Lead-Based Paint (LBP) Testing at Steinmetz Homes. Schenectady Municipal Housing Authority Date: October 5, 2018 Project Number: L

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1 Lead-Based Paint (LBP) Testing at Steinmetz Homes Schenectady Municipal Housing Authority Date: October 5, 2018 Project Number: L

2 TABLE OF CONTENTS Invitation for Bid Instructions to Bidders (HUD 5369) Representations, Certifications & Other Statements of Bidders (HUD 5369-A) Instructions to Bidders (MHA-152) Affidavit of New York State License (MHA C-135) General Conditions (HUD 5370 C Section I&II) Supplementary General Conditions (MHA C-110) Certificate for a Drug Free Workplace Form of Bid Proposal Acknowledgement of Principal (MHA-115) Certificate as to a Corporate Principal (MHA-204) Tax Affidavit Previous Participation Certificate (HUD 2530) Non-Collusive Bidding Certificate (MHA-116) Form of Statement of Bidders Qualifications (MHA-202) Minority Business Enterprise Participation (MHA-170) Section 3 Specification Clause Statement of Compliance-Training, Employment, and Contracting Opportunities (MHA-181) Standard Form of Agreement Mandatory Contract Clause Wage Rate Statement Certificate and Release (MHA-120) Lien Waiver and Release (MHA-108 Affidavit for Final Payment (MHA-119) Maintenance Guarantee (MHA-118) Smoke Free Policy Scope of Work Project Schedule Steinmetz Homes XRF Floor Sketch Apt. 41 marked Exhibit A Steinmetz Homes XRF Floor Sketch Apt. 43 marked Exhibit B Steinmetz Homes Site Plan marked Exhibit C Same 48 Hour Notice marked Exhibit D Sample Pollution Policy Insurance Certificate Exhibit E

3 INVITATION FOR BID The Schenectady Municipal Housing Authority of the City of Schenectady, New York, hereinafter referred to as the Authority, will receive sealed bids for the project known as Lead Based Paint (LBP) Testing at Steinmetz Homes on the 2 nd Floor Administrative Office located at 375 Broadway Schenectady, NY until 1:30 PM, November 7, The bids will be publicly read aloud at 2:00PM on November 7, 2018 at the SMHA Construction Office located on Millard Street in Schenectady, NY. The Authorities Office is closed from 12:00 PM to 1:00 PM. Contract documents may be obtained by or online at beginning after October 5, 2018, 2 PM. Please contact Steve Tama at for the specification to be ed. The bids are to be submitted in DUPLICATE, and are to be submitted by personal delivery or registered mail, return receipt requested only to the Authority s office. A walk though of sample apartments will be by appointment only. Please contact Tony Fyive at to schedule. If it becomes necessary to revise this bid, amendments will be posted at It is the responsibility of the bidder to check throughout the open bidding period. The Authority will not be responsible for incorrect bids due to bidder s noncompliance with amendments. No plea of ignorance will be accepted by the Authority for not receiving any amendments. The Authority reserves the right to reject any or all bids or to waive any informalities in the bidding. The Owner is exempt from payment of Federal, State and Local taxes on all materials and supplies sold to the Owner pursuant to this contract and are not to be included in bids. The Owner shall supply the Contractor with copies of the Owner s Certificate of Exemption from New York State Sales Tax. (Section 116A1 of the NY State Tax Law.) No bid shall be withdrawn for a period of sixty (60) days after the opening of bids without the consent of the Schenectady Municipal Housing Authority. The Municipal Housing Authority is an Equal Opportunity Employer and urges Section 3 Business Concerns and both Minority and Women Business Enterprises to participate. The award will be based on the lowest total responsible bid. MUNICIPAL HOUSING AUTHORITY OF THE CITY OF SCHENECTADY Richard E. Homenick, Executive Director

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6 U.S. Department of Housing and Urban Development Office of Public and Indian Housing Representations, Certifications, and Other Statements of Bidders Public and Indian Housing Programs Previous edition is obsolete form HUD-5369-A (11/92)

7 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 Certification of Nonsegregated Facilities Clean Air and Water Certification Previous Participation Certificate 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. Previous edition is obsolete Page1 of 3 form HUD-5369-A (11/92)

8 (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 (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 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-Determination 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 subcontractors, 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 representation 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. 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 requirement. 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. "Womenowned 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 operations 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 commercial, 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 Previous edition is obsolete Page 2 of 3 form HUD-5369-A (11/92)

9 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 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 Contract 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 bidder certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control where segregated facilities are maintained. The bidder agrees that a breach of this certification is a violation of the Equal Employment Opportunity clause in the contract. (d) The bidder further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) prior to entering into subcontracts which exceed $10,000 and are not exempt from the requirements of the Equal Employment Opportunity clause, it will: (1) Obtain identical certifications from the proposed subcontractors; (2) Retain the certifications in its files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods): Notice to Prospective Subcontractors of Requirement for Certifications of Nonsegregated Facilities A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Employment Opportunity clause of the prime contract. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually). Note: The penalty for making false statements in bids is prescribed in 18 U.S.C Clean Air and Water Certification (applicable to contracts exceeding $100,000) The bidder certifies that: (a) Any facility to be used in the performance of this contract [ ] is, [ ] is not listed on the Environmental Protection Agency List of Violating Facilities: (b) The bidder will immediately notify the PHA/IHA Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the Environmental Protection Agency, indicating that any facility that the bidder proposes to use for the performance of the contract is under consideration to be listed on the EPA List of Violating Facilities; and, (c) The bidder will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract. 12. Previous Participation Certificate (applicable to construction and equipment contracts exceeding $50,000) (a) The bidder shall complete and submit with his/her bid the Form HUD-2530, "Previous Participation Certificate." If the successful bidder does not submit the certificate with his/her bid, he/she must submit it within three (3) working days of bid opening. Failure to submit the certificate by that date may render the bid nonresponsive. No contract award will be made without a properly executed certificate. (b) A fully executed "Previous Participation Certificate" [ ] is, [ ] is not included with the bid. 13. Bidder's Signature The bidder hereby certifies that the information contained in these certifications and representations is accurate, complete, and current. (Signature and Date) (Typed or Printed Name) (Title) (Company Name) (Company Address) Previous edition is obsolete Page 3 of 3 form HUD-5369-A (11/92)

10 1. NOTICE TO BIDDERS Schenectady Municipal Housing Authority INSTRUCTIONS TO BIDDERS A. Bidders shall use the enclosed Form of Bid. Two copies must be completely filled out and executed and one, the original, must be marked "Official Tender." B. Bid Documents must be enclosed in a SEALED envelope marked conspicuously with the project name, bid opening time/date, contractor s name and address, and the envelope contained sealed BID DOCUMENTS. C. Bid Documents shall be sent to the Schenectady Municipal Housing Authority at 375 Broadway, Schenectady, NY (or as otherwise directed in the Legal Notice) and posted or delivered so as to be received at the specified address no later than the bid date as stated in the Invitation to Bid or Legal Notice. Proposals will be publicly opened and read at the offices of the Authority on the days and hour specified above. The following is a list of required bid documents: a. Form of Bid. b. Non-Collusive Affidavit, MHA-116 c. Representations, Certifications, and Other - HUD 5369A. In addition to the above, the following documents, if not provided in the original bid package, shall be provided within three (3) business days following the date of the bid opening: a. Acknowledgment of Principal, MHA-115. b. Previous Participation, HUD c. Statement of Bidders Qualifications, MHA-202. d. Minority Enterprise Statement, MHA-170. e. Statement of Compliance (Section Three), MHA-181. f. Statement of Corporate Principal, MHA GRAND JURY TESTIMONY By submitting a Proposal, the Bidder expressly states, warrants and represents, unless otherwise expressly stated in writing upon or accompanying the Proposal, that no person who is the Bidder, or who is a member, partner, director or officer of the Bidder has, prior to the submission of such Proposal, and on or after July 1, 1959, when called before a grand jury, or other body or office, duly authorized to make inquiry to testify concerning any transaction or of the Department of Housing and Urban Development has with the State of New York, any political subdivision thereof, a public authority or with any department, agency or official of the State of New York or any political subdivision thereof or of a public authority, refused to sign a waiver against subsequent criminal prosecution or to answer any relevant question Page 1 of 6

11 Schenectady Municipal Housing Authority INSTRUCTIONS TO BIDDERS concerning such transaction or contract. In the event that there has occurred such refusal, a full written statement of the time and circumstances thereof shall accompany the Proposal. 3. INTERPRETATIONS AND ADDENDA A. No interpretation given as to the meaning of the Contract Documents, whether made on the initiative of the Authority, the Architect or at the request of one or more Bidders, shall be binding in any way or effective to modify any of the provisions of the Contract Documents, unless and until such interpretation is issued in writing by the Authority to all bidders and is expressly denominated as an Addendum to the contract. Every request for an interpretation shall be made in writing and addressed and forwarded to the Authority at its office stated in the advertisement. No inquiry received within seven days of the bid opening date will be given consideration. The Authority may issue such addenda to the Contract Documents as it deems advisable. Each Addendum will be sent promptly to all persons issued Contract Documents. All such addenda shall, upon issuance, be deemed and become a part of the Contract Documents. It shall be the duty of the Bidder to make certain that he has received, or has provided himself with copies of an Addenda that has been issued and Proposals shall be conclusively presumed to be based on the complete Contract Documents. B. The date and time set forth in the Advertisement for the receipt of bids or any extension or adjournment of said date and time by the Authority, is defined as the Bid Due Date. The rights and obligations of the Bidders pursuant to the pertinent provisions in the Instructions to Bidders shall be effective as on the date and time only. 4. EXAMINATION OF CONTRACT DOCUMENTS AND OTHER RELATIVE MATERIAL Each Bidder shall fully acquaint and familiarize himself with conditions as they exist and the character of the operations to be carried on under the proposed Contract, and make such investigations as he sees fit so that he may fully understand the facilities, difficulties, and restrictions attending the performance of the services required under this Contract. 5. BID SECURITY (Not Applicable On This Project) Page 2 of 6

12 Schenectady Municipal Housing Authority INSTRUCTIONS TO BIDDERS 6. PERFORMANCE AND PAYMENT BONDS (Not Applicable On This Project) On all contracts over $100, the successful bidder shall, not later than the time of delivery of the executed contract, deliver to the Authority the following options as surety for the payment of all persons performing labor or furnishing materials in connection herewith. A. Furnish 100% Payment and Performance Bond; B. Furnish separate Payment and Performance Bonds, 50% each; C. Furnish 20% Cash Escrow 7. RECEIPT AND MODIFICATION OF PROPOSALS An officer of the Authority will decide when the bid due date has arrived and no Proposal received thereafter will be considered. Unless specifically authorized, telegraphic Proposals will not be considered. Modifications of proposals by telegraph will be considered if received prior to the bid due date provided that such modifications are confirmed in writing over the signature of the Bidder by certified or registered letter bearing a post office time stamp evidencing mailing prior to the bid due date. 8. WITHDRAWAL OF PROPOSALS Proposals may be withdrawn on written or telegraphic request dispatched by the Bidder in time for delivery in the normal course of business prior to the bid due date provided the telegraphic withdrawal is confirmed in writing over the signature of the Bidder by certified or registered letter, bearing a post office time stamp, evidencing mailing prior to the bid due date. No Proposal may be withdrawn within a period of sixty (60) days after the bid due date. 9. OPENING OF PROPOSALS Proposals received prior to the time of physical opening of the Proposal will be securely kept unopened. The officer whose duty it is to open them will decide when to open the bids. No responsibility will be attached to an officer or to the Authority for the inadvertent premature opening of a Proposal or for any delay in the physical opening of the Proposals. Their contents will be made public for the information of Bidders and others properly interested who may be present either in person or by representative. 10. SECTION THREE CONSIDERATIONS A. In determining the responsibility of potential contractors, the contractor s record of Section 3 compliance as evidenced by past actions and their current plans for the pending contract will be considered. Page 3 of 6

13 Schenectady Municipal Housing Authority INSTRUCTIONS TO BIDDERS B. Preference in the award of contracts awarded under a sealed bid process may be provided as follows: 1. Bids shall be solicited from all businesses (Section 3 businesses and non-section three Businesses). An award shall be made to the qualified Section 3 business concern with the highest priority ranking and with the lowest responsive bid if that bid is: a. Within the maximum total contract price established in the Authority s budget for the specific project for which bids are being taken; and b. Not more than X higher than the total bid price of the lowest responsive bid from any responsible bidder. X is determined as follows: When the lowest responsive bid is: X = LESSER OF Less than $100,000 10% of that bid or $9,000 At least $100,000, but less than $200,000 9% of that bid or $16,000 At least $200,000, but less than $300,000 8% of that bid or $21,000 At least $300,000, but less than $400,000 7% of that bid or $24,000 At least $400,000, but less than $500,000 6% of that bid or $25,000 At least $500,000, but less than $1 million 5% of that bid or $40,000 At least $1 million, but less than $2 million 4% of that bid or $60,000 At least $2 million, but less than $4 million 3% of that bid or $80,000 At least $4 million, but less than $7 million 2% of that bid or $105,000 $7 million or more 1-1/2% of the lowest responsive bid with no dollar limit 2. If no responsive bid by a Section 3 business concern meets the requirements, the contract shall be awarded to a responsive bidder with the lowest responsive bid. 11. BID PROTEST Pursuant to SMHA Procurement policy, any actual or prospective contractor may protest the solicitation or award of a contract for the serious violations of the principles of this Statement. Any protest against a solicitation must be received before the due date for receipt of bids or proposals, and any protest against the award of a contract must be received within ten calendar days after contact award, or the protest will not be considered. All bid protests shall be in writing, submitted to the Contracting Officer or designee, who shall issue a written decision on the matter. The Contacting Officer may at his or her discretion, suspend the procurement pending resolution of the protest, if warranted by the facts presented. Page 4 of 6

