RFP 2026-605 Financial and Housing Development Advisory Services.pdf

HOUSING AUTHORITY OF THE CITY OF HARTFORD, 180 John D Wardlaw Way, HARTFORD CT 06106 REQUEST FOR PROPOSAL 2026-605-Housing Development and Financial Advisory Services

PROCUREMENT THROUGH COMPETITIVE PROPOSAL

REQUEST FOR PROPOSAL (RFP) # 2026-605 Housing Development and

Financial Advisory Services

Released July 10, 2026

CONTENTS

Section 1: Introduction, Submission, Evaluation and Award Section 2: Scope of Services Section 3: Qualification Statement (signature required) Section 4: Price Proposal Form (signature required) Section 5: General Terms and Conditions

ATTACHMENTS:

Acknowledgement of Addenda (list all issued addenda, signature required) HUD Form 5369b: Instructions to Offerors (Pre-award Terms) HUD Form 5369c: Representations, Certifications and other Statement (signature required) HUD Form 5370-C: General Conditions for Non-Construction Contracts (contract value above 100,000) HUD Form 50071: Certification of Payments to Influence Federal Transactions (contract value above $100,000) Form SF-LLL (contract value above $100,000) Sample Contract

SCHEDULE OF EVENTS:

Solicitation Issuance: Friday, July 10, 2026 Last Day for Questions: Tuesday, July 28, 2026, by 5:00pm Final Addendum: Thursday, July 30, 2026 Proposal Due Date: Thursday, August 6th, 2026, by 2:00pm

SECTION 1

INSTRUCTIONS TO RESPONDENTS

1.1. INTRODUCTION

The Housing Authority of the City of Hartford (the “Authority”) is seeking to contract through the competitive proposal process with one or more vendors (the “Contractor”) to provide Financial and Housing Development Advisory services on an "as needed, when needed" basis in accordance with the Section 2, Scope of Services. Services desired by the Authority will be largely utilized toward the conversion of the Authority’s traditional Low Income Public Housing portfolio to other platforms and ownership structures and toward the financing, acquisition, construction or rehabilitation of other housing to add to the Authority or its instrumentalities portfolios. Outside of these larger areas, services may be required to assist the Authority in its role as a bond issuer and for other related housing development and financial issues. The Authority reserves the right to make one award or multiple awards under this RFP, whichever is deemed to be in its best interest.

Respondents may reply to provide all the services themselves or as consortia with a primary vendor subcontracting out various tasks. The Authority reserves the right to make partial or full award of the services described below. Any obligations of Respondents in this RFP continue to be obligations of an awarded Contractor.

Term Contract. The term of the contract resulting from this solicitation (the “Contract”) will be for three (3) years commencing on the date of award. Upon satisfactory completion of the initial term of the Contract, the Authority may extend the term of this Contract for two additional one year terms at its sole option at the prices initially bid by each successful Contractor. The Authority shall provide Contractor with written notice of its intent to extend the Contract at least ninety (90) days prior to the expiration of the then current Contract term.

Quantities. The Contract is an indefinite delivery, indefinite quantity contract. Services are required as and when needed. The Authority reserves the right to make partial or full award of the services described below.

Non-Exclusive. The Contract is not an exclusive contract and there is no guarantee as to the amount of work to be assigned for any particular period of time. The Authority reserves the right to go out to separate solicitation for major projects or for assignments not covered by the Scope of Services described in this RFP.

Funding. The Contract is contingent upon continued funding availability from one or more sources including federal funds. In the event that funds are not available at any time during the Contract term, the Authority reserves the right to cancel the Contract. In such event, each Contractor will be paid for satisfactory services provided to date of cancellation.

The Contract will be subject to an aggregate annual not to exceed expenditure limit established by the Authority Board of Commissioners (the “Annual Limit”). Annual expenditures may not exceed the Annual Limit without confirmation of funds availability and the prior approval of the Board of Commissioners.

1.2. PRE-PROPOSAL CONFERENCE

A pre-proposal conference has not been scheduled for this RFP.

