REQUEST FOR QUALIFICATIONS RENTAL ASSISTANCE DEMONSTRATION (RAD) CONVERSION CONSULTING SERVICES

Transcription

1 REQUEST FOR QUALIFICATIONS RENTAL ASSISTANCE DEMONSTRATION (RAD) CONVERSION CONSULTING SERVICES Suffolk Redevelopment and Housing Authority 530 E Pinner Street Suffolk, Virginia Phone (757) Fax (757) Date Issued: Tuesday, September 8, 2015 Closes: Friday, September 25, 2015

2 RFQ for Rental Assistance Demonstration (RAD) Conversion Services: REQUEST FOR QUALIFICATIONS: The Suffolk Redevelopment and Housing Authority (SRHA) herein solicits statements of qualifications from experienced Affordable Housing Rental Assistance Demonstration (RAD) consulting companies to assist in the analysis and planning for the RAD conversion. Request for Qualifications (RFQ) documents will be available for prospective offerors beginning on September 8, :00 A.M. 6:00 P.M. at the Suffolk Redevelopment and Housing Authority Main Office located at 530 E. Pinner St., Suffolk, VA This RFQ document is available at A pre-proposal conference will be held on September 15, 2015 at 11:00 A.M. (EST) at 530 E. Pinner St., Suffolk, VA SRHA will answer questions and provide information regarding RFQ requirements. Attendance at the pre-proposal is not mandatory; however encouraged. All questions requiring explanations and interpretations of the RFQ document must be submitted in writing to Tracey Snipes, Administrative Finance Operations Director, by September 18, All questions will be answered in accordance with HUD 5369B, Sections 4 and 5. Sealed qualification statements must be received by September 25, 2015 at 3:00 P.M. (EST), at 530 E. Pinner Street, Suffolk, VA to be considered. The outside of the submission package must be clearly marked: Response to RFQ for RAD Conversion Services. Qualification statements should be prepared in accordance with the RFQ instructions, and will be evaluated by SRHA as stated in the evaluation factors for award in the RFQ. The Housing Authority reserves the right to waive any formalities, to reject any or all qualification statements, or to re-advertise for qualification statements.

3 SECTION 1 GENERAL INFORMATION Table of Contents 1.1 INTENT 1.2 THE PRESENT STATE OF THE HOUSING AUTHORITY 1.3 TIMETABLE SECTION 2 SCOPE OF SERVICES SECTION 3 INSTRUCTIONS TO OFFERORS 3.1 SUPPLEMENTARY INSTRUCTIONS 3.2 PROPOSAL PREPARATION AND SUBMISSION 3.3 PROPOSAL SUBMITTAL CHECKLIST SECTION 4 EVALUATION PROCESS & FACTORS 4.1 EVALUATION PROCESS 4.2 TECHNICAL EVALUATION CRITERIA SECTION 5 GENERAL & SUPPLEMENTARY CONDITIONS 5.1 OFFEROR INQUIRIES AND RESPONSES 5.2 PRIOR INFORMATION 5.3 DESIGNING WITHIN FUNDING LIMITATIONS 5.4 COMPENSATION 5.5 COMPLIANCE WITH LAWS, CODES, ORDINANCES AND REGULATIONS 5.6 OWNERSHIP OF DOCUMENTS 5.7 CONFORMITY WITH THIS RFQ 5.8 ACCEPTANCE OF QUALIFICATION STATEMENTS 5.9 EXCEPTIONS TO THE RFQ 5.10 AWARD OF CONTRACT 5.11 CONTRACT AND CONTRACT EXECUTION 5.12 AFFIRMATIVE ACTION 5.13 PROPOSAL PREPARATION COSTS 5.14 PROOF OF INSURANCE 5.15 APPEALS AND REMEDIES 5.16 THIRD PARTY CLAIMS 5.17 NON-DISCRIMINATION PROVISION SECTION 6 REQUIRED FORMS 6.1 CERTIFICATION AND REPRESENTATIONS 6.2 AFFIDAVIT OF NON-COLLUSION AND OF NON-INTEREST OF HOUSING AUTHORITY EMPLOYEES

4 6.3 SECTION 3 BUSINESS AFFIDAVIT 6.4 CONTRACTOR S SECTION 3 COMPLIANCE AFFIDAVIT ATTACHMENTS TAXPAYER S IDENTIFICATION CERT W-9 CERTIFICATIONS AND REPRESENTATION (HUD FORM 5369-C) INSTRUCTIONS TO OFFERORS NON-CONSTRUCTION (HUD 5369-B) GENERAL CONDITIONS FOR NON-CONSTRUCTION CONTRACTS (HUD 5370-C)