14 Schenectady Municipal Housing Authority INSTRUCTIONS TO BIDDERS 12. AWARD OF CONTRACT The contract will be awarded to the lowest acceptable responsible Bidder complying with the provisions of the Contract Documents. The Authority, however, reserves the right to reject any or all Proposals or any portion of the Proposals or to waive any information in the Proposals, or to award the Contract to other than the low bidder. 13. UNIT PRICES In accepting the Proposal, the Authority may reject any or all unit prices quoted. All unit prices accepted by the Authority shall remain binding and irrevocable for the entire period of the Contract. Such accepted unit prices shall be the sum total compensation for such extra work, and the Contractor shall not be entitled to any additional compensation as an allowance for overhead and profit or for any other reason. 14. CHANGE ORDERS Should any changes or extra work be required affecting the Contract, a Change Order shall be issued by the Authority. 15. ORDER TO PROCEED The Authority will issue an order to Proceed, in writing, which will set forth the date upon which work is to commence. 16. NEW YORK STATE SALES TAX EXEMPTION The Owner is exempt from payment of sales and compensating Use Taxes of the State of New York and of cities and counties on all materials and supplies sold to the Owner pursuant of the provisions of this Contract. 17. PERMITS AND FEES Each Contractor will obtain and pay for all fees, permits and licenses required in the execution of his work, or required for regulating Authority approvals and include cost of these in his Bid. Page 5 of 6

15 Schenectady Municipal Housing Authority INSTRUCTIONS TO BIDDERS 18. NON-COLLUSIVE BIDDING CERTIFICATION A. By submission of this bid, each bidder, and each person signing on behalf of any bidder, certifies, and in the case of a joint bid, each party thereto certifies, as to its own organization, under penalty of perjury, that to the best of his/her knowledge and belief: 1. The prices in this bid have been arrived at independently, without collusion, consultation, communication, or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor; and 2. Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder prior to opening directly or indirectly to any other bidder or competitor; and 3. No attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition. B. A bid shall not be considered for award nor shall any award be made where (A)(1), (2), or (3) above have not been complied with; provided however, that if in any case the bidder so states and shall furnish with the bid, a signed statement which sets forth in detail the reasons thereof. Where (A)(1), (2), or (3) above have not been complied with, the bid shall not be considered for award nor shall any award be made unless the Authority to which the bid is made determines that such disclosure was not made for the purpose of restricting competition. 19. SPECIFICATION AND PLAN DEPOSITS (Not Applicable On This Project) Deposits will be returned only to those who have submitted bids to the Authority upon receipt of contract documents in good condition within twenty (20) calendar days of the Bid Opening or to those who return documents in good condition prior to the Bid Opening Date. End of Instructions to Bidders Page 6 of 6

16 AFFIDAVIT OF NEW YORK STATE LICENSE Each bidder who is a foreign corporation, that is a corporation not chartered under the laws of the State of New York, must submit, with his Bid an affidavit duly executed by the President, Vice President, or General Manager of the corporation stating in said affidavit that said corporation has, in accordance with the laws of the State of New York, obtained a certificate authorizing it to do business in the State of New York, and setting forth the exact name of such corporation, with the address of its principal place of business, and the state in which it was incorporated and the date when its certificate to do business in the State of New York was obtained. Such affidavit should also state that the person executing it is authorized by the corporation to submit such affidavit on its behalf. MHA-135, 3/96

17 General Conditions for Non-Construction Contracts Section I (With or without Maintenance Work) U.S. Department of Housing and Urban Development Office of Public and Indian Housing Office of Labor Relations OMB Approval No (exp. 3/31/2020) Public Reporting Burden for this collection of information is estimated to average 0.08 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Reports Management Officer, Office of Information Policies and Systems, U.S. Department of Housing and Urban Development, Washington, D.C ; and to the Office of Management and Budget, Paperwork Reduction Project ( ), Washington, D.C Do not send this completed form to either of these addressees. Applicability. This form HUD-5370-C has 2 Sections. These Sections must be inserted into non-construction contracts as described below: 1) Non-construction contracts (without maintenance) greater than $105,000 - use Section I; 2) Maintenance contracts (including nonroutine maintenance as defined at 24 CFR ) greater than $2,000 but not more than $150,000 - use Section II; and 3) Maintenance contracts (including nonroutine maintenance), greater than $150,000 use Sections I and II. Section I - Clauses for All Non-Construction Contracts greater than $150, Definitions The following definitions are applicable to this contract: (a) "Authority or Housing Authority (HA)" means the Housing Authority. (b) "Contract" means the contract entered into between the Authority and the Contractor. It includes the contract form, the Certifications and Representations, these contract clauses, and the scope of work. It includes all formal changes to any of those documents by addendum, Change Order, or other modification. (c) "Contractor" means the person or other entity entering into the contract with the Authority to perform all of the work required under the contract. (d) "Day" means calendar days, unless otherwise stated. (e) "HUD" means the Secretary of Housing and Urban development, his delegates, successors, and assigns, and the officers and employees of the United States Department of Housing and Urban Development acting for and on behalf of the Secretary. 2. Changes (a) The HA may at any time, by written order, and without notice to the sureties, if any, make changes within the general scope of this contract in the services to be performed or supplies to be delivered. (b) If any such change causes an increase or decrease in the hourly rate, the not-to-exceed amount of the contract, or the time required for performance of any part of the work under this contract, whether or not changed by the order, or otherwise affects the conditions of this contract, the HA shall make an equitable adjustment in the not-to-exceed amount, the hourly rate, the delivery schedule, or other affected terms, and shall modify the contract accordingly. (c) The Contractor must assert its right to an equitable adjustment under this clause within 30 days from the date of receipt of the written order. However, if the HA decides that the facts justify it, the HA may receive and act upon a proposal submitted before final payment of the contract. (d) Failure to agree to any adjustment shall be a dispute under clause Disputes, herein. However, nothing in this clause shall excuse the Contractor from proceeding with the contract as changed. (e) No services for which an additional cost or fee will be charged by the Contractor shall be furnished without the prior written consent of the HA. 3. Termination for Convenience and Default (a) The HA may terminate this contract in whole, or from time to time in part, for the HA's convenience or the failure of the Contractor to fulfill the contract obligations (default). The HA shall terminate by delivering to the Contractor a written Notice of Termination specifying the nature, extent, and effective date of the termination. Upon receipt of the notice, the Contractor shall: (i) immediately discontinue all services affected (unless the notice directs otherwise); and (ii) deliver to the HA all information, reports, papers, and other materials accumulated or generated in performing this contract, whether completed or in process. (b) If the termination is for the convenience of the HA, the HA shall be liable only for payment for services rendered before the effective date of the termination. (c) If the termination is due to the failure of the Contractor to fulfill its obligations under the contract (default), the HA may (i) require the Contractor to deliver to it, in the manner and to the extent directed by the HA, any work as described in subparagraph (a)(ii) above, and compensation be determined in accordance with the Changes clause, paragraph 2, above; (ii) take over the work and prosecute the same to completion by contract or otherwise, and the Contractor shall be liable for any additional cost incurred by the HA; (iii) withhold any payments to the Contractor, for the purpose of off-set or partial payment, as the case may be, of amounts owed to the HA by the Contractor. (d) If, after termination for failure to fulfill contract obligations (default), it is determined that the Contractor had not failed, the termination shall be deemed to have been effected for the convenience of the HA, and the Contractor shall been titled to payment as described in paragraph (b) above. (e) Any disputes with regard to this clause are expressly made subject to the terms of clause titled Disputes herein. 4. Examination and Retention of Contractor's Records (a) The HA, HUD, or Comptroller General of the United States, or any of their duly authorized representatives shall, until 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. Section I - Page 1 of 6 form HUD-5370-C (01/2014)

18 (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: (i) appeals under the clause titled Disputes; (ii) litigation or settlement of claims arising from the performance of this contract; or, (iii) costs and expenses of this contract to which the HA, 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. 5. Rights in Data (Ownership and Proprietary Interest) The HA shall have exclusive ownership of, all proprietary interest in, and the right to full and exclusive possession of all information, materials and documents discovered or produced by Contractor pursuant to the terms of this Contract, including but not limited to reports, memoranda or letters concerning the research and reporting tasks of this Contract. 6. Energy Efficiency The contractor shall comply with all mandatory standards and policies relating to energy efficiency which are contained in the energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.L ) for the State in which the work under this contract is performed. 7. Disputes (a) All disputes arising under or relating to this contract, except for disputes arising under clauses contained in Section III, Labor Standards Provisions, including any claims for damages for the alleged breach there of which 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 HA. A claim by the HA against the Contractor shall be subject to a written decision by the HA. (c) The HA shall, with reasonable promptness, but in no event in no more than 60 days, render a decision concerning any claim hereunder. Unless the Contractor, within 30 days after receipt of the HA's decision, shall notify the HA in writing that it takes exception to such decision, the decision shall be final and conclusive. (d) Provided the Contractor has (i) given the notice within the time stated in paragraph (c) above, and (ii) excepted its claim relating to such decision from the final release, and (iii) brought suit against the HA 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 HA that it submit a final voucher and release, whichever is earlier, then the HA'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 HA. 8. Contract Termination; Debarment A breach of these Contract clauses may be grounds for termination of the Contract and for debarment or denial of participation in HUD programs as a Contractor and a subcontractor as provided in 24 CFR Part 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 HA under the contract may be assigned to a bank, trust company, or other financial institution. If the Contractor is a partnership, this contract shall inure to the benefit of the surviving or remaining member(s) of such partnership approved by the HA. 10. Certificate and Release Prior to final payment under this contract, or prior to settlement upon termination of this contract, and as a condition precedent thereto, the Contractor shall execute and deliver to the HA a certificate and release, in a form acceptable to the HA, of all claims against the HA by the Contractor under and by virtue of this contract, other than such claims, if any, as may be specifically excepted by the Contractor in stated amounts set forth therein. 11. Organizational Conflicts of Interest (a) The Contractor warrants that to the best of its knowledge and belief and except as otherwise disclosed, it does not have any organizational conflict of interest which is defined as a situation in which the nature of work under this contract and a contractor's organizational, financial, contractual or other interests are such that: (i) Award of the contract may result in an unfair competitive advantage; or (ii) The Contractor's objectivity in performing the contract work may be impaired. (b) The Contractor agrees that if after award it discovers an organizational conflict of interest with respect to this contract or any task/delivery order under the contract, he or she shall make an immediate and full disclosure in writing to the Contracting Officer which shall include a description of the action which the Contractor has taken or intends to take to eliminate or neutralize the conflict. The HA may, however, terminate the contract or task/delivery order for the convenience of the HA if it would be in the best interest of the HA. (c) In the event the Contractor was aware of an organizational conflict of interest before the award of this contract and intentionally did not disclose the conflict to the Contracting Officer, the HA may terminate the contract for default. (d) The terms of this clause shall be included in all subcontracts and consulting agreements wherein the work to be performed is similar to the service provided by the prime Contractor. The Contractor shall include in such subcontracts and consulting agreements any necessary provisions to eliminate or neutralize conflicts of interest. 12. Inspection and Acceptance (a) The HA has the right to review, require correction, if necessary, and accept the work products produced by the Contractor. Such review(s) shall be carried out within 30 days so as to not impede the work of the Contractor. Any Section I - Page 2 of 6 form HUD-5370-C (01/2014)

19 product of work shall be deemed accepted as submitted if the HA does not issue written comments and/or required corrections within 30 days from the date of receipt of such product from the Contractor. (b) The Contractor shall make any required corrections promptly at no additional charge and return a revised copy of the product to the HA within 7 days of notification or a later date if extended by the HA. (c) Failure by the Contractor to proceed with reasonable promptness to make necessary corrections shall be a default. If the Contractor's submission of corrected work remains unacceptable, the HA may terminate this contract (or the task order involved) or reduce the contract price or cost to reflect the reduced value of services received. "Local government" means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government. "Officer or employee of an agency" includes the following individuals who are employed by an agency: (i) An individual who is appointed to a position in the Government under title 5, U.S.C., including a position under a temporary appointment; (ii) A member of the uniformed services as defined in section 202, title 18, U.S.C.; (iii) A special Government employee as defined in section 13. Interest of Members of Congress 202, title 18, U.S.C.; and, No member of or delegate to the Congress of the United States of America or Resident Commissioner shall be admitted to any share or part of this contract or to any benefit to arise there from, but this provision shall not be construed to extend to this contract if made with a corporation for its general benefit. 14. Interest of Members, Officers, or Employees and Former Members, Officers, or Employees No member, officer, or employee of the HA, no member of the governing body of the locality in which the project is situated, no member of the governing body in which the HA was activated, and no other pubic 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. 15. Limitation on Payments to Influence Certain Federal Transactions (a) Definitions. As used in this clause: "Agency", as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1). "Covered Federal Action" means any of the following Federal actions: (i) The awarding of any Federal contract; (ii) The making of any Federal grant; (iii) The making of any Federal loan; (iv) The entering into of any cooperative agreement; and, (v) The extension, continuation, renewal, amendment, or (iv) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act, title 5, appendix 2. Person" means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal organization, or other Indian organization with respect to expenditures specifically permitted by other Federal law. "Recipient" includes all contractors, subcontractors at any tier, and subgrantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law. "Regularly employed means, with respect to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement, an officer or employee who is employed by such person for at least 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract, grant, loan, or cooperative agreement. An officer or employee who is employed by such person for less than 130 working days within one year immediately preceding the date of submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days. "State" means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-state, regional, or interstate entity having governmental duties and powers. (b) Prohibition. modification of any Federal contract, grant, loan, or (i) Section 1352 of title 31, U.S.C. provides in part that no cooperative agreement. appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay 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 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 Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan. "Indian tribe" and "tribal organization" have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act. "Influencing or attempting to influence" means making, with the intent to influence, any communication to or appearance before 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 any covered Federal action. cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (ii) The prohibition does not apply as follows: Section I - Page 3 of 6 form HUD-5370-C (01/2014)

