elevator full preventative maintenance contract maintenance bid packet.pdf · elevator full...

Elevator Full Preventive Maintenance Specifications -

Bid Packet and Specifications for….

Elevator Full Preventative

Maintenance Contract

….for the Housing Authority of the City of Lancaster

July, 2015

Lancaster City Housing Authority 325 Church St. • Lancaster, PA 17602


INDEX NON-TECHNICAL SPECIFICATIONS

Page Signature Page............................................................................................................3 Invitation to Bid. ........................................................................................................4 Instructions to Bidders for Non-Construction Contracts ...........................................5-8 General Conditions of the Non-Construction Contract .............................................9-23 Special Conditions .....................................................................................................24 Additional Provisions for Pennsylvania Authorities ..................................................25 Debarment Certification .............................................................................................26-28 Section 3 Overview and Certification ........................................................................29-44 Bid Form ....................................................................................................................45-46 Bid Bond ....................................................................................................................47-48 Owner/Contractor Agreement ....................................................................................49-50 Certifications ..............................................................................................................51 Performance and Maintenance Bond .........................................................................52-53 TECHNICAL SPECIFICATIONS Division I - General Requirements ........................................................................54-56 Division II - Service Requirements ........................................................................57-62 Representations, Certifications and Other Statements of Bidders, HUD-5369A ......Addendum


Elevator Full Preventative Maintenance Specifications

SIGNATURE PAGE

_________________________________________ Authorized Contractor Signature

_________________________________________

Title

_________________________________________ Date

Housing Authority of the City of Lancaster

_________________________________________ Robert C. Schellhamer, Executive Director

_________________________________________

Date


INVITATION TO BID

The Housing Authority of the City of Lancaster (LCHA) will receive bids for Elevator Full Preventive Maintenance for its Church Street Towers hi-rise, its Farnum Street East hi-rise and its central office. Bids will be received until 11:00 a.m. prevailing time on Tuesday, August 11, 2015 at its central office, 325 Church St., Lancaster, PA, 17602-4201 at which time and place all bids will be publicly opened and read aloud. Bid documents may be obtained by contacting Beth Detz at the LCHA at 717-397-2835 x 3030, M-Th, 8:00 a.m. to 4:30 p.m. and Fri. 8:00 a.m. to 3:00 p.m. Documents are also available electronically (call Beth for instructions). A responsive bid must include the: (1) Form of Proposal; (2) Bid Bond; (3) HUD-5369A Representations, Certifications, and Other Statements of Bidders; and, (4) other documents as may be stipulated in the bid documents. A certified check or bank draft payable to the LCHA, U.S. Government Bonds, or a satisfactory Bid Bond executed by the bidder and acceptable sureties in an amount equal to ten percent (10%) of base bid shall be submitted with each bid. The successful bidder will be required to furnish and pay for a satisfactory Performance Bond. The LCHA reserves the right to reject any or all bids or to waive any informalities in the bidding. No bid shall be withdrawn for a period of sixty (60) days subsequent to the opening of the bids without written consent of the LCHA. The LCHA is an equal opportunity agency which does not discriminate against any person because of race, color, age, religion, sex, national origin, handicap or familial status. The LCHA solicits and encourages Minority Business Enterprise (MBE), Women Business Enterprise (WBE), and Section 3 Business participation in all of its contracts. HOUSING AUTHORITY OF THE CITY OF LANCASTER Robert C. Schellhamer, Executive Director


Instructions to Bidders for Non-Construction Contracts

Public and Indian Housing Programs 1. Bid Preparation and Submission

(a) Bidders are expected to examine the statement of work, specifications, drawings, and all instructions. Failure to do so will be at the bidder's risk.

(b) All bids must be submitted on the forms provided by the Housing Authority of the

City of Lancaster (LCHA). Each bidder shall furnish all the information required by the solicitation. Bidders must submit one original signature bid and one copy. (Bidders should retain an additional copy for their records). Original bids must be signed and the bidder's name typed or printed on the bid and each continuation sheet which required the entry of information by the bidder. Erasures or other changes must be initialed by the person signing the bid. Bids signed by an agent shall be accompanied by evidence of that agent’s authority.

(c) All bid documents shall be sealed in an envelope which shall be clearly marked

with the words “Bid Documents,” the bidder’s name, and the date and time of solicitation closing, and any Invitation to Bid (ITB), project or other identifying number(s).

(d) If this solicitation requires proposing on all items, failure to do so will disqualify

the bid. If bidding on all items is not required, bidders should insert the words “NO BIDS” in the space provided for any item on which no price is submitted.

(e) Unless expressly authorized elsewhere in this solicitation, alternate bids will not

be considered. (f) Unless expressly authorized elsewhere in this solicitation, bids submitted by

telegraph or facsimile (FAX) machine will not be considered. (g) If the proposed contract is for a Mutual Help project (as described in 24 CFR Part

905, Subpart D) that involves Mutual Help contributions of work, material, or equipment, supplemental information regarding the procurement is provided as an attachment to this solicitation.

(h) Bids will be publicly opened at the date, time and place announced in the

Invitation to Bid. 2. Explanations and Interpretations to Prospective Bidders

(a) Any prospective bidder desiring an explanation or interpretation of the solicitation, statement of work, specifications, drawings, etc., must request it in writing soon enough to allow the LCHA time to provide a reply to all prospective bidders before the submission of their bids. No oral explanation or interpretation will be provided to any bidder. Any information given a prospective bidder


concerning this solicitation will be furnished promptly to all other prospective 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 to other prospective bidders. Amendments will also be on file in the offices of the LCHA at least seven (7) days before the closing date. All bidders will be bound by such amendments, whether or not they are received by the bidders.

(b) Any information obtained by, or provided to, a bidder other than by formal

amendments to the solicitation shall not constitute a change to the solicitation.

3. Responsibility of Prospective Contractor

(a) The LCHA will award contracts only to responsible prospective contractors who have the ability to perform successfully under the terms and conditions of the proposed contract in determining the responsibility of bidder, the LCHA will consider such matters as the bidder’s:

(1) Integrity; (2) Compliance with public policy; (3) Record of past performance; and

(4) Financial and technical resources (including computer and technical

equipment). (b) Before a bid is considered for award, the bidder may be requested by the LCHA to

submit a statement or other documentation regarding any of the items in paragraph (a) above. Failure by the bidder to provide such additional information shall render the bidder ineligible for award.

4. Late Submissions and Modifications of Bids

(a) Any bid received at the place designated in the solicitation after the exact time specified for receipt will not be considered unless it is received before award is made and it

(1) Was sent by registered or certified mail not later than the fifth calendar day

before the date specified for receipt of bids (e.g. a bid submitted in response to a solicitation requiring receipt of bids by the 20th of the month must have been mailed by the 15th);

(2) Was sent by mail, or if authorized by the solicitation, was sent by telegram

or via facsimile, and it is determined by the LCHA that the late receipt was due solely to mishandling by the LCHA after receipt at the LCHA; or

(3) Was sent by U.S. Postal Service Express Mail Next Day Service - Post

Office to Addressee, not later than 5:00 p.m. at the place of mailing two (2) working days prior to the date specified for receipt of bids. The term “working days” excludes weekends and U.S. federal holidays.

(b) Any modification 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 or

modification 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 or modification shall be processed as if mailed late. "Postmark" means a printed, stamped, or otherwise placed impression (exclusive of a postage meter machine impression) that is readily identifiable without further action as having been supplied and affixed by employees of the U.S. or Canadian Postal Service on the date of mailing. Therefore, bidders should request the postal clerk to place a hand cancellation bull's-eye postmark on both the receipt and the envelope or wrapper.

(d) The only acceptable evidence to establish the time of receipt at the LCHA is the

time/date stamp of LCHA on the bid wrapper or other documentary evidence of receipt maintained by the LCHA.

(e) The only acceptable evidence to establish the date of mailing of a late bid or

modification sent by Express Mail Next Day Service-Post Office to Addressee is the date entered by the post office receiving clerk on the “Express Mail Next Day Service-Post Office to Addressee” label and the postmark on both the envelope or wrapper and on the original receipt from the U.S. Postal Service. “Postmark” has the same meaning as defined in paragraph (c) of this provision, excluding postmarks of the Canadian Postal Service. Therefore, bidders should request the postal clerk to place a legible hand cancellation bull's-eye postmark on both the receipt and the envelope or wrapper.

(f) Notwithstanding paragraph (a) of this provision, a late modification of an

otherwise successful bid that make its terms more favorable to the LCHA will be considered at any time it is received and may be accepted.

(g) Bids may be withdrawn by written notice, or if authorized by this solicitation, by

telegram (including mailgram) or facsimile machine transmission received at any time before award; provided that written confirmation of telegraphic or facsimile withdrawals over the signature of the bidder is mailed and postmarked prior to award. A bid may be withdrawn in person by a bidder or its authorized representative if, before the award, the identify of the person requesting withdrawal is established and the person signs a receipt for the bid.

5. Service of Protest

(a) Definitions. As used in this provision: “Interested party” means an actual or prospective bidder whose direct economic

interest would be affected by the award of the contract. “Protest” means a written objection by an interested party to this solicitation or to

a proposed or actual award of a contract pursuant to this solicitation. (b) Protests, as defined in paragraph (a) above, shall be served on the Contracting


Officer by obtaining written and dated acknowledgment from LCHA Executive Director Robert C. Schellhamer.

(c) All protests shall be resolved in accordance with the LCHA’s protest policy and

procedures, copies of which are maintained at the LCHA. 6. Contract Award

(a) The LCHA will evaluate bids and award a contract to the responsible bidder whose bid will be most advantageous to the LCHA, considering price and any other factors specified in the solicitation.

(b) The LCHA may reject any and all bids, accept other than the lowest bid, and

waive informalities or minor irregularities in bids received. (c) Unless precluded elsewhere in the solicitation, the LCHA may accept any item or

combination of items proposed. (d) The LCHA may reject any bid as unacceptable if it is materially unbalanced as to

the prices for the various items of work to be performed. A bid is materially unbalanced when it is based on prices significantly less than cost for some work and prices which are significantly overstated for other work.

(e) A written award shall be furnished to the successful bidder within the period for

acceptance specified in the bid and shall result in a binding contract without further action by either party.


General Conditions of the Non-Construction Contract Public and Indian Housing Programs

CONDUCT OF WORK

1. Definitions

(a) “Contract” means the contract entered into between the LCHA and the contractor. It includes the Certifications, Representations, and Other Statements of Offerors, these General Conditions of the Contract, any special conditions included elsewhere in the contract and the specifications and schedule of drawings, if any. It includes all formal changes to any of those documents by addendum, Change Order, or other modification.

(b) “Contracting Officer” means the person delegated the authority by the LCHA to

enter into, administer, and/or terminate this contract and designated as such in writing to the Contractor. The terms include any successor Contracting Officer and any duly authorized representative of the Contracting Officer also designated in writing. The Contracting Officer shall be deemed the authorized agent of the LCHA in all dealings with the Contractor.

(c) “Contractor” means the person or other entity entering into the contract with the

LCHA to perform all of the work required under the contract. (d) “HUD” means the United States of America acting through the Department of

Housing and Urban Development including the Secretary, or any other person designated to act on its behalf. HUD has agreed, subject to the provisions of an Annual Contributions Contract (ACC) to provide financial assistance to the LCHA, which includes assistance in financing the work to be performed under this contract. As defined elsewhere in these General Conditions or the contract documents, the determination of HUD may be required to authorize changes in the work or for release of funds to the LCHA for payment to the contractor. Notwithstanding HUD’s role, nothing in this contract shall be construed to create any contractual relationship between the Contractor and HUD.

(e) “LCHA” means the Lancaster City Housing Authority organized under applicable

Pennsylvania state law as the Housing Authority of the City of Lancaster, and a party to this contract.

