subject to the general disputes clause of this contract. determined to be necessary to satisfy any liabilities of Such disputes shall be resolved in accordance with the such Contractor or subcontractor for unpaid wages procedures of the Department of Labor set forth in 29 and liquidated damages as provided in the provisions CFR Parts 5, 6, and 7. Disputes within the meaning of set forth in subparagraph (j)(2) of this clause. this clause include disputes between the Contractor (or (k) Subcontracts. The Contractor or subcontractor shall insert any of its subcontractors) and the PHA, HUD, the U.S. in any subcontracts all the provisions contained in this Department of Labor, or the employees or their clause, and such other clauses as HUD or its designee representatives. may by appropriate instructions require, and also a (i) Certification of eligibility. clause requiring the subcontractors to include these (1) By entering into this contract, the Contractor certifies provisions in any lower tier subcontracts. The prime that neither it (nor he or she) nor any person or firm Contractor shall be responsible for the compliance by any who has an interest in the Contractor’s firm is a subcontractor or lower tier subcontractor with all these person or firm ineligible to be awarded contracts by provisions. the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). Previous editions are obsolete Page 18 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G 47. Non-Federal Prevailing Wage Rates (a) Any prevailing wage rate (including basic hourly rate and any fringe benefits), determined under State or tribal law to be prevailing, with respect to any employee in any trade or position employed under the contract, is inapplicable to the contract and shall not be enforced against the Contractor or any subcontractor, with respect to employees engaged under the contract whenever such non-Federal prevailing wage rate exceeds: (1) The applicable wage rate determined by the Secretary of Labor pursuant to the Davis-Bacon Act (40 U.S.C. 3141 et seq.) to be prevailing in the locality with respect to such trade; (b) An applicable apprentice wage rate based thereon specified in an apprenticeship program registered with the U.S. Department of Labor (DOL) or a DOL- recognized State Apprenticeship Agency; or (c) An applicable trainee wage rate based thereon specified in a DOL-certified trainee program. 48. Procurement of Recovered Materials. (a) In accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price. (b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract. Previous editions are obsolete Page 19 of 19 form HUD-5370 (11/2006) Replaces form HUD-5370-A ref Handbooks 7417.1 & 7485.3G SECTION 00800 SUPPLEMENTARY GENERAL CONDITIONS PART 1 - GENERAL The following supplements modify, delete and/or add to the General Conditions. The paragraphs or subparagraphs modified herein shall be added thereto, amended, voided, or superseded as herein instructed. PART 2 - SPECIFIC MODIFICATIONS 1. Paragraph 1 - Definitions a. Revise subparagraph 1(a) by modifying as follows: The “Architect” is “Houston Housing Authority.”. b. Delete subparagraph 1(e) in its entirety and substitute the following therefore: "(e) The term “Drawings” means the contract drawings enumerated on the cover sheet of the Contract Drawings Set signed by all parties to the Contract.” c. Delete subparagraph 1(h) in its entirety and substitute the following therefore: "(h) The terms "LHA", "PHA", "Houston Housing Authority", "Local Authority", or "Housing Authority" are synonymous with the term "Owner" and shall mean the Houston Housing Authority, as organized under applicable state law." 2. Paragraph 2 - Contractor's Responsibility for Work a. Add to subparagraph 2(e) the following sentences as a condition to fitting and coordination of work: "Contractor shall be responsible for proper fitting of all Work and for coordination of operations of all trades, subcontractors, or material supplier employed by him engaged upon the Work. He shall be prepared to guarantee to each of his subcontractors the dimensions required for fitting of their work to all surrounding work and shall do all cutting, fitting, adjusting, and patching as necessary to make the several parts of the Work come together properly and to fit the Work to receive, or be received by, that of other contractors." Supplementary General Conditions 00800-1 b. Delete subparagraph 2(h) in its entirety and substitute the following therefore: The Contractor's responsibility for the Work, except for latent defects and warranty work, will terminate when all Work has been completed, final inspection is made, and the Work is accepted by the Contracting Officer." c. Add subparagraph 2(i) as to responsibility of Contractor. ( i ) INDEMINIFICATION AND HOLD HARMLESS AGREEMENT CONTRACTOR SHALL INDEMNIFY, DEFEND, AND HOLD THE HOUSTON HOUSING AUTHORITY AND THEIR OFFICERS, AGENTS AND EMPLOYEES (THE “INDEMNIFIED PERSONS”) HARMLESS FROM ALL LIABILITY, LOSS OR DAMAGE, INCLUDING ATTORNEY FEES AND EXPENSES, RESULTING FROM ALL CLAIMS, DEMANDS, AND CAUSES OF ACTION OF EVERY KIND AND CHARACTER ASSERTED BY ANY PERSON (INCLUDING, WITHOUT LIMITATION, THE INDEMNIFIED PERSONS’ OR CONTRACTOR’S EMPLOYEES), FOR PERSONAL INJURY, DEATH, OR FOR LOSS OF OR DAMAGE TO ANY AND ALL PROPERTY IN ANY WAY ARISING OUT OF OR IN CONNECTION WITH CONTRACTOR’S PERFORMANCE HEREUNDER. CONTRACTOR SHALL BE RESPONSIBLE FOR ALL DAMAGE AND LOSS SUSTAINED BY IT TO ITS TOOLS AND EQUIPMENT UTILIZED IN THE PERFORMANCE OF CONTRACTORS SERVICES HEREUNDER. NOTWITHSTANDING ANYTHING CONTAINED HEREIN TO THE CONTRARY, CONTRACTOR INDEMNIFICATION OF THE INDEMNIFIED PERSONS IS LIMITED TO $1,000,000 PER OCCURRENCE. THE HOUSTON HOUSING AUTHORITY SHALL NOTIFY CONTRACTOR OF ANY CLAIM THE HOUSTON HOUSING AUTHORITY RECEIVES NOTICE OF ASSERTED AGAINST THE INDEMNIFIED PERSONS WITH RESPECT TO WHICH INDEMNIFIED PERSONS ARE INDEMNIFIED AGAINST LOSS BY CONTRACTORS HEREUNDER WITHIN FIFTEEN (15) DAYS OF THE HOUSTON HOUSING AUTHORITY’S RECEIPT OF NOTICE OF SUCH CLAIM, AND SHALL PROMPTLY DELIVER TO CONTRACTOR THE ORIGINAL OR A TRUE COPY OF ANY SUMMONS OR OTHER PROCESS, PLEADING, OR NOTICE ISSUED OR SERVED IN ANY SUIT OR OTHER PROCEEDING TO ASSERT OR ENFORCE ANY SUCH CLAIM. IF THE HOUSTON HOUSING AUTHORITY OR ANY OF THE INDEMNIFIED PERSONS DO NOT PROVIDE THIS NOTICE WITHIN THE FIFTEEN (15) DAY PERIOD, IT DOES NOT WAIVE ANY RIGHT TO INDEMNIFICATION EXCEPT TO THE EXTENT THAT CONTRACTOR IS PREJUDICED, SUFFERS LOSS, OR INCURS EXPENSE BECAUSE OF THE DELAY. FOLLOWING SUCH NOTIFICATION, AND EXCEPT AS OTHERWISE PROVIDED BELOW, CONTRACTOR SHALL DEFEND ANY SUCH SUIT AT ITS SOLE COST AND EXPENSE WITH ATTORNEYS OF ITS OWN SELECTION WHO ARE REASONABLY SATISFACTORY TO HOUSTON HOUSING AUTHORITY. Supplementary General Conditions 00800-2 CONTRACTOR SHALL CONTROL THE DEFENSE AND ANY NEGOTIATIONS TO SETTLE THE CLAIM, BUT THE INDEMNIFIED PERSONS SHALL HAVE THE RIGHT, IF THEY SEE FIT, TO PARTICIPATE IN SUCH DEFENSE AT THEIR OWN EXPENSE. CONTRACTOR SHALL HAVE THE POWER TO SETTLE THE CLAIM WITHOUT THE CONSENT OR AGREEMENT OF HOUSTON HOUSING AUTHORITY UNLESS THE SETTLEMENT WOULD (I) RESULT IN INJUNCTIVE RELIEF OR OTHER EQUITABLE REMEDIES OR OTHERWISE REQUIRE THE INDEMNIFIED PERSONS TO COMPLY WITH RESTRICTIONS OR LIMITATIONS THAT WOULD ADVERSELY AFFECT THE INDEMNIFIED PERSONS, (II) REQUIRE THE INDEMNIFIED PERSONS TO PAY AMOUNTS THAT CONTRACTOR DOES NOT FUND IN FULL, (III) NOT RESULT IN THE INDEMNIFIED PERSONS’ FULL AND COMPLETE RELEASE FROM ALL LIABILITY TO THE CLAIMANTS OR OTHER PARTIES THAT ARE PARTIES TO OR ARE OTHERWISE BOUND BY THE SETTLEMENT OR (IV) ESTABLISH A PRECEDENT(S) WHICH THE INDEMNIFIED PERSONS, IN THEIR SOLE DISCRETION INDIVIDUALLY OR IN THEIR COLLECTIVE DISCRETION AS A GROUP, DETERMINES IS NOT IN THE BEST INTEREST OF THE INDEMNIFIED PERSONS. IF CONTRACTOR NOTIFIES THE HOUSTON HOUSING AUTHORITY IN WRITING WITHIN TEN (10) DAYS AFTER RECEIPT OF HOUSTON HOUSING AUTHORITY’S WRITTEN NOTICE OF A CLAIM AND REQUEST FOR INDEMNIFICATION THAT IT ELECTS NOT TO DEFEND THE CLAIM, HOUSTON HOUSING AUTHORITY OR ANY OF THE INDEMNIFIED PERSONS SHALL ASSUME AND CONTROL THE DEFENSE AND ALL DEFENSE EXPENSES SHALL CONSTITUTE AN INDEMNIFICATION LOSS. 3. Paragraph 3 - Architect's Duties, Responsibilities, and Authority a. Add the following new subparagraph 3(c)(5): "(5) Making recommendations to Contracting Officer regarding all aspects concerning additional work, changes, substitutions, deletions, credits, and negotiating with Contractor subject to Contracting Officer's approval and authority.” 4. Paragraph 6 - Construction Progress Schedule a. Delete subparagraph 6(a) in its entirety and substitute the following therefore: "(a) The Contractor, promptly after executing the Contract and before commencing work, shall prepare and submit for the Owner and Architect's information three copies of the Contractor's construction schedule for the Work. The schedule shall show the dates upon which Contractor will start and complete all aspects of the Work and shall be updated monthly, or more often, at the Contracting Officer's request. Failure of Contractor to submit timely schedules will result in the Owner withholding progress payments." Supplementary General Conditions 00800-3 b. Add subparagraph 6(d) as follows: "(d) NO DAMAGE FOR DELAY. In the event Contractor is delayed in the performance of the Work, Contractor's remedy, if any, shall be limited solely to an extension of time unless the delay shall have been caused by acts constituting intentional interference by Owner with Contractor's performance and when and to the extent that such acts have continued after Contractor's written notice thereof to Owner. It is understood and agreed that Owner's exercise of its rights to require changes in the Work shall not constitute intentional interference with Contractor's performance of the Work, regardless of the extent or number of such changes." 