20 (1) Agency and legislative liaison by Own person requesting or receiving a Employees. covered Federal action or an extension, (a) The prohibition on the use of appropriated continuation, renewal, amendment, or funds, in paragraph (i) of this section, does not modification of a covered Federal action apply in the case of a payment of reasonable if the payment is for professional or compensation made to an officer or employee of technical services rendered directly in a person requesting or receiving a Federal the preparation, submission, or contract, grant, loan, or cooperative agreement, if negotiation of any bid, proposal, or the payment is for agency and legislative application for that Federal action or for activities not directly related to a covered Federal meeting requirements imposed by or action. pursuant to law as a condition for (b) For purposes of paragraph (b)(i)(1)(a) of receiving that Federal action. Persons this clause, providing any information specifically other than officers or employees of a requested by an agency or Congress is permitted person requesting or receiving a at any time. covered Federal action include (c) The following agency and legislative liaison consultants and trade associations. activities are permitted at any time only where (b) For purposes of subdivision (b)(ii)(2)(a) of they are not related to a specific solicitation for any covered Federal action: (1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and, (2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use. (d) The following agency and legislative liaison activities are permitted where they are prior to formal solicitation of any covered Federal action: (1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; (2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and (3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law and other clause, "professional and technical services" shall be limited to advice and analysis directly applying any professional or technical discipline. (c) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents. (d) Only those services expressly authorized by subdivisions (b)(ii)(2)(a)(i) and (ii) of this section are permitted under this clause. (iii) Selling activities by independent sales representatives. (c) The prohibition on the use of appropriated funds, in subparagraph (b)(i) of this clause, does not apply to the following selling activities before an agency by independent sales representatives, provided such activities are prior to formal solicitation by an agency and are specifically limited to the merits of the matter: (i) Discussing with an agency (including individual demonstration) the qualities and characteristics of the person's products or services, conditions or terms of subsequent amendments. sale, and service capabilities; and (e) Only those activities expressly authorized by subdivision (b)(ii)(1)(a) of this clause are (ii) Technical discussions and other activities regarding the application or adaptation of the person's products permitted under this clause. or services for an agency's use. (2) Professional and technical services. (d) Agreement. In accepting any contract, grant, cooperative (a) The prohibition on the use of appropriated funds, in subparagraph (b)(i) of this clause, does not apply in the case ofagreement, or loan resulting from this solicitation, the person submitting the offer agrees not to make any payment prohibited by this clause. (i) A payment of reasonable compensation made to an officer or employee of a person requesting or receiving a covered Federal action or an extension, continuation, renewal, amendment, or modification of a covered Federal (e) Penalties. Any person who makes an expenditure prohibited under paragraph (b) of this clause shall be subject to civil penalties as provided for by 31 U.S.C An imposition of a civil penalty does not prevent the Government from seeking any other remedy that may be applicable. action, if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal action or for meeting requirements imposed by or pursuant to law as a condition for (f) Cost Allowability. Nothing in this clause is to be interpreted receiving that Federal action. (ii) Any reasonable payment to a person, other than an officer or employee of a to make allowable or reasonable any costs which would be unallowable or unreasonable in accordance with Part 31 of the Federal Acquisition Regulation (FAR), or OMB Circulars dealing with cost allowability for recipients of assistance agreements. Conversely, costs made specifically unallowable by the requirements in this clause will not be made allowable under any of the provisions of FAR Part 31 or the relevant OMB Circulars. Section I - Page 4 of 6 form HUD-5370-C (01/2014)

21 16. Equal Employment Opportunity Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such During the performance of this contract, the Contractor agrees direction, the Contractor may request the United States to as follows: enter into the litigation to protect the interests of the United (a) The Contractor shall not discriminate against any employee States. 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, 20. Liens 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 17. Dissemination or Disclosure of Information No information or material shall be disseminated or disclosed to the general public, the news media, or any person or organization without prior express written approval by the HA. 18. Contractor's Status It is understood that the Contractor is an independent contractor and is not to be considered an employee of the HA, or assume any right, privilege or duties of an employee, and shall save harmless the HA and its employees from claims suits, actions and costs of every description resulting from the Contractor's activities on behalf of the HA in connection with this Agreement. 19. Other Contractors HA may undertake or award other contracts for additional work at or near the site(s) of the work under this contract. The contractor shall fully cooperate with the other contractors and with HA and HUD employees and shall carefully adapt scheduling and performing the work under this contract to accommodate the additional work, heeding any direction that may be provided by the Contracting Officer. The contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or HA employee. The Contractor is prohibited from placing a lien on HA's property. This prohibition shall apply to all subcontractors. 21. 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 rules, regulations, and orders. requirements of section 3 of the Housing and Urban Development (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 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 HUDassisted 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 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. 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 (i) The Contractor shall include the terms and conditions of Part 135 regulations. 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 subcontractor 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 (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 I - Page 5 of 6 form HUD-5370-C (01/2014)

22 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. 22. Procurement of Recovered Materials (a) In accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price. (b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract. Section I - Page 6 of 6 form HUD-5370-C (01/2014)

23 General Conditions for Non-Construction Contracts Section II (With Maintenance Work) U.S. Department of Housing and Urban Development Office of Public and Indian Housing Office of Labor Relations OMB Approval No (exp. 3/31/2020) Public Reporting Burden for this collection of information is estimated to average 0.08 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Reports Management Officer, Office of Information Policies and Systems, U.S. Department of Housing and Urban Development, Washington, D.C ; and to the Office of Management and Budget, Paperwork Reduction Project ( ), Washington, D.C Do not send this completed form to either of these addressees. Applicability. This form HUD-5370C has 2 Sections. These Sections must be inserted into non-construction contracts as described below: 1) Non-construction contracts (without maintenance) greater than $100,000 - use Section I; 2) Maintenance contracts (including nonroutine maintenance as defined at 24 CFR ) greater than $2,000 but not more than $100,000 - use Section II; and 3) Maintenance contracts (including nonroutine maintenance), greater than $100,000 use Sections I and II. Section II Labor Standard Provisions for all Maintenance Contracts greater than $2, Minimum Wages (a) All maintenance laborers and mechanics employed under this Contract in the operation of the project(s) shall be paid unconditionally and not less often than semi-monthly, and without subsequent deduction (except as otherwise provided by law or regulations), the full amount of wages due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Housing and Urban Development which is attached hereto and made a part hereof. Such laborers and mechanics shall be paid the appropriate wage rate on the wage determination for the classification of work actually performed, without regard to skill. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein; provided, that the employer s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination, including any additional classifications and wage rates approved by HUD under subparagraph 1(b), shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (b) (i) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the Contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate only when the following criteria have been met: (1) The work to be performed by the classification required is not performed by a classification in the wage determination; (2) The classification is utilized in the area by the industry; and (3) The proposed wage rate bears a reasonable relationship to the wage rates contained in the wage determination. (ii) The wage rate determined pursuant to this paragraph shall be paid to all workers performing work 2. Withholding of funds in the classification under this Contract from the first day on which work is performed in the classification. The Contracting Officer, upon his/her own action or upon request of HUD, shall withhold or cause to be withheld from the Contractor under this Contract or any other contract subject to HUD-determined wage rates, with the same prime Contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics employed by the Contractor or any subcontractor the full amount of wages required by this clause. In the event of failure to pay any laborer or mechanic employed under this Contract all or part of the wages required under this Contract, the Contracting Officer or HUD may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment or advance until such violations have ceased. The Public Housing Agency or HUD may, after written notice to the Contractor, disburse such amounts withheld for and on account of the Contractor or subcontractor to the respective employees to whom they are due. 3. Records (a) The Contractor and each subcontractor shall make and maintain for three (3) years from the completion of the work records containing the following for each laborer and mechanic: (i) Name, address and Social Security Number; (ii) Correct work classification or classifications; (iii) Hourly rate or rates of monetary wages paid; (iv) Rate or rates of any fringe benefits provided; (v) Number of daily and weekly hours worked; (vi) Gross wages earned; (vii) Any deductions made; and (viii) Actual wages paid. (b) The Contractor and each subcontractor shall make the records required under paragraph 3(a) available for inspection, copying, or transcription by authorized representatives of HUD or the HA and shall permit such representatives to interview employees during working hours on the job. If the Contractor or any subcontractor fails to make the required records available, HUD or its designee may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment, advance or guarantee of funds. 4. Apprentices and Trainees (a) Apprentices and trainees will be permitted to work at less than the predetermined rate for the work they perform when they are employed pursuant to and individually registered in: (i) A bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration (ETA), Office of Section II - Page 1 of 3 form HUD-5370-C (1/2014)

24 (ii) (iii) Apprenticeship Training, Employer and Labor Services (OATELS), or with a state apprenticeship agency recognized by OATELS, or if a person is employed in his/her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by OATELS or a state apprenticeship agency (where appropriate) to be eligible for probationary employment as an apprentice; A trainee program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, ETA; or A training/trainee program that has received prior approval by HUD. (b) Each apprentice or trainee must be paid at not less than the rate specified in the registered or approved program for the apprentice s/trainee s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Apprentices and trainees shall be paid fringe benefits in accordance with the provisions of the registered or approved program. If the program does not specify fringe benefits, apprentices/trainees must be paid the full amount of fringe benefits listed on the wage determination for the applicable (c) classification. The allowable ratio of apprentices or trainees to journeyman on the job site in any craft classification shall not be greater than the ratio permitted to the employer as to the entire work force under the approved program. (d) Any worker employed at an apprentice or trainee wage rate who is not registered in an approved program, and any apprentice or trainee performing work on the job site in excess of the ratio permitted under the approved program, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. (e) In the event OATELS, a state apprenticeship agency recognized by OATELS or ETA, or HUD, withdraws approval of an apprenticeship or trainee program, the employer will no longer be permitted to utilize apprentices/trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. 5. Disputes concerning labor standards forth those findings that are in dispute and the reasons, including any affirmative defenses, with respect to the violations. The request shall be directed to the appropriate HA or HUD official in accordance with instructions contained in the notice of findings or, if the notice does not specify to whom a request should be made, to the Regional Labor Relations Officer (HUD). The HA (ii) or HUD official shall, within 60 days (unless otherwise indicated in the notice of findings) after receipt of a timely request for reconsideration, issue a written decision on the findings of violation. The written decision on reconsideration shall contain instructions that any appeal of the decision shall be addressed to the Regional Labor Relations Officer by letter postmarked within 30 calendar days after the date of the decision. In the event that the Regional Labor Relations Officer was the deciding official on reconsideration, the appeal shall be directed to the Director, Office of Labor Relations (HUD). Any appeal must set forth the aspects of the decision that are in dispute and the reasons, including any affirmative defenses, with respect to the violations. The Regional Labor (iii) Relations Officer shall, within 60 days (unless otherwise indicated in the decision on reconsideration) after receipt of a timely appeal, issue a written decision on the findings. A decision of the Regional Labor Relations Officer may be appealed to the Director, Office of Labor Relations, by letter postmarked within 30 days of the Regional Labor Relations Officer s decision. Any appeal to the Director must set forth the aspects of the prior decision(s) that are in dispute and the reasons. The decision of the Director, Office of Labor Relations, shall be final. (b) Disputes arising out of the labor standards provisions of paragraph 6 shall not be subject to paragraph 5(a) of this form HUD-5370C. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor set forth in 29 CFR Parts 5, 6 and 7. Disputes within the meaning of this paragraph 5(b) include disputes between the Contractor (or any of its subcontractors) and the HA, HUD, the U.S. Department of Labor, or the employees or their representatives. (a) Disputes arising out of the labor standards provisions 6. Contract Work Hours and Safety Standards Act contained in Section II of this form HUD-5370-C, other than those in Paragraph 6, shall be subject to the following procedures. Disputes within the meaning of this paragraph include disputes between the Contractor (or any of its subcontractors) and the HA, or HUD, or the employees or their representatives, concerning payment of prevailing wage rates or proper classification. The procedures in this section may be initiated upon HUD s own motion, upon referral of the HA, or upon request of the Contractor or The provisions of this paragraph 6 are applicable only where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms laborers and mechanics includes watchmen and guards. (a) Overtime requirements. No Contractor or subcontractor subcontractor(s). (i) A Contractor and/or subcontractor or other interested party desiring reconsideration of findings of violation by the HA or HUD relating to the payment of straight-time prevailing wages or classification of work shall request such reconsideration by letter postmarked within 30 calendar days of the date of notice of findings issued by the HA or HUD. The request shall set contracting for any part of the Contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek. (b) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the provisions set forth in paragraph 6(a), the Contractor and any Section II - Page 2 of 3 form HUD-5370-C (1/2014)