(f) “Work” means materials, workmanship, and manufacture and fabrication of

components. 2. Contractor’s Responsibility for Work

(a) The Contractor shall furnish all necessary labor, materials, tools, equipment, and transportation necessary for performance of the work.

(b) The Contractor shall be responsible for all damages to persons or property that

occur as a result of the Contractor’s fault or negligence, and shall take proper


safety and health precautions to protect the work, the workers, the public, and the property of others. The Contractor shall hold and save the LCHA, its officers and agents, free and harmless from liability of any nature occasioned by the Contractor’s performance. The Contractor shall also be responsible for all materials delivered and work performed until completion and acceptance of the entire work, except for any completed unit of work that may have been accepted under the contract.

3. Clean Air and Water (Applicable to Contracts in Excess of $100,000)

(a) Definition. “Facility” means any building, plant, installation, structure, mine, vessel or other floating craft, location, or site of operations, owned, leased, or supervised by the Contractor or any subcontractor, used in the performance of the contract or any subcontract. When a location or site of operations includes more than one building, plant, installation, or structure, the entire location or site shall be deemed a facility except when the Administrator, or a designee, of the Environmental Protection Agency (EPA) determines that independent facilities are collocated in one geographical area.

(b) The Contractor agrees:

(1) To comply with all applicable standards, orders, or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and EPA regulations (40 CFR Part 15);

(2) That no portion of the work required by this prime contract will be

performed in a facility listed on the Environmental Protection Agency List of Violating Facilities on the date when this contract was awarded unless and until the EPA eliminates the name of the facility from the listing;

(3) To use the best efforts to comply with clean air standards and clean water

standards at the facility in which the contract is being performed; and

(4) To insert the substance of this clause in all nonexempt subcontracts, including this subparagraph (b)(4).

4. Inspection and Acceptance

The contractor shall maintain an adequate inspection system and perform such inspections as will ensure that the work performed under the contract conforms to contract requirements. All work is subject to LCHA inspection and test at all places and at all reasonable times before acceptance to ensure strict compliance with the terms of the contract. LCHA inspections and tests are for the sole benefit of the LCHA and do not (1) relieve the Contractor of responsibility for providing adequate quality control measures; (2) relieve the Contractor of responsibility for loss or damage of the material before acceptance; (3) constitute or imply acceptance; or, (4) affect the continuing rights of the LCHA after acceptance of the completed work.


The LCHA Has the right to inspect and test all supplies, services, and construction required under this contract to the extent practicable at all times and places during the term of the contract. The LCHA shall perform inspections in a manner that will not unduly delay the work. If any of the supplies, services, or construction does not conform with contract requirements, the LCHA may require the contractor to perform the work again in conformity with contract requirements, at no increase in the contract price. When defects cannot be corrected by re-performance, the LCHA may require the contractor to take necessary action to ensure That future performance conforms to contract requirements and reduce the contract price to reflect the reduced value of the work performed. If the contractor fails to perform promptly the required work or to take the necessary action to ensure future performance of the contract in conformity with contract requirements, the LCHA may, by contract or otherwise, perform the work itself and charge the contractor any cost incurred that is directly related to the performance of the work or terminate the contract for default. The presence or absence of the LCHA Inspector does not relieve the Contractor from any contract requirement, nor is the inspector authorized to change any term or condition of the specifications without the Contracting Officer’s written authorization. All instructions and approvals with respect to the work shall be given to the Contractor by the Contracting Officer.

5. Warranty of Title

The Contractor warrants good title to all materials, supplies, and equipment incorporated in the work and agrees to deliver the premises together with all improvements thereon free from any claims, liens or charges, and agrees further that neither it nor any other person, firm or corporation shall have any right to a lien upon the premises or anything appurtenant thereto.

6. Warranty

The equipment/materials provided under this contract, if any, shall have a warranty of n/a

(years/months).

7. Prohibition Against Liens

The Contractor is prohibited from placing a lien on the LCHA’s property. This prohibition shall apply to all subcontractors.

8. Energy Efficiency

The Contractor shall comply, where applicable, with all standards and policies relating to energy efficiency that are contained in the energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163) for the State in which the work under the contract is performed.


Administrative Requirements 9. Contract Period

The Contract Period will be October 1, 2015 through September 30, 2017.

10. Order of Precedence

In the event of a conflict between these General Conditions and the Statement of Work, the provisions of the General Conditions shall prevail. In the event of a conflict between the contract and any applicable state or local law or regulation, the state or local law or regulation shall prevail.

11. Payments

(a) The LCHA shall pay the Contractor the price as provided in this contract. (b) The LCHA does not recognize a “statement” as a valid demand for payment. It is

essential that an invoice be submitted monthly for the term of the contract. The invoice must show the Purchase Order Number authorizing the purchase. Payment will be made according to standard policies followed by the Housing Authority of the City of Lancaster.

12. Contract Modifications

(a) Only the Contracting Officer has authority to modify any term or condition of this contract. Any contract modification shall be authorized in writing.

(b) The contract LCHA may modify the contract unilaterally - (1) pursuant to a

specific authorization stated in a contract clause (e.g., 13. Changes); or (2) for administrative matters which do not change the rights or responsibilities of the parties (e.g., change in the LCHA address). All other contract modifications shall be in the form of supplemental agreements signed by the Contractor and the Contracting Officer.

13. Changes

(a) The Contracting Officer may, at any time, without notice to the sureties, by written order designated or indicated to be a Change Order, make changes in the work within the general scope of the contract including changes:

(1) In the statement of work or specifications; (2) In the method or manner of performance of the work; (3) LCHA-furnished facilities, equipment, materials, services, or site; or, (4) Directing the acceleration in the performance of the work.

(b) Any other written order or oral order (which, as used in this paragraph (b),

includes direction, instruction, interpretation, or determination) from the Contracting Officer that causes a change shall be treated as a Change Order under this cause; provided, that the Contractor gives the Contracting Officer written


notice stating (1) the date, circumstances and source of the order and (2) that the Contractor regards the order as a Change Order.

(c) Except as provided in this clause, no order, statement or conduct of the

Contracting Officer or any other person shall be treated as a change under this paragraph or entitle the Contractor to an equitable adjustment.

(d) If any change under this paragraph causes an increase or decrease in the

Contractor’s cost of, or the time required for the performance of any part of the work under this contract, whether or not changed by any such order, the Contracting Officer shall make an equitable adjustment and modify the contract in writing. However, except for an adjustment based on defective specifications, no proposal for any change under paragraph (b) above shall be allowed for any costs incurred more than 30 days before the Contractor gives written notice as required. In the case of defective specifications for which the LCHA is responsible, the equitable adjustment shall include any increased cost reasonably incurred by the Contractor in attempting to comply with the defective specifications.

(e) The Contractor must submit any proposal under this paragraph to the Contracting

Officer within 30 days after (1) receipt of a written change order under subparagraph (a) above, or (2) the furnishing of a written notice under subparagraph (b) above. The proposal shall include a written statement describing the general nature and the amount of proposal. If the facts justify it, the Contracting Officer may extend the period for submission. The proposal may be included in the notice required under subparagraph (b) above. No proposal by the Contractor for an equitable adjustment shall be allowed if asserted after final payment under this contract.

(f) The Contractor’s written proposal for equitable adjustment shall be submitted in

the following form:

(1) Proposals totaling $5,000 or less shall be submitted in the form of a lump sum proposal with supporting information to clearly relate elements of cost with specific items of work involved to the satisfaction of the Contracting Officer.

(2) For proposals in excess of $5,000, the claim for equitable adjustment shall

be submitted in the form of a lump sum proposal supported with an itemized breakdown of all increases and decreases in the contract in at least the following details:

(i) Direct Costs Materials; Transportation and delivery costs associated with materials; Labor breakdowns by hours or unit costs (identified with specific

work to be performed); Costs of preparation and/or revision to shop drawings resulting

from the change;


Worker’s Compensation and Public Liability Insurance; Employment taxes under FICA and FUTA; and Bond Costs - when size of change warrants revision. (ii) Indirect Costs Indirect costs may include overhead, general and

administrative expenses, and fringe benefits not normally treated as direct costs.

(iii) Profit The amount of profit shall be negotiated and may vary

according to the nature, extend and complexity of the work required by the change.

The allowability of the direct and indirect costs shall be determined in accordance with the Contract Cost Principles and Procedures for Commercial Firms in Part 31 of the Federal Acquisition Regulation (48 CFR 1-31), as implemented by HUD Handbook 2210.18, in effect on the date of this contract. The contractor shall not be allowed a profit on the profit received by any subcontractor. Equitable adjustments for deleted work shall include a credit for profit and may include a credit for indirect costs. On proposals covering both increases and decreases in the amount of the contract, the application of indirect costs and profit shall be on the net Change in direct costs for the Contractor or subcontractor performing the work.

(g) The Contractor shall include in the proposal its request for time extension (if any),

and shall include sufficient information and dates to demonstrate whether and to what extend the change will delay the completion of the contract in its entirety.

(h) The Contracting Officer shall act on proposals within 30 days after their receipt. (i) Failure to reach an agreement on any proposal shall be a dispute under clause 15.

Disputes herein. Nothing in this clause, however, shall excuse the Contractor from proceeding with the contract as changed.

(j) Except in an emergency endangering life or property, no change shall be made by

the Contractor without a prior written order from the Contracting Officer. 14. Suspension of Work

(a) The Contracting Officer may order the Contractor in writing to suspend, delay, or interrupt all or any part of the work of this contract for the period of time that the Contracting Officer determines appropriate for the convenience of the LCHA.

(b) If the performance of all or any part of the work is, for an unreasonable period of

time, suspended, delayed, or interrupted (1) by an act of the Contracting Officer in the administration of this contract, or (2) by the Contracting Officer’s failure to act within the time specified (or within a reasonable time if not specified) in this contract an adjustment shall be made for any increase in the cost of performance


of the contract (excluding profit) necessarily caused by such unreasonable suspension, delay, or interruption and the contract modified in writing accordingly. However, no adjustment shall be made under this clause for any suspension, delay, or interruption to the extent that performance would have been so suspended, delayed, or interrupted by any other cause, including the fault or negligence of the Contractor or for which any equitable adjustment is provided for or excluded under any other provision of this contract.

(c) A claim under this clause shall not be allowed (1) for any costs incurred more than

twenty (20) days before the Contractor shall have notified the Contracting Officer in writing of the act or failure to act involved (but this requirement shall not apply as to a claim resulting from a suspension order); and, (2) unless the claim, in an amount stated, is asserted in writing as soon as practicable after the termination of the suspension, delay, or interruption, but not later than the date of final payment under the contract.

15. Disputes

(a) All disputes arising under or relating to this contract, including any claims for damages for the alleged breach thereof that are not disposed of by agreement, shall be resolved under this clause.

(b) All claims by the Contractor shall be made in writing and submitted to the

Contracting Officer. A claim by the LCHA against the Contractor shall be subject to a written decision by the Contracting Officer.

(c) The Contracting Officer shall, with reasonable promptness, but in no event no

more than fourteen (14) days, render a decision concerning any claim hereunder. Unless the Contractor, within 30 days after receipt of the Contracting Officer’s decision, shall notify the Contracting Officer in writing that it takes exception to such decision, the decision shall be final and conclusive.

(d) Provided the Contractor has (1) given the notice within the time stated in

paragraph (c) above, and (2) excepted its claim relating to such decision from the final release, and (3) brought suit against the LCHA not later than one year after receipt of final payment, or if final payment has not been made, not later than one year after the Contractor has had a reasonable time to respond to a written request by the LCHA that it submit a final voucher and release, whichever is earlier, then the Contracting Officer’s decision shall not be final or conclusive, but the dispute shall be determined on the merits by a court of competent jurisdiction.

