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REQUEST FOR PROPOSALS (RFP) 2021-01 (Montgomery Housing Authority)

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525 South Lawrence Street
Montgomery, Alabama 36104
REQUEST FOR PROPOSALS (RFP) 2021-01
Choice Neighborhoods Initiative (CNI)
Planning Partner for the Montgomery Housing Authority
Focusing on the
Historic Centennial Hill Neighborhood
DAT
E ISSUED: Monday, March 8, 2021
TY
PE OF PROJECT: The Montgomery Housing Authority (MHA) is seeking proposals from
qualified firm(s)/individual(s) to provide Consulting Services for
Montgomery’s Historic Centennial Hill neighborhood.
CONTACT PERSON:
Sheila Brown, Interim Procurement/Contract Administrator
sbrown@mhatoday.org
L
AST DAY FOR QUESTIONS: Tuesday, March 16, 2021 at 3:00 p.m. (CST)
S
UBMISSION DEADLINE: Tuesday, March 29, 2021 at 12:00 p.m. (CST)
S
UBMISSION ADDRESS:
Sheila Brown, Interim Procurement/Contract Administrator
M
ontgomery Housing Authority
525 South Lawrence Street
Montgomery, Alabama 36104
T
o request a copy of this RFP please visit our procurement page at www.mhatoday.org/procurement
, the
Housing Authority Marketplace, or you may request it in writing by emailing sbrown@mhatoday.org.
S
eparate sealed proposals will be accepted at the MHA’s, Procurement/Contract Office, 525 South Lawrence
Street, Montgomery, Alabama 36104, until the date and time noted above. Proposals will be held in confidence
and not released in any manner until after contract award.
The responsibility for submitting a response to this RFP at the MHA on or before the stated time and date will be solely
and strictly the responsibility of the respondent. The offeror shall wholly absorb all costs incurred in the preparation
and presentation of the proposal.
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
1
Mar
ch 8, 2021
P
otential Respondents:
Attached is a Request for Proposals (RFP) for CNI Planning Consulting Services for Montgomery’s Historic
Centennial Hill neighborhood.
M
HA is a innovative, creative, and forward-looking entity. We are seeking experienced consultants (individuals
or companies) that excel at working collaboratively with their clients. Please review the RFP documents for
details regarding this work and the preferred attributes and experience of the Planning Partner.
Proposals are due by 12:00 PM CST, March 29, 2021.
T
hank you for your consideration.
Sincerely,
S
heila Brown
Procurement/Contract Administrator
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
2
RFP General Information
1. Introduction .....................................................................................................................................................
3
2. Pre-Proposal Conference................................................................................................................................. 3
3. Availability of RFP ........................................................................................................................... 3
4. Question Deadline and Contact with MHA .................................................................................................... 3
5. Proposal Due Date .......................................................................................................................................... 3
6. Background and Scope of Services ................................................................................................................. 4
7. Proposal Requirements ................................................................................................................................... 5
8. Proposed Fees ................................................................................................................................................. 7
9. Evaluation Factors .......................................................................................................................................... 7
10. Reservation of Rights .................................................................................................................................... 12
Forms. Proposers should verify that they have downloaded and reviewed the following forms, which are required to
be included as part of their response. All forms are attached to this RFP and are available on MHA’s procurement
page at www.mhatoday.org/procurement.
F
orm of Proposal
Profile of Firm
Form HUD-5369-B Instructions to Offerors – Non-Construction
Form HUD 5369-C Certifications and Representations of Offerors – Non-Construction Contract
Form HUD SF-LLL Disclosure of Lobbying Activities
Form HUD 50071 Certification of Payments to Influence Federal Transactions
Form HUD 50070 Certification for a Drug-Free Workplace
Form HUD 2530 Previous Participation Certification
Statement of Contractor’s Qualifications
Section 3 Business Self Certification Form
W/MBE and Section 3 Subcontractor Certification
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
3
1. I
ntroduction. The Montgomery Housing Authority and the City of Montgomery, AL were awarded a 2020
Choice Neighborhoods Initiative (CNI) Planning Grant by the U.S. Department of Housing & Urban
Development (HUD) for the historic Centennial Hill neighborhood. MHA is currently seeking proposals
from qualified individuals and planning firms to become our Master Planning Partner for the 2-year CN
I
pl
anning process during which we will jointly create a community transformation plan. The awarde
d
Planning Partner will ensure that all grant requirements are met during the grant period as set by HUD.