5. Paragraph 8 - Differing Site Conditions a. Add subparagraph 8(e) to clarify responsibility for live utilities and other property: "(e) Contractor shall assume all responsibility and expense for damage to any property upon, or passing through, the site but excluded from the Work or not owned by the Owner, such as utility lines, or like items. Where disconnections of underground services are required to be made at street mains, Contractor shall, at his own expense, restore paving, curb, gutter, etc. over such cuts in accordance with local regulations." 6. Paragraph 9 - Specifications and Drawings for Construction a. Add to end of subparagraph 9(a) as to number of copies furnished. "The Owner will furnish, free of charge, to the Contractor three (3) copies of the Project Manual. Additional copies requested by the Contractor will be furnished at cost of reproduction." 7. Paragraph 11 - Material and Workmanship a. Revise subparagraph 11(a) beginning with the second sentence as follows: "Specific reference in the Technical Specifications to article, device, project, material, fixture, form or type or construction by trade name, make or catalog number shall be interpreted as a mandatory work requirement except where substitutions are specifically allowed or the Technical Specifications are not proprietary in nature. Substitutions for the mandatory items will only be considered if submitted to the Architect at least 15 days prior to the date of the bid opening. Requests for approval of substitutions must be submitted in written form and include such detailed information as to provide for complete comparison of the products. Supplementary General Conditions 00800-4 All approved substitutions will be listed by addenda. Only the specified products or those substitutions listed by addenda shall be used in the preparation of the Contractor's bid proposal and incorporated into the Work. The approval of substitutions shall be at the sole discretion of the Owner and the Architect." b. Revise the first part of the first sentence of subparagraph 11(b) to read as follows: "(b) When requesting approval for a substitution prior to bid opening, the Contractor shall..." 8. Paragraph 12 - Permits and Codes a. Delete subparagraph 12(b) in its entirety and substitute the following: "(b) The Contractor shall secure and pay for all permits, fees, licenses, and utility charges for this project necessary for the proper execution and completion of the Work. The utility charges shall include all tap-on charges, meter charges and any other fees or charges required by any utility company or public agency which sets such fees to accomplish all Work required by these Contract Documents”. b. Add subparagraph 12(c) to establish erosion control. "(c) The Contractor shall strictly follow all guidelines established by these documents and any other requirements which may be imposed by state or local codes and regulations. Where erosion control practices must be reviewed and inspected by government agencies, the Contractor shall obtain all reviews and comply with all comments resulting there from." 9. Paragraph 13 - Health, Safety and Accident Prevention a. Add the following to the end of Paragraph 13(b)(1): "The Contractor shall also comply with the Federal Register, Vol. 35, No. 75, effective April 17, 1971 for compliance with Safety and Health Regulations for Construction and all revisions and updates thereto and set forth to implement the Occupational Safety and Health Act of 1970, purpose of which is to assure safe and healthful working conditions for the nation’s work force. By law, employers are required to comply with these standards." 10. Paragraph 23- Warranty of Construction a. Add subparagraph 23(k): "(k) All warranties shall be assignable to the Owner or other third party acquiring ownership”. Supplementary General Conditions 00800-5 11. Paragraph 25 - Contract Period a. Delete paragraph 25 in its entirety and substitute the following therefore: The Contractor shall complete all work required under this contract within the time schedule established in the Notice to Proceed issued by the Contracting Officer. 12. Paragraph 26 - Order of Precedence a. Delete the first sentence of Paragraph 26 and substitute the following therefore: "In the event of any conflict(s) between any of the Supplementary General Conditions, General Conditions, and the Specifications; the Supplementary General Conditions shall prevail over the General Conditions and the Specifications, and the General Conditions shall prevail over the Specifications. In the event of any conflict(s) between any of the Drawings, the Specifications shall prevail over the Drawings." 13. Paragraph 27 - Payments a. Extend subparagraph 27(c) by adding the following sub subparagraphs: "(1) No payments of any kind shall be made to the Contractor until complete breakdown of the Contract Sum (Schedule of Amounts for Contract Payments – Form HUD-51000 and related forms) has been received and approved by the Owner, the Contractor, and countersigned by the Architect in accordance with the General Conditions. (2) Due to funding from a variety of sources, the contractor shall be required to submit multiple detailed schedule of values. The Schedule of Values will be used for Application for Payment. A number of different reporting formats for Application for Payment may be required.” b. Add the following sub-subparagraph (e)(4): "(4) Contractor acknowledges, certifies and agrees that by requesting this progress payment through the date of this request that neither Contractor, nor any of its subcontractors or suppliers at any tier, have any claims or disputes of any kind against Owner and Contractor releases any and all claims up through and including the date of this certification and release. Contractor further certifies that the representative of Contractor who signs the request for progress payments has Contractor's authority to make the certifications and releases set forth herein." Supplementary General Conditions 00800-6 14. Paragraph 29 - Changes a. Extend paragraph (c) by adding the following: "No change discussed with the Contractor by the Owner, either orally or in writing, shall be considered authorized until the Contractor has submitted a written proposal itemizing the cost of the proposed change; and the change has been accepted based upon the costs proposed by the Contractor in the form of a written change order from the Contracting Officer, or until the Contracting Officer has issued written authorization to proceed. If the Contractor proceeds with a proposed change prior to receipt of written authorization as outlined above, then the Contractor proceeds at his own risk. Should the proposed change later be rejected, then the costs incurred by the Contractor for premature actions shall be borne solely by the Contractor without additional compensation from the Owner." b. Delete paragraph (d) and substitute: "(d) If Owner and Contractor cannot agree on the cost of a change order, Contracting Officer may order Contractor to perform the Work and Contractor shall perform the Work without delay and in a timely manner. Contracting Officer may treat this as a claim under paragraph 31. Contractor's cost shall be limited as set forth in Paragraph 29(b) and shall be subject to audit by Owner. Contracting Officer, at his discretion and judgment, may pay Contractor some amount as an equitable adjustment." c. Delete paragraph (e) and substitute: "(e) Contractor must assert its right to an equitable adjustment or additional compensation for any reason within thirty-one (31) days after receipt of a written change order request or prior to final payment, whichever occurs sooner. No proposal by the Contractor for any equitable adjustment shall be allowed after final payment.” d. Delete paragraph (f) and substitute: "(f) Changes to the Contract and changes in the Work shall come only in writing from the Contracting Officer. Contractor agrees not to perform any change order, additional or extra work until written authorization from the Contracting Officer is received by Contractor. Contractor and the Owner, through the Contracting Officer, and the Architect agree that any change which causes an increase or decrease in Contractor's cost of, or the time required for the performance of any part of the Work, shall be the subject of a change order based upon agreement among the Owner and Contractor. Contractor agrees to prepare a written cost proposal and request for equitable adjustment and submit the same to Supplementary General Conditions 00800-7 Contracting Officer within three (3) days of notification of any change. All costs involved shall be calculated in accordance with this paragraph or by agreement between Owner, Contractor and Architect. The labor cost shall be based upon the daily wage rates as entered in the Certified Payrolls. No additional costs of labor burden, insurance and bond charges will be considered. For work performed by subcontractors, the general contractor may not receive payments for overhead and profit greater than ten percent (10%) of the cost of the subcontractor’s work and for work performed by the general contractor’s own personnel, the general contractor may not receive payments for overhead and profit greater than fifteen percent (15%) of the cost of direct labor and materials, subject to audit by Owner”. 