1.3 QUESTIONS AND COMMUNICATION

All questions must be put in writing to the RFP Contact named below no later than the date indicated on the cover of this RFP. The intent of this requirement is to assure that all Respondents are in receipt of the same information and to allow the Authority sufficient time to post questions and answers in an Addendum to this RFP. The Authority reserves the right to use its discretion in issuing Addenda for questions and answers; only those questions and answers which might materially affect a vendor’s response will result in an Addendum. It is the responsibility of each Respondent to check the Authority’s website:

www.hartfordhousing.org for a copy of all Addenda issued for this RFP.

NOTE: Any solicitation or lobbying directed to any Authority staff or the Board of Commissioners is prohibited and is grounds for disqualification of Respondent’s proposal.

SOLE RFP CONTACT

Larry Johnson Contracting Officer

180 John D Wardlaw Way Hartford, CT 06106 email: bids@hartfordhousing.org www.hartfordhousing.org

1.4. PROPOSAL DEADLINE AND DELIVERY

Respondents must utilize on-line submission and submit by the date and time identified on the cover page of this solicitation. No mailed originals will be accepted.

Please submit your responses via email to bids@hartfordhousing.org no later than 2:00pm on Thursday, August 6, 2026.

1.5. PROPOSAL FORMAT

To assure proper electronic receipts and handling of responses, Respondents must utilize the following file naming convention. Failure to utilize the proper naming convention may result in rejection of submissions.

Naming Convention Example: ABC Company LLC - (RFP 2026-605 Housing Development and Financial Advisory Services)

In addition to the documents marked as “signature required” on the cover of this solicitation, Respondents must submit an executed Qualification Form (included in Section 3 of this RFP).

Respondents must also include the following with their responses:

Executive Summary. Submit a letter on your company letterhead, signed by an authorized agent for the company. The letter should summarize your proposal response and incorporate, by attachment:

Client References. Include three (3) references for which you have provided a similar scope of work. Include contact name, address, and phone number. Provide a description of the work performed.

Organizational Chart. Provide an organizational chart, highlighting credentials, and qualifications, and roles of key staff and subcontractors who will be involved in the work.

Technical Proposal. Submit a detailed response to RFP Section 2, Scope of Services.

http://www.hartfordhousing.org/ http://www.hartfordhousing.org/ mailto:bids@hartfordhousing.org

Address the scope items in the same sequence as they are presented in the RFP. Include a description of your organizational capability to perform in a manner that demonstrates evidence of your knowledge and experience. Staff or subcontractor substitution after award will not be permitted without prior written approval of the Authority. Reply "NO RESPONSE" in any area that is of no interest.

Fee Proposal. Submit a complete Fee Proposal indicating any and all costs associated with the services proposed. COST PLUS A PERCENTAGE OF COST IS PROHIBITED.

ADMINISTRATIVE MARKUPS FOR SUBCONTRACTORS ARE CONSIDERED

COST PLUS AND CANNOT BE CONSIDERED. Respondents are required to submit hourly billing rates for key staff as well as identify any and all items that are billable expenses. Any and all costs not specifically provided for in the proposal response will be borne by each Contractor.

Travel costs and other incidental expenses are not allowed under this Contract.

Qualifications Statement. Complete the Qualifications Statement and provide all information requested therein. Resumes shall include each person’s professional licenses and certifications.

Provide attachments wherever more space is needed to respond to the question.

1.6. RIGHT TO VERIFY INFORMATION

The Authority reserves the right to verify any and all information provided in the Proposal. If there is evidence of misleading or false information, the Authority may, in its discretion, reject the Respondent’s submittal.

1.7. EVALUATION OF PROPOSALS

The Authority will assign personnel to review each proposal to determine if the proposal substantially complies with the requirements and procedures contained in this RFP. Respondents that are not in substantial compliance will not be considered further.

A selection committee will be convened to review responsive proposals.

1.8. EVALUATION CRITERIA POINTS

Firm Experience and Project Team Qualifications… Verifiable experience for the services proposed; demonstrated knowledge of staff that will be assigned;

references; past performance.

Affordable Housing Development Experience & Financial Structuring and Funding Expertise…...30 Experience completing redevelopment projects for Public Housing Authorities; Demonstrated ability to identify, secure and structure funding sources for Connecticut projects.

Technical Response Narrative Response; Approach and understanding of the Scope of Services; capacity to perform.