Additionally, the successful firm must be willing and able to continue working with MHA through a CN
I
g
rant implementation period, if awarded. All proposals submitted in response to this RFP must conform to
the requirements and specifications outlined herein and in the RFP attachments. MHA encourages Section 3,
minority- and/or women-owned businesses to respond.
Preferred Attributes of the Planning Partner. MHA, the City of Montgomery, and our partners are creative
and visionary professionals. The existing team will continue to make meaningful contributions to the direction
and overall vision throughout the entire CNI planning process. MHA seeks a professional planning partner
with a servant-leadership orientation that will work with us in collaborative ways throughout the planning
period and implementation period, if awarded. In addition, the preferred planning partner must have a
successful track record in working effectively and respectfully with diverse populations, spanning age, race,
gender, ethnic background, religious background, educational attainment, professional attainment, and with
people at all income levels. The Planning Partner must have the ability to produce high quality work products
and planning documents of a standard that is acceptable to HUD. Finally, the preferred planning partner
should have extensive experience developing successful plans that engage communities and lead to improved
quality of life for residents of underserved neighborhoods. Extra points will be awarded for firms who have
worked on planning grants that subsequently were awarded implementation grants in HUD’s CNI program.
2. Pre-Proposal Conference. None scheduled.
3. A
vailability of the RFP. Proposers may obtain the RFP electronically at the Housing Agency Marketplace and
the MHA website. The Proposer may also request a copy by emailing Sheila Brown at sbrown@mhatoday.org
.
4. Question Deadline and Contact with MHA. All communication, correspondence, and questions regarding
this RFP must be submitted by EMAIL ONLY to Sheila Brown at sbrown@mhatoday.org
. The deadline
to submit questions is 4:00 PM on Tuesday, March 16, 2021.
M
HA will not conduct any in-person conversations regarding this RFP during the procurement process that
may give one prospective proposer any real or perceived advantage over any other prospective proposers.
Therefore, questions regarding the RFP that are properly submitted in writing via email t
o
sbrown@mhatoday.org will be responded to by addendum to the RFP and released electronically to all
known prospective proposers simultaneously. Proposers may not communicate with any other MHA sta
ff
m
ember or official regarding this RFP, including members of the MHA Board of Commissioners. Nor ma
y
pr
oposers contact MHA consultants for additional information. Failure to abide by this requirement ma
y
r
esult in a determination of ineligibility to submit a proposal for this work.
5. Proposal Due Date. Proposers shall submit four hard copies of their proposal and one electronic copy on a
jump drive in a sealed envelope clearly marked “CNI MASTER PLANNING-RFP 2021-01” to Sheila Brown,
MHA Procurement Department, 525 S Lawrence St., Montgomery, AL 36104 no later than 12:00 PM
Central Standard Time on Monday, March 29, 2021. Late proposals will not be accepted.
Note: An essential function of the planning firm will be to comply with HUD timelines. Therefore,
proposers must be available for interviews and contract negotiations promptly.
4
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
1. Background and Scope of Services. The MONTGOMERY HOUSING AUTHORITY (MHA) is
currently seeking proposals from qualified individuals and planning firms to become our Master Planning
Partner for the CNI planning process. The Planning Partner will lead the CNI planning process in conjunction
with our team at MHA and the subsequently procured Development Partner for the Paterson Court
redevelopment project. MHA is the lead applicant for the CNI Planning Grant, and the City of Montgomery
serves as Co-Applicant. The selected Contractor will perform CNI planning activities including: Assessing
the Existing Conditions, the Visioning Process, Neighborhood Plan Process, Housing Plan Process, People
Plan Process, and the Transformation Plan. The list of tasks and current planning schedule is attached to this
RFP as is the current organizational structure. MHA will only share their winning CNI application with the
Contractor that is selected to perform this work. Tasks may be modified based on the needs of the MHA, the
City of Montgomery, MHA’s chosen development partner and HUD.
