S-VAC VACANCY REHABILITATION CONTRACTOR SERVICES FOR THE WATERBURY HOUSING AUTHORITY PRE-APPROVAL APPLICATION GENERAL INFORMATION

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1 S-VAC VACANCY REHABILITATION CONTRACTOR SERVICES FOR THE WATERBURY HOUSING AUTHORITY PRE-APPROVAL APPLICATION GENERAL INFORMATION APPLICATlON DEADLINE: Wednesday March 25, 3:00 pm HOW TO APPLY: Read and fill out in completion the attached Pre-Qualification Application. Please print legibly or use typed print. Applications may be ed to: qina.biello@waterburyha.orq OR mailed or hand-delivered to: Waterbury Housing Authority Attn: Gina Worth, Procurement Coordinator 2 Lakewood Road Waterbury, CT BIDDING: Applications will be scored after March 25, (Further information on the scoring process and requirements for prequalification are included in the proceeding application documents.) All applicants will receive written notification of their pre-qualification status. Those applicants that have been deemed "Pre-Qualified" will then be allowed to submit competitive bids via the website. The contract(s} will be awarded to the lowest pre-qualified bidder(s}. "Pre-Qualified" status does not imply or guarantee an award of contract with the WHA. CONTACT: For any questions regarding the pre-qualification process please contact the Procurement Coordinator for the WHA, Gina Worth, at qina.biello@waterburyha.orq or call (203)

2 CONTRACTOR PRE-QUALIFICATION APPLICATION PACKET FOR THE WATERBURY HOUSING AUTHORITY LOW INCOME PUBLIC HOUSING VACANT UNIT REHABILITATION SERVICES S-VAC Any contractor desiring to bid as a general contractor on WHA LlPH vacancy rehabilitation projects must be pre-qualified. This packet contains the instructions and forms required for the pre-qualification process. All applicants who submit a pre-qualification packet will be notified via of their status. A determination of pre-qualification is valid for one year. The contractor must meet all county and state licensing requirements as well as any licensing requirements of the municipality in which the work is to be performed. This also requires that continuous adequate liability insurance and workers compensation coverage be maintained. All workmanship and materials must conform to HUD guidelines as stated in the work write-up, the general specifications, state or municipal building codes and be of acceptable quality and meet WHA approval. The completed application and all supporting submitted to the: materials required in this packet are to be Housing Authority of the City of Waterbury Attn: Gina Worth, Purchasing Coordinator 2 Lakewood Rd. Waterbury, CT If you have questions on the process, please Gina Worth at gina.biello@waterburyha.org.

3 INTRODUCTION The WHA provides Low Income Public Housing (LlPH) to qualified families and individuals and is currently looking for qualified contractors for the rehabilitation services of vacant LlPH units. The rehabilitation services involve construction on vacant multi-family and single family homes, as well as high rise units and elderly housing. The services are to bring these vacant units up to HQS and REAC standards and to a move-in ready condition. The typical work includes but is not limited to cleaning, demolition, framing, roofing, drywall, siding, painting, masonry, flooring, electrical, mechanical, plumbing, and sanitary sewer/septic. Any contractor desiring to bid on these rehabilitation projects must be pre-qualified with the WHA. Once pre-qualified, a contractor must provide proof of licensing renewals to remain eligible to respond to any invitation to bid for appropriate housing construction projects. DISCLAIMER Pre-qualification of a contractor does not guarantee that any contractor will be awarded a project. Pre-qualified contractors will be eligible to participate in the competitive bidding process for construction projects administered by the WHA. CONTRACTOR MINIMUM QUALIFICATIONS Contractor must have been in the construction business a minimum of 2 years. Contractor must have prior work experience with other Housing Authorities or similar agencies. Contractor must possess and maintain proper construction licensing including all appropriate state, municipal and county business and occupational licenses. In addition, a contractor must maintain proper lead based paint certifications and licenses. Contractor must provide proof of adequate insurance per the requirements listed below. Contractor must receive favorable performed by the WHA staff. references on prior work in reference checks Contractor must provide adequate proof of financial capacity and stability to properly perform rehabilitation work without harm to the WHA. Contractor must certify that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from any HUD program activities. (See attachment A) Contractor must score a minimum of 25 on his Pre-Approval Application.