Competitiveness of Proposed Fees

1.9. INTERVIEWS

A selection panel may interview the highest scoring Respondents (typically the highest 3 unless it is in the Authority’s best interest to interview more). Initial scores may be adjusted based upon the outcome of interviews. The Authority reserves the right to make award based solely upon written proposals, therefore, Respondents are urged to provide a complete initial response including their best and final offer.

1.10. AWARD

Award will be made to the Respondent(s) whose proposal is deemed most advantageous to the Authority.

The Authority reserves the right to make award to one or more Respondents. Further, the Authority reserves the right to administer the Contract in whatever way is most advantageous taking into consideration cost effectiveness, efficiency, and practicality. Administering the Contract may include assigning work on a rotational basis or by assigning specific developments to each awardee. The Authority further reserves the right to make a “no award” on all or any part of this Request for Proposal and to negotiate the extent of services provided (upward or downward).

1.11. SOCIO ECONOMIC CONSIDERATION: The Authority encourages responses from individuals and companies located in or owned by persons residing in a public housing development (commonly referred to as Section 3).

1.12. CONDITIONS OF CONTRACT

This Request for Proposal, including all attachments, together with the Contractor’s proposal response will form the entire agreement between the Contractor and the Authority. Any and all exceptions to the Sample Contract attached to this RFP should be noted in the Respondent’s response to this RFP.

In the event additional services are required that have not been awarded but are within the scope of the services described in this RFP, the Authority will have the sole and exclusive right to allocate the service to a firm under contract or seek the services on the open market, whichever is deemed to be in its best interest.

The person signing the proposal on behalf of the Respondent shall be authorized to commit the Respondent in contractual matters and to conduct negotiations on behalf of the Respondent.

1.13. PRICING

All offers shall be firm for a period of ninety (90) days following the response due date.

Pricing must include all charges necessary to fulfilling the terms of the Contract and must be level across the initial 3-year term. Contractors may show increased pricing in the option years in their proposal.

1.14. SUBCONTRACTING

The Contractor shall not have the right or power to assign, subcontract, or transfer interest in this Contract without the prior written consent of the Authority.

SECTION 2

SCOPE OF SERVICES

The Authority is seeking to contract through the competitive proposal process with one or more independent contractors and/or professional firms for consulting services to assist in the conversion of its current Department of Housing and Urban Development (“HUD”) regulated low-income public housing portfolio (the “Portfolio”) through a combination of the Rental Housing Demonstration Program more commonly referred to as “RAD”, the HUD demolition/disposition process through Section 18 (“Section 18”), and any other permissible process. Post conversion required services will also include advisory assistance related to property development or rehabilitation.

In addition to the LIPH developments, the Authority may also desire advisory services related to developing several non-residential LIPH and non-LIPH properties, a warehouse located near downtown Hartford and an administrative building on approximately 24 acres of mostly cleared land (approximately 10 developable acres) in the western portion of Hartford. Some of these parcels are encumbered by a HUD deed of trust and some are entirely non-federal.

The Authority may also require services related to its role as a bond issuer (conduit and in furtherance of its own transactions) and related to the potential purchase of properties for its own or its instrumentality portfolios.

The services described in this Scope of Services are intended to serve as a general guideline for the types of service which may be required by the Authority. The Contractor will be required to provide financial advice and structuring assistance on a wide range of HUD affordable housing topics related to the conversion of Authority properties to other ownership and/or operational structures.

Additional services may be required to explore the potential purchase and/or rehabilitation and development of other properties and explore the development of Authority owned vacant properties, all to promote the long-term sustainability of the Authority. The Authority is fully open to the exploration of alternative ownership structures, creative financing options and other suggested avenues to meet these goals.

It is expected that Respondents will have knowledge of regulations pertaining to HUD, the State of Connecticut and the City of Hartford.

The following Scope of Services is a fair representation of the services that may be required by the Authority, however, it is not meant to limit the scope of work requested by the Authority.

This Scope of Services will form the basis of Respondent's Technical Proposal. Address each item in the Scope by providing a supporting narrative on your background and capacity to provide the service. Where items refer specifically to RAD, Section 18 or other items, they should be read to apply generally as well (where applicable) to the potential purchase and development of other properties, etc.