1.1 Goals of Choice Neighborhoods Initiative. The Choice Neighborhoods Initiative bolsters community-
generated strategies to address struggling neighborhoods wherein there is distressed public or HUD-
assisted housing. The CNI program aims to transform these areas into neighborhoods of choice using a
comprehensive approach to neighborhood transformation that goes well beyond the normal scope of
standard affordable housing redevelopment. The CNI program supports organizations that work to
transform neighborhoods by not only revitalizing severely distressed public housing but also by
leveraging investments in well-functioning community programs and services, providing new investment
dollars where none exist currently, supporting high quality public schools and innovative education
programs such as high quality early learning programs and services, creatively leveraging existing public
assets, public transportation, and by working to improve access to jobs for all residents in the community
focus area. Additional and more detailed information about HUD’s 10-year history of progress under the
CNI program can be found at:
Choice Neighborhoods Implementation Grants | HUD.gov / U.S.
Department of Housing and Urban Development (HUD)
T
he Choice Neighborhoods Initiative is focused on three core goals:
(a) Housing: Transform distressed public and assisted housing into energy efficient, mixed-
income housing that is physically and financially viable over the long term
(b) People: Support positive outcomes for families who live in the target developments and the
surrounding neighborhood, particularly outcomes related to residents’ education, health a
nd
r
ecreation, safety, employment, and mobility
(c) Neighborhood: Transform distressed, high-poverty neighborhoods into viable, mixed-
income neighborhoods with access to well-functioning services, high quality public schools
and education programs, high quality early learning programs and services, public assets,
public transportation, and improved access to jobs.
1.2
Scope of Services. The selected Planning Partner will co-lead the CNI planning process in conjunction
with the team currently working on the CNI planning grant at the direction of the MHA. The target
neighborhood is historic Centennial Hill. The distressed public housing development is Paterson Court.
Additionally, two advisory boards will be created for this initiative. The first is the Centennial Hill
Advisory Board (CHAB), which will be composed of community leaders. The second is the Paterson
Innovators (PI), which is a group of the Paterson Court development resident leaders. The MHA team
will also create Neighborhood, Housing and People Committees and additional Task Forces as needed.
T
he Planning Partner will be involved in the following:
• Assessing the Existing Conditions. Facilitating the Paterson Court meetings, identifying
community assets, interviewing service provider organizations, conducting the resident needs
assessment, and conducting the community needs assessment. In addition, the Planning Partner will
document the process and the results. The MHA team will retain a market study consultant. The
5
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting
Services MHA, CHAB and PI will review the outputs and provide comments.
• The Visioning Process. Conducting individual and joint visioning sessions for Paterson Court
residents, Centennial Hill residents as well as others identified as stakeholders within in the footprint
of the Montgomery CNI’s historic Centennial Hill footprint. Refinement of the vision in community-
wide meetings. Documentation of the plan, the process and the results, using community data gleaned
from the process to form a vision that can be implemented. The MHA-led team will actively
participate in this visioning process. The MHA, CHAB and PI will review the outputs and provide
comments and feedback to inform the process further.
• Neighborhood Plan Process. Conducting Paterson Court and Centennial Hill meetings to explore
options and opportunities. Identify potential projects and identify realistic options for funding to
s
upport each project. Assist in evaluating the strength of each project. Documentation of the pla
n,
t
he process and the results is necessary and key to the success of this effort. The MHA team will
implement Early Action Activities. The MHA, CHAB and PI will review the outputs and provide
comments and feedback to inform the process further.
• The Housing Plan Process. Assist the MHA team with the State Historic Preservation Office (SHPO)
consultation, Part 58 Environmental Review and Phase I and II Environmental Assessments as
needed. Work with the Housing Committee and Task Forces, the Paterson Court community
residents and Centennial Hill residents as well as business investment interest to create a shared
wider-community vision for housing. Support the MHA and their selected architectural firm when
needed to develop conceptual housing alternatives and schematic drawings for stakeholders to review
and discuss at public meetings or elsewhere. Work with the master developer and financial
consultants retained by MHA to identify financing options. The MHA, CHAB and PI will review the
outputs and provide comments.