(e) The Contractor shall proceed diligently with performance of this contract, pending

final resolution of any request for relief, claim, appeal, or action arising under the contract, and comply with any decision of the Contracting Officer.

(f) The Contractor is prohibited from placing a lien on the LCHA’s property. This

prohibition shall apply to all subcontractors.


16. Default

(a) If the Contractor refuses or fails to prosecute the work, or any separable part thereof, with the diligence that will insure its completion within the time specified in this contract, or any extension thereof, or fails to complete said work within this time, the Contracting Officer may, by written notice to the Contractor, terminate the right to proceed with the work (or separable part of the work) that has been delayed. In this event, the LCHA may take over the work and complete it, by contract or otherwise, and may take possession of and use any materials, equipment, and plant on the work site necessary for completing the work. The Contractor and its sureties shall be liable for any damage to the LCHA resulting from the Contractor’s refusal or failure to complete the work within the specified time, whether or not the Contractor’s right to proceed with the work is terminated. This liability includes any increased costs incurred by the LCHA in completing the work.

(b) The Contractor’s right to proceed shall not be terminated or the Contractor

charged with damages under this clause if-

(1) The delay in completing the work arises from unforeseeable causes beyond the control and without the fault or negligence of the Contractor. Examples of such causes include (i) acts of God, or of the public enemy, (ii) acts of the LCHA or other governmental entity in either its sovereign or contractual capacity, (iii) acts of another contractor in the performance of a contract with the LCHA, (iv) fires, (v) floods, (vi) epidemics, (vii) quarantine restrictions, (viii) strikes, (x) freight embargoes, (x) unusually severe weather, or (x) delays of subcontractors or suppliers at any time arising from unforeseeable causes beyond the control and without the fault or negligence of both the Contractor and the subcontractors or suppliers; and

(2) The Contractor, within ten (10) days from the beginning of such delay

(unless extended by the Contracting Officer) notifies the Contracting Officer in writing of the causes of delay. The Contracting Officer shall ascertain the facts and the extent of the delay. If, in the judgment of the Contracting Officer, the findings of fact warrant such action, time for completing the work shall be extended by written modification to the contract. The findings of the Contracting Officer shall be reduced to a written decision that shall be subject to the provisions of clause 15. Disputes herein.

(c) If, after termination of the Contractor’s right to proceed, it is determined that the

Contractor was not in default, or that the delay was excusable, the rights and obligations of the parties will be the same as if the termination had been for the convenience of the LCHA.

17. Liquidated Damages

(a) If the contractor fails to complete the work within the time specified in the contract, or any extension, as specified in the clause 16. Default of this contract, the contractor shall pay to the LCHA as liquidated damages, the sum of $100.00


for each day of delay. To the extent that the contractor’s delay or nonperformance is excused under another clause in this contract, liquidated damages shall not be due the LCHA. The contractor remains liable for damages caused other than by delay.

(b) If the LCHA terminates the Contractor’s right to proceed, the resulting damage

will consist of liquidated damages until such reasonable time as may be required for final completion of the work together with any increased costs occasioned the LCHA in completing the work.

(c) If the LCHA does not terminate the Contractor’s right to proceed, the resulting

damage will consist of liquidated damages until the work is completed or accepted.

18. Termination For Convenience

(a) The Contracting Officer may terminate this contract in whole, or in part, whenever the Contracting Officer determines that such termination is in the best interest of the LCHA. Any such termination shall be effected by delivery to the Contractor of a Notice of Termination specifying the extent to which the performance of the work under the contract is terminated, and the date upon which such termination becomes effective.

(b) If the performance of the work is terminated, either in whole or in part, the LCHA

shall be liable to the Contractor for reasonable and proper costs resulting from such termination which costs shall be paid to the Contractor within 90 days of receipt by the LCHA of a properly presented claim setting out in detail: (1) the total cost of the work performed to date of termination less the total amount of contract payments made to the contractor; (2) the cost (including reasonable profit) of settling and paying claims under subcontracts and material orders for work performed and materials and supplies delivered to the site, payment for which has not been made by the LCHA to the Contractor or by the Contractor to the subcontractor or supplier; (3) the cost of preserving and protecting the work already performed until the LCHA or assignee takes possession thereof or assumes responsibility therefore; (4) the actual or estimated cost of legal and accounting services reasonably necessary to prepare and present the termination claim to the LCHA; and (5) an amount constituting a reasonable profit on the value of the work performed by the Contractor.

(c) Any disputes with regard to this clause are expressly made subject to the

provisions of clause 15. Disputes herein.

19. Assignment of Contract

The Contractor shall not assign or transfer any interest in this contract, except that claims for monies due or to become due from the LCHA under the contract may be assigned to a bank, trust company, or other financial institution. Such assignments of claims shall only be made with the written concurrence of the Contracting Officer. If the Contractor is a partnership, this contract shall inure to the benefit of the surviving or remaining member(s) of such partnership as approved by the Contracting Officer.


20. Subcontracts

(a) The Contractor shall not enter into any subcontract with any subcontractor who has been temporarily denied participation in a HUD program or who has been suspended or debarred from participating in contracting programs by any agency of the United States Government or of the State in which the work under this contract is to be performed.

(b) The Contractor shall be as fully responsible for the acts or omissions of its

subcontractors, and of persons either directly or indirectly employed by them as for the acts or omissions of persons directly employed by the Contractor.

(c) The Contractor shall insert appropriate clauses in all subcontracts to bind

subcontractors to the terms and conditions of this contract insofar as they are applicable to the work of subcontractors.

(d) Nothing contained in this contract shall create any contractual relationship

between any subcontractor and the LCHA, or between the subcontractor and HUD.

21. Subcontracting with Small and Minority Firms, Women’s Business Enterprise, and

Labor Surplus Area Firms

The Contractor shall take the following steps to assure that, whenever possible, subcontracts are awarded to minority firms, women’s business enterprises, and labor area firms: (a) Placing qualified small and minority businesses and women’s business enterprises

on solicitation lists; (b) Assuring that small and minority businesses and women’s business enterprises are

solicited whenever they are potential sources; (c) Dividing total requirements, when economically feasible, into smaller tasks or

quantities to permit maximum participation by small and minority businesses and women’s business enterprises;

(d) Establishing delivery schedules, where the requirements of the contract permit,

which encourage participation by small and minority businesses and women’s business enterprises; and

(e) Using the services and assistance of the U.S. Small Business Administration, the

Minority Business Development Agency of the U.S. Department of Commerce, and state and local governmental small business agencies.

22. Equal Employment Opportunity

During the performance of this contract, the Contractor agrees as follows: (a) The Contractor shall not discriminate against any employee or applicant for

employment because of race, color, religion, sex, or national origin.


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

(c) The Contractor shall post in conspicuous places available to employees and

applicants for employment the notices to be provided by the Contracting Officer that explain this clause.

(d) The Contractor shall, in all solicitations or advertisements for employees placed

by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

(e) The Contractor shall send, to each labor union or representative of workers with

which it has a collective bargaining agreement or other contract or understanding, the notice to be provided by the Contracting Officer advising the labor union or workers’ representative of the Contractor’s commitments under this clause, and post copies of the notice in conspicuous places available to employees and applicants for employment.

(f) The Contractor shall comply with Executive Order 11246, as amended, and the

rules, regulations, and orders of the Secretary of Labor. (g) The Contractor shall furnish all information and reports required by Executive

Order 11246, as amended and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto. The Contractor shall permit access to its books, records, and accounts by the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

(h) In the event of a determination that the Contractor is not in compliance with this

clause or any rule, regulation, or order of the Secretary of Labor, this contract may be canceled, terminated, or suspended in whole or in part, and the Contractor may be declared ineligible for further Government contracts, or federally assisted construction contracts under the procedures authorized in Executive Order 11246, as amended. In addition, sanctions may be imposed and remedies invoked against the Contractor as provided in Executive Order 11246, as amended, the rules, regulations, and orders of the Secretary of Labor, or as otherwise provided by law.

(i) The Contractor shall include the terms and conditions of this clause in every

subcontract or purchase order unless exempted by the rules, regulations, or orders of the Secretary of Labor issued under Executive Order 11246, as amended, so that these terms and conditions will be binding upon each subcontractor or vendor. The Contractor shall take such action with respect to any subcontract or purchase order as the Secretary of Housing and Urban Development or the Secretary of Labor may direct as a means of enforcing such provisions, including sanctions for noncompliance; provided that if the Contractor becomes involved in, or is threatened with, litigation with a subcontractor vendor as a result of such


direction, the Contractor may request the United States to enter into the litigation to protect the interests of the United States.

(j) Compliance with the requirements of this clause shall be to the maximum extent

consistent with, but not in derogation of, compliance with section 7(b) of the Indian Self-Determination and Education Assistance Act and clause 36, INDIAN PREFERENCE herein.

23. Equal Opportunity for Businesses and Unemployed and Underemployed Persons (HUD Act of 1968, Section 3)

(a) In accordance with Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u, the Contractor shall, to the maximum extent practicable:

(1) Providing training and employment opportunities to the unemployed and

underemployed residents of the unit of local government or the metropolitan area (or non-metropolitan county) in which the project is located; and

(2) Award contracts for work in connection with the project to business

concerns that are located in or owned in substantial part by persons residing in the same metropolitan area or non-metropolitan county as the project.

(b) The Contractor shall insert or cause to be inserted this same provision in each

construction subcontract.

24. Interest of Members of Congress

No member of or delegate to the Congress of the United States of America shall be admitted to any share or part of this contract or to any benefit that may arise therefrom.

25. Interest of Members, Officers, or Employees and Former Members, Officers, or Employees

No member, officer, or employee of the LCHA, no member of the governing body of the locality in which the project is situated, no member of the governing body of the locality in which the LCHA was activated, and no other public official of such locality or localities who exercises any functions or responsibilities with respect to the project, shall, during his or her tenure, or for one year thereafter, have any interest, direct or indirect, in this contract or the proceeds thereof.

26. Limitations on Payments Made to Influence Certain Federal Financial Transactions

(a) The Contractor agrees to comply with Section 1352 of title 31, United States Code which prohibits the use of Federal appropriated funds to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, and officer or employee of Congress, or an employee of a member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract; the making of any Federal grant; the


making of any Federal loan; the entering into of any cooperative agreement, or the modification of any Federal contract, grant, loan, or cooperative agreement.

(b) The contractor further agrees to comply with the requirement of the Act to furnish

a disclosure (OMB Standard Form LLL, Disclosure of Lobbying Activities) if any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a Federal contract, grant, loan, or cooperative agreement.

(c) Indian tribes (except those chartered by States) and Indian organizations as

defined in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B) are exempt from the requirements of this clause.

27. Royalties and Patents

The Contractor shall pay all royalties and license fees. It shall defend all suits or claims for infringement of any patent rights and shall save the LCHA harmless from loss on account thereof; except that the LCHA shall be responsible for all such loss when a particular design, process or the product of a particular manufacturer or manufacturers is specified and the Contractor has no reason to believe that the specified design, process, or product is an infringement. If, however, the Contractor has reason to believe that any design, process or product specified is an infringement of a patent, the Contractor shall promptly notify the Contracting Officer. Failure to give such notice shall make the Contractor responsible for resultant loss.