4 INSURANCE REQUIREMENTS The minimum limits of insurance are listed below in this section. Certificates of insurance must be presented at the time of contract award. Contractor shall maintain limits no less than: Comprehensive Public Liability: no less than $1,000,000 for injuries, including accidental death to anyone person, per accident and $1,000,000 in the aggregate for policy term. Automobile Liability: for injuries or damages caused by the Contractor's vehicle on the job site, a minimum combined single liability limit of $500,000. Workers' Compensation and Employers Liability: insurance covering all employees meeting statutory requirements in compliance with the applicable state and federal laws not less than $100,000 per person for employers' liability. No exclusions. Additional Misc. Liability: Any additional insurance required for certification as a lead licensed contractor or an asbestos licensed contractor including pollution liability insurance. Per the written contract, the Housing Authority of the City of Waterbury (WHA), its employees and agents, are endorsed as additionally insured. The WHA is also endorsed for waiver of subrogation on the above mentioned general liability and workers compensation policies. LIMITS CAN CHANGE BASED UPON PROJECT CRITERIA. RENEWAL OF PRE-QUALIFIED STATUS Automatic annual renewal will be made for contractors that maintain: The licensing (or an equivalent or higher level license) used for the original prequalification. Current city/county occupational and/or business licenses. It is the contractors' responsibility to provide WHA updated contact information and any additions or changes in licenses not less than 30 days prior to the expiration of the contractor's prequalified status. Current insurance certificates. It is the contractors' responsibility to provide the WHA updated insurance certificates prior to expiration.

5 EVALUATION The WHA reserves the right to determine, at its sole discretion, whether a Contractor's statement of qualifications satisfactorily meets the criteria established in the prequalification questionnaire. Further, the WHA reserves the right to seek clarification from any Contractor, any reference provided by the Contractor, Owner's for whom the Contractor has provided services, foreknowledge of Contractor's work for the WHA or others, collateral public sources, and licensing authorities for any Contractor submitting a statement of qualifications. The following factors will be evaluated based on a point system. 10 Points: 10 Points: 5 Points: 5 Points: 5 Points: 5 Points (Bonus): Contractor's qualifications and experience - Age of the company, qualifications of key personnel to be assigned to rehabilitation projects, extent of Contractor's activities References - Contractor's considerable and readily quantified experience in providing similar services; Contractor's proven ability to effectively manage multiple sites; Maintenance, safety, and security of work sites; Handling punch lists; Adequate cost controls; Timely work, sequencing, and completion; Proper invoicing and accounting practices; Proper management and payment of subcontractors and supply vendors. The financial stability and capacity of Contractor. Quality Assurance - management of work quality by contractor and subcontractors; quality of materials and supplies used; follow-up on quality issues, punch list items; and overall quality. Operations Management: - Standards of workplace conduct; Supervisory plan; Policies in recruitment and assignment to ensure that only fit and proper person(s) and subcontractors are hired with appropriate skill sets are deployed to fit site specific needs. Contracting firm is a Section 3 business Total Available Points: 40 Minimum Points to Qualify to Bid: 25 *To qualify to proceed to competitive bidding, potential contractors must score a minimum of 25 points. Pre-qualification applications will be scored by a scoring committee, as determined by the WHA, composed of 3 WHA employees. Names of the employees on the scoring committee will not be released. No contractor shall contact any employee on the scoring committee prior to scoring. Scoring will be done within 1 week from the Pre- Qualification Application deadline. All submitting contractors will be notified via whether they have been pre-qualified for bidding.*

6 Contractor Application Federal 1.0. Number: _ Date of Organization: _ STATEMENT OF QUALIFICATIONS TO BE SUBMITTED BY CONTRACTOR All questions must be answered and the information must be clear and comprehensive. The contractor may submit any additional information if he/she desires. If necessary, questions may be answered on a separate page and attached to the application. 1. Name of legal entity and address: Office Number: _ Fax Number: _ Mobile Phone: _ Address: _ ( ) Sole Proprietorship () Partnership () LLC () Corporation 2. Information on Contractor and/or Principals: Name: _ Telephone Number: _ Address: _ _ Name: _ Telephone Number: _ Address: _ _ 3. Background and experience of the principals in your firm, including the officers: 4. How many years have you been engaged in the contracting business, under your present form or trade area? S. Have you had any prior work experience with a housing authority, a HUD funded agency, or any other similar type of agency?