15. Paragraph 31 - Disputes Delete Paragraph (a) through (f) in their entirety and substitute the following: “(a) Definition. A Claim is any demand or assertion by the Contractor that it should be paid more money than the Contract Sum, as adjusted under the Change Order provisions herein, or granted more contract time by the Owner because of action or inaction on the part of the Owner, Architect, or any party for whom the Owner is responsible, or any party with whom the Owner has separately contracted for other portions of the Project, including, but not limited to, any demand or assertion that the Contractor’s performance has been delayed, interrupted or interfered with, that the Contractor’s performance has been accelerated, constructively accelerated, or suspended, that the Contractor’s performance has been wrongfully terminated, that the Contract Documents have been misinterpreted, that there has been a failure of payment, that the Contractor has encountered concealed or unknown conditions, that the Contractor has encountered hazardous materials, that there are problems with the Contract Documents, or the timing of architectural approvals or decisions, that actions of the Owner have been intentionally wrongful or deceptive, that the Owner is directly or indirectly guilty of negligence or an intentional tort related in any way to the Work, that an item treated as a minor change in the Work should have been treated as a Change Order, that a time extension grant was inadequate, that there has been a breach of contract, or that the Contractor is entitled to any other relief, on any legal or equitable theory, related to the Work or the Contract. This definition of Claim is not intended to create any right of action where the right of action does not otherwise exist under applicable law or other provisions of this Contract. (b) Notice Requirement. Within fourteen (14) days of the first occurrence of an event that the Contractor has any reason to believe might result in a Claim, or within fourteen (14) days of the Contractor’s discovery of the first occurrence of an event that the Contractor has any reason to believe Supplementary General Conditions 00800-8 might result in a Claim if the first occurrence of the event was willfully hidden from the Contractor, the Contractor shall file a written document clearly captioned ‘Notice of Claim’ with the Owner and Architect. The Notice shall clearly set out the specific matter of complaint, and the impact or damages which may occur or have occurred as a result thereof, to the extent the impact or damages can be assessed at the time of the Notice. If the impact or damages cannot be assessed as of the date of the Notice, the Notice shall be amended at the earliest date this is reasonably possible. (c) Waiver. Any Claim or portion of a Claim that has not been made the specific subject of a Notice strictly in accordance with the requirements of this section shall be waived and released. It is imperative that the Owner have timely, specific Notice of any subject, the impact of which the Owner may be in a position to mitigate. (d) Course of Dealing. No course of conduct or dealing between the parties, nor implied acceptance of alterations or additions to the Work or changes to the Contract schedule, shall be the basis for any Claim for an increase in the Contract Sum or change in the Contract Time. (e) Claims Handling During Construction. After receipt of a Notice of Claim, the Owner may elect to refer the matter to the Architect or another party for review. The Contractor will attend meetings called to review and discuss the Claims and mitigation of the problem, and shall furnish any reasonable factual backup for the Claim requested. The Owner may also elect to defer consideration of the Claim until the Work is completed, in which case the same review options shall be available to the Owner at the completion of the Work. At any stage, the Owner, at its sole discretion, is entitled to refer a Claim to mediation under the Construction Industry Mediation Rules of the American Arbitration Association, and if this referral is made, the Contractor will take part in the mediation process. The filing, mediation or rejection of a Claim does not entitle the Contractor to stop performance of the Work. The Contractor shall proceed diligently with performance of the Contract during the pendency of any claim, excepting termination or under the Owner’s direction to stop the Work. Agreements reached in mediation shall be enforceable as settlement agreements in any court having jurisdiction thereof. The parties shall share the Mediator’s fee and any filing fees equally, and the Mediation shall be held in Houston, Texas. (f) Effect of Final Payment. The acceptance of final payment shall constitute a waiver of Claims by the Contractor which have not previously been identified in a Notice of Claim and specifically reserved in the final Application for Payment. Supplementary General Conditions 00800-9 (g) Arbitration. At Owner’s option, all claims, disputes and other matters in question between the parties to this Agreement, arising out of or relating to this Agreement or the breach thereof, shall be decided by arbitration in accordance with the Construction Industry Arbitration Rules of the American Arbitration Association then obtaining unless the parties mutually agree otherwise. Arbitration, arising out of or relating to this Agreement, shall include, by consolidation, joinder, or joint filing, any additional person or entity not a party to this Agreement to the extent necessary to the final resolution of the matter in controversy. Owner shall include an arbitration and consolidation provision in the Owner-Contractor Agreement and shall provide that similar provisions be included in subcontracts and Purchase Orders. This agreement to arbitrate and any agreement to arbitrate with an additional person or persons duly consented to by the parties to this Agreement shall be specifically enforceable under the prevailing arbitration law. Notice of the demand for arbitration shall be filed in writing with the other party to this Agreement and with the American Arbitration Association. The demand shall be made within a reasonable time after the claim, dispute or other matter in question has arisen. In no event shall the demand for arbitration be made after the date when institution of legal or equitable proceedings based on such claim, dispute or other matter in question would be barred by the applicable statute of limitations. The award rendered by the arbitrators shall be final, and judgment may be entered upon it in accordance with applicable law in any court having jurisdiction thereof. Venue and locale of all claims, controversies or disputes arising out of or related to this Agreement or any breach thereof whether by arbitration or litigation shall be Houston, Texas. (h) Claims for Additional Cost. If the Contractor wishes to make Claim for an increase in the Contract Sum, written notice as provided herein shall be given before proceeding to execute the Work. Prior notice is not required for Claims relating to an emergency endangering life or property. (i) Calculating Claim Amount. In calculating the amount of any Claim by Contractor, the following standards will apply: 1. No indirect or consequential damages will be allowed. 2. All damages must be specifically shown to be caused by a proven wrong. No recovery shall be based on a comparison of planned expenditures to total actual expenditures, on estimated losses of labor efficiency, on a comparison of planned manloading to actual manloading, or any other analysis that is used to show damages indirectly. Supplementary General Conditions 00800-10 3. Damages are limited to extra costs specifically shown to have been directly caused by a proven wrong. 4. The maximum daily limit on any recovery for delay shall be the amount established by the Contractor for job overhead costs, defined in the Schedule of Values, divided by the total number of calendar days of Contract Time called for in the original Contract. Absent an overhead amount in the Schedule of Values, the amount estimated by the Contractor for job overhead costs shall be used. 5. No damages will be allowed for home office overhead or other home office charges, or any Eichlay formula calculation. 6. No profit will be allowed on any claim. This clause shall not reduce the Contractor’s entitlement on a Change Order.” 16. Paragraph 32 - Default a. Delete subparagraph 32(a) and substitute: "(a) If Contractor shall fail to commence the Work in accordance with the provisions of this Agreement or fail to diligently prosecute the Work to completion thereof in a diligent, efficient, timely, workmanlike, skillful and careful manner and in strict accordance with the provisions of the Contract Documents (including the Substantial Completion Date), fail to use an adequate amount or quality of personnel or equipment to complete the Work without undue delay, fail to perform any of its obligations under the Contract Documents, or fail to make prompt payments to its subcontractors, material men or laborers, then Owner shall have the right, if Contractor shall not cure any such default after seven (7) days written notice thereof to: (A) terminate this Agreement, (B) take possession of and use all or any part of Contractor's materials, equipment, supplies, and other property of every kind used by Contractor in the performance of the Work and to use such property in the completion of the Work, or (C) complete the Work in any manner it deems desirable, including engaging the services of other parties. Any such act by Owner shall not be deemed a waiver of any other right or remedy of Owner. If after exercising any such remedy the cost to Owner of the performance of the balance of the Work is in excess of that part of the Contract Sum which has not theretofore been paid to Contractor hereunder, Contractor shall be liable for and shall reimburse Owner for such excess." b. Delete subparagraph 32(b) in its entirety. Supplementary General Conditions 00800-11 17. Add paragraph 49 - Communications "49. Communications (a) All notices, demands, requests, instructions, approvals, proposals, and claims must be in writing. Verbal requests after execution of the Contract shall be delivered to the Architect in writing within seven (7) calendar days after the fact. (b) Any notice to or demand upon the Contractor shall be sufficiently given if delivered at the Office of the Contractor (or at such office as he may designate in writing to the Owner), or deposited in the United States mail in a sealed, postage-prepaid envelope, or if delivered with charges prepaid to any telegraph company for transmission, in each case addressed to such office. (c) All papers required to be delivered to the Owner shall, unless otherwise specified in writing to the Contractor, be delivered to: Bobken Simonians, Vice-President, REID Houston Housing Authority 2640 Fountainview, Suite 400 Houston, Texas 77057 P.O. Box 2971 Houston, Texas 77252-9950 and any notice to or demand upon the Owner shall be sufficiently given so delivered, or deposited in the United States mail in a sealed envelope, or delivered charges prepaid to any telegraph company for transmission to said person at such address, or to such other representatives that the Owner may subsequently specify in writing to the Contractor for such purpose." 