28. Rights in Data and Copyrights

Except as provided elsewhere in this clause, the LCHA shall have unlimited rights in data first produced in the performance of this contract; form, fit, and function data delivered under this contract; data delivered under this contract (except for restricted computer software) that constitute manuals or instructional and training material for installation, operation, or routine maintenance and repair of items, components, or processes delivered or furnished for use under this contract; and all other data delivered under this contract unless provided otherwise for limited rights data or restricted computer software. The contractor shall have the right to: use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the contractor in the performance of this contract, unless provided otherwise in this clause; protect from unauthorized disclosure and use those data which are limited rights data or restricted computer software to the extent provided in this clause; substantiate use of, add or correct limited rights, restricted rights, or copyright notices and to take other appropriate action in accordance with this clause; and establish claim to copyright subsisting in data first produced in the performance of this contract to the extent provided below. For data first produced in the performance of this contract, the contractor may establish, without prior approval of the Contracting Officer, claim to copyright subsisting in scientific or technical articles based on or containing data first produced in the performance of this contract. The contractor grants the LCHA and others acting on its


behalf a paid-up, non-exclusive, irrevocable, worldwide license in such copyrighted data to reproduce, prepare derivative works, distribute copies to the public, and perform or display publicly by or on behalf of the LCHA. The contractor shall not, without the prior written permission of the Contracting Officer, incorporate in data delivered under this contract any data not first produced in the performance of this contract and which contains copyright notice, unless the contractor identifies such data and grants the LCHA a license of the same scope as identified in the preceding paragraph. The LCHA agrees not to remove any copyright notices placed on data and to include such notices in all reproductions of the data. If any data delivered under this contract are improperly marked, the Contracting Officer may either return the data to the contractor, or cancel or ignore the markings. The contractor is responsible for obtaining from its subcontractors all data and rights necessary to fulfill the contractor’s obligations under this contract. Notwithstanding any provisions to the contrary contained in any contractor’s standard commercial license or lease agreement pertaining to any restricted computer software delivered under this contract, and irrespective of whether any such agreement has been proposed prior to the award of this contract or of the fact that such agreement may be affixed to or accompany the restricted computer software upon delivery, the contractor agrees that the LCHA shall have the rights set forth below to use, duplicate, or disclose any restricted computer software delivered under this contract. The terms and conditions of this contract, including any commercial lease or licensing agreement, shall be subject to the following procedures. The restricted computer software delivered under this contract may not be used, reproduced, or disclosed by the LCHA except as provided below or as expressly stated otherwise in this contract. The restricted computer software may be: used or copied for use in or with the computer(s) for which it was acquired, including use at any LCHA location to which such computer(s) may be transferred; used or copied for use in or with backup computer if any computer for which it was acquired is inoperative; reproduced for safekeeping (archives) or backup purposes; modified, adapted, or combined with other computer software, provided that the modified, combined, or adapted portions of the derivative software incorporating any of the delivered, restricted computer software shall be subject to the same restrictions set forth in this contract; and used or copies for use in or transferred to a replacement computer.

29. Examination and Retention of Contractor’s Records

(a) The LCHA, HUD, or Comptroller General of the United States, or any of their duly authorized representatives shall, until 3 years after final payment under this contract, have access to and the right to examine any of the Contractor’s directly pertinent books, documents, papers, or other records involving transactions related to this contract for the purpose of making audit, examination, excerpts, and transcriptions.


(b) The Contractor agrees to include in first-tier subcontracts under this contract a

clause substantially the same as paragraph (a) above. “Subcontract,” as used in this clause, excludes purchase orders not exceeding $10,000.

(c) The periods of access and examination in paragraphs (a) and (b) above for records

relating to (1) appeals under the clause above titled 15. Disputes, (2) litigation or settlement of claims arising from the performance of this contract, or (3) costs and expenses of this contract to which the LCHA, HUD, or Comptroller General or any of their duly authorized representatives has taken exception shall continue until disposition of such appeals, litigation, claims, or exceptions.


SPECIAL CONDITIONS 1. HUD-5369-A - Representations, Certifications and Other Statements of Bidders --

Completion and inclusion of this form with the bid is required. 2. This contract and the payment terms set forth herein supersede applicable provisions of

the Pennsylvania Contractor and Subcontractor Payment Act of 1994, if any.

If at any time during the existence of this contract the LCHA, the Contracting Officer discovers an error in an estimate or invoice submitted by the Contractor or discovers that work was not completed according to the specifications or quality standards set forth in the contract (a deficiency), the LCHA or the Contracting Officer:

a. shall notify the Contractor of such error or deficiency; and, b. may at any time during the contract withhold any payment to the Contractor (in

addition to any retainage permitted under the contract) in an amount equal to 120% of the estimated cost to correct the error or deficiency until such correction is made.

The Contractor shall disclose the payment terms set forth herein and in the contract to each of the Contractor's subcontractors and material suppliers.

3. Term of Contract. Please note that the base term of the contract shall be the two-year (2)

period beginning October 1, 2015 and ending September 30, 2017. 4. Insurance. The Housing Authority of the City of Lancaster shall be added as an additional

insured to the contractor's Comprehensive General Liability Coverage.


ADDITIONAL PROVISIONS FOR PENNSYLVANIA AUTHORITIES

These provisions are cumulative to any related provisions appearing elsewhere in these conditions. A. The contractor shall provide, where practicable employers’ general liability insurance for

the benefit of his employees not protected by the State Workmen's Compensation Laws. In compliance with the foregoing, the contractor shall accept, insofar as the work covered by

this contract is concerned, the provisions of the Workmen's Compensation Act of 1915, and any supplements or amendments thereto, and he will insure his liability thereunder or file with the Authority a Certificate of Exemption from insurance from the Bureau of Workmen's Compensation of the Department of Labor and Industry.

B. None but citizens of the United States shall be employed in any capacity under this contract,

provided, that this restriction shall not apply to apprentices to a trade or profession who may be under twenty-one (21) years of age.

C. The contractor agrees that in the hiring of employees for the performance of work under this

contract or any subcontract hereunder, that neither the contractor nor any subcontractor, nor any person acting on behalf of such contractor or such subcontractor, shall by reason of race, creed or color discriminate against any citizen of the Commonwealth of Pennsylvania who is qualified and available to perform the work to which the employment relates.

D. Neither the contractor, nor any subcontractor, nor any person on his behalf, shall in any

manner, discriminate against or intimidate any employee hired for the performance or work under this contract on account of race, color, age, religion, sex, national origin, handicap or familial status.

E. This contract may be canceled or terminated by the Authority and all money due, or to

become due hereunder may be forfeited for a second or any subsequent violation of the terms or conditions of subsections D. and E. of this section.

F. The contractor shall promptly pay for all material furnished, labor supplied or performed,

rental for equipment employed and services rendered by public utilities in or in connection with the prosecution of the work whether or not the said material, labor, equipment or service enter into and become component parts of the work or improvement contemplated. This provision shall be deemed to be included for the benefit of every person, co-partnership, association or corporation who as subcontractor or otherwise, has furnished materials supplied or performed labor, rented equipment or services in or in connection with the prosecution of the work as aforesaid and the inclusion thereof in this contract shall preclude the filing by any person, co-partnership, association or corporation of any mechanic's lien claim for such material, labor or rental of equipment.


CERTIFICATION REGARDING DEBARMENT,

SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION

-- LOWER TIER COVERED TRANSACTIONS --

Instructions for Certification

1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below.

2. The certification in this clause is a material representation of fact upon which reliance was

placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the person

to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered

transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting this proposal that, should the

proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

6. The prospective lower tier participant further agrees by submitting this proposal that it will

include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

7. A participant in a covered transaction may rely upon a certification of a prospective

participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Non-procurement List (Tel. 202-501-3566 or 202-501-4740).


8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in

a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

(See Paragraph 5 of HUD-5369A, Representations, Certifications and Other Statements of Bidders).


CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND

VOLUNTARY EXCLUSION

-- LOWER TIER COVERED TRANSACTIONS -- __________________________________________________, the prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. NOTE: Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Explanation Attached? ____________YES ____________NO Signature Name Printed/Typed Date Firm Name Address/City/State/Zip


Section 3 Clause

Training and Employment Opportunities for Residents in the Project Area (Section 3, HUD Act of 1968; 24 CFR 135)

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

(b) The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Part 135 regulations.

(c) The contractor agrees to send to each labor organization or representative of workers with

which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of Section 3 apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin.

(d) The contractor agrees to include this section 3 clause in every subcontract subject to

compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 135.

(e) The contractor will certify that any vacant employment positions, including training

positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135.

(f) Noncompliance with HUD's regulations in 24 CFR Part 135 may result in sanctions,

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


Section 3 Solicitation Overview and

Instructions for Contractors

The Lancaster Housing Authority’s Section 3 policy requires that when the Section 3 regulation is triggered by a need for new hires (whether individual employees, contractors or sub-contractors),

every effort within the contractor’s disposal must be made to the greatest extent feasible to offer all available employment and contracting opportunities to its residents based on the tiers below. Only when the regulation is triggered by a contractor and they are unable to offer employment or contracting. The contractor may offer employment related training to the Authority residents. The training must be in an amount equal to or exceeding 3% of the total contract award.

I. Tiers for offering all opportunities to Section 3 Residents and Resident Owned Businesses 1. Tier I are Authority residents/resident owned businesses at the property where the work is

being performed 2. Tier I are Other Residents/resident businesses of the Authority 3. Tier II are other low and very low income persons and Youthbuild participants in this

authority’s service area II. What is a Section 3 Business Concern and how do they receive Preference in contract

award? A business that meets these certification definitions must receive Preference in contracting: 1. Is 51% or more owned 2. Employs Section 3 residents for

by Section 3 residents; at least 30% of its full-time, permanent staff;

3. Provides evidence of a commitment to

or (During the entire life of the contract)

subcontract to Section 3 business concerns, 25% or more of the dollar amount

of the awarded contract.

III. Important Items to remember about receiving Preferences in contract award 1. Anytime you can elect to hire at 30% of Lancaster total New Hires, or 2. Sub-contract at least 25% of Lancaster total award to a Section 3 Business Concern 3. YOU MUST MAINTAIN THOSE PREFERENCE LEVELS DURING THE ENTIRE

CONTRACT OR RISK HAVING THE CONTRACT TERMINATED FOR FAILURE TO COMPLY

IV. Other Methods of Compliance

Contractors can provide an array of trainings to Section 3 residents that are employment related, skills enhancing or employment readiness in nature. Here are the methods of achieving compliance through this method: 1. Contractor must develop a solid professional curriculum and it must be approved by a

qualified state Department of Labor or the Authority. 2. Contractor may identify a person or persons that are qualified to provide the training within

their staff.


3. Contractors can partner with other groups that provide the desired training and pay them directly for the service.

4. The contractor can sub-contract the Section 3 compliance training to an outside firm specializing in training and educational programs to Section 3 residents.

V. All Contracts and All Contractors must meet Section 3 compliance by:

1. Giving notice of any and all opportunities for employment and contracting to the local PHA and other low and very low income area residents and businesses by running ads, distributing flyers, community announcements, letter to targeted persons, newsletters, etc. as far in advance of the opportunity as possible.

2. Clearly stating the requirements for applying for and achieving the opportunity and that the project is paid by “Section 3 Covered funds under the HUD Act of 1968”.

3. Utilizing the Section 3 Clause when soliciting any work.

4. Hold informational or “How to Apply” meetings when possible prior to requesting bids or taking applications so the residents or businesses are encouraged to apply for the opportunity.

5. Help link residents or businesses to local resources that may be available to help prepare them for applying for and achieving the opportunity.

6. Work with the Authority in developing a communication and follow up process to track and report all Section 3 application and hiring activities to ensure the reporting of compliance efforts, and that contracting and sub-contracting are accurate.

7. Provide Preference in hiring and contracting to Section 3 applicants and contractors when all factors are equal for the opportunity including price and salary requests.

8. Contractors must provide this package to all sub-contractors when soliciting bids; meet all the same processes in A-F; and provide Preference to all sub-contractors meeting the definitions as stated in Item II on page 14 in that order of priority when all factors remain equal between Section 3 and non-Section other respondents.