25 subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to the District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the provisions set forth in paragraph (a) of this clause, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by provisions set forth in paragraph (a) of this clause. (c) Withholding for unpaid wages and liquidated damages. HUD or its designee shall upon its own action or upon written request of an authorized representative of the U.S. Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such Contract or any federal contract with the same prime Contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime Contractor such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the provisions set forth in paragraph (b) of this clause. 7. Subcontracts The Contractor or subcontractor shall insert in any subcontracts all the provisions contained in this Section II and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts. The prime Contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the provisions contained in these clauses. 8. Non-Federal Prevailing Wage Rates Any prevailing wage rate (including basic hourly rate and any fringe benefits), determined under state law to be prevailing, with respect to any employee in any trade or position employed under the Contract, is inapplicable to the contract and shall not be enforced against the Contractor or any subcontractor, with respect to employees engaged under the contract whenever such non-federal prevailing wage rate, exclusive of any fringe benefits, exceeds the applicable wage rate determined by the Secretary of HUD to be prevailing in the locality with respect to such trade or position. Section II - Page 3 of 3 form HUD-5370-C (1/2014)

26 SCHENECTADY MUNICIPAL HOUSING AUTHORITY SUPPLEMENTARY GENERAL CONDITIONS SECTION 1-DEFINITIONS (amended) (l) The term Work means the labor, materials, and equipment per contract documents and any other obligations imposed upon the Contractor under this contact. SECTION 1.1-DEFINITIONS (added) a) The term Authority means the Schenectady Municipal Housing Authority (SMHA) or its duly authorized officer (NOTE: In HUD documents this is referred to as LHA or Local Housing Authority or as PHA or Public Housing Agency. b) The term Inspector or Clerk of the Works means any representative of the Authority to act as an Inspector acting within the scope of the powers and duties vested in him/her. c) The term Secretary means the Secretary of the Department of Housing and Urban Development of the United States. d) The term Final Acceptance shall mean the date of the final Certificate of Completion. e) Term Contract or Contract Documents means and includes: 1) SMHA Supplementary General Conditions 2) Form of Contract 3) Contractor s Proposal 4) HUD-5370 General Conditions 5) Special Conditions, if any 6) Technical Specifications, Project Manual, and addenda 7) Contract Drawings and Drawing List SECTION CONTRACTOR S RESPONSIBILITIES FOR WORK (added) The contractor shall perform on site, and with its own organization, work equivalent to at least 20% of the total amount of work to be performed under the order. SECTION 2.2 INDEMNIFICATION (added) The contractor shall indemnify and hold harmless the Authority, its members, officers, agents and employees, and the Department against risk of loss, damage, or liability caused by personal injuries, wrongful death and property damage arising out of or in connection with the performance of Contract, whether sustained before or after the completion thereof.

27 SECTION 2.3 FIELD SUPERVISION (added) Not Applicable For This Project The contractor shall provide a full-time, qualified field supervisor with a minimum of five years experience supervising similar-sized jobs. The contractor shall provide names and phone numbers of owners of past projects verifying same. This Field Supervisor shall be on-site at all times during all phases of work (including that of subcontractors). Failure to comply with this requirement will result in a $ per day charge for every day this approved Field Supervisor is not on-site for the full day while construction related activities are in progress. SECTION 13.1 HEALTH, SAFETY, AND ACCIDENT PREVENTION (added) The Contractor and its sub-contractors shall comply to all applicable lead-based paint Regulations and standards issued by the Secretary of Labor at 29 CFR Part This shall include, but not limited to, establishing a safe work environment by conducting the paint disturbance task and recording the levels to determine what is necessary protection to the worker, HA Staff, and residents during the construction project. The SMHA shall not be responsible for costs associated with the contractor following all OSHA compliance regulations. SECTION 13.2 The Contractor and its sub-contractors shall follow all the applicable Rules, Regulations and Laws as written by HUD and EPA regarding lead-based paint. SECTION 17.1 ON SITE REST ROOM FACILITIES (added) Not Applicable For This Project It is the responsibility of the contractor to provide rest room facilities for its employees and subcontractors throughout the duration of the project. The facilities of the Schenectady Municipal Housing Authority will not be available. SECTION COMPLIANCE WITH THE CLEAN AIR ACT OF 170 AND THE FEDERAL WATER POLLUTION CONTROL ACT (added) The Contractor must not create significant air/water pollution at their plants or business sites. SECTON 19.1 ENERGY EFFICIENCY (added) All products used on SMHA projects shall be labeled Energy Star where feasible. SECTION 26.1 ORDER OF PROVISIONS (added) (a) HUD General Conditions & SMHA Supplementary General Conditions have Precedence in conflict.

28 Order of Precedence shall be: SMHA then HUD SECTION 27.1 PAYMENT (added) A. Partial payments will be made each month upon submission, by the Contractor, of proper vouchers, partial/final releases of claim by all applicable subcontractors and suppliers, appropriate payroll and insurance documentation, and any other paperwork deemed necessary by the Authority for all work performed during the previous month. In making such partial payments, the Authority shall retain ten percent (10%) of each voucher until the contract is completed and all work accepted. B. Final payment to the Contractor shall not become due until the Contractor has completed to the satisfaction of the Authority and the Department, all of the work required by the Contract, and until the Contractor shall have delivered to the Authority all releases by the Contractor, his subcontractors or other persons from claims and demands for any nature whatsoever arising out of the Contract as may be required, and in the form required by the Authority, and until the Authority has issued its Final Certificate of Completion which shall state the amounts due to the Contractor. Payment will be made to the Contractor within ninety (90) days from such date of the Final Certificate of Completion. C. Final payments are subject to the prior approval of the SMHA Board of Commissioners. D. Stored materials shall not be requisitioned for payment. Only materials and labor in place as per the contract documents shall be invoiced to the Authority for payment. SECTION CHANGES (added) OVERHEAD AND PROFIT The actual amount of the change order shall add no more than 10% overhead and up to 10% profit, but may vary according to the nature, extent, and complexity of the work required by the change. The Contractor is not allowed to charge a profit on the work done by his or her subcontractors in a change order. SECTION 36.1 INSURANCE (added) Neither this Contractor, nor any of his Subcontractors, shall commence work under this contract until the Contractor has obtained and paid for all insurance required by this Section and until the policies of Insurance have been approved by the Authority and the Department as to the kind, coverage, and amount. The Authority shall be named as Additional Insured/Certificate Holder for the duration of the project. A. The Contractor shall carry General Liability Insurance in an amount of not less than $1,000,000 and not less than $2,000,000 for projects which require Roofing. B. The Contractor shall carry Automobile Liability in an amount of not less than $500,000. C. A Pollution Policy consistent with 24 CFR SECTION 39.1 EQUAL EMPLOYMENT OPPORTUNITY (added)

29 During the performance of this contract, the Contractor agrees as follows: A. The Contractor will send to each labor union or representative of workers with which he has or is bound by a collective bargaining or other agreement or understanding, a notice, to be provided by the State Commission for Human Rights, advising such labor union or representative of the contractor agreement under clauses A through F (hereinafter called Non-discrimination Clauses ). If the Contractor was directed to do so by the Contracting Agency as part of bid or negotiation of the contract, the Contractor shall request such labor union or representative to furnish him with a written statement that such labor union or representative will not discriminate because of race, creed, color, or national origin and that such labor union or representative either will affirmatively cooperate, within the limits of its legal and contractual authority, in the implementation of the policy and provisions of these non-discrimination clauses or that it consents and agrees that recruitment, employment and the terms and conditions of employment under this contract shall be in accordance with the purposes and provisions of these non-discrimination clauses. If such labor union or representative fails or refuses to comply with such a request that it furnishes such a statement, the Contractor shall promptly notify the State Commission for Human Rights of such failure or refusal. B. The Contractor will post and keep posted in conspicuous places, available to employees and applicants for employment, notices to be provided by the State Commission for Human Rights setting forth the substance of the provisions of clauses A and B and such provisions of the State s laws against discrimination as the State commission for Human Rights shall determine. C. The Contractor will comply with the provisions of Section of the Executive law and the Civil Rights Law, will furnish all information and reports deemed necessary by the State Commission for Human Rights under these non-discrimination clauses and such sections of the Executive Law, and will permit access to his books, records, and accounts by the State Commission of Human Rights, the Attorney General, the Industrial Commissioner and the Commissioner of Housing and Urban Development for purposes of investigation to ascertain compliance with these non-discrimination clauses and such section of the Executive Law and Civil Rights Law. D. This contract may be forthwith canceled, terminated or suspended, in whole or in part by the Authority upon the basis of a finding made by the State Commissioner for Human Rights that the Contractor has not complied with these non-discrimination clauses, and the Contractor may be declared ineligible for future contracts made by or on behalf of the State of a public authority or agency of the State of housing authority, or a urban renewal agency or contracts requiring the approval of the Commissioner of Housing and Urban Development until he has satisfied the State Commission for Human Rights that he has established and is carrying out a program in conformity with the provisions of these non-discrimination clauses. Such finding shall be made by the State Commission for Human Rights after conciliation efforts by the commission have hailed to achieve compliance with these non-discrimination clauses and after a verified complaint has been filed with the Commission, notice thereof has been given to the Contractor and an opportunity has been afforded him to be heard publicly before three members of the Commission. Such sanctions may be imposed and remedies invoked independently of, or in addition to sanctions and remedies otherwise provided by law.

30 E. The Contractor will include the provisions of clauses A through D in every Subcontract for purchase order altered only to reflect the proper identity of the parties in such a manner that such provisions will be binding upon each Subcontractor or Vendor as to operations to be performed within the State of New York. The Contractor will take such action or purchase order as the Authority may direct, including sanctions or remedies for non-compliance. If the Contractor becomes involved in or is threatened with litigation with a Subcontractor or Vendor as a result of such direction by the Authority, the Contractor shall promptly so notify the Attorney General, requesting him to intervene and protect the interests of the State of New York. SECTION 40.1 EMPLOYMENT, TRAINING, AND CONTRACTING OPPORTUNITIES FOR LOW-INCOME PERSONS, SECTION 3 OF THE HOUSING AND URBAN DEVELOPMENT ACT OF (added) A. Contractors and subcontractors may demonstrate compliance with the requirement of Section 3 by meeting the numerical goals for providing training, employment, and contracting opportunities to Section 3 classified residents and Section 3 classified concerns. Public Housing numerical goals are 30 percent of the aggregate number of new hires. You must comply with this percentage for this contract. B. In order for the Housing Authority to evaluate compliance of regulations, all contractors and subcontractors are required to turn in weekly Section 3 compliance reports. These forms will be provided and may be copied for use by contractors and subcontractors.

31 C. At the contract signing the contractors is required to submit at a complete list of all current employees as of, or before, the date the SMHA Board of Commissioners awarded the contract. The Contractor s sub-contractors are required to provide the same information before they begin any work on the project. SECTION INTEREST OF MEMBERS, OFFICERS, OR EMPLOYEES AND FORMER MEMBERS, OFFICERS, OR EMPLYEES (added) The Contractor conveys that no member of Congress or of the Legislature of the State of New York nor the local legislative body, head of department, chief of bureau, deputy thereof, or clerk therein, or any other employee of the Government of the United States, the State of New York, the Municipality in which the project is located, or any employee or member of the Authority of Company Board of Directors is, shall be, or become, interested directly or indirectly as a contracting party, partner, stockholder, surety, or otherwise, in the Bid or in the performance of the contract to which it relates, or in any portion or the profits thereof. SECTION 49-WORK HOURS (added) Weekly work hours are 7:30 a.m. 4:00 p.m. Monday through Friday, excluding all Holidays recognized by the SMHA. Special arrangements of overtime work shall be made with SMHA for all associated costs including SMHA Inspector s salary and benefits. The Contractor is to notify the SMHA Construction Coordinator of its request to work over the established weekly hours (as described above) by 10:00 a.m. the day wanted to work or for work that would take place the next morning before 7:30 a.m. SECTION 50 - CANCELLATION AND DISQUALIFICATION FOR FAILURE TO WAIVE IMMUNITY (added) WAIVER OF IMMUNITY Upon refusal by a person, when called before a grand jury to testify concerning any transaction or contract had with the state or of any political subdivision thereof, a public authority or with any public department, agency, or official of the state, or of any political subdivision thereof, or a waiver of immunity against subsequent criminal prosecution, or to answer any relevant question concerning such transaction or contract: A) Such person and any firm, partnership, or corporation of which he is a member, partner, director, or officer, shall be disqualified from thereafter selling to, submitting bids to, receiving awards from, or entering any contracts with any Municipal Housing Authority or Official thereof, for goods, work, or services, for a period of five years after such refusal.