7 If yes, please explain your prior experience with names and years of experience: 6. Have you ever filed for bankruptcy? ( ) Yes () No If yes, when? _ 7. List the most important projects recently completed by your Company and who the work was performed for. State the approximate cost of each and month and year completed: Project Name: Project Location: _ Phone Number: Employer: _ Amount of Contract: Date of Completion: _ Project Name: Project Location: _ Phone Number: Employer: _ Amount of Contract: Date of Completion: _ Project Name: Project Location: _ Phone Number: Employer: _ Amount of Contract: Date of Completion: _ Project Name: Project Location: _ Phone Number: Employer: _ Amount of Contract: Date of Completion: _ Project Name: Project Location: _ Phone Number: Employer: _ Amount of Contract: Date of Completion: _ 8. Business References: (include primary bank and at least 2 suppliers) Bank name: Address: _ Phone: Account Numbers: _

8 Supplier: Address: _ Phone: Account Number: _ Supplier: Address: _ Phone: Account Number: _ Supplier: Address: _ Phone: Account Number: _ 9. Please list subcontractors used in the past: 10. What licenses do you currently hold in the State of Connecticut? Roofing License Number: _ Lead Contractor License Number: _ Other: _ 11. Please describe your experience in lead abatement or asbestos abatement. Include required certifications or licenses: 12. Please describe your operations management plan in regards to things such as standards of workplace conduct, supervisory plan, and recruitment policy: 13. Please describe your assurance of quality performance by contractors and subcontractors: 14. Are you a Section 3 Business? ( ) Yes ( ) No (If yes, you must fill out the attached Section 3 Business Form and return it with your Pre-Approval Application.)

9 15. Authorized Signatories/Negotiators The Contractor represents that the following persons are authorized to sign and/or negotiate contracts and related documents to which the bidder will be duly bound: Name and Title Telephone Number Address THE UNDERSIGNED, A DULY AUTHORIZED OFFICER OR EMPLOYEE, HEREBY CERTIFIES THAT THE ABOVE INFORMATION IS TRUE AND CORRECT. FURTHERMORE, HEREBY GIVES PERMISSIONS TO HAVE THE CREDIT INFORMATION RELEASED TO THE WATERBURY HOUSING AUTHORITY AND HAS HEREUNTO SET HIS/HER SIGNATURE. Signature Title Company Date

10 ATTACHMENT A Contractor General Requirements All eligible Contractors shall be required to: Obtain and pay for all permits and licenses necessary for the completion and execution of the work and labor to be performed. Perform all work to conform to applicable local codes and requirements. Abide by Federal and Local regulations pertaining to equal employment. Keep the premises clean and orderly during the course of the work and remove all debris at the completion of the work. Materials and equipment that have been removed and replaced as part of the work shall belong to the Contractor. Guarantee the work performed to be free from defect for a period of one year from the date of final acceptance of all of the work required by the contract. Furthermore, the Contractor must furnish the WHA with all manufacturers and suppliers' written guarantees and warranties covering the materials and equipment furnished under the contract. Provide or provide for, on-site supervision of Sub-Contractors and/or their employees. No Contractor shall be accepted to the program ifthey are on the H.U.D. debarred list. No Contractor shall be awarded a contract when they have four (4) WHA sponsored projects in process at anyone time.

11 Probationary Approval Contractors who are deemed qualified based upon information obtained, shall be placed on the eligibility list under a probationary status. They shall remain on the probationary status until they have successfully completed two (2) rehabilitation jobs. Suspension or Removal of Contractors from the Qualified List Contractors may be removed from the approved list. Once removed, the contractor must file an appeal on the determinati on in order to possibly be put back on the approved list. The request must be made in writing within ten (10) days of notification that his/her name has been removed from the list. Filing of an appeal does not guarantee replacement on the approved list. Once a contractor has been removed from the list twice, he is no longer eligible for approval and will remain permanently removed. A Contractor may be deleted from the list for one or more of the following reasons: Continuously poor quality work as determined by the WHA. Failure to maintain the proper insurance and keep the WHA updated. Failure to pay Sub-Contractors or Suppliers. Failure to respond within 2 business days to any written correspondence by the WHA. Failure to respond to complaints of the WHA. Contractor's insolvency, bankruptcy or other conduct or condition which has resulted in a monetary loss to the WHA in connection with the contract work.

