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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 smonigold@housingforhouston.com.

        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
                            smonigold@housingforhouston.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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