32 B) Any and all contracts made with any Municipal Housing Authority or Official thereof, by such person and by any firm, partnership or corporation of which he/she is a member, partner, director, or officer may be canceled or terminated by the Municipal Housing Authority without incurring any penalty or damages on account of such cancellation or terminator, but any monies owed by the Municipal Housing Authority for goods delivered or work done prior to the cancellation shall be paid. Any person who, when called before a grand jury to testify concerning any transaction or contract had with the State, any political subdivision thereof, a public authority, a municipal housing authority, or with a public department, agency, official, the state, or of any political subdivision thereof, or of a public authority of a municipal housing authority, refused to sign a waiver of immunity against criminal prosecution or to answer any relevant question concerning such transaction or contract, and any firm, partnership or corporation of which he/she is a member, partner, director, or officer shall be disqualified from entering into any contracts with any municipal housing authority, any official, or any political subdivision for goods, work, or services, for a period of five years after such refusal, or until a disqualification shall be moved. It shall be the duty of the officer conducting the investigation before the grand jury before which such refusal occurs to send notice of such refusal together with the names of any firms, partnerships, or corporation of which the person refusing is known to be a member, partner, office, or director, to the superintendent of public works of the State of New York and the appropriate departments, agencies, and officials of the state, political subdivisions thereof or public authorities with whom the person so refusing and any firm, partnership or corporation of which he/she is a member, partner, director, or officer, is known to have a contract. SECTION 51 - NON-COLLUSIVE BIDDING CERTIFICATION (added) A. By submission of this bid, each bidder, and each person signing on behalf of any bidder certifies, and in the case of a joint bid, each party thereto certifies, as to its own organization, under penalty of perjury that to the best of his/her knowledge and belief: 1. The prices in this bid have been arrived at independently, without collusion, consultation, communication, or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor, and 2. Unless otherwise required by law, the prices which have been quoted in this bide have not been knowingly disclosed by the bidder prior to opening directly or indirectly to any other bidder or competitor; and

33 3. No attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition. B. A bid shall not be considered for award nor shall any award be made where (A)(1), (2), or (3) above have not been complied with; provided however, that if in any case the bidder so states and shall furnish with the bid, a signed statement which sets forth in detail the reasons thereof. Where (A)(1), (2), or (3) above have not been complied with, the bid shall not be considered for award nor shall any award be made unless the Authority to which the bid is made determines that such disclosure was not made for the purpose of restricting competition. SECTION 52 - BONDING (added) Not Applicable For This Project, Non Construction Contract The Contractor shall provide proof of bonding company license with the State of New York Insurance Department in compliance with New York State Insurance Law. Bid Bond Required on Bids over $50, SECTION 53 CERTIFICATION FOR A DRUG-FREE WORK PLACE (added) The certification is titled Certification For a Drug-Free Work Place and made part of this contract. SECTION 54 - SPECIFICATION AND PLAN DEPOSITS (added) Not Applicable Deposits will be returned only to those who have submitted bids to the Authority upon receipt of contract documents in good condition within twenty (20) calendar days of the Bid Opening or to those who return documents in good condition prior to the Bid Opening Date. SECTION 55 - ADMINISTRATION (added) The contractor agrees to complete and submit any and all forms required to conduct business with the MHA, as deemed necessary by the Contracting Officer. Revised 10/3/18

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35 SMHA CONTRACT NO LEAD BASED PAINT (LBP) TESTING AND LEAD HAZARD SCREEN RISK ASSESSMENT PROPOSAL FORM TO: SCHENECTADY MUNICIPAL HOUSING AUTHORITY 375 BROADWAY SCHENECTADY, NEW YORK Pursuant to and in compliance with your Request for Proposals, and other related documents, dated October 5, The undersigned having familiarized themselves with said documents and with local conditions affecting the cost of the work, hereby proposes to furnish all labor, materials, supplies, appliances, devices, equipment, services, and facilities as required for project titled: LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES In strict accordance with BID requirements, specifications, drawings, and addenda thereto, as prepared by Schenectady Municipal Housing Authority. 2. BASE BID TOTAL Figures: ($_ DOLLARS _) 3. UNIT PRICING (Price to test individual apartments) One Bedroom: DOLLARS Figures: ($ ) One Bedroom with Stairwell: DOLLARS Figures: ($ ) Two Bedroom: DOLLARS Figures: ($ ) Two Bedroom with Stairwell: DOLLARS Figures: ($ ) Three Bedroom: DOLLARS Figures: ($ ) Three Bedroom with Stairwell: DOLLARS Figures: ($ )

36 4. The undersigned agree(s) that all the work proposed herein will have reached Completion no later than ninety (90) calendar days after Notice to Proceed date and, failing to meet this date, will pay the Schenectady Municipal Housing Authority liquidated damages in the amount of $ per day for each day beyond this date that the work remains usable for its intended purpose by the Schenectady Municipal Housing Authority. 5. If written notice is mailed or otherwise delivered to the undersigned within forty-five (45) 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 bond(s) within ten (10) days after said Contract is presented to him for signature. 6. If your business is currently a Section 3 Business, as described in HUD Regulation 24 CFR Part 135 please indicate by check the appropriate box Yes No 7. ADDENDA Receipt of the following addenda is hereby acknowledged and has been taken into account in preparing this Proposal: ADDENDUM NO. DATE FORM OF BID

37 SMHA CONTRACT NO LEAD BASED PAINT (LBP) TESTING AND LEAD HAZARD SCREEN RISK ASSESSMEN PROPOSAL FORM 8. BIDDER S DECLARATIONS In connection with this Proposal, the undersigned declared that: A. He is acquainted with all the Contract Documents, the conditions prevailing at the site, the existing utilities and all other matters regarding the site as well as the drawings and specifications. B. He will enter into a contract for the performance of the proposed work and within ten (10) days of his receipt of the notice of the award of the contract, will commence work in accordance work in accordance with the Contract Documents. C. He has familiarized himself with the Certifications Document on Non-Collusive Bidding which is attached to this Proposal and has signed it as required, with the knowledge that this Bid will not be accepted otherwise. D. The full names and residences of all persons interested in this Proposal, as Principals of the firm, partnership, or corporation submitting this Proposal are as follows: BIDDER BY AND TITLE FORM OF BID

38 ACKNOWLEDGEMENT OF PRINCIPAL (IF A CORPORATION) STATE OF ) COUNTY OF ) SS: On this day of, 20, before me personally came and appeared to me known, who being by me duly sworn, did depose and say that he resides at, that he is the of, the Corporation described in and which executed the foregoing instrument; that he knows the seal of said Corporation; that one of the impressions affixed to said instrument is an impression of such seal; that it was so affixed by order of the Directors of said Corporation, and that he signed his name thereto by like order. ACKNOWLEDGEMENT OF PRINCIPAL (IF A PARTNERSHIP) STATE OF ) COUNTY OF ) SS: On this day of, 20, before me personally came and appeared to me known, and known to me to be one of the members of the Firm of described in and who executed the foregoing instrument and he acknowledged to me that he executed the same as and for the act and deed of said Firm. ACKNOWLEDGEMENT OF PRINCIPAL (IF AN INDIVIDUAL) STATE OF ) COUNTY OF ) SS: On this day of, 20, before me personally came and appeared to me known, and known to me to be the person described in and who executed the foregoing instrument and acknowledged that he executed the same. C-115

39 CERTIFICATE AS TO CORPORATE PRINCIPAL I,,certify that I am the Secretary of the Corporation named as Principal in the within bond; that who signed the said bond on behalf of the Principal was then of said Corporation; that I know his signature, and his signature thereto is genuine; and that said bond was duly signed, sealed, and attested to for and in behalf of said Corporation by authority of its governing body. (Corporate Seal) MHA 204

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42 Previous Participation Certification OMB Approval No (Exp. 05/31/2019) US Department of Housing and Urban Development Office of Housing/Federal Housing Commissioner US Department of Agriculture Farmers Home Administration Part I to be completed by Controlling Participant of Covered Projects For HUD HQ/FmHA use only (See instructions) Reason for submission: 1. Agency name and City where the application is filed 2. Project Name, Project Number, City and Zip Code 3. Loan or Contract amount $ 4. Number of Units or Beds 5. Section of Act 6. Type of Project (check one) Existing Rehabilitation Proposed (New) 7. List all proposed Controlling Participants and attach organization chart for all organizations Name and address of Principals and Affiliates (Name: Last, First, Middle Initial) proposing to participate 8 Role of Each Principal in Project 9. SSN or IRS Employer Number Certifications: The controlling participants(s) listed above hereby apply to HUD or USDA FmHA, as the case maybe, for approval to participate as controlling participant(s) in the role(s) and project listed above. The controlling participant(s) each certify that all the statements made on this form are true, complete and correct to the best of their knowledge and belief and are made in good faith, including any Exhibits attached to this form. Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties. The controlling participants(s) further certify that to the best of their knowledge and belief: 1. Schedule A contains a listing, for the last ten years, of every project assisted or insured by HUD, USDA FmHA and/or State and local government housing finance agencies in which the controlling participant(s) have participated or are now participating. 2. For the period beginning 10 years prior to the date of this certification, and except as shown on the certification: a. No mortgage on a project listed has ever been in default, assigned to the Government or foreclosed, nor has it received mortgage relief from the mortgagee; b. The controlling participants have no defaults or noncompliance under any Conventional Contract or Turnkey Contract of Sale in connection with a public housing project; c. There are no known unresolved findings as a result of HUD audits, management reviews or other Governmental investigations concerning the controlling participants or their projects; d. There has not been a suspension or termination of payments under any HUD assistance contract due to the controlling participant s fault or negligence; e. The controlling participants have not been convicted of a felony and are not presently the subject of a complaint or indictment charging a felony. (A felony is defined as any offense punishable by imprisonment for a term exceeding one year, but does not include any offense classified as a misdemeanor under the laws of a State and punishable by imprisonment of two years or less); f. The controlling participants have not been suspended, debarred or otherwise restricted by any Department or Agency of the Federal Government or of a State Government from doing business with such Department or Agency; g. The controlling participants have not defaulted on an obligation covered by a surety or performance bond and have not been the subject of a claim under an employee fidelity bond; 3. All the names of the controlling participants who propose to participate in this project are listed above. 4. None of the controlling participants is a HUD/FmHA employee or a member of a HUD/FmHA employee's immediate household as defined in Standards of Ethical Conduct for Employees of the Executive Branch in 5 C.F.R. Part 2635 (57 FR 35006) and HUD's Standard of Conduct in 24 C.F.R. Part 0 and USDA's Standard of Conduct in 7 C.F.R. Part 0 Subpart B. 5. None of the controlling participants is a participant in an assisted or insured project as of this date on which construction has stopped for a period in excess of 20 days or which has been substantially completed for more than 90 days and documents for closing, including final cost certification, have not been filed with HUD or FmHA. 6.None of the controlling participants have been found by HUD or FmHA to be in noncompliance with any applicable fair housing and civil rights requirements in 24 CFR 5.105(a). (If any controlling participants have been found to be in noncompliance with any requirements, attach a signed statement explaining the relevant facts, circumstances, and resolution, if any). 7. None of the controlling participants is a Member of Congress or a Resident Commissioner nor otherwise prohibited or limited by law from contracting with the Government of the United States of America. 8.Statements above (if any) to which the controlling participant(s) cannot certify have been deleted by striking through the words with a pen, and the controlling participant(s) have initialed each deletion (if any) and have attached a true and accurate signed statement (if applicable) to explain the facts and circumstances. Name of Controlling Participant Signature of Controlling Participant Certification Date (mm/dd/yyyy) Area Code and Tel. No. This form prepared by (print name) Area Code and Tel. No. Previous editions are obsolete ref 24 CFR 200 Subpart H Form HUD-2530 (10/2016) Page 1 of 4

43 Previous Participation Certification OMB Approval No (Exp. 05/31/2019) Schedule A: List of Previous Projects and Section 8 Contracts. Below is a complete list of the controlling participants previous participation projects and participation history in multifamily Housing programs of HUD/FmHA, State and local Housing Finance Agencies. Note: Read and follow the instruction sheet carefully. Make full disclosure. Add extra sheets if you need more space. Double check for accuracy. If no previous projects, write by your name, No previous participation, First Experience. 1. Controlling Participants Name (Last, First) 2. List of previous projects (Project name, project ID and, Govt. agency involved) 3.List Participants Role(s) (indicate dates participated, and if fee or identity of interest participant) 4. Status of loan (current, defaulted, assigned, foreclosed) 5.Was the Project ever in default during your participation Yes No If yes, explain 6. Last MOR rating and Physical Insp. Score and date Part II- For HUD Internal Processing Only Received and checked by me for accuracy and completeness; recommend approval or refer to Headquarters after checking appropriate box. Date (mm/dd/yyyy) Tel No. and area code A. No adverse information; form HUD-2530 approval C. Disclosure or Certification problem Staff Processing and Control recommended. B. Name match in system D. Other (attach memorandum) Signature of authorized reviewer Signature of authorized reviewer Approved Date (mm/dd/yyyy) Yes No Previous editions are obsolete ref 24 CFR 200 Subpart H Form HUD-2530 (10/2016) Page 2 of 4

44 Instructions for Completing the Previous Participation Certificate, form HUD-2530 Carefully read these instructions and the applicable regulations. A copy of those regulations published at 24 C.F.R. part 200, subpart H, can be obtained on-line at and from the Account Executive at any HUD Office. Type or print neatly in ink when filling out this form. Mark answers in all blocks of the form. If the form is not filled completely, it will delay approval of your application. Attach extra sheets as you need them. Be sure to indicate "Continued on Attachments" wherever appropriate. Sign each additional page that you attach if it refers to you or your record. Carefully read the certification before you sign it. Any questions regarding the form or how to complete it can be answered by your HUD Account Executive. Purpose: This form provides HUD with a certified report of all previous participation in HUD programs by those parties making application. The information requested in this form is used by HUD to determine if you meet the standards established to ensure that all controlling participants in HUD projects will honor their legal, financial and contractual obligations and are acceptable risks from the underwriting standpoint of an insurer, lender or governmental agency. HUD requires that you certify your record of previous participation in HUD/USDA-FmHA, State and Local Housing Finance Agency projects by completing and signing this form, before your project application or participation can be approved. HUD approval of your certification is a necessary precondition for your participation in the project and in the capacity that you propose. If you do not file this certification, do not furnish the information requested accurately, or do not meet established standards, HUD will not approve your certification. Note that approval of your certification does not obligate HUD to approve your project application, and it does not satisfy all other HUD program requirements relative to your qualifications. Who Must Sign and File Form HUD-2530: Form HUD-2530 must be completed and signed by all Controlling Participants of Covered Projects, as such terms are defined in 24 CFR , and as further clarified by the Processing Guide referenced in 24 CFR (b) and made available on the HUD website at: Where and When Form HUD-2530 Must Be Filed: The original of this form must be submitted to the HUD Office where your project application will be processed at the same time you file your initial project application. This form must be filed with applications for projects listed in 24 CFR and for the Triggering Events listed at 24 CFR Page 3 of 4