5 SECTION 1 GENERAL INFORMATION 1.1 INTENT The Suffolk Redevelopment and Housing Authority (SRHA) is seeking professional Rental Assistance Demonstration (RAD) Consulting firms to provide services in the conversion of five (5) properties. The SRHA intends to enter into a contract for RAD Services for a minimum period of two (2) years with three (3) possible one (1) year extensions. 1.2 THE PRESENT STATE OF THE HOUSING AUTHORITY Suffolk Redevelopment and Housing Authority (SRHA) manages 466 units of public housing for families, elderly, and disabled individuals throughout the City. These units include: Cypress Manor Apartments, Parker Riddick Village, Hoffler Apartments, Colander Bishop Meadows, and Chorey Park Apartments. Chorey Park is designated for elderly residents and persons with disabilities. The Authority is looking to perform a RAD Conversion on each of its five (5) properties. 1.3 TIMETABLE Date of Distribution of RFQ: September 8, 2015 Pre-Proposal Meeting: September 15, 2015 Last Date for Inquiries: September 18, 2015 Deadline for Qualification Statements: September 25, 2015 Sealed qualification statements are due NO LATER THAN FRIDAY, SEPTEMBER 25, 2015, 3:00 P.M. (EST) in the following location: Suffolk Redevelopment and Housing Authority, Main Office, 530 E. Pinner St., Suffolk, VA Late submissions will be handled in accordance with the provision within HUD form, HUD-5369-B, entitled Late Submissions, Modifications and Withdrawal of Offers. For information contact Tracey Snipes, Administrative Finance Operations Director at (757) SECTION 2 SCOPE OF SERVICES The Suffolk Redevelopment and Housing Authority seeks to secure a consultant to assist in the RAD conversion of five (5) properties beginning in FY Services may include, but not limited to: 1. Assist the Suffolk Redevelopment and Housing Authority in converting five (5) properties from public housing to Rental Assistance Demonstration program beginning in FY Assist in the analysis and planning of the conversion.

6 3. Assist in the plan development to meet the deficiencies as outlined by the physical needs assessment and or property reviews in which deficiencies are outlined. Properties that are converted should be reviewed to make sure that market rate properties and amenities are considered. Additional amenities should be included in the plan if requested by the SRHA to ensure long range viability of the properties. 4. Assist in developing financial models to determine that the properties will produce cash flow after the conversion is completed. 5. Assist in the review of all improvements to the property to ensure that the property will properly perform after RAD conversion. 6. Reference Attachment HUD document: Rental Assistance Demonstration (RAD): Physical Condition Assessment Statement of Work and Contractor Qualifications. SECTION 3 INSTRUCTIONS TO OFFERORS 3.1 SUPPLEMENTARY INSTRUCTIONS This section describes the form and content of the offerors qualification statements in response to this RFQ. The qualifications statement should be no more than twenty-five (25) pages. This applies to the proposal itself; attachments such as resumes and graphics of prior work are not included in the proposal length restriction. The offeror shall provide one (1) original qualification statement four (4) copies to: Tracey Snipes, Administrative Finance Operations Director Suffolk Redevelopment and Housing Authority 530 E. Pinner Street Suffolk, VA Offerors are asked to provide qualification statements that clearly state on the exterior of the seal package: Response to RFQ for RAD Conversion Services Name of Offeror Qualification statements must include a full description of all proposed services. If the Offeror is not proposing complete services as requested in this RFQ, be very specific as to what is and is not included. All assumptions concerning the SRHA s involvement should be stated. All exceptions to the RFQ should be noted in the proposal. Unique services should be clearly defined. All offerors should make the assumption that their original proposal may be their only opportunity to present their services and qualification, and therefore should be as comprehensive as possible. It is the SRHA s intent to make this RFQ a part of the contract.

7 3.2 PROPOSAL PREPARATION AND SUBMISSION RESPONDENTS MINIMUM REQUIREMENTS AND SUPPLEMENTARY SUBMISSION Failure to meet the below minimum requirements may cause the submission to be disqualified. 1. RAD firm must currently be registered and licensed in the State of Virginia to perform professional services. Proof of such shall be submitted along with the qualification statement. 2. RAD firm must carry current Errors and Omissions insurance and provide certification along with qualification statement. 3. RAD firm must have a satisfactory record of compliance with Federal, State, and local public EEO policies. 4. RAD firm must not have been suspended, debarred or otherwise determined to be ineligible for award of contracts funded by HUD or any other US Government entity. 5. RAD firm must complete all required certifications and representations included in Section 6 of this RFQ and include originals in original qualification statement PROPOSAL PREPARATIN OUTLINE Offerors standard proposal formats are acceptable, provided the following is included: ORGANIZATIONAL STRUCTURE AND CAPACITY 1. Company Profile: Company name and address of principal place of business. Location of office proposed to provide services. An outline of general capabilities and strengths of the firm, as well as a brief overview of the firm s history. Include the number of years in business and previous names of business, if any. 2. Organization chart and assignment of responsibilities for key staff who will be involved in providing services to the SRHA. Key personnel listing by, labor category, location of staff and resumes. Include years of experience and qualifications of all key staff members. Identify a key contact individual who will act as primary contact. 3. Provide a detailed description of the team s approach and methodology for performing the services required QUALIFICATIONS AND EXPERIENCE 1. Describe your team s professional competence and experience in the areas of designing and planning new construction, substantial reconstruction and renovation of residential multi-family and singlefamily dwellings, community and commercial office buildings.