18. Add Paragraph 50 - Sales Tax "50. Sales Tax (a) The Owner qualifies for exemption from State and Local Sales Tax pursuant to the provisions of Article 20.04(F) of the Texas Limited Sales, Excise and Use Tax Act. (b) Taxes normally levied on the purchase, rent or lease of materials, supplies, and equipment used or consumed in the performance of this Contract may be exempted by issuing to suppliers an exemption certificate complying with State Comptroller of Public Accounts ruling No. 95-0.09 as amended to be effective October 2, 1968." Supplementary General Conditions 00800-12 2640 Fountain View Drive ■ Houston, Texas 77057 ■ 713.260.0500 P ■ 713.260.0547 TTY ■ www.housingforhouston.com _________________________________________________________________________ SECTION 00821 EQUAL OPPORTUNITY FOR BUSINESSES AND LOWER INCOME PERSONS 1.1 GENERAL A. The Contractor and his Subcontractors shall comply with the requirements of the Equal Opportunity for Business and Lower Income Persons, a copy of which is bound into the Project Manual. B. The following forms must be completed by Bidders and submitted with the Form of Bid as part of the Bid Package: 1. Estimated Project Workforce Breakdown. 2. Estimated Project Workforce Breakdown – Continuation. 3. Proposed Contracts/Subcontracts Breakdown. C. The goal for participation in Equal Opportunity for Businesses and Lower Income Persons is 30 percent of the positions listed in “Positions Not Occupied by Permanent Employees.” D. The Houston Housing Authority is mandated by the U.S. Department of Housing and Urban Development (D-HUD) to ensure that contractors are in compliance with Paragraph 40 of the “General Conditions of the Contract for Construction,” Form HUD 5370, referred to as “Section 3 Requirements.” Subparagraph 40(d) further identifies 24 CFR Part 135 which is provided as part of this document. Special attention is directed to Subpart 135.5 – Definitions. Bidders must comply with submission requirements or risk the possibility of the Bid being considered non responsive. A Fair Housing and Equal Employment Opportunity Agency. For assistance: Individuals with disabilities may contact the 504/ADA Administrator at 713-260-0528, TTY 713-260-0547 or 504_ADA@housingforhouston.com Equal Opportunity for Businesses 00821-1 And Lower Income Persons SECTION 00822 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 1.1 GENERAL A. The Contractor and his Subcontractors shall comply with the requirements of the Affirmative Action for Handicapped Workers, a copy of which is bound into the Project Manual. Affirmative Action for Handicapped Workers 00822-1 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 41 CFR 60-741.4 41 CFR 60-250.4 (a) The Contractor will not discriminate against any employee or applicant for employment because of physical or mental handicap in regard to any position for which the employee or applicant for employment is qualified. The Contractor agrees to take affirmative action to employ, advance in employment, and otherwise treat qualified handicapped individuals without discrimination based upon their physical or mental handicap in all employment practices such as the following: employment, upgrading, demotion or transfer, recruitment, advertising, layoff or termination, rates of pay or other forms of compensation, and selection of training, including apprenticeship. (b) The Contractor agrees to comply with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant to the Act. (c) In the event of the Contractor’s noncompliance with the requirements of this clause, actions for noncompliance may be taken in accordance with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant to the Act. (d) The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notice in a form to be prescribed by the Director, provided by or through the contracting officer. Such notices shall state the Contractor’s obligation under the law to take affirmative action to employ and advance in employment qualified handicapped employees and applicants for employment, and the rights of applicants and employees. (e) The Contractor will notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract or other understanding, that the Contractor is bound by the terms of Section 503 of the Rehabilitation Act of 1973, and is committed to take affirmative action to employ and advance in employment physically and mentally handicapped individuals. (f) The Contractor will include the provisions of this clause in every subcontract or purchase order of $2,500 or more unless exempted by rules, regulations, or orders of the Secretary issued pursuant to Section 503 of the Act, so that such provisions will be binding upon each subcontract or vendor. The Contractor will take such action with request to any subcontract or purchase orders as the Director of the Office of Federal Contract Compliance Programs may direct to enforce such provisions, including action for noncompliance. The Contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran or veteran of the Vietnam Era in regard to any position for which the employee or applicant for employment is qualified. The Contractor shall comply with the affirmative action clause prescribe in 41 C.F.R. Section 60-250.4(a) through (m) and the regulations contained in part 60- 250. Affirmative Action for Handicapped Workers 00822-2 SECTION 00823 HOUSTON HOUSING AUTHORITY SECTION 3 POLICY 1.1 GENERAL A. The Contractor shall comply with the requirements of the Houston Housing Authority Section 3 Policy. Section 3 Policy 00823-0 Houston Housing Authority Section 3 Policy Houston Housing Authority Office of the Senior Vice-President 2640 Fountainview, Suite 405 Houston, Texas 77057 July 25, 2008 INTRODUCTION This Policy Statement: • Sets forth Houston Housing Authority’s policy, goals and preferences; • Sets forth the statutory provisions of Section 3; and • Contains a copy of 24 CFR Part 135, the Section 3 Rules Page 2 of 20 TABLE OF CONTENTS INTRODUCTION 2 TABLE OF CONTENTS 3 STATEMENT OF PURPOSE 4 DEFINITIONS 5 GOAL STATEMENT 8 PREFERENCES 9 SECTION 3 COMPLIANCE REQUIREMENTS 11 FREQUENTLY ASKED QUESTIONS 18 Page 3 of 20 HUD, 24 CFR 135, the Section 3 Rules Attachment STATEMENT OF PURPOSE The purpose of Section 3 of the Housing and Urban Development Act of 1968, as amended by Section 915 of the Housing and Community Development Act of 1992, is to “ensure that employment and other economic opportunities generated by certain HUD financial assistance shall, to the greatest extent feasible, and consistent with existing Federal, State and local laws and regulations, be directed toward low-and very low- income persons, particularly those who are recipients of government assistance for housing, and to business concerns which provide economic opportunities to low-and very low-income persons.” The 1992 Act sets forth: • The types of HUD financial assistance, activities, and recipients subject to the requirements of Section 3; and • The specific individual and business concerns that are the intended beneficiaries of the economic opportunities generated from HUD-assisted activities; and • The order of priority in which these individual and business concerns should be recruited and solicited for the employment and other economic opportunities generated from HUD-assisted activities. The Houston Housing Authority’s Section 3 Policy is expressed in this statement, the goal statement, and the preference tiers. Implementation procedures may be amended periodically by the President and Chief Executive Officer or the Senior Vice-President to insure that the policy requirements are being met or to bring about efficiencies in the implementation of the program based on the practice and experience of running the program. Page 4 of 20 DEFINITIONS NEW HIRES- Persons selected to fill full-time, temporary or seasonal employment opportunities. RESIDENT OWNED BUSINESS (ROB)- A ROB is a business concern owned or controlled by public housing residents, that is: (a) at least 51% owned by one or more public housing residents; and (b) whose management and daily business operations are controlled by one or more such individuals. For the purpose of Section 3 compliance, a ROB must also meet the Housing Authority’s definitions of a Section 3 business concern as described below. EMPLOYMENT OPPORTUNITIES GENERATED BY SECTION 3 COVERED ASSISTANCE- All employment opportunities generated by the expenditure of Section 3 covered PIH assistance (i.e. operating assistance, development assistance, and modernization assistance) and with respect to Section 3 covered housing and community development assistance, all employment opportunities arising in connection with Section 3 covered projects, including management and administrative jobs (including architectural, engineering, or related professional services and jobs directly related to administrative support of these activities) connected with the Section 3 covered project. RECIPIENT- Any entity which receives Section 3 covered assistance, directly from HUD or from another recipient and includes, but