1. Offer technical expertise and general recommendations to inform the Authority in its efforts to determine the feasibility and the structuring of each property using the conversion option with the “best fit” based on each property’s unique circumstances.

2. Upon request, deliver individual property reports and recommendations.

3. Utilizing competitive procurement where possible or through a subcontracting relationship, provide all forms of physical needs assessment, RAD e-tools and similar reports.

4. Identify the best grouping of properties into one of several RAD applications, Section 18 bundles or other conversion measure.

5. Prepare and deliver a detailed analysis of the feasibility of RAD, Section 18 or other conversion of individual properties or groups of properties. The analysis will include projected post-conversion revenues, development of financial strategies and options to carry out conversion, and a comparative analysis showing the revenue potential for its Portfolio as compared to current revenues.

6. Review development budgets incorporating all applicable sources and uses.

7. Create operational pro formats to ensure conformance with HUD program guidelines and lender requirements.

8. Preparation and submission of all relevant applications for the properties.

9. Monitor, oversee, and submit the required items (i.e., RAD Physical Conditions Assessment, environmental report, pro forma, HUD form documents, etc.) to meet the HUD-required CHAP milestones, including the Financing Plan which will be used in the HUD RAD approval process.

10. Monitor, oversee, and submit required items to meet HUD-required Section 18 or other applicable milestones.

11. Participate in communications with the Authority and HUD RAD staff to help convert properties through the RAD Financing Plan and RAD Conversion Commitment (RCC) issuance processes.

12. Participate in communications with the Authority, HUD, lender or other parties to help convert properties through the Section 18 or other applicable processes; and facilitate the RAD, Section 18 or other closing process, serving as a liaison between the parties, their attorneys and other consultants.

13. Assist the Authority in resolving any outstanding issues for the conversion and collaboratively work with all parties through the review and execution of the RCC, the Housing Assistance Payments (HAP) Contract, and the RAD Use Agreement, other RAD-related documents required by HUD or other applicable documentation.

14. Preparation of bank financing applications (i.e. construction and permanent lender).

15. Identification of funding sources and preparation and submission of funding applications necessary to carry out the conversion and/or development. Such funding sources may include, but not be limited to, Low-Income Housing Tax Credits (LIHTC), State Housing Tax Credit Contribution (HTCC) Program, DOH Flex funds, Federal Home Loan Bank (FHLB) funds, Community Development Block Grant funds (CDBG), Capital Fund Financing Program (CFFP), Affordable Housing Program (AHP), New Market Tax Credits, Renewal Energy Tax Credits, Historic Tax Credits, etc. Note that the Authority does have one outstanding CFFP bond issue outstanding at this time.

16. Preparation of all relevant determinations and underwriting requirements related to financing applications (i.e. hard cost development thresholds, income averaging, etc.)

17. Preparation of Mixed-Finance Proposals for development or revitalization if applicable.

Communicate with the Authority, HUD and other necessary agencies and representatives with sufficient knowledge and details to meet all applicable deadline(s).

18. Preparation of solicitation and evaluation of proposals for potential development or financing partners related to Authority development projects. Alternatively, Respondent may be asked to conduct such solicitations on behalf of the Authority.

19. Assist the Authority in the utilization of its non-profit instrumentalities in the conversion of the

Portfolio and in related development projects.

Minimum Qualifications:

A minimum of 5 years professional experience working on complex financing and portfolio structure issues for mid to large scale Public Housing Authorities.

Significant coursework and/or certifications by HUD recognized national or regional institutions in the areas of housing administration, Section 8 and housing management.

Significant background and knowledge of HUD rental and occupancy regulations.

SECTION 3

QUALIFICATION STATEMENT

1. Company/Individual Name and complete Mailing Address:

2. Structure: ____Sole Proprietor ____Partnership ____Corporation ____ Other ( )

3. Email Address and Phone Number ____________________________________________________

4. How many years have you been in business? _____________________________________________

5. Specify your relevant registrations, certifications and licenses

6. Are there other expected engagements or vacations which would impede your ability to perform the services required for the duration of the Contract?

7. Describe your back up plan in the event you (if an individual) or the individual assigned by your firm is not available for any length of time. How will the services continue uninterrupted?