8 2. Qualification statement should include past performance of firm in terms of cost control, quality of work and compliance with performance schedule. Submittal must include, at the minimum, the following: Experience in meeting project milestones and completion schedules Experience in maintaining cost controls within design and construction budgets Experience, methods and techniques for verifying and maintaining material and workmanship quality. Experience in value engineering Experience in designing buildings using energy efficient and easily sustainable materials. 3. Include descriptions and graphics of work currently in progress and completed within the last five (5) years that is relevant to the services requested in this RFQ. 4. List all current or projected projects to which the firm is committed within the time schedule projected for this project. 5. Describe our firm s affirmative action plan and steps taken to include minority and women owned businesses in construction projects. 6. Include documentation of specific direct experience in Public Housing or Affordable Housing design and construction. 7. List awards and/or endorsements for similar projects. 8. Include five (5) references, including contact person, company name, phone number, and address on similar projects they have completed. 3.3 PROPOSAL SUBMITTAL CHECKLIST THE FOLLOWING FORMS MUST BE COMPLETED AND SUBMITTED WITH THE SUBMITTED DOCUMENTS. FAILURE TO COMPLETE AND SUBMIT ALL OF THE FORMS MAY RENDER THE SUBMISSION NON-RESPONSIVE AND RESULT IN DISQUALIFICATION.

9 Proposal Form Offeror s Information Non-Collusive Affidavit Section 3 Business Affidavit Section 3 Compliance Affidavit HUD-5369-C Certifications and Representations of Offerors Non-Construction Contract Form W-9 Request for Taxpayer Identification Number and Certificate Each of these forms MUST be completed and submitted with the proposal. This list does not include other submissions that may be required (e.g. Licenses, Proof of Insurance, References, etc.) Read the RFQ documents fully and carefully. This checklist is only intended to assist potential offerors in preparation of their qualification statements. SECTION 4 EVALUATION PROCESS AND FACTORS 4.1 EVALUATION PROCESS All responsive submissions received by the SRHA by the time and date specified in this RFQ shall be evaluated by an evaluation committee. Offerors must demonstrate in their submission an understanding of the requirements set forth in this solicitation. The following procedures will be followed for the evaluation: All qualification statements will be evaluated individually on the qualifications and experience or the offeror using the evaluation criteria and point system outlined in this section of the RFQ. The evaluation will consist of a qualitative review of the submission along with the qualifications of the offeror to determine how it meets the minimum requirements. The SRHA reserves the right to make an award based solely on the qualification statements or to request additional information. The qualification statements which have a rating of 80 points or more will be considered to be in the competitive range. The SRHA may request that offerors whose qualification statements are in the competitive range make oral presentation concerning their qualification statements to the SRHA Evaluation Committee. This may include a question and answer period to discuss submission merits to ensure a mutual understanding of both the SRHA needs and the offeror s submission. A SRHA representative will schedule the presentations on an individual basis. The SRHA shall determine what combination of qualifications, experience and approach provides the greatest values to the SRHA. The contract will be awarded to the responsible firm whose proposal is most advantageous with all factors considered. The SRHA reserves the right to award multiple requirements based contracts as a result of this solicitation. The SRHA reserves the right to reject any or all proposals or to re-advertise for proposals.

10 4.2 EVALUATION CRITERIA The SRHA will consider the following criteria in the evaluation of an offeror s proposal and rank all qualification statement against the criteria below: 1. The respondent s demonstrated understanding of the unique and (0-35 points) specific requirements of multi-family housing, public housing and affordable housing and well demonstrated success in achieving the creation of additional affordable housing units through a long-term phased approach using RAD, Tax Credits, PBVs and related tools. This includes a complete plan for gaining resident and community acceptance. This understanding includes but is not limited to a thorough knowledge of the RAD program, familiarity with HUD and PHA loan programs, tax credit equity, HOME funds, Project Based Vouchers, etc. 2. Demonstrated professional and technical competence and (0-35 points) experience as evidenced in terms of number of RAD applications submitted, number of successful RAD applications, submittal of tax credit applications, physical needs assessments, etc. Please provide the following information for several references that may be contacted regarding your firm s prior work. Supplying the following information will constitute permission for the Suffolk Redevelopment and Housing Authority to make inquiries regarding your company: Complete name, address and telephone number of company which contracted the work Complete name, title and telephone number of contact person at that company. This person should have knowledge of the work and be able to answer questions regarding job performance Complete description and location of project to identify the particular job done. Dates the work was performed. 3. Evidence of the consulting firm s ability to perform the work, as (0-20 points) Indicated by profiles of the principals and staff s professional and technical competence and experience and their facilities. 4. Professional affiliation with Minority Business Enterprise (MBE) (0-10 points) And Women s Business Enterprise (WBE) firms, contractors and subcontractors. Please describe. Total Points Available 100 Points