12 Contractor's conviction of a crime in connection with the contract work or in connection with payment or receipt of funds administered by the Rehabilitation Program. Failure to maintain current license and registrations, if applicable. Contractor's billing for change orders without prior WHA approval. Failure to provide on-site supervision for Sub-Contractors or their employees. Any other reason that may present itself in which it is in the WHA's best interest to delete the contractor. Signature Title Company Date

13 S-VAC , Vacant Unit Rehabilitation Services (Attachment B) CERTIFICATION FOR BUSINESSCONCERNSSEEKING SECTION 3 BUSINESSPREFERENCE IN CONTRACTING AND DEMONSTRATION OF CAPABILITY NAME OF BUSINESS: ADDRESS OF BUSINESS: TYPE OF BUSINESS: D Corporation D Partnership D Sole Proprietorship D Joint Venture Attached is the following documentation as evidence of status: For business claiming status as a Section 3 resident-owned Enterprise: D Copy of resident lease D Other evidence D Copyof evidenceof participation in a public assistanceprogram For the business entity as applicable: D Copy of Articles of Incorporation D Assumed Business Name Certificate D List of owners/stockholder and % of each D Latest Board minutes appointing officers D Organization chart with names and titles and brief functional statement D Certificate of Good Standing D Partnership Agreement D Corporation Annual Report D Additional documentation For business claiming Section 3 status by subcontracting 25% of the dollar awarded to qualified Section 3 business: D List of subcontracted amount Section 3 business and subcontract For business claiming Section 3 status, claiming at least 30% of their workforce are currently Section 3 residents or were Section 3 eligible residents within 3 years of date of first employment with the business: D List of all current full time employees D PHA Residential lease (less than 3 years from date of employment) D List of all employees claiming Section 3 status D Other evidence of Section 3 status (less than3 years from date of employment) Evidence of ability to perform successfully under the terms and conditions of the proposed contract: D Current financial statement D Statement of ability to comply D List of owned equipment D List of all contracts for the past 2 yearswith public policy Corporate Seal Authorizing Name and Signature Notary Title My term expires: Signature Date Printed Name HOUSINGAUTHORITY OF THE CITY OF WATERBURY (WHA) Page 1 (Sample RFP Document Revised June, 2010-Work Product of Mike Gifford, )

14 S-VAC , Vacant Unit Rehabilitation Services (Attachment B) SUGGESTEDAFFIRMATIVE ACTION PLAN FOR UTILIZATION OF PROJECT AREA BUSINESSES Number Of All Contracts Proposed: Name Of Company: Dollar Value Of All Contracts Proposed: Project: To The Greatest Extent Feasible, Contracts Will Be Awarded Through Negotiation Or Proposal To Qualified Project Area Businesses. Goal Of These Contracts For Project Area Businesses: PROPOSED TYPE OF CONTRACT APPROX. COST PROPOSED TYPE OF CONTRACT APPROX. COST Outline The Program To Achieve These Goals For Economically And Socially Disadvantaged: NOTE: To Complete The Affirmative Action Plan, Follow Steps Outlines In Attached Exhibit. (INSERTTHIS DOCUMENTIN PROPOSALDOCUMENTSAND WITH PROPOSAL) DATE: Signature Date Printed Name HOUSING AUTHORITY OF THE CITY OF WATERBURY (WHA) Page 2 (Sample RFP Document Revised June, 2010-Work Product of Mike Gifford, 702/ )

15 S-VAC , Vacant Unit Rehabilitation Services (Attachment B) SUGGESTED AFFIRMATIVE ACTION PLAN FOR UTILIZATION OF PROJECT AREA BUSINESSES (con'd) SUGGESTED SECTION 3 PRELIMINARY WORKFORCE STATEMENT UTILIZATION OF LOWER INCOME PROJECT AREA RESIDENTS As REGULAR, PERMANENT EMPLOYEES, TRAINEES, ApPRENTICES. COMPANYNAME: ADDRESS: PROJECT: PRESENT PERMANENT EMPLOYEES (At Time of Contract Signing) SECTION3 WORKFORCE PROJECTION (Residents) TOTAL PROJECTED WORKFORCE INCREASE TRAINEES ApPRENTICES JOURNEYPERSONS LABORERS SUPERVISORY SUPERINTENDENT PROFESSIONAL CLERICAL NOTE: RESIDENTS ARE THOSE LOWER INCOME PROJECT AREA RESIDENTS WHO HAVE BEEN QUALIFIED AS ELIGIBLE. Signature Date Printed Name HOUSING AUTHORITY OF THE CITY OF WATERBURY (WHA) Page 3 (Sample RFP Document Revised June, 2010-Work Product of Mike Gifford, )