8. Have you ever been debarred, suspended, disbarred or otherwise disciplined by any local, state or federal governmental unit, body? ______________

9. Have you ever been terminated by a client for any reason? If so, please provide an explanation

DATE: _______________

BY: ______________________________________________________________________________ Signature of person signing proposal

Print Name ________________________________________________________________________

SECTION 4

PRICE PROPOSAL FORM

Respondents are required to provide a complete fee schedule inclusive of all costs associated with delivering the full range of services required of the Service Area(s) proposed. Respondents are not required to respond to all Service Areas. Any and all costs not specifically provided for in the proposal response will be borne by the Contractor. Cost plus pricing is absolutely prohibited. This prohibition includes all subcontractor price or administrative markups as well as any part or supply markups. The Authority will not reimburse for travel, mileage, hotel, meals or other related expenses and will not pay for travel time to and from Authority locations.

The Authority anticipates utilizing the services of the successful contractor on both hourly and project estimated bases. Larger projects may be assigned on a task order basis with an estimate of time and cost to implement approved by the Authority prior to project commencement. Any significant deviation from such estimates must be approved by the Authority prior to work related to the deviation being carried out.

Please provide hourly pricing for the various staff classifications you employ (i.e., Senior Housing Consultant, Vice President, Project Manager, Administrative Assistant) as well as any blended rate pricing you offer.

4.1. FIXED FEES WHERE POSSIBLE. Wherever possible, the Respondent should provide fixed fee for service.

4.2. HOURLY RATES/KEY STAFF. Hourly rates should be structured by Service Area and key staff if there are separate rates and fees for particular Service Areas and staff. The fees should be associated with titles and job descriptions of key staff to be assigned.

4.3. COST PLUS PROHIBITED. Respondents are cautioned that cost plus a percentage of cost is not allowed, therefore, mark-ups for project expenses will not be an acceptable submission.

4.4. FEES TO REMAIN FIRM. Fees must remain firm for the duration of the Contract unless a price change clause is included in this RFP, or the pricing description specifically allows for price escalations at known dates or performance levels. As assignments arise, the Authority may request project estimates.

Contractors shall base the project estimates on the hourly rates and expenses fees provided in their proposal.

Any and all costs not specifically stipulated will be borne by the Contractor.

The Undersigned agrees to hold its offer open for 90 days from the date of RFP opening.

Signed by: _________________________________ Print Name ________________________________

Name of Company or Title _____________________________________________________________

Address _____________________________________________________________________________

Telephone ______________________________________

SECTION 5

GENERAL TERMS AND CONDITIONS

1. CONTRACT AGREEMENT: This Request for Proposal, the Contractor’s response to it and the Contract will constitute the entire agreement between the Contractor and the Authority unless mutually amended in writing. The Sample Contractual Agreement attached hereto will be used as the basis for negotiation between the Contractor and the Authority. Any and all requested exceptions to the contract should be noted by each Respondent as part of its proposal response.

2. SIGNED PROPOSAL CONSIDERED AN OFFER: Receipt of a signed proposal is considered a binding offer by the Respondent which shall remain firm for a period of 90 days from the due date for proposal delivery. In the event of withdrawal after proposal delivery, the Authority may take such action as it deems appropriate including legal action for damages or specific performance.

3. PAYMENT TERMS: Payment terms are NET 45 days following receipt of correct invoice. The Authority is responsible for all payments to Contractor under the Contract.

4. CHANGES: the Authority shall have the right, at any time, to increase or decrease the scope of work contained in this RFP to meet increased or decreased needs.

5. AVAILABILITY OF FUNDS: Any and all payments to the Contractor shall be deemed binding only to the extent of appropriated funds for the purpose set forth in this proposal.

6. NON-DISCRIMINATION: The Contractor shall not discriminate against any individuals and will take proactive measures to assure compliance with all Federal and State and Authority requirements concerning fair employment, employment of people with disabilities, and concerning the treatment of all employees without regard to discrimination based upon age, race, color, religion, sex, national origin or disability.

7. GOVERNING LAWS: The contract is made under and shall be governed and construed in accordance with the laws of the State of Connecticut.