45 Review of Adverse Determination: If approval of your participation in a HUD project is denied, withheld, or conditionally granted on the basis of your record of previous participation, you will be notified by the HUD Office. You may request reconsideration in accordance with 24 CFR and further clarified by the Processing Guide. Request must be made in writing within 30 days from your receipt of the notice of determination. Specific Line Instructions are set forth in the Processing Guide. The Department of Housing and Urban Development (HUD) is authorized to collect this information by law (42 U.S.C. 3535(d) and 24 C.F.R ) and by regulation at 24 CFR This information is needed so that principals applying to participate in multifamily programs can become HUD-approved controlling participants. The information you provide will enable HUD to evaluate your record with respect to established standards of performance, responsibility and eligibility. Without prior approval, a controlling participant may not participate in a proposed or existing multifamily or healthcare project. HUD uses this information to evaluate whether or not controlling participants pose an unsatisfactory underwriting risk. The information is used to evaluate the potential controlling participants and approve only individuals and organizations that will honor their legal, financial and contractual obligations. Privacy Act Statement: The Housing and Community Development Act of 1987, 42 U.S.C requires persons applying for a Federally-insured or guaranteed loan to furnish his/her Social Security Number (SSN). HUD must have your SSN for identification of your records. HUD may use your SSN for automated processing of your records and to make requests for information about you and your previous records with other public agencies and private sector sources. HUD may disclose certain information to Federal, State and local agencies when relevant to civil, criminal, or regulatory investigations and prosecutions. It will not be otherwise disclosed or released outside of HUD, except as required and permitted by law. You must provide all of the information requested in this application, including your SSN. Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB control number. A response is mandatory. Failure to provide any of the information will result in your disapproval of participation in this HUD program. Page 4 of 4

46 NON-COLLUSIVE AFFIDAVIT By submission of this bid or proposal, the bidder certifies that: a) This bid or proposal has been independently arrived at without collusion with any other bidder or with any competitor or potential competitor; b) This bid or proposal has not been knowingly disclosed and will not be knowingly disclosed, prior to the opening of bids or proposals for this project, to any other bidder, competitor, or potential competitor; c) No attempt has been or will be made to induce any other person, partnership, or corporation to submit or not to submit a bid or proposal or to fix overhead, profit, or cost element of said bid price, or that of any other or to secure any advantage against the Housing Authority; d) The person, signing this bid or proposal certifies that he has fully informed himself regarding the accuracy of the statements contained in this certification, and under the penalties of perjury, affirms the truth thereof, such penalties being applicable to the bidder as well as to the person signing in its behalf; e) That attached hereto (if a corporate bidder) is a certified copy of the resolution authorizing the execution of this certificate by the signator of this bid or proposal in behalf of the corporate bidder., deposes and says that he is the party making the foregoing proposal or bid for (Project description), that such proposal or bid is genuine and not collusive and that all stats herein are true. Signature: Bidder (if the bidder is an Individual Partner ( if the bidder is a Partnership) Officer (if the bidders is a Corporation) Subscribed and sworn to before me this day of,. My commission expires:. Notary Public (Seal)

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54 SECTION THREE SPECIFICATION CLAUSE All Section 3 covered contracts shall include the following clause (referred to as the Section 3 Clause) A. The work to be performed under this contract is subject to the requirements of Section 3 of the HUD Act of 1968, as amended (2 USC 1701u (Section Three). 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 part 135 regulations. C. The proposer agrees to send to each labor organization or representative of workers with which the proposer has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers representative of the proposer 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 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 proposer 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 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 proposer will certify that any vacant employment positions, including training positions, that are filled (1) after the proposer 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 proposer s obligations under 24 CFR part 135. F. Noncompliance with HUD s regulations of 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. G. With respect to work performed in connection with Section 3 covered Indian Housing assistance, Section 7(b) of the Indian Self- Determination and Education Assistance Act (24 USC 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment shall be given to Indians, and (2) preference in the award of contracts and subcontract shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). H. Pursuant to 24 CFR (b), compliance with Section 3 requirements 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 25 USC Section 450e(b) when this law is applicable.

55 STATEMENT OF COMPLIANCE TRAINING, EMPLOYMENT, AND CONTRACTING OPPORTUNITIES FOR BUSINESS AND LOWER INCOME PERSONS A. The project assisted under this contract/agreement is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 USC 1701s. Section 3 requires that to the greatest extent feasible opportunities for training and employment be given to lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns which are located in or owned in substantial part by persons residing in the area of the project. B. Notwithstanding any other provisions of this contract/agreement, the applicant/recipient shall carry our the provisions of said Section 3 and the regulations issued pursuant thereto by the Secretary set forth in 24 CFR Part 135 (published in 38 Federal Register 29220, October 23, 1973), and all applicable rules and others of the Secretary issued thereunder prior to the execution of this contract/agreement. The requirements of said regulations include but are not limited to development and implementation of an affirmative action plan for utilizing business concerns located within or owned in substantial part by persons residing in the area of the project; the making of a good faith effort, as defined by the regulations, to provide training, employment and business opportunities required by Section 3; and incorporation of the ASection 3 clause@ specified by Section (b) of the regulations in all contracts for work in connection with the project. The applicant/recipient certifies and agrees that it is under no contractual or other disability which would prevent it from complying with these requirements. C. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR Part 135, and all applicable rules and orders of the Secretary issued thereunder prior to approval by the government of the application for this contract/agreement, shall be a condition of the Federal financial assistance provided to the project, binding upon the applicant/recipient, its successors and assigns. Failure to fulfill these requirements shall subject the applicant/recipient, its contractors and subcontractors, it successors, and assigns to the sanctions specified by this contract/agreement, and to such sanctions as are specified by 24 CFR Section 135. Company Name: Address: Official Signature: Date: Printed: Last modified: February 22, 2001

56 PUBLIC HOUSING AUTHORITY Standard Form of Agreement Between Owner and Contractor where the basis of payment is a STIPULATED SUM AGREEMENT made as of the day of in the year of 2018 BETWEEN the Owner: Schenectady Municipal Housing Authority 375 Broadway Schenectady, NY and the Contractor: The Project is: The Engineer is: N/A The Owner and Contractor agree as follows:

57 TABLE OF ARTICLES 1 THE CONTRACT DOCUMENTS 2 THE WORK OF THIS CONTRACT 3 DATE OF COMMENCEMENT 4 CONTRACT SUM 5 PAYMENTS 6 ENUMERATION OF CONTRACT DOCUMENTS ARTICLE 1 THE CONTRACT DOCUMENTS The Contract Documents consist of this Agreement, Conditions of the Contract (General, Supplementary and other Conditions), Drawings, Specifications, Addenda issued prior to execution of this Agreement, other documents listed in this Agreement and Modifications issued after execution of this Agreement; these form the Contract, and are as fully a part of the Contract as if attached to this Agreement or repeated herein. The Contract represents the entire and integrated agreement between the parties hereto and supersedes prior negotiations, representations or agreements, either written or oral. An enumeration of the Contract Documents, other than Modifications, appears in Article 6. ARTICLE 2 THE WORK OF THIS CONTRACT The Contractor shall fully execute the Work described in the Contract Documents, except to the extent specifically indicated in the Contract Documents to be the responsibility of others. The work of the entire project as outlined in the attached proposal. Use of asbestos-containing materials and lead-based products are forbidden from use on the project. ARTICLE 3 DATE OF COMMENCEMENT AND COMPLETION 3.1 The date of commencement of the Work shall be 3.2 The Contractor shall achieve Project Completion of the entire Work within ninety (90) calendar days after the date of commencement. Subject to adjustments of this contract time as provided in the contract documents. Liquidated damages will be assessed for each and every calendar day that the work is not complete after that date at the rate of $ per calendar day, provided SMHA has not impeded the progress of the contractor. ARTICLE 4 CONTRACT SUM

58 4.1 The Owner shall pay the Contractor the Contract Sum in current funds for the Contractor's performance of the Contract. The Contract Sum shall be and 00/100 Dollars ($), subject to additions and deductions as provided in the Contract Documents. 4.2 The Contract Sum is based upon the following Alternates, if any, which are described in the Contract Documents and are hereby accepted by the Owner: 4.3 Unit prices, if any, are as follows: N/A ) Description Units Price ($ N/A ARTICLE 5 PAYMENTS 5.1 FINAL PAYMENT Final payment, constituting the entire unpaid balance of the Contract Sum, shall be made by the Owner to the Contractor when:.1 The Contractor has fully performed the Contract. ARTICLE 6 ENUMERATION OF CONTRACT DOCUMENTS 6.1 The Contract Documents, except for Modifications issued after execution of this Agreement, are enumerated as follows: The Agreement is this executed Document The General Conditions are the HUD General Conditions contained within the Project Manual The Supplementary and other Conditions of the Contract are those contained in the Project Manual dated The Specifications are those listed in the Table of Contents and contained in the Project Manual dated as in Section The separately bound Drawings are listed in the Table of Contents and are dated

59 This Agreement entered into as of the day and year first written above and is executed in at least three original copies, of which one is to be delivered to the Contractor, one to the Architect for use in the administration of the Contract, and the remainder to the Owner. Schenectady Municipal Housing Authority OWNER (Signature) Richard E. Homenick, Executive Director Print name and title CONTRACTOR (Signature) Print name and title

60 Handbook No REV 2 TABLE 5.1 MANDATORY CONTRACT CLAUSES FOR SMALL PURCHASES OTHER THAN CONSTRUCTION The following contract clauses are required in contracts pursuant to 24 CFR 85.36(i) and Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. HUD is permitted to require changes, remedies, changed conditions, access and records retention, suspension of work, and other clauses approved by the Office of Federal Procurement Policy. The PHA and contractor is also subject to other Federal laws including the U.S. Housing Act of 1937, as amended, Federal regulations, and state law and regulations. Examination and Retention of Contractor s Records. The PHA, HUD, or Comptroller General of the United States, or any of their duly authorized representatives shall, until three 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. Right in Data and Patent Rights (Ownership and Proprietary Interest). The PHA shall have exclusive ownership of, all proprietary interest in, and the right to full and exclusive possession of all information, materials, and documents discovered or produced by Contractor pursuant to the terms of this Contract, including, but not limited to, reports, memoranda or letters concerning the research and reporting tasks of the Contract. Energy Efficiency. The Contractor shall comply with all mandatory standards and policies relating to energy efficiency which are contained in the energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.L ) for the State in which the work under this contract is performed. Procurement of Recovered Materials (a) In accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price. (b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract. Termination for Cause and for Convenience (contracts of $10,000 or more). (a) The PHA may terminate this contract in whole, or from time to time in part, for the PHA s convenience or the failure of the Contractor to fulfill the contract obligations (cause/default). The PHA shall terminate by delivering to the Contractor a written Notice of Termination specifying the nature, extent, and effective date of the termination. Upon receipt of the notice, the Contractor shall: (1) immediately discontinue all services affected (unless the notice directs otherwise), and (2) deliver to the PHA all information, reports, papers, and other materials accumulated or generated in performing the contract, whether completed or in process. (b) If the termination is for the convenience of the PHA, the PHA shall be liable only for payment for services rendered before the effective date of the termination. (c) If the termination is due to the failure of the Contractor to fulfill its obligations under the contract (cause/default), the PHA may (1) require the Contractor to deliver to it, in the manner and to the extent directed by the PHA, any work described in the Notice of Termination; (2) take over the work and prosecute the same to completion by contract of otherwise, and the Contractor shall be liable for any additional cost incurred by the PHA; and (3) withhold any payments to the Contractor, for the purpose of set-off or partial payment, as the case may be, of amounts owned by the PHA by the Contractor. In the event of termination for cause/default, the PHA shall be liable to the Contractor for reasonable costs incurred by the Contractor before the effective date of the termination. Any dispute shall be decided by the Contracting Officer. 2/

61 SCHENECTADY MUNICIPAL HOUSING AUTHORITY 375 Broadway, Schenectady, New York (518) Richard E. Homenick, Executive Director Gregory J. Hoffman, Counsel Board of Commissioners Alberta Madonna, Chairperson Jean T. Carney Thomas Bellick Marva H. Isaacs Haileab Samuel Denise Clark Joan Johnson Schenectady Municipal Housing Authority There are no prevailing wage rate requirements for this contract of Lead-Based Paint Testing. Reasonable Accommodation Statement: Pursuant to the Fair Housing Act (42U.S.C ), if you are a federally assisted housing program applicant or resident With a disability, you may request an exception, change or adjustment to a rule, policy, practice or service that may be necessary to afford you an equal opportunity to Participate in the program. Construction Office Fax (518) TTD (518)