is not limited to, any State, unit of local government, PHA, IHA, Indian Tribe, or other public body, public or private nonprofit organization, private agency or institution, mortgagor, developer, limited dividend sponsor, builder, property manager, community housing development organization, resident management corporation, resident council, or cooperative association. Recipient also includes any successor, assignee, or transferee of any such entity, but does not include any ultimate beneficiary under the HUD program to which Section 3 applies and does not include contractors. SECTION 3- Section 3 of the Housing and Urban Development Act of 1968, as amended (12 U.S.C. 1701u). SECTION 3 BUSINESS CONCERN- As defined by the Houston Housing Authority, a Section 3 business concern is one: A. That is fifty-one (51%) or more owned by Section 3 residents; or B. Whose full-time employees includes persons, at least 30 percent of whom are current Section 3 residents, or were Section 3 residents within three (3) years of the date of first employment with the business concern; or C. That provides evidence of a commitment to subcontract in excess of 25 percent of the dollar award of all subcontracts to be awarded to business concerns that meet the qualifications set forth in A or B in this definition of “section 3 business concern.” Page 5 of 20 SECTION 3 CLAUSE- The contract provisions and sanctions set forth in 24 CFR, 135.38. SECTION 3 COVERED ACTIVITY- Any activity, that is funded by Section 3 covered assistance including Public housing assistance. SECTION 3 COVERED ASSISTANCE- There are no dollar amount thresholds for PIH (Public and Indian Housing) funded Section 3 covered activities. Section 3 applies to all contractors and subcontractors performing work in connection with the following assistance regardless of the amount of the contract or subcontract: • Public and Indian housing development assistance provided pursuant to Section 5 of the 1937 Act; • Public and Indian housing operating assistance provided pursuant to Section 9 of the 1937 Act; • Public and Indian housing modernization assistance provided pursuant to Section 14 of the 1937 Act; • Section 8 assistance for work arising in connection with; housing rehabilitation, housing construction, or other public construction projects. SECTION 3 COVERED CONTRACT- A contract or subcontract (including a professional service contract) awarded by a recipient or contractor for work generated by the expenditure of Section 3 covered assistance or for work arising in connection with a Section 3 covered project. “Section 3 covered contracts” do not include contracts for the purchase of supplies and materials except, whenever a contract for materials includes the installation of the materials, the contract constitutes a “Section 3 covered contract”. SECTION 3 COVERED PROJECT- The construction, reconstruction, conversion, or rehabilitation of housing (including reduction and abatement of lead-based paint hazards), other public construction which includes buildings or improvements (regardless of ownership) assisted with housing or community development assistance. SECTION 3 JOINT VENTURE- An association of business concerns, one of which qualifies as a Section 3 business concern, formed by written joint venture agreement to engage in and carry out a specific business venture for which purpose the business concerns combine their efforts, resources, and skills for joint profit, but not necessarily on a continuing or permanent basis for conducting business generally, and for which the Section 3 business concern: • Is responsible for a clearly defined portion of the work to be performed and holds management responsibilities in the joint venture; and • Performs at least 25% of the work and is contractually entitled to compensation proportional to its work. Page 6 of 20 SECTION 3 RESIDENT- 1.) A public housing resident or 2.) An individual or family that resides in Houston, Harris County and: • Whose income does not exceed 80 per centum of the median income for the area; or • Whose income does not exceed 50 per centum of the median income for the area. Page 7 of 20 GOAL STATEMENT It is the Houston Housing Authority’s policy to achieve Section 3 goals through the following means: HIRING • At least 30% of the aggregate number of full-time new hires must be Section 3 residents, with a preference for residents at the development where the work is being performed. CONTRACTS Contractors may demonstrate Section 3 compliance by providing a notarized statement committing to award to Section 3 business concerns: • At least 10% of the total dollar amount of all Section 3 covered contracts for building trades, work for maintenance, repair, modernization, or development of public housing, or for building trades work arising in connection with housing rehabilitation, housing construction and other public construction; or • At least 3% of the total dollar amount of all other Section 3 covered contracts. Houston Housing Authority’s preference is to contract directly with a Section 3 business or contract with vendors that subcontract to a Section 3 business. In either case, the Housing Authority’s preference is further defined as prioritizing business concerns that employ Houston Housing Authority residents from the property where the work is being performed. *Note that Supply and Delivery contracts are excepted from these Section 3 Policy requirements. Page 8 of 20 HOUSTON HOUSING AUTHORITY PREFERENCE TIERS Houston Housing Authority’s preference is to ensure that as many Housing Authority residents as possible are employed. In an effort to further that goal, the Authority has created the following preference tier structure. Vendors are asked to comply with Section 3 by first considering Category I, hiring at the site where work is being performed. If the vendor demonstrates to the Authority’s satisfaction the inability to hire at the site, the Authority’s next preference is for the vendor to hire residents from other Authority properties (category II). If the vendor cannot meet its Section 3 goal in this manner and needs to move to Category III or IV, that vendor must document this inability to comply with the preference and the need to move to Category III or IV. [Such inability must be documented for moves within categories or any moves to a lower category.] I. Preference for Section 3 Residents in Training and Employment Opportunities Category I Hire residents from the site where the work is being performed Category II Hire residents of other public housing developments Category III Hire participants in a Youthbuild like program being carried out in the metropolitan area Category IV Hire other Section 3 residents II. Preference for Section 3 Business Concerns in Contracting Opportunities Category I Businesses Business concerns that are 51 percent or more owned by residents of the housing development or developments for which the section 3 covered assistance is expended, or whose full-time permanent workforce includes 30 percent of these persons as employees Category II Businesses Business concerns that are 51 percent or more owned by residents of other housing developments or developments managed by the Houston Housing Authority that is expending the section 3 covered assistance, or whose full-time, permanent workforce includes 30 percent of these persons as employees. Category III Businesses Youthbuild like programs being carried out in the metropolitan area in which the section 3 covered assistance is expended. Page 9 of 20 Category IV Businesses Business concerns that are 51 percent or more owned by section 3 resident, or whose permanent, full-time workforce includes no less than 30 percent section 3 residents or that subcontract in excess of 25 percent of the total amount of subcontracts to business concerns. [NOTE: For contracts or purchase orders of $100,000 and under, other economic opportunities can be identified without regard for the Houston Housing Authority’s preference requirements.] Page 10 of 20 SECTION 3 COMPLIANCE REQUIREMENTS l. HIRING A. Background 1. The Section 3 regulations provide that recipients, their contractors, and any subcontractors demonstrate compliance by employing Section 3 residents as 30% of the aggregate number of new hires. 2. A vendor is required to hire only when a new hire is needed to perform the work. In the event that no new hires are needed, vendors must pursue other avenues of compliance as set forth in the Houston Housing Authority’s preference tier structure. 3. The Section 3 Regulations, at CFR Part 135, require that in public housing programs, compliance efforts shall be directed to provide training and employment opportunities to Section 3 residents in the following order of priority: a. Residents of the development or developments where the covered assistance is expended. b. Residents of other developments managed by the Public Housing Authority that is expending the covered assistance. c. Participants in HUD Youthbuild like programs in the metropolitan area or Non-metropolitan County in which covered assistance is expended. d. All other low-and very low-income persons within the metropolitan area. 4. In situations where a new hire is needed, a vendor will not be required to hire persons who are not qualified. 5. If a new hire is needed and a Section 3 resident is identified, that Section 3 resident will be required to submit evidence of Section 3 status to the recipient, contractor or subcontractor. 