Section 3 Contract Compliance Cure and Termination Processes

This language is a component of contract compliance with the work you are responding to in this solicitation. It is being placed in the Section 3 compliance section for ease of reference and due notice. The full requirements are provided in the Section 3 Clause found elsewhere in this package or in the HUD forms 5370-C or 5370 C1 as may be applicable. All contractors claiming a Preference in contracting by meeting any of the three qualifications including; a Resident Owned Business, Hiring 30% of New Hires and/or Sub-contracting at least 25% of total award to a Section 3 Concern shall maintain that status throughout the life of the contract. Failure to meet this requirement will result in penalties up to and including contract termination. Any contractor triggering the regulation by doing any hiring or contracting once they are awarded the contract through execution must comply with the Section 3 requirements by executing the efforts on their Certification and Action Plan in accordance with the Authority’s Section 3 Action Plan. The Authority shall execute these remedies to achieve compliance in this order: A. Based on the first observation or report of non-compliance with Section 3, the contractor will be sent an

e-mail by the compliance management contractor notifying them of their non-compliance issue. The contractor will have until the next payroll or 14 calendar days, whichever is lesser to bring the contract into compliance.

B. If at any time a contractor fails to bring the contract into compliance, the Authority must withhold all future payments until the contract is in compliance.

C. The contractor shall have up to 15 business days from the most recent notice of non-compliance to meet compliance as a final cure period or justify in writing to the Authority why it cannot meet compliance. The Authority must render a response to the contractor within 10 business days of receipt of its letter of reason for non-compliance. If the Authority deems the cause to be unacceptable , at its option, can extend the cause period one time for up to 5 days to allow the contractor to identify and secure other compliance options, or

D. If the contractor fails to take any corrective action to bring the contract into compliance within 7 business days from the most recent notice of non-compliance, or the Authority does not accept any of their corrective plans or justifications for non-compliance, the Authority must terminate the contract immediately. All funds due to the contractor shall be held and a financial workout of the agreement shall proceed within 24 hours of termination. The workout is to include a contract deduct equal to the total Section 3 contract violation of opportunities provided to non-Section 3 residents or business because they were not offered according to the contract and regulation award. All remaining funds can be paid out based on work satisfactorily completed per the agreement.

Any contractor claiming to meet Section 3 compliance by committing to hire residents, fund training itself shall meet compliance within seven (7) calendar days of contract start or the Authority shall halt all work related to the agreement and the actions listed in steps A-D in this section shall apply. The contractor understands and agrees that a compliance management firm will be used to conduct routine and certified payroll reviews to ensure compliance. Contractor agrees to provide the payroll data in an Excel or Word format each time the payroll is processed throughout the contract.


Lancaster City Housing Authority Bidder/Offeror/Proposer

Required Section 3 Action Plan and/or Certification Name of Business _____________________________________________________________________________ Address of Business _____________________________________________________________________________ Type of Business (Check One): Corporation Partnership Sole Proprietorship Other Business Activity: _______________________________________________________________________ All firms and individuals intending to do business with the Authority MUST complete and submit this Action Plan and submit it with the bid, offer, or proposal. Any solicitation response that does not include this document (completed, signed, and notarized) will be considered non-responsive and not eligible for award.

I am Certifying as a Section 3 Concern and requesting Preference accordingly (Select only One Option):

1. A business claiming status as a Section 3 Resident-Owned Business Concern (ROB) entity: Initial here to select this option __________

Provide Certification for Section 3 Residents and proof that they own a minimum 51% of the business

2. A business claiming Section 3 status, because at least 30% of the existing or newly hired workforce for this specific contract will be Section 3 residents throughout the entire contract period. If a Prime or General Contractor is electing this option, the 30% employment requirement will be for the entire project including all the sub-contractors employees: Initial here to select this option __________ Check all methods you will employ to secure Section 3 Residents/Persons

Distribute Flyers door-to-door to ALL local public housing authorities

Run multiple advertisements in the local paper announcing the hiring opportunities Post notice on the Authority’s web site

Post signs at the entrance to the job site that it is a Section 3 covered project Notify residents and local community organizations including shelters and churches Defer to any list of Employment Readiness trained residents provided by the Authority Other: _________________________________________________________________

I anticipate my total number of employees for this contract to be ____ and _____ will be qualified Section 3.

3. A business claiming Section 3 status by subcontracting 25% of the dollar award to

qualified Section 3 Business(es): Initial here to select this option __________

• Provide a list of intended subcontract Section 3 business(es) with subcontract amount • Provide certification & all supporting documentation for each planned subcontract Section 3 Business


I am NOT certifying as a qualified Section 3 Business Concern but if I trigger the regulation by doing any sub-contracting or hiring I will comply by (Select from below):

4. I commit to hiring and maintaining throughout the life of any contract awarded as part of this solicitation (Including and changes or modifications) at least _____ Tier I Section 3 Residents from the housing authorities lease holders or housing choice voucher holders administered by this county. Only if no Tier I residents can be secured, the contractor may hire other low and very low income persons within the service area. Sufficient written justification will be required as to why no Tier I Resident could be hired.

Check all methods you will employ to secure Section 3 Residents/Persons Distribute Flyers door-to-door to ALL local public housing authorities

Run multiple advertisements in the local paper announcing the hiring opportunities Post notice on the Authority’s web site

Post signs at the entrance to the job site that it is a Section 3 covered project Notify residents and local community organizations including shelters and churches Defer to any list of Employment Readiness trained residents provided by the Authority Other: _________________________________________________________________ Initial here to select this option __________

5. I will commit to funding, from my contract, a qualified Section 3 training in place of Employment or Contracting in the amount of 3% or more of my total contract award as required by the authority’s policy. That training will commence within ten (10) days of contract start. My training will be: Employment Readiness Training (List Training) ____________________________ for up to ____

residents Employment Skills Classroom (List Training)_______________________________ for up to ____

residents Employment Skills Job Site (List Training)_________________________________ for up to ____

residents Other Site (List Training): _____________________________________________ for up to ____

residents (Contractor understands that if Job Site training is completed by having the trainee complete work comparable to HUD defined employment categories, the trainees must be paid Davis-Bacon wages and covered under their workers compensation insurance)

Initial here to select this option __________

6. I will do the following to meet compliance that meet the 3% for all contracts other economic requirements. _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Initial here to select this option __________

My selected method of compliance is # _____ from above options #4 - #6. If Contractor does not anticipate triggering the regulation, check this box and initial by the reason below. _____ I do not anticipate any new hires on this contract. _____ I do not anticipate any new contracting by my firm on this contract.


Lancaster City Housing Authority Bidder/Offeror/Proposer

Required Previous Section 3 Compliance Certification Name of Business ___________________________________________________________________ Address of Business


___________________________________________________________________ Type of Business (Check One): Corporation Partnership Sole Proprietorship Other

Business Activity: ______________________________________________________________________________

All firms and individuals intending to do business with the Authority MUST complete and submit this certification of prior compliance with their bid, offer, or proposal. Any solicitation response that does not include this document will be considered non-responsive and not eligible for award.

1.

I am certifying that I have complied with the HUD Section 3 Regulations in my past contracts when required by employing the following:

I was a Section 3 Resident-Owned B____________________________________ ________________________________

usiness (ROB). List the Contracts Work and HUD Funded Entity:

____________________________________ ________________________________ ____________________________________ ________________________________

2.

I complied with Section 3 by employing at least 30% of the newly hired workforce for these contracts and maintained them throughout the entire contract period:

List the contracts worked and the HUD funded entity:

____________________________________ ________________________________ ____________________________________ ________________________________ ____________________________________ ________________________________

3. I complied with Section 3 by subcontracting 25% of the total dollar award to

a qualified Section 3 Business:

List the contracts worked and the HUD funded entity and Section 3 Concern you sub-contracted to:

__________________________ ______________________ __________________________ __________________________ ______________________ __________________________ __________________________ ________________________ __________________________

4. I complied with Section 3 on a previous HUD funded contract by doing these things and with these entities:

(What was done?) __________________________________________________________________

List Entities you worked for: __________________________ ______________________ __________________________ ______________________ _____________________________ ________________________


I have never done any HUD funded contracting. Check this box

5.

_____ I did not trigger the regulation by doing any new hires on the contract(s).

I completed HUD Section 3 covered contracts in the past three years but was not required to meet compliance. Check this box and initial by the corresponding reason below.

_____ I did not trigger the regulation by doing any new subcontracting on the contract(s).


Assurance of Compliance Certification Section 3 Action Plan - HUD Act of 1968

(12 U.S.C. 1701 U) RE: Lancaster City Housing Authority Contract Name or Number: _____________________________________________________ Purpose: To ensure that regulations promulgated under 24 CFR Part 135 Employment Opportunities for Businesses and Lower Income Persons in Connection with Assisted Projects

and the Section 3 Plan and Policy of the Lancaster Housing Authority to the greatest extent feasible is adhered to, and to serve as the ‘assurance of compliance” certification and action plan as required in the bid documents, supplemental general conditions, and HUD Forms 5370 or 5370C for the contract for any work with the Authority.

Description of the project’s work detail: The project work will be as listed in the final scope of work in the contract with the Authority including any change orders. Subcontractor(s): ______________ Subcontractor(s): ______________ Subcontractor(s): ______________ Subcontractor(s): ______________ Subcontractor(s): ______________ Subcontractor(s): ______________ Subcontractor(s): ______________ Subcontractor(s): ______________ Use an additional sheet if required. Preliminary Statement for Work Force Needs: Though employment readiness training is our preferred method of Section 3 compliance, it is our intent to identify any short-term and long-term employment or contracting opportunities for qualified Section 3 persons and concerns during the course of our contract with this housing county. Please list the status of all planned employment position and opportunities for this contract. Preference for all opportunities must be given to public housing residents if they qualify. If awarded a contract I will have to provide a list of my aggregate workforce on this project. Any changes to that workforce during the project will constitute new hires. Category # of Project Workforce Positions

Status of All Positions

Skilled _________________________ ________________________ Semi-Skilled _________________________ ________________________ Trainees _________________________ ________________________ Laborers _________________________ ________________________ “To the Greatest Extent Feasible”:


The Contractor has identified ___ # of OPEN positions with respect to this contract. The positions are filled by the _________________________________________ (Position title) of the Contractor. Should the scope of work or duties of the contractor change to a degree requiring a modification of the work force needs, the contractor shall put forth a good faith effort to fill vacant positions with the Authority resident applicants and/or very low-income area residents. Documentation of “To the Greatest Extent Feasible”: The contractor will work with the Authority property managers and staff to notify residents of any opportunities afforded under our contract. The contractor will partner with the Authority by giving preference of any employment opportunities to the Section 3 persons or concerns that have successfully completed the authorities most recent or previous employment readiness type training. It is the contractor’s intent to partner with the Authority in selecting new employees or businesses from the list they provide, or to execute its own company sponsored training. The contractor will seek to have the Authority provide a referral for a qualified training firm that can also provide technical assistance in working with the Section 3 covered persons and/or businesses to advise the contractor on how best to comply with the HUD regulations. The contractor shall recruit or attempt to recruit from the Section 3 area the necessary number of low-income and very low-income residents through documentation of the following:

1. Local media advertising

2. Signs placed at the proposed site for the project and the Authority’s offices and flyers hand delivered to all local public housing apartments

3. Maintain a list of all low-income area residents who have applied, either on their own or from referral from any source, and employ such person if otherwise eligible and if a trainee vacancy exists.

4. Provide evidence that the contractor has not filled vacant employment positions in its workforce immediately prior to undertaking work in an attempt to circumvent Section 3 regulations.

5. Review and determine if low-income and very low-income residents meet minimum hiring qualifications. Applicants meeting such minimum qualifications, but not hired due to lack of job openings or for other operations reasons, will be placed on a priority hiring list and offered positions upon the occurrence of the first available appropriate job opening.