62 Contractor s Certificate and Release Schenectady Municipal Housing Authority CONTRACTOR: OWNER: Schenectady Municipal Housing Authority REFERENCE: Contract number entered into the day of between the Schenectady Municipal Housing Authority of the City of Schenectady and the State of New York, hereinafter called the Public Housing Agency (PHA), and the Contractor,, hereinafter called the Contractor, for the construction of located at in the state of New York. KNOW ALL MEN BY THESE PRESENTS: 1. The undersigned hereby certifies that there is due and payable, under the contract and duly approved Change Orders and modifications, the undisputed balance of $. 2. The undersigned further certifies that in addition to the amount set forth in paragraph 1 hereof, there are outstanding and unsettled the following items which he claims are just and due and owing by the PHA to the Contractor: a. b. c. (Itemize claims and amounts claimed. If NONE, so state.) 3. The undersigned certifies that all work required under this contract including work required under Change Order(s) numbered has been performed in accordance with the terms thereof, and that there are no claims of laborers or mechanics for unpaid wages arising out of the performance of this contract, and that the wage rates paid by the Contractor and all Subcontractors were in conformity with the contract provisions relating to said wage rates. 4. Except for the amounts stated in paragraphs 1 and 2 hereof, the undersigned has received from the PHA all sums of money payable to the undersigned under or pursuant to the aforementioned contract or any change or modifications thereof. SMHA Construction Department MHA-120, February 6, of 2

63 Schenectady Municipal Housing Authority Contractor s Certificate and Release (cont) 5. That in consideration of the payment of the amount stated in paragraph 1 hereof, the undersigned does hereby release the PHA from any and all claims arising under or by virtue of this contract except the amounts listed in paragraph 2 hereof; provided, however, that if for any reason the PHA does not pay in full the amount stated in paragraph 1 hereof, said deducted shall not affect the validity of this release, but the amount so deducted shall be automatically included under paragraph 2 as an amount which the Contractor has not released but will release upon payment thereof. The Contractor further certified that upon payment of the amounts listed in paragraph 2 hereof, and of any amount which may be deducted from paragraph 1 hereof, he will release the PHA from any and all claims of any nature whatsoever arising out of said contract or modification assurances as the PHA may request. IN WITNESS WHEREOF, the undersigned has signed and sealed this instrument this day of, Name of Contractor (Seal) Signature & Title of Officer (Affiant), being first duly sworn on oath, deposes says, first, that he/she is the (title) of the (Company Name), second, that he/she has read the foregoing Certificate and Release by him subscribed as (Title) of the (Company Name). Affiant further states that the matters and things stated therein are, to the best of his/her knowledge and belief, true. Subscribed and sworn to before me this day of Signature of Affiant NOTARY My Commission expires on.

64 LIEN WAIVER and RELEASE Schenectady Municipal Housing Authority WHEREAS, hereinafter called the has entered into a written subcontract of purchase order with: hereinafter called the A Prime Contractor,@ for the supplying of materials and/or labor and Materials for the project known as located at. WHEREAS, the undersigned has or is about to requisition a (partial / final) payment, from the Prime Contractor pursuant of such subcontract or purchase order. NOW THEREFORE, for good and valuable consideration including the payment provided for herein, the undersigned agrees as follows: 1. Upon receiving payment from the Prime Contractor, the payment to which this instrument refers, undersigned, agrees not in any way to claim or file a mechanic=s lien or other lien against the said project, premises, or any part thereof for any of the materials heretofore furnished or work or labor with the improvement of said premises and undersigned hereby formally and irrevocably releases and waives in writing any and every lien, charge or claim of any nature whatsoever that it has, or as to which it may at any time have been entitled, up to and including the date hereof against said premises in connection with the said project, which lien waiver shall be for the benefit of the Owner of the Project and the Prime Contractor. 2. Undersigned, further says that all bills for his work which includes labor, materials, fuel, transportation, equipment, fringe benefits, pension funds, apprentice training programs, employee vacation, welfare funds, and similar funds and payments as well as all applicable sales or use taxes, royalties, commissions, permits, bonds, guarantees, insurances, licenses or patent fees have been paid in full with no exceptions and that there are no persons in a position to have or file a lien against the project mentioned work and/or the premises on which the same is located on account of any labor or materials furnished to Undersigned or any of Undersigned=s subcontractors or suppliers. 3. Undersigned agrees that the lien waiver appearing in paragraph 1 hereof shall be deemed to be in compliance with Section 34 of the Lien Law of the State of New York. 4. Undersigned agrees that any of its subcontractors or suppliers being entitled to any of the proceeds of the within payment, have been paid. 5. Undersigned further agrees herein that it releases the Prime Contractor, from any further claims for the value of the work and/or materials for which payment is made hereunder. The agreement shall run the benefit of the Owner, Schenectady Municipal Housing Authority, Prime Contractor,, their successor and assigns; signed and dated as of the day of,. AMOUNT OF THIS PAYMENT, CHECK NO. AND DATE:. Percentage Paid to Subcontractor/Supplier to Date %_. Name/Title of Undersigned: Sworn to before me this day of,. Notary Public/Commissioner of Deeds Last modified: February 07, 2001

65 Affidavit for Final Payment (To be completed by a Principal of the company) Schenectady Municipal Housing Authority PROJECT: DATE: STATE OF COUNTY OF ' SS: I,, being of full age and being duly sworn according to law upon my oath, depose and say that: 1. I am the (title) and, as such, I am familiar with the Subcontractors and Materialmen who furnished the labor and material for: (Title of Contract) including (Description of Work) at the (Location of Work) in the City of Schenectady; Schenectady County, New York. 2. I made this affidavit for the purpose of receiving final payment of the agreed contract price and that I will promptly, upon demand by the Owner, discharge any and all liens which may be filed under the Lien Law of the State of New York for any of my Subcontractors and/or Materialmen for work, labor, and/or materials furnished for the completion of this contract. (Signed) (Title) (Seal, if Corporation) (Name of Firm) Sworn and subscribed to before me this day or. (Notary Public) My commission expires SMHA Construction Department MHA-119

66 Authority Schenectady Municipal Housing MAINTENANCE GUARANTEE (To be completed by a Principal of the company) PROJECT: OWNER: Municipal Housing Authority of the City of Schenectady, NY 375 Broadway, Schenectady, New York ARCHITECT: CONTRACTOR: STATE OF COUNTY OF SS:, being duly sworn, says: (NAME) 1. He/She resides at (Address) 2. He/She is of (Company) (Title) 3. That in this capacity he/she knows the terms of the above contract; 4. That under the terms of this contract and all approved Change Orders he guarantees that all work has been accomplished in accordance with said Contract and approved Change Orders; 5. That, under the terms of the contract, he/she agrees to correct, at no cost or expense to the Owner, all work covered by said Contract and approved Change Orders that may prove defective as to workmanship and/or material within a period of one (1) year from. (date) 6. That he will repair, at not cost or expense to the Owner, all damage to other work resulting from the defects of his work and also the cost of replacing other work that he may disturb in making good defective work; SMHA Construction Department MHA-118, February 6, of 2

67 Authority Schenectady Municipal Housing MAINTENANCE GUARANTEE (cont) 7. That he agrees to take care of defective work promptly upon notice by the Owner or Architect and understands that all corrective work shall be done at the convenience of the Owner. FIRM: BY: TITLE: Subscribed and sworn to before me this day. (Notary Public) SMHA Construction Department MHA-118a, February 6, of 2

68 SMOKE FREE POLICY AND LEASE ADDENDUM FOR SCHENECTADY MUNICIPAL HOUSING AUTHORITY EFFECTIVE JULY 30, 2018 Effective July 30, 2018, smoking will not be permitted in any building or facility of the Schenectady Municipal Housing Authority (SMHA) or on the grounds thereof in areas that are designated as Smoke-Free in accordance with this policy. This policy shall be implemented in accordance with the following guidelines: 1. Purpose The U.S. Department of Housing and Urban Development requires Public Housing Authorities to implement smoke-free policies in all of their public housing units. According to the American Lung Association, cigarette smoking is the number one cause of preventable disease in the United States. It is possible for environmental tobacco smoke to migrate between units in multifamily housing, causing adverse health effects for those living in neighboring residences. Smoking is the leading cause of fire deaths in multifamily buildings. It is well established fact that turnover costs are increased when apartments are vacated by smokers. Therefore, a non-smoking policy is another good approach for reducing maintenance costs. 2. Definitions: a. Smoking means inhaling, exhaling, breathing, carrying or possessing any lighted cigarette, cigar, or any other tobacco product or similar lighted product in any manner or in any form. b. Smoke-Free Areas mean all public housing living units and interior areas (including but not limited to hallways, rental and administrative offices, community centers, day care centers, laundry centers, and similar structures), as well as in outdoor areas within twenty-five (25) feet from public housing apartments and administrative office buildings, or the entire grounds of buildings or developments designated by SMHA to be Smoke-Free Premises. c. Smoke-Free Premises the Downtown buildings and grounds of Lincoln Heights, Schonowee Village, and Ten Eyck Apartments, are designated by SMHA as Smoke-Free Premises where smoking is only allowed within Designated Smoking Areas which shall be established by SMHA in its sole discretion. d. Designated Smoking Areas mean any area within a Smoke-Free Premises specifically designated by SMHA in which smoking shall be permitted. 3. Smoke-Free Policy a. All residents, all employees, all guests, and all visitors in or on any property owned or managed by SMHA are prohibited from smoking within any Smoke-Free Area.

69 b. Smoking in any Smoke-Free Area in or on any property owned or managed by SMHA, by any Tenant subject to this Smoke-Free Policy or any member of the household, any guest of such tenant or member of tenant s household, or any other person under such a Tenant s control will be considered a violation of Tenant s Lease Agreement and will be cause for lease termination as set forth in this policy. c. SMHA may, in its sole discretion, designate specific areas where smoking is permitted on the grounds on SMHA Property. d. Any deviation from the smoke-free policy by any tenant, a member of their household, or their guest will be considered a lease violation. Three (3) violations will result in eviction. e. "No Smoking" signs will be posted outside and inside buildings. Designated Smoking Area signs may be posted to denote where smoking is permitted on a Smoke-Free Premises. f. Tenants are responsible to inform all members of Tenant s household and any guests or visitors or Tenant or Tenant s Household about SMHA s Smoke-Free Policy. g. If a resident or employee smells tobacco smoke in any place in a building, they are encouraged by SMHA to report this to their Schenectady Municipal Housing Authority development office in writing as soon as possible. 4. Breach of Smoke Free Policy a. Any deviation from the Smoke-Free Policy by any tenant, a member or their household, or their guest will constitute a serious violation of material terms of the Lease Agreement. b. Any first violation of the SMHA Smoke-Free Policy will result in a written warning. c. Any second violation of the SMHA Smoke-Free Policy will result in an administrative conference to discuss the violation. d. Any third violation of the SMHA Smoke-Free Policy will constitute a serious and repeated violation of the material terms of the Lease Agreement for which the Lease Agreement may be terminated. e. Tenant will be responsible for all costs to remove smoke odor or residue resulting from any violation of this Addendum. 5. Authority Not a Guarantor of a Smoke-Free Environment. Tenant acknowledges that SMHA s adoption of a Smoke-Free Policy, will not make SMHA the Guarantor of Tenant s health or of the smoke free condition of the Smoke-Free portions of the

70 property. However, SMHA will take reasonable steps to enforce the Smoke-Free Policy. SMHA is not required to take steps in response to smoking unless SMHA has actual knowledge of the smoking and the identity of the responsible resident or tenant. 6. If any resident was burning tobacco or a related product prior to an employee or representative entering their apartment, or if the resident lights a tobacco or related product while an employee or representative is in the apartment, the employee or representative shall vacate your apartment immediately and shall not return until such time as there is no longer any tobacco or related product burning. This may result in a delay of services to the apartment where the violation of this Smoke-Free Policy occurred. 7. Disclaimer. Tenant acknowledges that SMHA s adoption of a Smoke-Free Policy, does not in any way change the standard of care that SMHA has under applicable law to render the property any safer, more habitable or improved in terms of air quality standards than any other rental premises. SMHA specifically disclaims any implied or express warranties that the property will have any higher or improved air quality standards than any other rental property. SMHA cannot and does not warranty or promise that the property will be free from secondhand smoke. Tenant acknowledges that SMHA s ability to police, monitor or enforce this Smoke-Free Policy is dependent in significant part on voluntary compliance by all Tenants and Tenant s guests. Tenants with respiratory ailments, allergies or other condition relating to smoke are put on notice that SMHA does not assume any higher duty of care to enforce this Smoke-Free Policy than any other SMHA obligation under the Lease Agreement. 8. All SMHA Applicant s entering into possession of a residential unit, and all current Tenants are required to sign and comply with this Smoke-Free Policy and Lease Addendum as a condition of Admission or Continued Occupancy. This Smoke Free Policy and Lease Addendum is incorporated into the SMHA Lease Agreement by reference.