11 SECTION 5 GENERAL AND SUPPLEMENTARY CONDITIONS 5.1 OFFEROR INQUIRIES AND RESPONSES All inquiries to this RFQ must be submitted in writing to : Suffolk Redevelopment and Housing Authority, Attn: Tracey Snipes, Administrative Finance Operations Director, 530 E. Pinner St., Suffolk, VA Inquiries must make reference to specific section numbers of this RFQ and, where appropriate, paragraph numbers. Offeror questions and the answers to these questions will be communicated to all potential offerors. The SRHA must receive all inquiries by the date listed in the timetable. 5.2 PRIOR INFORMATION Any information, which may have been released either verbally or in writing prior to the issuance of this RFQ, will be disregarded. 5.3 DESIGNING WITHIN FUNDING LIMITATIONS The RAD awarded task orders resulting from this solicitation will be required to provide design services that will result in plans within the allocated construction cost limits stated by the SRHA for each task order. The amount may be increased by the SRHA, but only with written notice to RAD. 5.4 COMPENSATION TASK ORDERS The SRHA will negotiate the compensation for each task order on an individual basis. The RAD will supply the SRHA with a written fixed fee proposal for each task order. The proposal will include a breakdown of the project into tasks, a projection of hours by employee classification and rates per task, along with any and all expenses, direct and indirect costs. Any task order estimated to exceed $25, will require a resolution by the Suffolk Redevelopment and Housing Authority Board of Commissioners for authorization. The RAD will bill the SRHA on a monthly basis for services performed for each task order TRAVEL TIME The RAD shall not charge the SRHA for travel time between any of the RAD offices and the SRHA main office, or other meeting destinations within a forty-five (45) mile radius of the City of Suffolk.

12 5.4.3 EXPENSES a) RAD shall be reimbursed by the SRHA only for reasonable fees that are documented, direct, out-of-pocket expenses incurred in providing requested services to the SRHA. Such expenses shall include travelrelated costs (airfare, lodging, meals, etc. which shall be reimbursed at rates not to exceed those allowable per the United States General Services Administration. RAD shall provide copies of invoices as documentation for reimbursable expenses. b) Any and all travel expenses related to services provided will require prior authorization by the Executive Director. Travel costs incurred by the RAD when requested by SRHA to travel to a location that is outside of a 45-mile radius of either the project site or SRHA s office will be reimbursed. 5.5 COMPLIANCE WITH LAWS, CODES, ORDINANCES AND REGULATIONS RAD shall perform services that conform to all applicable federal, state and local laws, codes, ordinances and regulations except as modified by waivers, which may be obtained with the approval of the SRHA. RAD shall certify that documents will conform to all applicable laws, codes, ordinances and regulations. 5.6 OWNERSHIP OF DOCUMENTS All information, data, designs, plans, drawings, documentation and specifications furnished to or developed for the SRHA by the RAD or its employees, pursuant to this Agreement, shall be the sole property of the SRHA and all rights therein are reserved by the SRHA, except that the RAD may disclose any such information to its corporate affiliates and their agents. All drawings, specifications, studies and other materials prepared under this contract shall be the property of SRHA and at the termination or completion of RAD Services shall be promptly delivered to the SRHA. RAD shall have no claim for further employment or additional compensation as a result of exercise by the SRHA of its full rights of ownership. It is understood, however, that the RAD does not represent such data to be suitable for re-use on any other project or for any other purpose. If the SRHA re-uses the subject data without RAD written verification, such re-use will be the sole risk of the SRHA without liability to RAD.

13 5.7 CONFORMITY WITH THIS RFQ The qualification statement submitted must provide a simple, straightforward presentation of the qualifications of the Consultant and of its capacity to satisfy the requirements of this RFQ. The proposal must follow the format defined in Section 3 of this RFQ. Qualification statements must be signed and received in completed form at the SRHA no later than 3:00 P.M. EST on September 25, Qualification statements received prior to the time of the deadline will be date and time stamped and securely kept, unopened. No qualification statement received after the deadline for qualification statements will be accepted. The only exceptions are as outlined in Form HUD-5369-B, Section 6. Faxed qualification statements will not be considered. Offerors are cautioned that, while telegraphic modifications of qualification statements may be received as provided above, such modifications, if not explicit, and if in any sense subject to misinterpretation, shall make the qualification statement so modified or amended subject to rejection. 5.8 ACCEPTANCE OF QUALIFICATION STATEMENTS The SRHA reserves the right to accept or reject any or all qualification statements, or to waive any formalities. The SRHA reserves the right to reject the proposal of any offeror who has previously failed to perform properly or to complete on time a contract of similar nature; that is not in a position to perform the contract; or who habitually and with just cause neglected the payment of bills or otherwise disregarded its obligations to subcontractors or employees. If the SRHA finds significant errors in the offeror s proposal, or if the offeror fails to conform to the essential requirements of the RFQ, the SRHA will reject the proposal. When an offeror s proposal varies from what the RFQ requested, the Authority and the Authority alone will determine whether the variance is significant enough to reject the proposal. 5.9 EXCEPTIONS TO THE RFQ The offeror must clearly identify and explain any exceptions to the RFQ, including the advantages and disadvantages to the Authority resulting from the exceptions AWARD OF THE CONTRACT The contract(s) shall be awarded to the most qualified respondent provided that the qualifications are in the best interest of the SRHA. The offeror to whom the award is made will be notified at the practical date. Offerors who desire to receive a copy of the Statement of Award must include a self-addressed stamped envelope.