16 S-VAC , Vacant Unit Rehabilitation Services SECTION 3 BUSINESS PREFERENCE CLAUSE (Attachment B) This contract is subject to the following conditions under Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.c. 1701u (Section 3). A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.c. 1701u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low and very low-income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor or 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 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 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 CFRPart 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 CFRPart 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFRPart 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. 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 (25 U.S.c. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprise. 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). HOUSING AUTHORITY OF THE CITY OF WATERBURY (WHA) Page 4 (Sample RFP Document Revised June, 2010-Work Product of Mike Gifford, )

17 S-VAC , Vacant Unit Rehabilitation Services PREFERENCEFOR SECTION 3 BUSINESSCONCERNSIN CONTRACTING OPPORTUNITIES (Attachment B) The HA has established the following priority for preference when providing contracting opportunities to Section 3 Businesses: Priority Priority I Category 1a Business Business concerns that are 51 percent or more owned by residents of the housing development or developments for which the Section 3-covered assistance is expended. II Category 1b Business Businessconcerns whose workforce includes 30 percent of residents of the housing development for which the Section 3-covered assistance is expended, or within three (3) years of the date of first employment with the business concern, were residents of the Section 3-covered housing development. Priority III Category 2a Business Business concerns that are 51 percent or more owned by residents of any other housing development developments. or Priority Priority Priority IV Category 2b Business Business concerns whose workforce includes 30 percent of residents of any other public housing development or developments, or within three (3) years of the date of first employment with the business concern, were "Section 3" residents of any other public housing development. V Category 3 Business Business concerns participating in HUD Youth-build programs being carried out in the metropolitan area in which the Section 3-covered assistance is expended. VI Category 4a Business Business concerns that are 51 percent or more owned by Section 3 residents in the metropolitan area, or whose permanent, full-time workforce includes no less than 30 percent of Section 3 residents in the metropolitan area, or within three (3) years of the date of employment with the business concern, were Section 3 residents in the metropolitan area. Priority VII Category 4b Business Business concerns that subcontract 3 business concerns. in excess of 25 percent of the total amount of subcontracts to Section Eligibility for Preference A business concern seeking to qualify for a Section 3 contracting preference shall certify or submit evidence that the business concern is a Section business concern. HOUSINGAUTHORITY OF THE CITY OF WATERBURY (WHA) Page 5 (Sample RFP Document Revised June, 2010-Work Product of Mike Gifford, )

18 REQUESTFOR PROPOSALS(RFP) NO. S-INSP , HQS Inspection Services (Attachment B) HUDdirects within 24 efr 135 that the HAmay make award to qualified Section 3 business concern with the highest priority ranking and with the lowest responsive proposal if that proposal is: (a) within the maximum total contract price established by the HA; or (b) not more than "X" higher than the total proposal price of the lowest responsive proposal from any responsible bidder. "X" is determined as follows: "X" = LESSOROF: When the lowest responsive proposal is less than $100,000 10%of that proposal, or $9, When the lowest responsive proposal is at least: $100,000.00, but less than $200, % of that proposal, or $16, $200,000.00, but less than $300, %of that proposal, or $21, $300,000.00, but less than $400, %of that proposal, or $24, $400,000.00, but less than $500, %of that proposal, or $25, $500,000.00, but less than $1,000, %of that proposal, or $40, $1,000,000.00, but less than $2,000, % of that proposal, or $60, $2,000,000.00, but less than $4,000, %of that proposal, or $80, $4,000,000.00, but less than $7,000, %of that proposal, or $105, $7,000,000.00, or more 1.5% of the lowest responsive and responsible proposal with no dollar limit HOUSING AUTHORITY OF THE CITY OF WATERBURY (WHA) Page 6 (Sample RFP Document Revised June, 2010-Work Product of Mike Gifford, )