6. The Houston Housing Authority requires a preference for hiring from the development where work is being performed. However, the Houston Housing Authority will not require a vendor to hire from the development at the site if: a. A pre-identified list of Section 3 residents from a job site contains no persons qualified to perform the work. Qualified residents from other developments shall then be considered. b. The vendor’s workforce is adequate to do the job and no new hiring is needed. B. Compliance 1. As part of each bid or proposal submitted, the respondent must document their workforce by position. Such information will be re- verified at the commencement of the contract. Page 11 of 20 2. Vendors will be required to submit documentation in the form of payroll forms submitted weekly that clearly identify the Section 3 hires. The vendor must comply with the Section 3 requirement throughout the life of the contract. Houston Housing will periodically audit this information. Failure to comply with the weekly submittal of payroll shall result in the delay of payment. 3. Houston Housing Authority residents by virtue of their income are Section 3 residents. Contractors employing Houston Housing Authority residents must retain documentation that demonstrates any Houston Housing Authority residents hired to meet Section 3 employment goals are: a) identified on the lease of household, that is lease compliant in accordance with Houston Housing Authority’s Relocation Rights contract; and b) able to provide to the contractor or subcontractor the client number for the household where residency is claimed. This client number must appear on the certified payrolls submitted by the vendor to verify a Section 3 hire. 4. Non-Houston Housing Authority households claiming Section 3 status must be prepared to submit evidence of income and residency in Harris County at the time of hire. As part of the Section 3 compliance process, vendors will be required to document that employees hired meet the residency and income requirements. II. CONTRACTING A. Background 1. The Section 3 Regulations, at 24 CFR Part 135, provide that the Houston Housing Authority, its contractors and subcontractors may demonstrate compliance by awarding contracts to Section 3 business concerns or to vendors who contract with such firms. 2. Houston Housing Authority’s contracting goals require that Section 3 firms receive at least: a.) 10 percent of the total dollar of all Section 3 covered contracts for building trades work for maintenance, repair, modernization or development of public or Indian housing; or b.) 10 percent of the total dollar amount of all Section 3 covered contracts for building trades work arising in connection with housing rehabilitation, housing construction and other public construction; and c.) 3 percent of the total dollar amount of all other Section 3 covered contracts. 3. Goals apply to the entire amount of Section 3 covered assistance awarded to a recipient in any federal fiscal year Page 12 of 20 (FFY), October 1- September 30. Correspondingly, Houston Housing Authority’s goals shall apply to the total dollar amount of each contract or purchase order. 4. Recipients that award contracts to contractors that will provide training or hiring, must ensure that contractors provide training, employment and contracting opportunities to Section 3 Residents and Section 3 Business concerns. 5. Efforts shall be directed to award contracts to Section 3 business concerns in the following order of priority: a.) Business concerns that are 51 percent or more owned by residents of the housing development or developments for which the covered assistance is expended and whose full-time workforce includes 30 percent of these persons as employees or were Section 3 residents of the development within three (3) years of the date of first employment with the business concern; or b.) Business concerns that are 51 percent or more owned by resident of other housing developments or developments managed by the Houston Housing Authority that are expending the Section 3 covered assistance and that the Business concerns’ full-time workforce includes 30 percent of these persons as employees (or were Section 3 residents of other Houston Housing developments within three (3) years of the date of first employment with the business concern); or c.) Business concerns that are 51 percent or more owned by residents of the housing development or developments for which the covered assistance is expended. d.) Business concerns that are 51 percent or more owned by residents of other housing developments or developments managed by the Houston Housing Authority that is expending the Section 3 covered assistance. e.) HUD Youthbuild like programs being carried out in the metropolitan area or non-metropolitan county in which the Section 3 covered assistance is expended; or f.) Business concerns that are 51 percent or more owned by Section 3 residents; and i. whose full-time workforce includes 30 percent of these persons as employees; or ii. that subcontracts 25% or more of the total amount of the contract (including Page 13 of 20 modifications) to Section 3 business concerns. g.) Business concerns that are 51 percent or more owned by Section 3 residents. B. Compliance 1. Business Concerns claiming Section 3 status based on ownership and workforce or workforce only (as applicable) must meet that status at the time the bid or proposal is submitted to the Houston Housing Authority. 2. Anyone claiming to be a Section 3 resident or business concern shall be required, as set forth by procedure, to provide evidence of such status. 3. Pursuant to 24 CFR 135.36 (c) any firm, prime or subcontractor claiming Section 3 status must demonstrate to the Authority’s satisfaction that the business concern is responsible and has the ability to complete the work under the terms and conditions of the proposed contract. In evaluating firms under this provision the Authority will examine: a. the work history and prior performance of the firm; b. the requirements of the job verses the skills evidenced by the firm through its owners, officers, principals, and key staff; c. technical and logistical capacity to complete the work considering contracts already awarded to the firm by the Authority or others; d. bonding capacity and ability to obtain required insurance (with allowances for disadvantaged or start- up firms); e. evidence of past sanctions imposed by the Authority or others; and f. evidence that the firm, its principals, associates, partners, subcontractors or others have not acted or colluded in order to circumvent the compliance process by structuring contractual or other relationships or engaging in practices designed to comply with Section 3 only to obtain the preference without regard to the work requirements of the job. 4. A business concern need not hire to be considered a Section 3 business provided that: a. the business concern is 51% or more owned by a Section 3 resident; or b. the business concern’s workforce consists of sufficient numbers of Section 3 residents to qualify the vendor as a Section 3 business (30% or more of the full-time workforce consists of Section 3 residents, or persons Page 14 of 20 who were Section 3 residents within 3 years of first employment); or c. subcontracts 25% or more of the total amount of the contract (including modifications) to Section 3 business concerns. 5. After award of a contract, if a business concern must hire to maintain the Section 3 workforce percentage, new hiring efforts must be made in accordance with the Houston Housing Authority preference tier for hiring (Tier l). 6. If a business concern claims Section 3 status by virtue of workforce composition, documentation of the 30% workforce requirement must be submitted to the Authority as part of the response to the bid, quote, or proposal. Further, the firm must maintain the Section 3 workforce percentage throughout the life of the contract. Workforce composition is subject to audit. 7. A business concern (including joint-ventures) seeking to qualify for a Section 3 preference shall certify and submit evidence that they are entitled to the applicable Section 3 preference and that they are a Section 3 business concern as defined in 24 CFR, Part 135 and by the Houston Housing Authority pursuant to this policy. Prime or subcontractors must submit documentation (including workforce composition data) as part of any bid, quote, or proposal submitted to the Houston Housing Authority. Additional documentation is required for joint-ventures. 8. Firms that claim Section 3 business status by subcontracting 25% of the total contract to other Section 3 businesses must require that the subcontractor(s) provide ownership or workforce documentation as applicable. The prime contractors must keep such records on file and available for review by the Authority. Such documentation must also be submitted as part of any bid, quote or proposal. 9. Subcontractors identified by any prime contractor claiming Section 3 status per item 6 must be a Section 3 business by ownership and/or workforce as defined in this policy. Subcontractors used by prime contractors to comply with item 6 cannot claim Section 3 status by further subcontracting. 10. Section 3 Joint-Ventures—to meet Section 3 contracting goals the Authority is permitted to contract with an association of firms as least one of which meets the Authority’s definition A or B of a Section 3 Business Concern. A definition of a joint- venture is provided in the definition section of this policy. Compliance requirements for joint-ventures are discussed below. 