14 5.11 CONTRACT AND CONTRACT EXECUTION A Suffolk Redevelopment and Housing Authority standard consultant agreement will be issued. Subsequent to the award and within ten (10) days after the prescribed forms are presented to them for signature, the successful offeror shall execute and deliver to the Authority the signed agreement. The proposal and Request for Qualifications and any written correspondence will become part of the contract and shall be incorporated therein by reference AFFIRMATIVE ACTION All offerors submitting a proposal must submit a work force profile for women and minorities PROPOSAL PREPARATION COSTS The offeror shall wholly absorb all costs incurred in the preparation and presentation of the proposal. All supporting documentation and manuals submitted with this proposal will become the property of the SRHA PROOF OF INSURANCE RAD shall carry Commercial or Comprehensive General Liability Insurance, Professional Liability Insurance (for a period extending two years past the date of completion of construction) and other insurance as required by law, in minimum amounts as set forth below. RAD shall furnish the SRHA original certificates of insurance and they shall state that a thirty-day notice of prior cancellation or change will be provided to the SRHA. Additionally, the SRHA shall be an additional insured on all Commercial and Comprehensive General Liability policies. The offeror shall submit as part of its offer written evidence that it maintains at a minimum: Insurance Limits or Amount ERRORS/OMMISSIONS INSURANCE $1,000, GENERAL LIABILITY $2,000, AUTOMOBILE INSURANCE $ 750, WORKER S COMPENSATION/EMPLOYEE LIABILITY $1,000, EXCESS UMBRELLA LIABILITY $5,000, Said insurance shall be written by an insurer holding a current certificate of authority pursuant section of Virginia Code. The certificate shall provide that no material alteration or cancellation, including expiration and non-renewal, shall be effective until fifteen (15) days after receipt of written notice by the SRHA.

15 5.15 APPEALS AND REMEDIES It is the SRHA s policy to handle disputes promptly at the PHA level THIRD PARTY CLAIMS The Authority shall be held harmless from any third party legal claims. The SRHA will contract only with the Consultant. Any sub-contractor employed by the Consultant will be the responsibility of the Consultant NON-DISCRIMINATION PROVISION During the performance of this contract, the consultant agrees as follows: The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex or national origin. The contract will 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 the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor will, 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.

16 SECTION 6 REQUIRED FORMS 6.1 CERTIFICATIONS AND REPRESENTATIONS OFFEROR INFORMATION FORM Name of Offeror: Mailing Address: Street Address: City/State/Zip Code: Phone: ( ) Fax: ( ) Tax I.D./Social Security #: To: The Suffolk Redevelopment and Housing Authority Pursuant to and in compliance with the SRHA procurement policies, Instructions to Bidders (Form HUD-5369-B), and other documents relating thereto, the undersigned offeror, having familiarized themselves with the terms of the proposal documents, local conditions and the cost of work at the place where the work is to be done, hereby proposes and agrees to perform within the time stipulated, all work required in accordance with the scope of services and other documents including addenda, if any, on file at the Main Office. The undersigned, as offeror, declares that the only person or parties interested in this proposal as principals are those named herein; that this proposal is made without collusion with any person, firm or corporation; and they propose or agree, if the proposal is accepted, they will execute a contract with the Suffolk Redevelopment and Housing Authority; that they will comply with all Minority and Women Business Enterprise and Section 3; that they are aware that failure to properly comply with the requirements set out in the Instructions to Bidders (Form HUD-5369-B) and elsewhere in the Request for Qualifications may result in a finding that the offeror is non-responsive. Name & Title Signature Date

17 6.2 STATEMENT OF NO PROPOSAL, * being first duly sworn, deposes and says that (s)he/it is the offeror in the above proposal, that the only person or persons interested in said proposal are named herein; that no offeror, employee or agent of the Suffolk Redevelopment and Housing Authority or of any other offeror is interested in said proposal; and that affiant makes the above proposal with no past or present collusion with any other person, firm or corporation. Affiant STATE OF COUNTY/CITY OF The foregoing instrument was acknowledged before me this day of 2015, by, who is personally known to me or who has produced identification and who did take an oath. Notary Public My Commission Expires: *NOTICE: State name of offeror followed by name of authorized individual (and title) that is signing as Affiant. If offeror is an individual, state name of offeror only.