8. ADVERTISING: In submitting a proposal to the Authority, the Respondent agrees not to use the results of their proposal as a part of any commercial advertising without prior approval of the Authority.

9. CONFIDENTIALITY OF PROPOSALS: In submitting a proposal, the Respondent agrees not to discuss or otherwise reveal the contents of the proposal to any source outside of the Authority until after the award of the Contract. Respondents not in compliance with the provision may, at the option of the Authority, be disqualified from contract award. Only discussions authorized by the issuing agency are exempt from this provision.

10. ELABORATE PROPOSALS: Elaborate proposals in the form of brochures or other presentations beyond that necessary to present a complete and effective proposal are not desired.

11. COST FOR PROPOSAL PREPARATION: Any costs incurred by Respondents in preparing or submitting proposals are the Respondents’ sole responsibility. The Authority will not reimburse any Respondent for any costs incurred prior to award of the Contract.

12. RIGHT TO SUBMITTED MATERIAL: All responses, inquiries, or correspondence relating to or in reference to this Request for Proposals, and all other reports, charts, displays, schedules, exhibits, and other documentation submitted by the Respondents shall become the property of the Authority when received.

13. NO COLLUSION: The Respondent’s signature on the price proposal is a guarantee that the prices quoted have been arrived at without collusion with other eligible Respondents and without effort to preclude the Authority from obtaining the lowest possible competitive price.

14. GENERAL INDEMNITY: The Respondent shall save and hold harmless, pay on behalf of, protect, defend, and indemnify the Authority for the entire responsibility and liability for losses, expenses, demands, actions and claims in connection with or arising out of any injury, or alleged injury (including death) to any person, or damage, or alleged damage, to property of the Authority or others sustained or alleged to have been sustained in connection with or to have arisen out of or resulting from the performance or the intended performance of any work/service, outlined or resulting from this RFP, by the Respondent or their employees, including losses, expenses or damages sustained by the Authority officials from any and all such losses, expenses, damages, demands and claims. The Respondent further agrees to defend any suit or action brought against the Authority, (as outlined above) based on any such alleged injury or damage and to pay all damages, cost and expenses in connection therewith or resulting therefrom. The obligations of the Respondent pursuant to this paragraph shall not be limited in any way by any limitation in the amount or type of proceeds, damages, compensation, or benefits payable under any policy of insurance or self-insurance maintained by or for the use and benefit of the Respondent.

15. CONFLICT OF INTEREST: All Respondents must disclose in writing with their proposal the name of any owner, officer, director, or agent who is also an employee of the Authority. All Respondents must also disclose in writing with their proposal the name of any employee of the Authority who owns, directly or indirectly, an interest of five percent (5%) or more in the Respondent’s firm or any of its branches or subsidiaries. By submitting a proposal, the Respondent certifies that there is no relationship between the Respondent and any person or entity which is or gives the appearance of a conflict of interest related to this RFP.

16. ERRORS AND OMISSIONS: The Respondent shall not take advantage of any errors or omissions in this RFP. The Respondent shall promptly notify the Authority of any omissions or errors found in this document.

17. INDEPENDENT INVESTIGATIONS: The Authority reserves the right to make independent investigations as to the qualifications of the Respondent. Such investigations may include contacting existing customers. The Authority reserves the unqualified right to accept or reject any and all proposals, and to waive any irregularities or deficiencies as may be permitted by law when it is deemed that such action will be in the best interest of the Authority.

18. REFERENCE TO OTHER DATA: Only information which is received in response to this Request for Proposals will be evaluated. Reference to information previously submitted shall not be evaluated.

19. NOTIFICATION OF AWARD: After all prerequisites and specifications have been met by the Respondent and the award has been made, the successful Respondent will be notified within ten (10) working days of this award. The Authority will notify the successful Respondent in writing, either by a Letter of Award or a Purchase Order or both. VERBAL NOTIFICAITON OF THE AWARD

OF THE CONTRACT IS NOT CONSIDERED A RELIABLE MODE OF NOTIFICATION

AND, THEREFORE, WILL NOT BE RECOGNIZED AS AN OFFICIAL NOTIFICATION.