11. Joint-Ventures are subject to the following documentation requirements: Page 15 of 20 a. The joint-venture agreement must be in writing and must be submitted as part of the response to any bid or proposal solicited by the Houston Housing Authority. In order for the Authority to evaluate the “adequacy” and “capacity”, the agreement must describe in sufficient detail the area(s) of work assigned to each member of the joint-venture. b. The joint-venture agreement must reference a completed and fully executed joint-venture certification, as provided by the Authority, which must also be attached to the joint-venture agreement as an exhibit. c. The Authority requires that the Section 3 joint-venture partner is a bona-fide Section 3 business, therefore the joint-venture shall provide documentation that documents that the Section 3 partner meets the ownership and workforce, or workforce requirements established in this policy. Section 3 joint-venture partners cannot use subcontracting to establish their status as a Section 3 business concern. d. Section 3 requires that the joint-venture partner be responsible for a clearly defined portion of the work. Proposals or bids must specify the labor hours assigned to and the compensation to be received by the Section 3 joint-venture firm. e. Section 3 firms in the joint-venture must be qualified to perform the scope of work and have the capacity to complete the work assigned under the joint-venture agreement (see item b above). IV. BID OR PROPOSAL EVALUATION A. Vendors who fail to address Section 3 requirements will be deemed non- responsive. This means that in the proposal or bid documents submitted to the Houston Housing Authority, the Contractor’s Affidavit and Compliance commitment must be completed including applicable attachments and supporting documentation to support claims of compliance by hiring, contracting, or other economic opportunities. B. After written notice from the Houston Housing Authority specifying the defects in the Section 3 information, vendors will be given no more than 5 business days to complete the form and provide all required documents. Failure to respond within the 5 days will result in the Authority declaring the bidder or respondent non-responsive. The contract or bid will then be awarded to the next lowest and responsive bidder or to the respondent with the next highest score. Where the selection is a qualifications based procurement, Page 16 of 20 the Houston Housing Authority will award to the firm that is the next highest ranked. Page 17 of 20 FREQUENTLY ASKED QUESTIONS The following list contains answers to some of the most frequently asked questions about the Houston Housing Authority’s Section 3 Policies • What is Section 3? • Does Section 3 apply on all contracts and purchase orders? • What are the Houston Housing Authority’s Section 3 Requirements? • Ho do I hire Houston Housing Authority Residents? • How do I identify a Section 3 Business Concern? • What are the required Section 3 forms? • Do I have to hire or subcontract on every contract and purchase order? • Are there any Section 3 reporting requirements? • What will happen if I do not comply with the Section 3 requirements? • Who do I contact for assistance in completing the Section 3 forms? Doing Business with the Houston Housing Authority FAQ’s What is Section 3? Section 3 is a HUD regulation which requires that public housing residents, low and very low-income persons, and Section 3 business concerns receive, where feasible jobs, training and economic opportunities generated by HUD assistance. Does Section 3 apply on all contracts and purchase orders? Section 3 applies to all contracts and purchase orders with the exception of Supply and Delivery contracts and/or purchase orders, unless installation is included. What are the Houston Housing Authority’s Section 3 requirements? The Houston Housing Authority requires that bidders/proposers meet the Section 3 requirements in the following priority order: 1. Hire the required amount of Houston Housing Authority Section 3 residents. (Houston Housing’s policy emphasizes hiring residents first from the development where the work is being performed and secondly, from other Housing Authority developments), or 2. Contract with a Section 3 Business/Resident-Owned Business, or 3. Provide Other Economic Opportunities. How do I hire Houston Housing Authority Section 3 Residents? Referrals from the Houston Housing Authority Section 3 database are available through the Human Resources, Training & Development Department. Page 18 of 20 How do I identify a Section 3 Business Concern? Contact the Office of Procurement for a list of certified Resident-Owned Business Concerns. What are the required Section 3 forms? The Schedule C---Section 3 Utilization Plan must be submitted with the bid/proposal. This form is required for a submission to be considered responsive. Do I have to hire or subcontract on every contract and purchase order? It is the Houston Housing Authority’s goal to employ as many Section 3 residents as possible. Therefore, it is our preference that you hire to meet your goal. If you cannot hire, we ask you to subcontract with a Section 3 Business. If neither of these compliance routes are a possibility for you, you may be eligible to comply by offering other economic opportunities as indicated in the guidebook. For contracts under $100,000 a vendor may pursue other economic opportunities without attempting to hire or subcontract first. Are there any Section 3 reporting requirements? After contract/purchase award, the contractor is required to submit the following documents to the Contracting Officer or the Procurement Office: If the contractor chooses to hire: 1. Payroll records must be submitted on a weekly basis. The Department of Labor form WH-347 is the desired format although other formats will be accepted as long as all the information is presented and the form bears an original signature. If the contractor chooses to subcontract: 1. A copy of the subcontract, joint-venture or partnership agreement between the Contractor and the Resident Owned Business 2. Cancelled check copies (both front and back) evidencing payment to the Resident-Owned Business. If the contractor chooses to provide other economic opportunities: 1. A written commitment on the Contractor’s letterhead that identifies the specific opportunity, i.e., training that will lead to an employment opportunity with the contractor. Page 19 of 20 What will happen if I do not comply with the Section 3 requirement? When the Contractor has elected to meet the Section 3 requirement through hiring and the Section 3 resident is employed for less than the duration of the job commitment, vendors must contribute to a fund which provides other economic opportunities in the lesser of the following amounts: 1. The amount of money which the Section 3 resident would have received if employed for the duration of the contract, or 2. 5% of the actual contract amount if a construction contract; and 3. 5% for other contracts. When the contractor has elected to meet the Section 3 requirement through subcontracting, the difference between what was expended and what should have been expended is forfeited and placed into the Housing Authority’s Section 3 Education and Training Fund. In addition, Section 3 Regulation sanctions may be imposed on recipients that fail to comply with the Regulations of this part and include debarment, suspension, and limited denial of participation in HUD programs. Who do I contact for assistance in completing the Section 3 forms? The Contracting Officer or the Procurement Officer which is assigned to the Request for Proposal (RFP), Request for Qualifications (RFQ), or Invitation for Bid (IFB). Page 20 of 20 Section 3 Business Certification This certification must be completed by any business claiming Section 3 business status. As a Section 3 business, your firm must retain documentation of your Section 3 status in a project file for each HHA awarded project. The Houston Housing Authority considers this form adequate documentation of Section 3 status; however additional documentation verifying Section 3 compliance may be requested by the Authority at a later date. HHA projects funded with HUD dollars are “Section 3 covered projects” and contractors are required to report compliance with the Section 3 guidelines. However if the contractor has tried to the greatest extent feasible to hire Section 3 Residents or subcontract with Section 3 vendors but has been unsuccessful in meeting the Section 3 employment/contracting requirements, that contractor must contribute at least 5% of the actual contract amount to HHA’s education and training fund to be considered Section 3 compliant. In addition, Section 3 regulation sanctions may be imposed on recipients that fail to comply with the regulations of this part and include debarment, suspension, and limited denial of participation in HUD programs This form is a tool to determine and document the Section 3 business status. Documentation of the status of Section 3 Businesses should be retained in the project files. Business being certified Company:___________________________________________________ Address: ____________________________________________________ Project information Project Name: ___________________________________________________ Project Address: _________________________________________________ Section 3 determination Is your business owned (51% or more) by individuals whose household incomes are NO GREATER THAN 80% of Area Median Income (AMI)? Please reference http://www.houstontx.gov/housing/sec3.html to determine if employee is less than 80% of the current area median income. ( ) Yes ( ) No • Do 30% (or more) of your full time, permanent employees have household incomes that are NO GREATER THAN 80% of Area Median Income (AMI), or within three years of the date of first employment with the business concern were Section 3 residents? ( ) Yes ( ) No • Will you subcontract more than 25% of this contract with a qualified business that is either 51% owned by Section 3 residents or 30% or more of its employees are Section 3 residents? ( ) Yes ( ) No If any of the questions above are marked “yes”, the business qualifies as a Section 3 business. I certify that the above statements are true, complete, and correct to the best of my knowledge and belief. Signature: _________________________________________________________ Print Name: ____________________________________ Date: _______________ Subscribed and sworn before me this ______ day of _____________, ______________ Date: ________________ Notary Public: ___________________________ My Commission Expires: __________________ Section 3 Resident Employment Plan Section 3 of the Housing and Urban Development Act of 1968 (hereinafter "Section 3") requires the Houston Housing Authority (“the Authority”) to the greatest extent feasible to provide employment opportunities to "Section 3 residents." Section 3 Residents include residents of the Authority’s communities and other low income residents of the city of Houston. Each bidder is required to submit with their bid package a plan which will result in the hiring of Section 3 residents to perform the work contemplated by the bid. HUD has established an annual goal of 10% of all new hires by the Authority’s Contractors. The Authority’s residents, preferably residents of the Authority’s community in which the work is to be done, are favored over other low- income residents of the city of Houston. At a minimum, the Contractor and its subcontractors shall advertise new positions created in order to perform the work called for herein and will post notices of the Contractor’s commitments under Section 3 in conspicuous places at the work site. In addition, the Contractor must notify each labor organization with whom it or its subcontractors have a collective bargaining agreement or other understanding of these Section 3 commitments. In order to fulfill its Section 3 obligations the Contractor may work with service providers on site at various Authority’s communities. The plan should specify the number of positions the Contractor expects will be created and what minimum qualifications and skills will be required in order to perform the positions. The plan should also address the Contractor's strategy for recruiting the Authority’s residents for the available positions. Signature: Date Signed: Name: Title: Company Name: Address: Telephone Number: 1. How many new positions do you expect this contract will require you to create? _____________________________________________________________________________ 2. Describe each position and provide the name and provide the location of the person(s) taking applications for each such position. _____________________________________________________________________________ _____________________________________________________________________________ 3. What minimum skills will be required for each position? _____________________________________________________________________________ _____________________________________________________________________________ 4. Please describe any training opportunities which the contract may create and any agreements concerning training you have. _____________________________________________________________________________ _____________________________________________________________________________ 5. How will you advertise these positions to the Authority’s residents? _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ If you have any questions about this form, please call Ann Simotas, Purchasing Officer, at (713) 260-0554 Houston Housing Authority SECTION 00830 WAGE DETERMINATION Minimum wages to be paid to all employees of any contractor or subcontractor are defined in Wage Determinations issued by the Labor Relations Office of the U.S. Department of Housing and Urban Development. The Wage Decision to be used in the preparation of this bid is Wage Decision No. TX100121, Modification Number 9, dated 04/01/2011, as contained herein on the following pages. Wage Determination 00830-1 VA-256-11-IB-0290 DAVIS BACON WAGE DETERMINATION General Decision Number: TX100121 04/01/2011 TX121 Superseded General Decision Number: TX20080121 State: Texas Construction Type: Building County: Harris County in Texas. BUILDING CONSTRUCTION PROJECTS (does not include single family homes or apartments up to and including 4 stories). (Use current highway general wage determination for Paving & Utilities incidental to Building Construction for Harris County Modification Number Publication Date 0 03/12/2010 1 04/02/2010 2 06/04/2010 3 07/02/2010 4 08/13/2010 5 09/03/2010 6 10/22/2010 7 10/29/2010 8 01/07/2011 9 04/01/2011 ASBE0022-002 06/01/2009 Rates Fringes ASBESTOS WORKER/INSULATOR (Including application of all insulating materials, protective coverings, coatings and finishing to all type of mechanical systems)......$ 20.63 8.30 ---------------------------------------------------------------- BOIL0074-002 08/08/2010 Rates Fringes BOILERMAKER......................$ 25.95 16.88 ---------------------------------------------------------------- CARP0551-001 04/01/2008 Rates Fringes CARPENTER (Including Acoustical Ceiling Work).........$ 21.00 6.43 ---------------------------------------------------------------- Page 1 of 5 VA-256-11-IB-0290 ELEC0716-002 08/30/2010 Rates Fringes ELECTRICIAN (Including Pulling Wire and Low Voltage Wiring and Installation of Fire Alarms, Security Systems, Telephones, and Computers.)......................$ 26.65 7.67 ---------------------------------------------------------------- ELEV0031-001 01/01/2010 Rates Fringes ELEVATOR MECHANIC................$ 34.955 20.235 FOOTNOTES: a.- Employer contributes 8% of basic hourly rate for over 5 years' service and 6% of basic hourly rate for 6 months to 5 years' service as Vacation Pay Credit. Paid Holidays: New Year's Day; Memorial Day; Independence Day; Labor Day; Thanksgiving Day; Friday after Thanksgiving Day; Christmas Day; and Veterans Day. ---------------------------------------------------------------- PLAS0079-001 07/01/2004 Rates Fringes PLASTERER........................$ 19.42 1.00 ---------------------------------------------------------------- PLUM0068-003 10/01/2010 Rates Fringes Plumbers (Excluding HVAC Pipe)...$ 28.79 9.40 ---------------------------------------------------------------- PLUM0211-004 10/01/2010 Rates Fringes Pipefitters (HVAC Pipe Only).....$ 28.42 9.97 ---------------------------------------------------------------- * SFTX0669-001 04/01/2011 Rates Fringes SPRINKLER FITTER (Fire Sprinklers)......................$ 25.40 16.00 ---------------------------------------------------------------- SHEE0054-004 07/01/2010 Rates Fringes Sheet metal worker (Including HVAC Duct and System Installation)....................$ 25.37 9.96 ---------------------------------------------------------------- Page 2 of 5 VA-256-11-IB-0290 SUTX2005-010 03/24/2005 Rates Fringes Asbestos Abatement Worker (Ceilings, Floors, & Walls Only)............................$ 14.00 0.00 BRICKLAYER.......................$ 18.00 0.00 CEMENT MASON/CONCRETE FINISHER...$ 12.83 0.00 DRYWALL FINISHER/TAPER...........$ 12.13 1.01 DRYWALL HANGER, Includes Metal Stud Installation..........$ 12.96 1.59 Formbuilder/Formsetter...........$ 11.82 0.00 GLAZIER..........................$ 14.92 2.78 INSULATOR -BATT AND FOAM.........$ 10.00 0.00 Ironworkers: Reinforcing.................$ 12.06 0.00 Structural..................$ 15.68 0.00 Laborers: Common......................$ 9.29 0.00 Mason Tender Brick..........$ 10.13 0.00 Mason Tender Cement.........$ 9.86 0.00 Pipelayer...................$ 12.35 0.00 Plaster Tender..............$ 12.90 2.51 LATHER...........................$ 16.90 3.61 Painter (Brush, Roller, and Spray)...........................$ 11.17 0.00 Pipefitters (Excluding HVAC Pipe)............................$ 19.20 8.23 POWER EQUIPMENT OPERATOR: Asphalt Paver...............$ 13.50 0.25 Backhoe.....................$ 12.54 0.00 Crane.......................$ 17.95 3.56 Forklift....................$ 15.46 5.15 Slab & Wall Saw.............$ 15.54 3.83 ROOFER...........................$ 11.51 0.57 TILE FINISHER....................$ 12.00 0.43 TILE SETTER......................$ 15.70 1.09 TRUCK DRIVER.....................$ 10.78 1.57 ---------------------------------------------------------------- Page 3 of 5 VA-256-11-IB-0290 WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ======================================================== Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29 CFR 5.5(a)(1)(ii)). ---------------------------------------------------------------- -- In the listing above, the "SU" designation means that rates listed under the identifier do not reflect collectively bargained wage and fringe benefit rates. Other designations indicate unions whose rates have been determined to be prevailing. ---------------------------------------------------------------- -- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Page 4 of 5 VA-256-11-IB-0290 Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. END OF GENERAL DECISION Page 5 of 5 TECHNICAL SPECIFICATIONS GENERAL SCOPE OF WORK 1. Remove and haul away existing base and wall mounted cabinets, countertops, and linen closets, Remove all appliances (refrigerators, ranges, vent hoods), kitchen sinks and faucets, and hand these over to the Property Management at the storage area in the first floor. The work is to be carried out in 195 units. 2. Provide and install new base and wall-mounted cabinets, countertops, linen closets, all appliances, kitchen sinks and faucets, in 195 units. 3. Replace the damaged sheetrock behind the cabinets and linen closets, tape, float and paint. 4. The light fixture under the cabinet at the kitchen sink and the light switch on the kitchen pantry is to be removed and re-installed. Include all associated work. 5. Replace all plumbing pipes at the kitchen sink and faucet. 6. Asbestos abatement and legal disposal of contaminants to designated areas. 7. Provide and install 10,000 s. f. of new vinyl tile flooring on existing vinyl tile flooring in about 25 units. 8. Remove and haul away existing, and provide new vanity with cultured marble countertop as existing in Manager’s unit. 9. Move the furniture in the units as required for carrying out the work. Restore all areas damaged or disturbed during the work. 10. The work is to be carried out with the units occupied. Restore the kitchen in a day. 11. Obtain and pay for all necessary permits and inspections.
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