18 6.3 SECTION 3 BUSINESS AFFIDAVIT The undersigned makes this affidavit with full knowledge that its contents will be used in the expenditure of funds provided by the United States Government. Under penalty of perjury (s)he hereby states: 1. I am the of,, the offeror, that has submitted the attached (owner, partner, officer, representative, or agent) proposal; and whose business concern is: (check only one) ( ) 51 percent or more is owned by Section 3 residents; or ( ) Whose permanent, full-time employees include persons, at least 30 percent of whom are currently Section 3 residents, or within three (3) years of the date of first employment with the business concern were Section 3 residents; or ( ) Provides subcontracts in excess of 25 percent of the dollar award of all subcontracts to be awarded to business concerns that meet the qualification set forth in paragraph I.B. (1) or (2) of the definition of Section 3 concerns. ( ) None of the above. Affiant s Signature Affiant s Company Name Affiant s Title Subscribed and sworn to under oath before me this day of NOTARY: My commission expires:

19 6.4 CONTRACTOR S SECTION 3 COMPLIANCE AFFIDAVIT State of: City of: The undersigned makes this affidavit with full knowledge that its contents will be used in the expenditure of funds provided by the United States Government. Under penalty of perjury, I hereby state: 1. I am the of (Owner, Partner, Officer, agent) (Company Name) the bidder/offeror that has submitted the attached proposal and; 2. My company/corporation adheres to Section 3 of the Housing and Urban Development (HUD) Act of 1968, as amended, 12 U.S.C. 170lu, which requires, to the greatest extent feasible, that a good faith effort is given to identifying small business located within the boundaries of the Section 3 service area, making them aware of contracting opportunities, encouraging their participation and actually awarding contracts to Section 3 business concerns. 3. An attempt will be made to undertake outreach activities intended to encourage participation by Section 3 residents in training and employment opportunities, to include but not be limited to: Advertising in local media, distributing flyers on training and job opportunities to public housing sites and posting flyers in common areas: Informing labor organizations and private job training agencies of potential jobs and contract opportunities Participation in job information meetings and workshops to help Section 3 residents complete applications and learn interviewing techniques Address: Affiant s Signature Affiant s Title Telephone: Affiant s Company Name: Subscribed and sworn to under oath before me this day of, NOTARY: My commission expires:

20 Form W-9 (Rev. December 2014) Department of the Treasury Internal Revenue Service Request for Taxpayer Identification Number and Certification 1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank. Give Form to the requester. Do not send to the IRS. Print or type See Specific Instructions on page 2. 2 Business name/disregarded entity name, if different from above 3 Check appropriate box for federal tax classification; check only one of the following seven boxes: Individual/sole proprietor or single-member LLC C Corporation S Corporation Partnership Trust/estate Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) Note. For a single-member LLC that is disregarded, do not check LLC; check the appropriate box in the line above for the tax classification of the single-member owner. Other (see instructions) 5 Address (number, street, and apt. or suite no.) 6 City, state, and ZIP code 4 Exemptions (codes apply only to certain entities, not individuals; see instructions on page 3): Exempt payee code (if any) Exemption from FATCA reporting code (if any) (Applies to accounts maintained outside the U.S.) Requester s name and address (optional) 7 List account number(s) here (optional) Part I Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid backup withholding. For individuals, this is generally your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3. Note. If the account is in more than one name, see the instructions for line 1 and the chart on page 4 for guidelines on whose number to enter. Social security number or Employer identification number Part II Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. I am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 3. Sign Here Signature of U.S. person General Instructions Section references are to the Internal Revenue Code unless otherwise noted. Future developments. Information about developments affecting Form W-9 (such as legislation enacted after we release it) is at Purpose of Form An individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) which may be your social security number (SSN), individual taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of information returns include, but are not limited to, the following: Form 1099-INT (interest earned or paid) Form 1099-DIV (dividends, including those from stocks or mutual funds) Form 1099-MISC (various types of income, prizes, awards, or gross proceeds) Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) Form 1099-S (proceeds from real estate transactions) Form 1099-K (merchant card and third party network transactions) Date Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition) Form 1099-C (canceled debt) Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN. If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding? on page 2. By signing the filled-out form, you: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected income, and 4. Certify that FATCA code(s) entered on this form (if any) indicating that you are exempt from the FATCA reporting, is correct. See What is FATCA reporting? on page 2 for further information. Cat. No X Form W-9 (Rev )