20. TERMINATION FOR CAUSE: The Authority reserves the right to terminate the Contract at any time for cause. The violation of any provision or condition contained in the Contract, or the refusal, failure, or inability to carry out any provisions of the Contract shall constitute sufficient grounds to terminate the Contract for cause. Should the Authority elect to terminate the Contract for cause, the Authority will notify the Contractor 30 days prior to the termination date and shall specify the cause for termination as well as the date the termination shall be effective. This termination notice will be issued via a written letter sent by certified U.S. mail. Immediate dismissals may be executed if deemed necessary by the Authority.

21. TERMINATION WITHOUT CAUSE: The Authority may terminate the Contract without cause.

Written notice of termination must be sent via certified U.S. mail no later than thirty (30) days prior to the termination date.

22. DRUG POLICY: The Respondent certifies that it maintains a drug-free work place environment to ensure worker safety and workplace integrity. The Respondent further agrees their employees shall comply with the City of Hartford’s Drug-Free Workplace Policy.

23. STATE AND FEDERAL REGULATIONS: The Contractor shall perform all work in accordance with State and Federal safety regulations in regards to work zones, work areas, equipment, vehicles, tools and supplies. The Contractor shall provide all necessary and required work zone protective devices and traffic channeling devices as required under State and Federal safety regulations.

24. PUBLIC SAFETY: The Contractor shall protect the safety and convenience of the general public.

The Contractor shall perform work as needed and necessary to protect the general public from hazards.

25. NO SMOKING: The Authority is 100% smoke free. Smoking is absolutely forbidden on all Authority grounds and in all Authority facilities during the entire term of this Contract. This prohibition includes smoking in vehicles parked on Authority grounds.

26. AUTHORIZIED PERSONNEL: While engaged in the performance of the services described herein, only authorized employees of the Contractor are allowed at the Authority locations where the work is being performed. During the performance of these services, the Contractor employees are not to be accompanied in the work area by acquaintances, family members, associates or any other person(s) who are not a current, authorized employee(s) of the Contractor.

27. EMPLOYEE GUIDELINES: The Contractor shall use only qualified personnel to provide the required services. The Contractor shall be responsible for insuring that employees abide by all rules and regulations set forth for the buildings and grounds.

28. SAFETY: Contractor shall insure that its employees meet and maintain all applicable OSHA or other similar workplace safety and licensing requirements (i.e. asbestos certification, electrician licensing, OSHA 10 etc.) and adhere to all OSHA and other required safety standards and regulations that apply while performing their job duties. Contractor shall provide proof of licensure and compliance with all applicable safety requirements upon request by Authority.

29. INSURANCE COVERAGE: During the term of the Contract, the Contractor and the Contractor’s subcontractors at their sole cost and expense shall provide commercial insurance of such type and with such terms and limits as may be reasonably associated with the Contract. The Authority will require proof of such insurance prior to Contract execution and during the term of the Contract.

30. CONTINUANCE OF WORK: In the event Contract term expires and Contractor has not completed assignments that are underway, the Authority may, at its discretion, allow Contractor to complete those assignments if the following conditions are met and evidenced in writing:

a. Contractor requests to complete the assignments that are underway.

b. The prices in Contract remain in effect until all work is completed.

c. All other contractual obligations and conditions remain the same, including insurance requirements.

This provision does not apply to any continuance of work which would extend the Contract term (inclusive of any extensions by the Authority) beyond five years from the date of Contract award.

HOUSING AUTHORITY OF THE CITY OF HARTFORD

ACKNOWLEDGEMENT OF ADDENDA FORM

Proposer has received the following Addenda, the receipt of which is hereby acknowledged:

Addendum Number __________ Date Received: __________________

Addendum Number __________ Date Received: __________________

(Company Name)

(Signature) 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 Housing and Urban Development Office of Public and Indian Housing

Representations, Certifications, and Other Statements of Bidders Public 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 Payments to 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 Indian Organization 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 competitor relating to (i) those prices, (ii) the intention to submit a bid, or (iii) the methods or factors used to calculate the prices offered;

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

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

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

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

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

_______________________________________________ [insert full name of person(s) in the bidder's organization responsible for determining the prices offered in this bid or proposal, and the title of his or her position in the bidder's organization];

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

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

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

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

(d) Non-collusive affidavit. (applicable to contracts for construction and 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 any other person, firm or corporation in regard to any bid submitted in response to this solicitation. If the successful bidder did not submit the affidavit with his/her bid, he/she must submit it within three (3) working days of bid opening. Failure to submit the affidavit by that date may render the bid nonresponsive. No contract award will be made without a properly executed affidavit.