• The People Plan Process. Work with the People Committee and Tasks Forces and the service
providers, supported by the results of the resident needs assessment to identify appropriate programs
and services that will assist families to become economically self-sufficient, improve the educational
outcomes for children, improve health outcomes, improve safety and security, and assist seniors to
successfully age in place. Identify funding sources. Document the process and the results, including
a
plan that can be carried into the implementation phases. The MHA team will participate in this
process. The MHA, CHAB and PI will review the outputs and provide comments.
• Project Outputs. Develop the Transformation Plan with Content, the draft Transformation Plan and
the Final Transformation Plan. The MHA team will participate in this process. The MHA, CHAB
and PI will review the outputs and provide comments.
2. Proposal Requirements. MHA intends to retain a Contractor using a best value basis, meaning MHA will
consider factors other than just cost in making an award (see Section 4). Therefore, to allow for easy
comparison of proposals during evaluation, proposals should contain the following information with
documentation and be arranged in consecutive order.
2.1
Profile of Firm, Form of Proposal, HUD 5369 B, HUD 5369 C, HUD SF-LLL, HUD 50071, HUD
50070 and HUD 2530. These forms must be fully completed, if applicable, and submitted as part of the
proposal submittal.
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
6
2.2
Success Rate, Qualifications, Experience, and Personnel Listing.
• List the community engagement plans the proposer has prepared for housing development and/or
neighborhood revitalization projects, and details that illustrate the success of those plans. Include
the name, address and telephone number of client contacts for each
• The proposer’s qualifications, relevant experience, and ability of staff to successfully perform the
required services; include experience with Choice Neighborhoods applications, if applicable
• The number of years the firm has been in business
• The project team members, their roles on the project and provide resumes that describe how they
meet the qualifications listed above.
2.3
Description of the Planning Process. Please address each item listed in the Scope of Services in 1.2.
2.4
Statement of Contractor Qualifications. This form must be complete and submitted as part of the
proposal submittal. The proposal must include relevant resumes, a representative list of community
engagement plans the firm has written as well as two samples.
2.5 References. Include a list of at least three references to explain your experience with performing
services similar to those detailed herein. Include contact information for each reference. At least one
reference should be from an organization that is similar in nature to MHA.
2.6
Misc. Pricing. The proposer must include his hourly rate for any additional work, outside of what is
outlined in this RFP, that the MHA may request. This hourly rate will be applicable to the work beyond
those proposed in the lump sum amounts associated Community Engagement and with the preparation
of a Choice Neighborhoods Implementation Grant application.
2.7 Women-/Minority-Owned Business Enterprises and Section 3 Participation. Attachment G must
be fully completed and submitted as part of the proposal submittal. The proposer must also submit a
copy of its Equal Employment Opportunity Policy or Affirmative Action Plan.
2.8
Section 3 Self-Certification Form (Optional). Section 3 is an income-based program through the U.S.
Department of Housing and Urban Development that allows MHA to give preferences to those that
qualify. To claim a Section 3 Preference for this RFP, the proposer must complete and submit Section 3
certification along with any documentation required by the form.
2.9
Subcontractor/Joint Venture Information (Optional). Identify whether your firm intends to use any
subcontractors to perform these services and/or if the proposal is a joint venture with another firm. All
preceding information required from the proposer must also be included for any major subcontractors
(10% or more) or any joint ventures.
2.10 O
ther Information (Optional). The proposer may include any other information that they believe is
appropriate to assist MHA in its evaluations.
Request for Proposals (RFP 2021-01 – CNI Planning Partner Consulting Services
7
3. P
roposed Fees. The proposed fees (Pricing Items) must be submitted as part of this proposal. Unless
o
therwise stated, the proposed fees are all-inclusive of all related costs that the successful proposer will incur
to provide the noted services, including, but not limited to: employee wages and benefits; clerical support;
overhead; profit; licensing; insurance; materials; supplies; tools; equipment; long distance telephone calls;
trip fees; mileage; travel expenses; document copying; etc.