21 Form W-9 (Rev ) Page 2 Note. If you are a U.S. person and a requester gives you a form other than Form W-9 to request your TIN, you must use the requester s form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: An individual who is a U.S. citizen or U.S. resident alien; A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States; An estate (other than a foreign estate); or A domestic trust (as defined in Regulations section ). Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax under section 1446 on any foreign partners share of effectively connected taxable income from such business. Further, in certain cases where a Form W-9 has not been received, the rules under section 1446 require a partnership to presume that a partner is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid section 1446 withholding on your share of partnership income. In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United States: In the case of a disregarded entity with a U.S. owner, the U.S. owner of the disregarded entity and not the entity; In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and not the trust; and In the case of a U.S. trust (other than a grantor trust), the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you are a foreign person or the U.S. branch of a foreign bank that has elected to be treated as a U.S. person, do not use Form W-9. Instead, use the appropriate Form W-8 or Form 8233 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a saving clause. Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship income would attach to Form W-9 a statement that includes the information described above to support that exemption. If you are a nonresident alien or a foreign entity, give the requester the appropriate completed Form W-8 or Form Backup Withholding What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 28% of such payments. This is called backup withholding. Payments that may be subject to backup withholding include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, payments made in settlement of payment card and third party network transactions, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive if you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return. Payments you receive will be subject to backup withholding if: 1. You do not furnish your TIN to the requester, 2. You do not certify your TIN when required (see the Part II instructions on page 3 for details), 3. The IRS tells the requester that you furnished an incorrect TIN, 4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends on your tax return (for reportable interest and dividends only), or 5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only). Certain payees and payments are exempt from backup withholding. See Exempt payee code on page 3 and the separate Instructions for the Requester of Form W-9 for more information. Also see Special rules for partnerships above. What is FATCA reporting? The Foreign Account Tax Compliance Act (FATCA) requires a participating foreign financial institution to report all United States account holders that are specified United States persons. Certain payees are exempt from FATCA reporting. See Exemption from FATCA reporting code on page 3 and the Instructions for the Requester of Form W-9 for more information. Updating Your Information You must provide updated information to any person to whom you claimed to be an exempt payee if you are no longer an exempt payee and anticipate receiving reportable payments in the future from this person. For example, you may need to provide updated information if you are a C corporation that elects to be an S corporation, or if you no longer are tax exempt. In addition, you must furnish a new Form W-9 if the name or TIN changes for the account; for example, if the grantor of a grantor trust dies. Penalties Failure to furnish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willful neglect. Civil penalty for false information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty. Criminal penalty for falsifying information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines and/or imprisonment. Misuse of TINs. If the requester discloses or uses TINs in violation of federal law, the requester may be subject to civil and criminal penalties. Specific Instructions Line 1 You must enter one of the following on this line; do not leave this line blank. The name should match the name on your tax return. If this Form W-9 is for a joint account, list first, and then circle, the name of the person or entity whose number you entered in Part I of Form W-9. a. Individual. Generally, enter the name shown on your tax return. If you have changed your last name without informing the Social Security Administration (SSA) of the name change, enter your first name, the last name as shown on your social security card, and your new last name. Note. ITIN applicant: Enter your individual name as it was entered on your Form W-7 application, line 1a. This should also be the same as the name you entered on the Form 1040/1040A/1040EZ you filed with your application. b. Sole proprietor or single-member LLC. Enter your individual name as shown on your 1040/1040A/1040EZ on line 1. You may enter your business, trade, or doing business as (DBA) name on line 2. c. Partnership, LLC that is not a single-member LLC, C Corporation, or S Corporation. Enter the entity's name as shown on the entity's tax return on line 1 and any business, trade, or DBA name on line 2. d. Other entities. Enter your name as shown on required U.S. federal tax documents on line 1. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on line 2. e. Disregarded entity. For U.S. federal tax purposes, an entity that is disregarded as an entity separate from its owner is treated as a disregarded entity. See Regulations section (c)(2)(iii). Enter the owner's name on line 1. The name of the entity entered on line 1 should never be a disregarded entity. The name on line 1 should be the name shown on the income tax return on which the income should be reported. For example, if a foreign LLC that is treated as a disregarded entity for U.S. federal tax purposes has a single owner that is a U.S. person, the U.S. owner's name is required to be provided on line 1. If the direct owner of the entity is also a disregarded entity, enter the first owner that is not disregarded for federal tax purposes. Enter the disregarded entity's name on line 2, Business name/disregarded entity name. If the owner of the disregarded entity is a foreign person, the owner must complete an appropriate Form W-8 instead of a Form W-9. This is the case even if the foreign person has a U.S. TIN.