Utilization of Businesses Located or Owned in Substantial Part by Persons Residing in the Area: The contractor does does not intend to subcontract any of the work indentified in the scope of work cited in the bid specifications, scope of work or General Conditions. Should the scope of work or needs of the contractor change, the contractor shall, to the greatest extent feasible, assure that subcontracts be awarded to business concerns within the Section 3 covered area, or to business concerns owned in the substantial part (at least 51%) by persons residing in the Section 3 covered area. Record Keeping: The contractor shall maintain on file all records related to employment and job training of low-income and very low-income residents or other such records, advertisements, legal notices, brochures, flyers, publications, assurances of compliance from subcontractors, etc, in connection with this contract. If there is a report that is needed as part of the submission you agree to provide it timely. The contractor shall, upon request, provide such records or copies of records the Authority, its staff, or agents. Reports: The contractor shall provide reports as required in connection with the contractor specifications. All certified and regular payrolls shall clearly detail which employees qualify under Section 3. Certification: The contractor will certify that any vacant employment positions, including training positions that filled:

1) After the contractor is selected but before the contract is executed, and 2) With persons other than those to who the regulations of 24 CFR Part 135 require

employment opportunities to be directed, were not filled to circumvent the subcontractor’s obligations under 24 CFR Part 135.

Grievance and Compliance: The contractor or subcontractor hereby acknowledges that they understand that any low-income and very low-income resident of the project area, for him/her or as representatives of persons similarly situated, seeking employment or job training opportunities in the project area, or any eligible business concerns seeking contract opportunities may file a grievance if a good faith effort was not followed. The grievance must be filed with HUD not later than one hundred eighty (180) calendar days from the date of the action (or omission) upon which the grievance is based.

I attest that the above information is true and correct.

__________________________________________________

Signature

__________________________________________________________________________

Print Name Title


STATE OF _______________ COUNTY OF _____________ I, the undersigned, a Notary Public in and for said County and in said State, hereby certify that, ________________________________, whose name as __________________________ of ____________________________________ is signed to the foregoing conveyance and who is known to me, acknowledged before me on this day, that, being informed of the contents of the foregoing conveyance, he/she, in his/her capability as _______________________________, and with full county, executed the same voluntarily for and as the act of said corporation. Given under my hand and official seal, this the ______ day of ________________, 20___. Notary Public: _______________________________________ My Commission Expires: __________________


S E C T I O N 3 S E L F - C E R T I F I C A T I O N A N D S K I L L S D A T A F O R M The purpose of this form is to comply with HUD Section 3 administration and certification regulations.

Certification for Public Housing Residents or Others Seeking Employment or Training

I, ________________________________________, am legal resident of the United States and meet the income eligibility and federal guidelines for a Section 3 Resident as defined on the next page. My home address is: _____________________________________________________________________________________________ Must be a Street address not a P O Box # Apt Number _____________________________________________________________________________________________ City State Zip Home # Cell # Graduated High School or GED (month/year) ________ I Read and Speak English Fluently Yes or No Attended College, Trade, or Technical School ___Yes/No Graduated___ Yes/No Year Graduated ____

Check the Skills, Trades, and/or Professions you have been employed in or contracted to do for others:

Drywall Hanging Drywall Finishing Interior Painting Framing HVAC Electrical Interior Plumbing Exterior Plumbing Siding Cabinet Hanging Door Replacement Trim/Carpentry Stucco Window/Door Repl. Construction Cleaning Exterior Framing Data Entry Receptionist Sales Telephone Customer Service Administrative Teaching/Training Personal Care Aide Landscaping CDL License Roofing Concrete/Asphalt Work Heavy Equipment Operator Fencing Metal/Steel Work Welding Other __________________ I am certifying as a Section 3: Person seeking Training or

Person seeking employment

(Check all that apply): I am an LCHA Public Housing or Section 8 Lease holder I live in the LCHA service area (Lancaster City) My total annual household income is $_____________ There are a total of _____ people living in my household I certify that all of the information given above is true and correct. If found to be inaccurate, I understand that I may be disqualified as an applicant and/or a certified Section 3 individual which may be grounds for termination of training, employment, or contracts that resulted from this certification. I attest under penalty of perjury that my total household income annually, based on my total household size as listed above is at or below the income amount for that specific size at the time of this document is being signed and notarized. I understand that proof of this statement may be requested in the future. _____________________________________ ___________________________ Signature Date STATE OF _______________


COUNTY OF _____________ I, the undersigned, a Notary Public in and for said County and in said State, hereby certify that, ____________________________, whose name as _________________________ of _____________________________________ is signed to the foregoing conveyance and who is known to me, acknowledged before me on this day, that, being informed of the contents of the foregoing conveyance, he/she, in his/her capability as _____________________________________, and with full authority, executed the same voluntarily for and as the act of said corporation. Given under my hand and official seal, this the ______ day of _______________, 20___. Notary Public: _________________________________________ My Commission Expires: _________________________


Purpose: The purpose of Section 3 of the Housing and Urban Development of 1968 (12 U.S.C. 1701u) (Section 3) is to ensure that employment and other economic and business opportunities generated by HUD Financial Assistance shall be directed to the Authority Residents and other low- and very low-income persons, particularly those who are recipients of government housing assistance and to business concerns which provide economic opportunities to Residents and other low- and very low-income persons. Section 3 resident means: (1) A public housing resident; or (2) An individual who resides in the metropolitan area or non-metropolitan county in which the section 3 covered assistance is expended, and who

is: I. A low-income person, as this term is defined in section 3(b)(2) of the 1937 Act (42 U.S.C. 1437a(b)(2)). Section 3(b)(2) of the 1937 Act defines this term to mean families (including single persons) whose incomes do not exceed 80% of the median family income for the area, as determined by the Secretary, with adjustments for smaller and larger families, except that the Secretary may establish income ceilings higher or lower than 80% of the median for the area on the basis of the Secretary’s findings that such variations are necessary because of prevailing levels of construction costs or unusually high or low-income families; or II. A very low-income person, as this term is defined in section 3(b)(2) of the 1937 Act (42 U.S.C. 1437a(b)(2). Section 3(b)(2) of the 1937 Act (42 U.S.C. 1437a(b)(2) defines this term to mean families (including single persons) whose incomes do not exceed 50% of the median family income for the area, as determined by the Secretary with adjustments made for smaller or larger families, except that the Secretary may establish income ceilings higher or lower than 50% of the median for the area on the basis of the Secretary’s findings that such variations are necessary because of unusually high or low family incomes.

(3) A person seeking the training and employment preference provided by section 3 bears the responsibility of providing evidence (if requested) that the person is eligible for the preference.

Service area means the geographical area in which the persons benefiting from the section 3-covered project reside. The figures below represent very low-income families; bottom figures represent low-income families.

2015 -- Lancaster, PA MSA

Median Income

FY 2015 Income Limit Category 1 Person 2 Person 3

Person 4 Person 5 Person

6 Person

7 Person

8 Person

$70,000

Very Low (50%) Income Limits 24,500 28,000 31,500 $35,000 37,800 40,600 43,400 46,200

Low (80%) Income Limits 39,200 44,800 50,400 $56,000 60,500 65,000 69,450 73,950


BID FORM

NOTE: Bidders shall copy form given below on their letterheads and use same in submitting

their estimates in DUPLICATE.

Place your bid in a sealed envelope and clearly mark it, “SEALED BID”. TO: Robert C. Schellhamer, Executive Director

Lancaster City Housing Authority 325 Church Street Lancaster, PA 17602-4201

Gentlemen:

1. The undersigned, having familiarized ourselves with the local conditions affecting the cost of the work, and with these Specifications (including all documents contained herein) and Addenda, if any thereto, as prepared by the Housing Authority of the City of Lancaster and on file in the office of the Housing Authority of the City of Lancaster, hereby proposes to furnish all labor, materials, equipment and services required to provide:

ELEVATOR FULL PREVENTIVE MAINTENANCE

all in accordance with the contract documents within the time set forth therein and at the prices set forth below.

2. Base Proposal: We agree to furnish all labor, materials, equipment and services required to provide the services as described and required by the herein above stated documents, for the two-year period described in Paragraph 2.b. (below), in accordance therewith for the sum of

__________________________________________________________($_____________)

a. This proposal is based upon the receipt of the following addenda issued by the Authority during the bidding period: _____________________________________. (Insert the addenda number(s), or the word "None" as the case may be).

b. Should our firm be awarded the contract, we will provide the services during the two-year (2) period beginning October 1, 2015 and ending September 30, 2017.

c. Bid Breakdown -

Year 1 Year 2 Total

Church Street Towers

Farnum Street East

Central Offices


3. In submitting this bid, it is understood that the right is reserved by the Housing Authority of

the City of Lancaster to reject any and all bids consistent with the language set forth in paragraph No. 6 of Instructions to Bidders for Non-Construction Contracts. If written notice of the acceptance of this bid is mailed, telegraphed or delivered to the undersigned within sixty (60) days after the opening thereof, or at any time thereafter before this bid is withdrawn, the undersigned agrees to execute and deliver a contract in the prescribed form and furnish the required bonds within ten (10) days after the contract is presented to him for signature.

4. Security in the sum of _______________________________________________ Dollars

($__________________), in the form of _________________________________________ is submitted herewith in accordance with the Specifications.

The contract amount stated above includes all sales taxes, excise taxes, and any other taxes for all materials and appliances subject to and upon which taxes are levied. NOTE: The penalty for making false statements in offers is prescribed in 18 U.W.C. 1001. Date __________________, 2015 __________________________________________ (Signature) By: ______________________________________ (Print or type name of person signing above) Official address Title: _____________________________________ ______________________________ ______________________________ ______________________________ TYPE OF BUSINESS: - INDIVIDUAL - PARTNERSHIP - CORPORATION* *________________________________ is a corporation organized and existing under the laws of the State/Commonwealth of ___________________________.


BID BOND

KNOW ALL MEN BY THESE PRESENTS, that we the undersigned, _________________________________________________________________ as PRINCIPAL, and ________________________________________________________________, as SURETY are held and firmly bound unto the HOUSING AUTHORITY OF THE CITY OF LANCASTER hereinafter called the “Housing Authority”, in the penal sum of ___________________________ Dollars, lawful money of the United States, for the payment of which sum will 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 _____________________, 2015, for:

ELEVATOR FULL PREVENTIVE MAINTENANCE NOW, THEREFORE, if the Principal shall not withdraw said bid within the period specified therein after the opening of the same, or, if no period be specified, within sixty (60) 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 for signature, enter into a written contract with the Housing Authority 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 contract; 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 time specified, if the Principal shall pay the Housing Authority the difference between the amount specified in said bid and the amount for which the Housing Authority 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 and virtue. IN WITNESS WHEREOF, the above-bound parties have executed this instrument under their several seals this __________ day of _____________________, 2015, 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.


Bid Bond -- Page 2 (If Principal is an Individual) ___________________________________ ______________________________(SEAL) (Witness) (Signature of Individual) (If Principal is a Partnership) (Each Partner Must Sign) ___________________________________ _______________________________(SEAL) (Witness) (Signature of Partner) ___________________________________ _______________________________(SEAL) (Witness) (Signature of Partner) ___________________________________ _______________________________(SEAL) (Witness) (Signature of Partner) (If Principal is a Corporation) ATTEST: ____________________________________ (Name of Corporation) ______________________________ (Secretary or Asst. Secretary) ____________________________________ (President or Vice President) (Corporate Seal)

____________________________________ (Name of Surety)

(SEAL) ____________________________________ (Attorney-in-Fact)

IMPORTANT NOTE: Surety Companies executing bonds must appear on the Treasury Department's most current list (Circular 570) and be authorized to

transact business in the State where the project is located.