3.1
Realistic Fees. The proposer is encouraged to propose a realistic fee for each Pricing Item. MHA
reserves the right to not award to any proposer that proposes an unreasonable fee(s).
Pricing
Item No.
Qty. U/M Description
1
1 LS
Firm-fixed base bid fee to complete community engagement
work for the Choice Neighborhoods Transformation Plan per
the specified scope.
2
1 LS Firm-fixed base bid fee to develop the Transformation Plan.
The firm-fixed base bid fee will be negotiated with the firm
based on the scope of the Transformation Plan.
3.2 Quantities. All quantities entered by MHA herein are estimates and are for calculating purposes only.
MHA does not guarantee any minimum or maximum for the amount of services resulting from any
ensuing contract award.
3.3 No Deposit/Retainer. MHA will not pay any deposit or retainer fees under any ensuing contract,
meaning MHA will only pay the successful proposer or actual work performed. The Contractor will be
required to submit full back-up details of all services provided.
3.4 Proposer’s Responsibilities. It is the proposer’s responsibility to be aware of and abide by all dates,
times, terms, conditions, requirements and specifications set forth herein, in the attachments to the RFP
and any addenda. By submitting a proposal, the proposer agrees to comply with all terms, conditions and
requirements set forth in the RFP documents. Written notice from the proposer not authorized in writing
by MHA to exclude any of the requirements may cause such proposer to not be considered for an award.
4. E
valuation Factors. Each proposal received will first be evaluated for responsiveness (i.e. meets the
minimum requirements). Proposals will then be evaluated by an Evaluation Panel made up if staff members
and representatives of MHA. No proposer will be informed at any time as to the identity of any Evaluation
Panel member. If a proposer becomes aware of the identity of such person(s), they shall not attempt to contact
or discuss anything regarding this RFP with such person. Failure to abide by this requirement may cause the
proposer to be eliminated from consideration for award. Evaluations will be based on the following criteria:
No.
Maximum
Point Value
Description
1a
10 points
the Choice Neighborhoods application per the specified scope.
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
8
1b
5 points
Centennial Hill neighborhood. The firm-fixed base bid fee will be negotiated
with the firm based on this hourly rate submitted.
2
15 points
(Section 6) and additional materials; compelling narrative that demonstrates
3
30 points
4
40 points
qualifications and professional competence in areas directly related to this
100 points
BONUS
10 points
110 points
*
Additional points available for Section 3 businesses.
Section 3 Business Preference Evaluation Factor. A proposer may receive a Section 3
Business Preference if they qualify as detailed in Attachment F.
Factor
No.
Maximum
Point Value
Description
5
5a
15 points
Priority I, Category 1a. Business concerns that are 51% or more owned
by residents of the housing development or developments for which the
Section 3-covered assistance is expended.
5b
13 points
Priority II, Category 1b. Business concerns whose workforce includes at
least 30% 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.
5c
11 points
Priority III, Category 2a. Business concerns that are 51% or more
owned by residents of any other housing development(s).
5d
9 points
Priority IV, Category 2b. Business concerns whose workforce includes
30% of residents of any other public housing development(s), 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.
5e
7 points
Priority V, Category 3. Business concerns participating in HUD Youth-
build programs being carried out in the metropolitan area in which the
Section 3-covered assistance is expended.
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
9
5f
5 points
Priority VI, Category 4. Business concerns that are 51% or more owned
by Section 3 residents or Individuals whose income falls below the HUD
Income in the metropolitan area; or whose permanent, full-time
workforce includes no less than 30% of Section 3 residents or
Individuals whose income falls below the HUD Income in the
metropolitan area, or within three (3) years of the date of employment
with the business concert, were Section 3 residents in the metropolitan
area; or business concerns that subcontract at least 25% of the total
amount of subcontracts to Section 3 business concerns.