22 Form W-9 (Rev ) Page 3 Line 2 If you have a business name, trade name, DBA name, or disregarded entity name, you may enter it on line 2. Line 3 Check the appropriate box in line 3 for the U.S. federal tax classification of the person whose name is entered on line 1. Check only one box in line 3. Limited Liability Company (LLC). If the name on line 1 is an LLC treated as a partnership for U.S. federal tax purposes, check the Limited Liability Company box and enter P in the space provided. If the LLC has filed Form 8832 or 2553 to be taxed as a corporation, check the Limited Liability Company box and in the space provided enter C for C corporation or S for S corporation. If it is a single-member LLC that is a disregarded entity, do not check the Limited Liability Company box; instead check the first box in line 3 Individual/sole proprietor or single-member LLC. Line 4, Exemptions If you are exempt from backup withholding and/or FATCA reporting, enter in the appropriate space in line 4 any code(s) that may apply to you. Exempt payee code. Generally, individuals (including sole proprietors) are not exempt from backup withholding. Except as provided below, corporations are exempt from backup withholding for certain payments, including interest and dividends. Corporations are not exempt from backup withholding for payments made in settlement of payment card or third party network transactions. Corporations are not exempt from backup withholding with respect to attorneys' fees or gross proceeds paid to attorneys, and corporations that provide medical or health care services are not exempt with respect to payments reportable on Form 1099-MISC. The following codes identify payees that are exempt from backup withholding. Enter the appropriate code in the space in line 4. 1 An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2) 2 The United States or any of its agencies or instrumentalities 3 A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities 4 A foreign government or any of its political subdivisions, agencies, or instrumentalities 5 A corporation 6 A dealer in securities or commodities required to register in the United States, the District of Columbia, or a U.S. commonwealth or possession 7 A futures commission merchant registered with the Commodity Futures Trading Commission 8 A real estate investment trust 9 An entity registered at all times during the tax year under the Investment Company Act of A common trust fund operated by a bank under section 584(a) 11 A financial institution 12 A middleman known in the investment community as a nominee or custodian 13 A trust exempt from tax under section 664 or described in section 4947 The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, 1 through 13. IF the payment is for... THEN the payment is exempt for... Interest and dividend payments All exempt payees except for 7 Broker transactions Exempt payees 1 through 4 and 6 through 11 and all C corporations. S corporations must not enter an exempt payee code because they are exempt only for sales of noncovered securities acquired prior to Barter exchange transactions and patronage dividends Payments over $600 required to be reported and direct sales over $5,000 1 Payments made in settlement of payment card or third party network transactions Exempt payees 1 through 4 Generally, exempt payees 1 through 5 2 Exempt payees 1 through 4 1 See Form 1099-MISC, Miscellaneous Income, and its instructions. 2 However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys' fees, gross proceeds paid to an attorney reportable under section 6045(f), and payments for services paid by a federal executive agency. Exemption from FATCA reporting code. The following codes identify payees that are exempt from reporting under FATCA. These codes apply to persons submitting this form for accounts maintained outside of the United States by certain foreign financial institutions. Therefore, if you are only submitting this form for an account you hold in the United States, you may leave this field blank. Consult with the person requesting this form if you are uncertain if the financial institution is subject to these requirements. A requester may indicate that a code is not required by providing you with a Form W-9 with Not Applicable (or any similar indication) written or printed on the line for a FATCA exemption code. A An organization exempt from tax under section 501(a) or any individual retirement plan as defined in section 7701(a)(37) B The United States or any of its agencies or instrumentalities C A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities D A corporation the stock of which is regularly traded on one or more established securities markets, as described in Regulations section (c)(1)(i) E A corporation that is a member of the same expanded affiliated group as a corporation described in Regulations section (c)(1)(i) F A dealer in securities, commodities, or derivative financial instruments (including notional principal contracts, futures, forwards, and options) that is registered as such under the laws of the United States or any state G A real estate investment trust H A regulated investment company as defined in section 851 or an entity registered at all times during the tax year under the Investment Company Act of 1940 I A common trust fund as defined in section 584(a) J A bank as defined in section 581 K A broker L A trust exempt from tax under section 664 or described in section 4947(a)(1) M A tax exempt trust under a section 403(b) plan or section 457(g) plan Note. You may wish to consult with the financial institution requesting this form to determine whether the FATCA code and/or exempt payee code should be completed. Line 5 Enter your address (number, street, and apartment or suite number). This is where the requester of this Form W-9 will mail your information returns. Line 6 Enter your city, state, and ZIP code. Part I. Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN is your IRS individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter either your SSN or EIN. However, the IRS prefers that you use your SSN. If you are a single-member LLC that is disregarded as an entity separate from its owner (see Limited Liability Company (LLC) on this page), enter the owner s SSN (or EIN, if the owner has one). Do not enter the disregarded entity s EIN. If the LLC is classified as a corporation or partnership, enter the entity s EIN. Note. See the chart on page 4 for further clarification of name and TIN combinations. How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Form SS-5, Application for a Social Security Card, from your local SSA office or get this form online at You may also get this form by calling Use Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN, or Form SS-4, Application for Employer Identification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS-4 from the IRS by visiting IRS.gov or by calling TAX-FORM ( ). If you are asked to complete Form W-9 but do not have a TIN, apply for a TIN and write Applied For in the space for the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note. Entering Applied For means that you have already applied for a TIN or that you intend to apply for one soon. Caution: A disregarded U.S. entity that has a foreign owner must use the appropriate Form W-8.