71 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM PART 1 - GENERAL 1.1 SCOPE OF WORK General: Steinmetz Homes is a public housing complex built in The purpose of this bid is to test each and every component at Steinmetz Homes in 200 apartments. It is also important to note the Department of Housing and Urban Development (HUD) is funding this project. The winning bidder is required to follow all HUD Regulations in addition to EPA Regulations for Lead-Based Paint Testing. 1. Test every component, in each room, of every apartment indicated in this bid for lead-based paint as defined in the HUD/EPA Standard. 2. The Inspector shall be certified as a Lead Based Paint Inspector or Risk Assessor per 40 CFR part Certified XRF equipment shall be utilized. Provide HUD/EPA or equivalent issued Performance Characteristic Sheet. 4. Follow the procedures outlined in Chapter 7 Lead Based Paint Inspection (2012 Edition) with the exception of radon testing and the random testing of the apartment selection process. You will be testing all 200 apartments, and below: a. Lead Based Paint Hazards: The purpose of the LBP Inspection are 1) to identify conditions that may result in adverse human health effects from the following sources: deteriorated lead-based paint (LBP), lead hazards, chewable surfaces, friction surfaces and impact surfaces, as defined by HUD and EPA. Laboratory Requirements: All laboratories selected for use in the leadbased paint hazards and evaluation reports shall hold all accreditations, certification and recognitions needed to conduct lead testing services as governed by regulatory agencies having jurisdiction over such work. At a minimum, the laboratory used by the contractor shall be recognized by the U.S. Environmental Protection Agency (EPA) national Lead Laboratory Accreditation Program (NLLAP) for the analyses performed under this contract, and shall, for work under this contract, use the same analytical method used for obtaining the most recent NLLAP recognition. SECTION PAGE - 1

72 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM b. Identification of Lead-Based Paint: The risk assessor or LBP Inspector shall test all components/surfaces to be disturbed. Identification of LBP shall be done by XRF testing. 1) Portable XRF Testing: Any portable X-ray fluorescence (XRF) instrument used to test for lead in paint shall have a valid XRF Performance Characteristic Sheet (PCS). Any portable XRF instrument used shall be used in accordance with its XRF PCS. 2) Paint Sample Collection Specifications: Lead determination of coatings not applicable for X-Ray fluorescence (XRF) testing (high curved, ornate or restricted space locations) shall be tested by sample collection followed by laboratory analysis. For collected paint samples, the contractor shall insure that all area dimensions are collected and recorded in inches (or centimeters) to the nearest 1/16 th of an inch. For each submitted sample, the contractor shall provide the laboratory with the collection dimensions in inches (or centimeters) to the nearest 1/16 th of an inch, and obtain the results from the laboratory required for reporting. Areas from which samples are collected must be repaired after samples are collected (e.g., fill void created by sample collection and prime paint area.) 3) Component Sampling within each Room or Area: a) Windows: When testing windows, the following window surfaces shall be tested: Exterior sash, jamb, casing and trough; interior sash, casing, apron and sill. Each and every one of these pieces need to be tested. b) Doors: When testing doors, the following surfaces shall be tested: door jamb, both sides of the door itself and exterior and interior door casings, and any painted thresholds and kick plates. Each and every one of these pieces need to be tested. c) Component Sampling Locations. All testing shall include the following identification items: the room or area, component or portion of component tested, exact location of each component tested and the substrate. For example, Living Room/upper window sash/second window from wall B/wood. Substrates shall be identified as one of the following types: brick, concrete, drywall, metal, plaster, or wood. Other substrate types shall be assigned the closest among the designated types SECTION PAGE - 2

73 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM based on density, porosity, and other physical factors, with the report annotated with the actual substrate type. 4) Wall paper shall be assumed to cover paint and shall be tested. 5) The risk assessor shall regard parts of the building components as separate testing combinations if visual indication or evidence exists that the different parts have separate and/or distinct painting histories. 1.2 SITE CONDITIONS/QUANTITIES LISTED A. The Owner assumes no responsibility for accuracy of data furnished relative to Site Conditions. No price adjustment shall be made to the lump sum contract price for any work included in the project manual or drawings, if an error in the furnished data is discovered. It shall be the bidder's responsibility to visit the site prior to bidding to determine the complete scope of work based on the sample apartments made available, and to verify data given in these specifications. Information given on the drawings should not be considered to show the exact conditions in each location of work. B. There is no record of paint history to provide the testing firms SECTION PAGE - 3

74 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM 1.3 SCHEDULING WORK A. Apartment Access shall be coordinated with the Owner. A 48 hour notices shall be mailed by the Contractor. Contractor will be responsible for mailing the notices to the apartment s head of household, five (5) business days prior to the access date. A sample of the notice is included with the bid for the contractor s convenience. A copy of the notice shall be forwarded to the Modernization Coordinator. Proof of mailing, such as a receipt from the Post Office, is required to be submitted to the Modernization Coordinator. PART 2 - DOCUMENTS 2.1 Contract Documents shall consist of the specifications and other documents as enumerated in the table of contents, all drawings listed in the index of drawings on the title sheet and the proposal and bid forms. 2.2 Applicable regulations are those that are in force when and where the lead evaluation is conducted, including, but not limited to: U.S. Department of Housing and Urban Development (HUD): 24 CFR 35 U.S. Occupational Safety and Health Administration: 29 CFR 1926 U.S. Environmental Protection Agency (EPA): 40 CFR 745 State regulations Local regulations 3.1 COORDINATION PART 3 - EXECUTION A. Contractor must coordinate with the Building Owner before work begins. He may be accompanied during the coordination visit by his designated Agent. 3.2 FINAL REPORTS: A. Two (2) copies of the draft report shall be submitted for review. The Owner will take up to two (2) weeks to review. B. Four (4) copies of the final report containing all testing documentation plus a PDF of the same data shall be provided at closeout by to Tony Fyvie at tonyf@smha1.org. C. The final report must include both a summary and complete information about the site, the inspector, the inspection firm, the inspection process, and the inspection results. The full report should include a complete data set, including: 1. Housing unit identifiers; 2. Date of the inspection; 3. Identity of the inspector and the inspection firm and any relevant certifications or licenses held by the inspector and/or the firm; SECTION PAGE - 4

75 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM 4. Building component and room equivalent identification and numbering system or sketches; 5. All XRF readings (including calibration check readings); 6. All paint chip analyses; 7. Testing protocol used; 8. Instrument manufacturer, model, serial number, mode(s) of operation and age of radioactive source; 9. Information on the owner's legal obligation to disclose the inspection results to tenants and/or purchasers before obligation under 24 CFR part 35 and 40 CFR part 745 (published in the Federal Register, Volume 61, Number 45, March 6, 1996, starting on p. 9064; copies of the regulations and related materials can be obtained from the National Lead Information Center Clearinghouse, LEAD); and 10. Final classification of all testing combinations into positive or negative categories, including a list of testing combinations, or building component types and their substrates, that were classified but not individually tested. (Note that the final report should not list inconclusive reading as a third category. If the client wishes to assume all inconclusive readings are positive, the report should state that assumption and present all readings and testing combinations for which the readings were inconclusive. It is not permissible to assume all inconclusive readings are negative. The report shall include the actual readings for any testing combinations for which readings were inconclusive, but were classified as positive. D. The report should also contain a summary that answers two questions: 1. Is there lead-based paint in the apartment? And 2. If the lead-based paint is present, where is it located? E. The summary report should also include the apartment address and building number where the inspection was performed, the date(s) of the inspection, the name, the address and phone number of the inspector and inspection firm, any appropriate license or certification numbers, and the starting and ending times for each day when XRF testing was done. The summary should also contain language regarding disclosure, such as: 1. "A copy of this summary must be provided to new lessees (tenants) and purchasers of this property under Federal law (24 CFR part 35 and 40 CFR part 745) before they become obligated under a lease or sales contract. The complete report must also be provided to new purchasers and it must be made available to new tenants. Landlords (lessors) and sellers are also required to distribute an SECTION PAGE - 5

76 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM educational pamphlet and include standard warning language in their leases or sales contracts to ensure that parents have the information they need to protect their children from lead-based paint hazards." F. Although 24 CFR part 35 and 40 CFR part 745 do not require the inspectors and owners to keep copies of inspection reports for any specified period of time, future buyers are entitled to all available inspection reports, should the property be re-sold. G. If no lead-based paint has been detected in the house, the summary should say so. The following language may be used: 1. "The results of this inspection indicate that no lead in amounts greater than or equal to 1.0 mg/cm2 in paint was found on any building components, using the inspection protocol in Chapter 7 of the HUD Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing (2012 Edition) Therefore, this dwelling qualifies for the exemption in 24 CFR part 35 and 40 CFR part 745 for target housing being leased that is free of lead-based paint, as defined in the rule. However, some painted surfaces may contain levels of lead below 1.0 mg/cm2, which would create lead dust or lead contaminated soil hazards if the paint is turned into dust by abrasion, scraping, or sanding. This report should be kept by the inspector and should also be kept by the owner and all future owners for the life of the dwelling." H. Detailed documentation of the XRF testing should also be provided in the full report, including the raw data upon which it was based. The single-family housing forms provided at the end of this chapter or comparable forms would serve this purpose. I. Minimum Report Requirements. The Paint Inspection report shall contain at least the following: 1. Identification of all lead-based paint with sufficient detail to permit replication of sampling and/or testing effort. 2. Sketches or drawings of property with floor plan (sample provided) detailing all sample locations. Below is summary of the apartment configurations. One Bedroom: 2 apartments One Bedroom with Stairwell: 27 apartments Two Bedroom: 7 apartments Two Bedroom with Stairwell: 133 apartments Three Bedroom: 3 apartments Three Bedroom with Stairwell: 27 apartments Four Bedroom with Stairwell: 1 apartments If the report is not clearly written and understood by the Agency, the Agency reserves the right to request clarifications and revisions by the risk assessor or LBP Inspector, at no additional cost to the agency. SECTION PAGE - 6

77 SMHA CONTRACT NO L LEAD BASED PAINT (LBP) TESTING AT STEINMETZ HOMES PROPOSAL FORM J. Required Submittals. To be considered responsive, each bid must include technical and cost proposals, as well as copies of the following documents: 1. Copies of firm s certification to perform risk assessments of this site. 2. Copies of risk assessor s State/EPA certification/license. 3. Documentation of successful completion of XRF manufacturer s training for each individual performing risk assessment services. 4. Copy of analytical laboratory EPA recognition (e.g. NLLAP or ELLAP), and licensing, if applicable. 5. Copy of risk assessment firm s radiation safety license or registration issued by the State where services are to be provided, or the U.S. Nuclear Regulatory Commission. 6. A Pollution Policy consistent with 24 CFR A sample is provided. K. Unit Pricing. Unit Prices will be provided for each bedroom configuration in case additional apartments need to be tested. The unit pricing will also be used for credits back to the Authority should apartments specified not need to be tested. L. If it becomes necessary to revise this bid, amendments will be posted at It is the responsibility of the bidder to check throughout the open bidding period. The Authority will not be responsible for incorrect ids due to bidder s noncompliance with amendments. No pleas of ignorance will be accepted be the Authority for not receiving any amendments. M. The undersigned agree(s) that all the work proposed herein will have reached Completion no later than ninety (90) calendar days after Notice to Proceed date and, failing to meet this date, will pay the Schenectady Municipal Housing Authority liquidated damages in the amount of $ per day for each day beyond this date that the work remains usable for its intended purpose by the Schenectady Municipal Housing Authority. END OF SECTION SECTION PAGE - 7

78 Schedule: Bid Opening: November 7, 2018 Pre-Construction Meeting/Contract Signing If Board Approval is Not Necessary: November 13, 2018 Board Approval (If Applicable): November 27, 2018 Pre-Construction Meeting/Contract Signing if Board Approval is Necessary: December 4, 2018 Start Date: As Soon As Possible After Either of the above Pre-Construction Meeting/Contract Signing Dates. Completion Date: 90 Days from the Notice to Proceed Date. Completion dates will be approximately February 10, 2019 to March 3, Any applicable Reports, Documentation, and/or Completion Paperwork must be submitted by this date.

79 Exhibit A

80 Exhibit B

81 Exhibit C

82 SCHENECTADY MUNICIPAL HOUSING AUTHORITY 375 Broadway, Schenectady, New York (518) Exhibit D Richard E. Homenick, Executive Director Gregory J. Hoffman, Counsel Board of Commissioners Alberta Madonna, Chairperson Jean T. Carney Thomas Bellick Marva H. Isaacs Haileab Samuel Denise Clark Joan Johnson Date: November 26, HOUR NOTICE Dear Residents: Steinmetz Homes Apt. In accordance with Article 11 of your Dwelling Lease: (a) Tenant Responsibilities: Tenant agrees that the duly authorized agent, employee, or contractor of SMHA will be permitted to enter Tenant s dwelling during reasonable hours (7:30 A.M. to 5:00 P.M.) for the purpose of performing routine maintenance, making improvements or repairs, inspecting the unit, or showing the unit for releasing. [966.4 (j)(1)] Written notice specifying reason for entry and delivered to the unit at least two (2) days in advance constitutes "reasonable" notification. Therefore, you are hereby notified that there is a need to enter your apartment for the following reason: Between December 3, 2018 and December 7, 2018, during the hours of 8:00 AM to 5:00 PM, representatives from the (company name) will be at your apartment to test each and every room for Lead Based Paint. The testing is expected to take between minutes. Make certain you have all pets in a cage or off the premises. We are not responsible if a pet runs out of the apartment. Please make sure the screen door is unlocked so in the event you do not answer the door we can still access the apartment for this testing. You do not need to be home during this testing. You may contact Tony Fyvie at with any questions. Sincerely, cc: Tony Fyvie File Reasonable Accommodation Statement: Pursuant to the Fair Housing Act (42U.S.C ), if you are a federally assisted housing program applicant or resident With a disability, you may request an exception, change or adjustment to a rule, policy, practice or service that may be necessary to afford you an equal opportunity to Participate in the program. FAX (518) Maintenance HOTLINE (518) TDD (518)

83 Exhibit E