(2) A fully executed "Non-collusive Affidavit" [ ] is, [ ] is not included with the bid.

2. Contingent Fee Representation and Agreement

(a) Definitions. As used in this provision:

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

"Improper influence" means any influence that induces or tends to induce a PHA/IHA employee or officer to give consideration or to act regarding a PHA/IHA contract on any basis other than the merits of the matter.

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

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

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

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

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

3. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions (applicable to contracts exceeding $100,000)

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

Page1 of 3

6. Minimum Bid Acceptance Period

(a) "Acceptance period," as used in this provision, means the number of calendar days available to the PHA/IHA for awarding a contract from the date specified in this solicitation for receipt of bids.

(b) This provision supersedes any language pertaining to the acceptance 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 specify a 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 acceptance period will be rejected.

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

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

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

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

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

(c) [ ] is, [ ] is not a minority business enterprise. "Minority business enterprise," as used in this provision, means a business which is at least 51 percent owned or controlled by one or more minority group members or, in the case of a publicly owned business, at least 51 percent of its voting stock is owned by one or more minority group members, and whose management and daily opera-tions are controlled by one or more such individuals. For the purpose of 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 Indian Organization Representation (applicable only if this solicitation is for a contract to be performed on a project for an Indian 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 for the purpose of profit, which is at least 51 percent Indian owned.

"Indian," as used in this provision, means any person who is a member of any tribe, band, group, pueblo, or community which is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs and any "Native" as defined in the Alaska Native Claims Settlement Act.

(b) [ ] is, [ ] is not an Indian organization. "Indian organization," as used in this provision, means the governing body of any Indian tribe 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 his or her knowledge and belief as of December 23, 1989 that:

(1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of a contract resulting from this solicitation;

(2) If any funds other than Federal appropriated funds (includ-ing 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 on his or her behalf in connection with this solicitation, the bidder shall complete and submit, with its bid, OMB standard form LLL, "Disclosure of Lobbying Activities;" and

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

(c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject 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 Indian organizations as defined in section 4 of the Indian Self-Determina-tion and Education Assistance Act (25 U.S.C. 450B) are exempt from the requirements of this provision.

4. Organizational Conflicts of Interest Certification The bidder certifies that to the best of its knowledge and belief and except as otherwise disclosed, he or she does not have any organizational conflict of interest which is defined as a situation in which the nature of work to be performed under this proposed contract and the bidder's organizational, financial, contractual, or other 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 certify that to the best of my knowledge and belief, no actual or apparent conflict of interest exists with regard to my possible performance of this procurement.

5. Bidder's Certification of Eligibility

(a) By the submission of this bid, the bidder certifies that to the best of its knowledge and belief, neither it, nor any person or firm which has 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 States Government, HUD, or the State in which this contract is to be performed; 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 an erroneous certification, the contract may be terminated for default, and the bidder may be debarred or suspended from participation in HUD programs and other Federal contract programs.

community including Native villages and Native groups (including corporations organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native Claims Settlement Act, which is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs.

9. Certification of Eligibility Under the Davis-Bacon Act (applicable to construction contracts exceeding $2,000)

(a) By the submission of this bid, the bidder certifies that neither it nor any person or firm who has an interest in the bidder's firm is a person or firm ineligible to be awarded contracts by the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(b) No part of the contract resulting from this solicitation shall be subcontracted to any person or firm ineligible to be awarded contracts by the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(c) The penalty for making false statements is prescribed in the U.

S. Criminal Code, 18 U.S.C. 1001.

10. Certification of Nonsegregated Facilities (applicable to contracts exceeding $10,000)

(a) The bidder's attention is called to the clause entitled Equal Employment Opportunity of the General Conditions of the Con-tract for Construction.

(b) "Segregated facilities," as used in this provision, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise.

(c) By the submission of this bid, the…