OWNER/CONTRACTOR AGREEMENT

THIS AGREEMENT made this day of , 2015 by and between: a corporation organized and existing under laws of the Commonwealth of Pennsylvania hereinafter called the “Contractor”, and

HOUSING AUTHORITY OF THE CITY OF LANCASTER 325 Church Street

Lancaster, PA 17602-4201 hereinafter called the “LCHA”, WITNESSETH, that the contractor and the LCHA for the consideration stated herein mutually agree as follows: ARTICLE 1. Statement of Work. The contractor shall furnish all labor, material, equipment and services, and perform and complete all work required for:

ELEVATOR FULL PREVENTIVE MAINTENANCE all in strict accordance with the Specifications and Addenda thereto numbered dated , all as prepared by the Housing Authority of the City of Lancaster, 325 Church Street, Lancaster, PA 17602-4201, which said Specifications and Addenda are incorporated herein by reference and made a part hereof. ARTICLE 2. Term of Contract. Please note that the base term of the contract shall be the two-year (2) period beginning October 1, 2015 and ending September 30, 2017. ARTICLE 3. The Contract Price. The LCHA shall pay the contractor for the performance of the contract, in current funds, subject to additions and deductions as provided in the Specifications, the sum of Dollars ($ ). ARTICLE 4. Contract Documents. The contract shall consist of the following component parts:

a. This Instrument b. Non-Technical Specifications c. Technical Specifications


Elevator Full Preventive Maintenance Owner/Contractor Agreement Page 2 This instrument, together with the other documents enumerated in Article 3, which said other documents are as fully a part of the contract as if hereto attached or herein repeated, form the contract. In the event that any provision in any component part of this contract conflicts with any provision of any other component part, the provision of the component part first enumerated in this Article 3 shall govern, except as otherwise specifically stated. The various provisions in Addenda shall be construed in the order of preference of the component part of the contract which each modifies. IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed in three (3) original counterparts as of the day and year first above written. __________________________________________ (Contractor) ATTEST:

By:________________________________________

Title:______________________________________

(SEAL) HOUSING AUTHORITY OF THE CITY OF LANCASTER

By:_____________________________________ Robert C. Schellhamer, Executive Director Beth Detz, Asset Manager (SEAL) (Print or type the names underneath all signatures)


CERTIFICATIONS CORPORATION I, ___________________________________ (Corporate Officer), certify that I am

the___________________________________(Title), of the Corporation named as contractor

here-in, that (

Name of Signatory), who signed the contract on

behalf of the contractor, was the (Title), of said Corporation; that said

contract was duly signed for and in behalf of said Corporation by authority of its governing body,

and is within the scope of its corporate powers.

________________________________________ (Corporate Officer)

(Corporate Seal)

HOUSING AUTHORITY OF THE CITY OF LANCASTER

I hereby certify that to the best of my knowledge and belief, based upon observation and

inquiry, (Name of Signatory), who signed this contract

for (Name of Contractor), had authority to execute the same,

and is the individual who signs similar contracts on behalf of this Corporation with the public

generally.

__________________________________ Robert C. Schellhamer, Executive Director

(This last certification must be made by the person who signed the contract for the LCHA)


PERFORMANCE AND MAINTENANCE BOND KNOW ALL MEN, that (hereinafter called Principal) and a Corporation (hereinafter called Surety) are held and firmly bound unto the HOUSING AUTHORITY OF THE CITY OF LANCASTER (hereinafter called the Obligee) in the sums of __________________________________ Dollars ($_______________) for faithful performance of the contract, and Dollars ($_______________) for maintenance (both sums in lawful money of the United States of America) to be paid to the Obligee, or its successors or assigns: To the payment of which sums truly to be made, we bind ourselves and each of our respective heirs, legal representatives, successors and assigns, jointly and severally, firmly by these presents, this ________ day of ___________________, 2015.

WHEREAS, THE PRINCIPAL has entered into a written agreement with the Obligee dated ___________________, 2015, for:

ELEVATOR FULL PREVENTIVE MAINTENANCE which, agreement, together with the documents therein described as the contract documents, shall be deemed a part hereof as fully as if set out herein, and shall together be hereinafter referred to as the “Contract”.

AND WHEREAS, it is one of the conditions of the award of said contract by the Obligee that this bond be executed.

THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH that if the

Principal shall faithfully perform the contract (including any alterations or additions thereto) at the time and in the manner therein provided, and shall indemnify and save harmless the Obligee from any expenses incurred through the Principal’s failure to complete the work specified and for any damages growing out of the manner of performance of the contract by the Principal and all subcontractors and his or their servants, then this obligation for faithful performance to be void; but otherwise it shall remain in full force and effect.

And if the Principal shall remedy without cost to the owner any defects which may develop during the period of one (1) year from the date of completion and acceptance of the work performed under said contract, provided, in the judgment of the owner or its successor having jurisdiction in the premises, such defects are caused by defective or inferior materials or workmanship, then this obligation for maintenance shall be void; but otherwise, it shall remain in full force and effect.

The surety, for value received, agrees that no change, extension of time, alteration or addition to the terms of the contract to the work to be performed thereunder or specifications accompanying the same or any other forbearance on the part of either the Obligee or of the Principal to the other shall in any way effect its obligation on this bond; and it hereby waives notice of any such changes, extension of time, alteration, addition, or forbearance.


Performance and Maintenance Bond -- Page 2

IN WITNESS WHEREOF, the Principal and Surety have executed this bond the day and year first above written.

(If Principal is an Individual) ___________________________ ______________________________(SEAL) (Witness) (Signature of Individual) (If Principal is a Partnership) (Each Partner Must Sign) ___________________________ ______________________________(SEAL) (Witness) (Signature of Partner) ___________________________ ______________________________(SEAL) (Witness) (Signature of Partner) ___________________________ ______________________________(SEAL) (Witness) (Signature of Partner) (If Principal is a Corporation) ATTEST: ____________________________________ (Name of Corporation) ______________________________ (Secretary or Asst. Secretary) ____________________________________ (President or Vice President) (Corporate Seal)

____________________________________ (Name of Surety)

(SEAL) ____________________________________ (Attorney-in-Fact)

IMPORTANT NOTE: Surety Companies executing bonds must appear on the Treasury Department's most current list (Circular 570) and be authorized to

transact business in the State where the project is located.


DIVISION I - GENERAL REQUIREMENTS 1. SCOPE

Instructions to Bidders, Representations, Certifications and Other Statements of Bidders, General Conditions, and all other applicable parts of the contract documents shall be included under this section of the specification.

2. TERM OF CONTRACT

The base term of the contract shall be the two-year (2) period beginning October 1, 2015 and ending September 30, 2017.

3. DEFINITION

The word “Owner” used throughout this specification means the Housing Authority of the City of Lancaster, or its authorized representative.

4. BRAND NAME

Brand names of products specified are for reference only. “Approved equal” products of other manufacturers are acceptable providing these manufacturers are approved by the Owner.

5. GENERAL

a. The work covered by the contract documents consists of providing elevator full preventive maintenance for the Owner's facilities as follows:

• Church Street Towers, PA36-3, 333 Church St., Lancaster, PA 17602; • Farnum Street East, PA36-4, 33 E. Farnum St., Lancaster, PA 17602; and • Central Offices, 325 Church St., Lancaster, PA 17602

b. The work shall be performed under a single prime contract consisting of providing

elevator full preventive maintenance. c. The project (or the work) consists of providing all materials, labor, plants,

equipment, tools, machinery, transportation and services necessary for, or reasonably incidental to providing elevator full preventive maintenance.

d. The contractor shall thoroughly examine the bidding requirements and the contract

documents to ensure his knowledge of the conditions and requirements affecting the project. The bidder, by submitting a bid, acknowledges that he has informed himself fully in this regard. No claim for extra compensation or extension of time will be allowed for the contractor's failure to comply with this requirement.

e. The contractor shall inspect the premises prior to submitting bids in order to be fully

aware of the scope of services required. Failure to do so will not relieve the successful bidder from performing in accordance with the strict intent and meaning of the specifications without additional cost to the Housing Authority.


6. METHOD OF PAYMENT

The Housing Authority does not recognize a statement as a valid demand for payment. It is essential that a detailed invoice be submitted monthly for 1/12th of the annual amount. The invoice must show the Purchase Order Number authorizing the purchase. Payment will be made according to standard policies followed by the Housing Authority.

7. CONTRACTOR'S QUALIFICATIONS

a. The company shall have had a minimum of five (5) years successful experience in fully maintaining elevators and accounts similar in size and type covered under this contract. The bidder shall show evidence of his reliability, ability and experience by submitting WITH HIS BID:

1. A list of personnel who will perform service under this contract, showing the

length and type of experience, as well as types of training received by such personnel; and,

2. The names and addresses of five (5) clients for which the bidder is currently

providing or has previously provided services comparable to those required herein.

b. The Bidder must have an office/service facility located within fifty (50) miles of the

service locations covered under this contract.

8. CONTRACTOR’S DUTIES

a. The contractor is responsible for all personnel involved in the work, including those of his direct employ, his subcontractors and suppliers of materials and equipment and/or labor. He shall protect the Housing Authority from all claims for damages to any and all persons or property resulting from the execution of this contract. The contractor shall make good, at his own expense, all damages to the Housing Authority’s property from the fault or negligence of any of his employees. All employees of the contractor shall comply with all regulations of the Housing Authority.

b. The contractor shall conform to all laws, regulations and ordinances applicable to

performance of the contract. The contractor shall, without additional expense to the Housing Authority, obtain all licenses and permits required for the performance of the work.

c. The contractor shall promptly submit written notice to owner of observed variance

of contract documents from legal requirements.

9. HOURLY RATES

a. Each bidder shall submit WITH HIS BID a statement of hourly billing rates for each class of employee to be used in the performance of each type of work under the contract. Such rates are to be used in computing any additions to or deductions from the monthly payment; all indirect expense; and the contractor's overhead and profit for both regular time and overtime. The contract shall, over the course of the


contract, notify the Owner, in writing, within ten (10) days of any change in its current billing rates.

10. BID CALCULATION

a. Bids for Church Street Towers, Farnum Street East and the Central Office are not to be submitted separately, but incorporated into a single bid, reflecting the total price for all three buildings. Any bids submitted separately will be rejected immediately.

b. The amount bid shall be for the two-year (2) base contract period. c. Bidders shall not include Federal Excise or Pennsylvania State Sales Tax in their

bids. A tax-exempt statement will be provided upon request.

11. SAFETY PRECAUTIONS

a. OSHA -- These contract documents and the work hereby contemplated are to be governed at all times by applicable provisions of the federal law(s) including but not limited to the latest amendments of the following:·

• Williams-Steiger Occupational Safety and Health Act of 1070 Public Law 91-596;·

• Part 1510 - Occupational Safety and Health Standards, Chapter XVII of Title 29, Code of Federal Regulations;·

• Part 1518 - Safety and Health Regulations for Construction, Chapter XIII of Title 29, Code of Federal Regulations.

b. This project, the contractor and his subcontractors shall, at all times, be governed by

Chapter XIII of Title 29, Code of Federal Regulations, Part 118, Safety and Health Regulations for Construction, (36 FR75), as amended to date.


DIVISION II - SERVICE REQUIREMENTS 1. EQUIPMENT COVERED

a. Church Street Towers, PA36-3 - Two (2) MCE 4000 (installed in 2010) Microprocessor Passenger Elevators, Selective-Collective Controls. Car #1-2500 pounds capacity at 200 FPM. Car #2-2000 pounds capacity at 200 FPM. Both cars serving ten (10) stops and ten (10) openings. Both cars equipped with light curtain door detectors. A comprehensive modernization project was completed in 2010 which provided new operating fixtures, etc.

b. Farnum Street East, PA36-4 - Two (2) Dover T IV Microprocessor Passenger

Elevators, Selective-Collective Control. Car #1-2000 pounds capacity at 200 FPM. Car #2-2500 pounds capacity at 200 FPM. Both cars serving nine (9) stops and nine (9) openings. Both cars equipped with light curtain door detectors. The geared traction hoist machines (Hollister-Whitney) were installed in 2010.

c. Central Offices - One (1) Cemco Hydraulic Passenger Elevator. Car serving three (3) stops and five (5) openings - front and rear. 4500 pounds capacity at 125 FPM. Selective Collective Controls.

2. GENERAL INFORMATION

a. The elevators covered by this contract, shall be maintained in a satisfactory and safe operating condition, in accordance with the requirements of these specifications, and be capable of providing their initial maximum capacity, speed and performance at all times. The Housing Authority reserves the right to make such tests and, when deemed advisable, to ascertain that the requirements of these conditions are being fulfilled.

b. The contractor shall maintain elevators, equipment, appurtenances and accessories

so as to comply with the requirements of the latest edition of American Standard Safety Code for Elevators, and all other applicable laws, regulations, rules, ordinances, codes, etc. The ANSI Elevator Inspection Manual shall be used as a guide to establish that equipment is operating safely.

c. The contractor shall maintain the original contract speed for each elevator car, in feet

per minute, and the original performance time, which includes acceleration and retardation as designed and installed by the manufacturer. The contractor shall perform the necessary adjustments as required to maintain the Housing Authority’s desired door opening and closing time, within limits of applicable codes.

3. SERVICE LIMITATIONS AND CONDITIONS

a. Any replacements, adjustments or repairs necessitated by accident, vandalism or misuse of the equipment shall be done by the contractor at the request of the Authority and at the expense of the Authority;

b. Contractor shall not be responsible for cleaning of cabin interior or exposed sills.


4. LOCAL CONDITIONS COVERING WORK

a. The contractor shall cooperate with those in authority on the premises to prevent the entrance and exit of all workmen or others whose presence is forbidden or undesirable; and shall cooperate in bringing, storing and removal of all materials and equipment (observing all rules and regulations in force on the grounds), and in avoiding unnecessary dust, or accumulated debris or the undue interference with the convenience, sanitation or routine of the Housing Authority (and to prevent the loss of, or damage to the property of the Housing Authority or its employees). The contractor shall repair any and all damage he may cause to the building or property, to the full satisfaction of the Housing Administrator.

b. The contractor shall maintain the machine room, hoistway and overhead in an

uncluttered, clean condition at all times. 5. WORK SURVEY

a. The contractor shall prepare and furnish bi-monthly reports to the Housing Authority, and shall proceed at once to make all repairs and adjustments required to keep elevator equipment in safe and first-class operating condition. This work shall also include regular and systematic inspection of all elevator equipment and adjustments or replacements of all worn or deteriorated parts, furnishing of all appurtenances for testing, all as outlined, required or recommended in the latest edition of the American Standard Safety Code for Elevators.

6. BREAKDOWNS AND SHUTDOWNS

a. Breakdowns and shutdowns, such as electrical troubles, burned out control coils, open circuits, electrical or mechanical adjustments, will not keep the elevator out of service longer than one (1) day.

b. Under no circumstances will any shutdown or breakdown last longer than twenty-

four (24) hours unless agreed to by the Housing Authority. This includes locating the trouble, procurement of parts, installation of these parts, and placing the elevator back into safe uninterrupted operation. The contractor must be so equipped to meet the above conditions. The excuse of not being able to obtain parts, necessary technical and engineering advice, etc., will not be acceptable, and the contractor will be considered in default, and thereby giving sufficient justification to the Housing Authority to obtain these from contractors who can provide the Housing Authority with uninterrupted elevator service.

c. The contractor shall have personnel available for immediate service during working

hours, in response to a call from a Housing Authority representative. d. The Housing Authority may take over the work and pursue it to completion by

contract or otherwise; and the contractor and his sureties shall be liable to the Housing Authority for any additional cost experienced by the Housing Authority, previous to the termination of the contract.


7. MATERIAL INVENTORY

a. The contractor shall maintain a supply of contacts, coils, leads and generator brushes, lubricants, wiping cloths, and other minor parts in each elevator machine room for the performance of routine preventive maintenance.

8. SPARE PARTS INVENTORY

a. The contractor shall maintain a supply of spare lending and replacement parts in their warehouse inventory. This inventory shall include, but not be limited to, door operator motors, brake magnets, generator and motor brushes, controller switch contacts, selector switch contacts, solid state components, selector tapes, rollers, and hoistway limit switches. All replacement parts and materials shall be specifically designed for the elevators on which they are to be used. The contractor shall provide for replacement parts from the original manufacturer of the elevator system or suppliers of such original manufacturer's parts.

b. The bidder must furnish WITH HIS BID a list of those parts to be kept in stock at

the job site and local warehouse that are to be used in the normal maintenance of the equipment. This list is to include the part number and manufacturer thereof.

9. WORKING HOURS

a. Service included in this contract shall be performed during normal working hours and on regular working days as to coincide with those of the Housing Authority. Those hours specifically being 8:00 a.m. until 4:30 p.m., Monday through Thursday and 8:00 a.m. until 3:00 p.m. on Friday.

b. As part of the base services of this contract, the contractor shall provide 24-hour,

365-day emergency call-back service. When an emergency call-back occurs, other than during the normal working hours listed in Paragraph a. (above), the contractor shall absorb the cost of the first two (2) mechanic (overtime) hours. Additional overtime hours beyond the first two hours of the emergency call-back shall be considered overtime maintenance and shall be governed by Paragraph 10.a. (below).

10. OVERTIME MAINTENANCE

a. If the Owner requests any work included within the scope of this agreement to be performed other than within the hours listed in paragraph 9.a. (above), the contractor will bill the Owner an additional amount equal only to the differential between the contractor's normal straight time billing rates and overtime billing rates in effect at the time of the requested service.

11. CONTRACTOR'S TELEPHONE

a. The contractor shall maintain continuous telephone service where he can be reached twenty-four (24) hours daily, seven (7) days a week, holidays included.

12. EXTENT OF WORK

a. The work to be performed by the contractor shall apply to all parts of the elevator.


13. ITEMIZED LIST

a. The contractor shall submit WITH HIS BID an Initial Work Itemization setting forth an itemized listing of all existing deficiencies in the equipment. This list shall reflect the contractor's total price (including but not limited to, labor, materials, overhead and profit) for correcting each such deficiency. Within sixty (60) days after the awarding of this contract, at the Owner's option, the contractor is to correct all deficiencies. The contractor is required to keep the elevator equipment in safe and first-class operating condition continuously, and on the termination date of the contract, the equipment shall be left in a first-class working condition.

14. RECORDS

a. The contractor or his designated representative shall report to the Housing Administrator, or his/her designated representative, prior to performing any work specified in this contract. Contractor shall provide and keep current a suitable log book in the Machine Room of both buildings, on which entries shall be made to indicate the status of all servicing and maintenance work performed, and the time spent in man hours. The contractor must properly initial the log book to indicate that the work has been accomplished. Said log book shall become the sole property of the Housing Authority.

15. REPORTING ACCOMPLISHMENTS

a. The contractor shall instruct his personnel that any time they perform work under this contract they shall comply with the following procedures:

1. Contact the Housing Administrator or his representative when first arriving

at the building. 2. If the work is of a continuing nature, a check-in visit will be repeated each

day. 3. At the completion of the work, the contractor's employee(s) shall turn in to

the Housing Administrator or his authorized representative a copy of a work order, repair order or a form which will furnish the following information:

• name and address of the contractor; • name of the contractor's employee in charge of the work; • date(s) work was performed and hours expended; • brief description of work performed including equipment identification;

and, • signature of contractor's employee and signature block for Housing

Administrator or his authorized representative. 16. DESCRIPTION OF WORK

a. Contractor will, twice a month, systematically maintain items to include: adjustments, cleaning and lubrications.


b. All lubricants, oils, greases, cleaning materials, paint cotton waste, etc., are to be supplied by the contractor. All lubricants shall be of the proper grade as specified by the manufacturer of the equipment or an approved equal.

c. The work to be performed by the contractor shall include, but not be limited to the

following: all labor, supplies, parts and material necessary to perform cleaning, maintenance, inspection, repairs or replacement to all parts of the elevators, equipment, appurtenances and accessories; including hoist machinery, motor generators, controllers, selectors, worm gears, thrusts, bearings, brake magnet coils, brake shoes, brushes, windings, commutators, rotating elements, contacts, coils, resistors for operation and motor circuits, magnet frames, cams, car door and hoisting door hangers, tracks and guides, door operating devices, interlocks and contacts, hatch lighting (minimum 60 watt illumination), pit lights, bulb replacement in signal system, and all other elevator signal and accessory equipment complete, where included as part of the elevator installation at the time the bid for this work is submitted. Particular attention is to be given to maintaining all emergency light units in an operable condition.

d. All safety devices and governors shall be examined periodically and the customary

annual no-load test shall be conducted annually. The contractor shall renew all wire ropes as often as necessary to maintain an adequate factor of safety; all hoisting ropes shall be equalized for proper tension, and the repair or replacement of conductor cables and hoist way and machine room elevator wiring shall be made as necessary for first class operation.

e. Supply, repairing and replacement of all parts of every description made necessary

by wear and tear shall be performed by the contractor. The refinishing of or replacement of elevator car enclosures, hoist way enclosures, hoist way door panels, frames and sills are excluded from the contract coverage.

f. All hatchways and hatchway equipment shall be regularly and thoroughly cleaned

and maintained; including rails, pit, sheaves, car tops, safety devices, hatch and car hangers, car and hatch door, panel guide shoes and door operating and closing devices; and shall include the replacement of any and all defective parts. The contractor shall repair any defects in the elevator or elevator system when such defect comes to his attention during the inspection and maintenance of the elevators and elevator systems.

g. All electrical wiring and conductors extending to the elevator from the main control

in the machine room and outlets in the hoist way shall be repaired or replaced as required to keep the elevators in a first-class condition. The main switch together with fuses for same; are excluded.

h. Guide rails shall be kept clean and properly lubricated, except when roller type

guides are involved, no rail lubrication shall be used. When necessary, the contractor shall renew guide shoe gibs or rollers as required to insure smooth and quiet operation. All oil reservoirs shall be kept properly sealed to prevent leakage.


i. The exterior of the machinery and any other parts of the equipment subject to rust, shall be kept properly painted and presentable at all times. The motor windings and controller coils shall be periodically treated with proper insulating compound.

17. ADDITIONAL WORK

a. Work performed at the Owner's request outside of the scope of this contract shall be billed at not more than the contractor's normal straight time and overtime billing rates in effect at the time of the service.

b. The contractor shall notify the Owner, in writing, within ten (10) days of any

change in its current billing rates.

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

Representations, Certifications,and Other Statements of Bidders

Public and Indian Housing Programs

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


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

Table of Contents

Clause Page

1. Certificate of Independent Price Determination 1

2. Contingent Fee Representation and Agreement 1

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

4. Organizational Conflicts of Interest Certification 2

5. Bidder's Certification of Eligibility 2

6. Minimum Bid Acceptance Period 2

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

8. Indian-Owned Economic Enterprise and IndianOrganization Representation 2

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

10. Certification of Nonsegregated Facilities 3

11. Clean Air and Water Certification 3

12. Previous Participation Certificate 3

13. Bidder's Signature 3

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

7. Small, Minority, Women-Owned Business ConcernRepresentation

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

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

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

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

(Check the block applicable to you)

[ ] Black Americans [ ] Asian Pacific Americans

[ ] Hispanic Americans [ ] Asian Indian Americans

[ ] Native Americans [ ] Hasidic Jewish Americans

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

The bidder represents and certifies that it:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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