125 points
Total Maximum Points
4.1 Potential Best and Finals Negotiations. MHA reserves the right to conduct a best and finals process,
including conducting oral interviews with proposers deemed to be in the competitive range. A proposer
must receive a total calculated average of at least 70 points to be considered in the competitive range.
Any proposer not in the competitive range will be notified of such in writing by MHA.
4.2
Ties. In the case of a tie in points awarded, the award shall be decided by drawing lots or other random
means of selection.
4.3
Notice of Results. If an award is made, all proposers will receive a written Notice of Results informing
proposers of:
• Which proposer received the award.
4.4
Restrictions. All persons having familial (including in-laws) and/or employment relationships (past or
current) with principals and/or employees of a proposer entity will be excluded from participation on the
Evaluation Panel. Similarly, all persons having ownership interest in and/or contract with a proposer entity
will be excluded from participation on the Evaluation Panel.
4.5 No Public Opening. There is no public opening for this RFP. MHA will receive, open and evaluate all
proposals in private, and will inform proposers of the results in a timely manner.
4.6
Assignment of Personnel. MHA shall retain the right to request and receive a change in personnel
assigned to the work if MHA believes that such change is in its best interests.
4.7
Unauthorized Sub-contracting Prohibited. The Contractor shall not assign any right, nor delegate any
duty for the work proposed pursuant to this RFP (including, but not limited to, selling or transferring the
contract) without MHA’s prior written consent. Any purported assignment of interest or delegation of
duty, without MHA’s prior written consent shall be void and may result in the cancellation of the contract
with MHA, or may result in the full or partial forfeiture of funds paid to the Contractor as a result of the
proposed contract; either as determined by MHA.
4.8
Contract Period. MHA anticipates that it will award a contract for the period of time that it takes the
Contractor to complete the work and submit the completed Transformation Plan to HUD by the HUD-
mandated deadlines. It is currently contemplated that the completion of the Transformation Plan will be
completed within 24 months or less.
4.9 Licensing and Insurance Requirements. Prior to contract award, the successful proposer must
provide the following to MHA:
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
10
• W
orkers Compensation Insurance. An original certificate of insurance evidencing the
proposer’s current policy of industrial (worker’s compensation) coverage in the minimum
amount of $1,000,000 per each single occurrence plus sufficient amounts of reinsurance. Such
policy should cover any and all individuals, employed by proposer, performing work on MHA’s
premises.
• General Liability Insurance. An original certificate evidencing the proposer’s current policy
of General Liability coverage, naming MHA as an additional insured, in the minimum amount
of $1,000,000 per each single occurrence;
• Automobile Insurance. An original certificate evidencing the proposer’s current policy of
automobile insurance, naming MHA as an additional insured, in the minimum amount of
combined single limit coverage of $1,000,000 plus adequate amounts of reinsurance.
• Professional Liability Insurance. An original certificate evidencing proposer’s professional
liability and/or “errors and omissions” coverage in the minimum amount of (minimum of
$1,000,000 per each occurrence.
• Business License(s). Copies of any applicable business license(s) allowing the proposer to
provide the services in the City of Montgomery, Montgomery County, and/or the State of
Alabama.
4.10 C
ontract Service Standards. All work performed pursuant to this RFP must conform and comply
with all applicable local, state and federal codes, statutes, laws and regulations.
4.11 Equal Employment Opportunity and Supplier Diversity. Both the successful proposer and MHA
have certain responsibilities regarding the hiring and retention of personnel and subcontractors pursuant
to HUD regulations. 2 CFR § 200.321 states:
• The Non-Federal entity must take all necessary affirmative steps to assure that minority
businesses, women’s business enterprises, and labor surplus area firms are used when
possible.
• (
b) Affirmative steps must include:
o (1) Placing qualified small and minority businesses and women’s business enterprises on
solicitation lists;
o (2) Assuring that small and minority businesses, and women’s business enterprises are
so
licited whenever they are potential sources;
o (
3) Dividing total requirements, when economically feasible, into smaller tasks or
quantities to permit maximum participation by small and minority businesses, and
women’s business enterprises;
o (4) Establishing delivery schedules, where the requirement permits, which encourage
participation by small and minority business, and women’s business enterprises;
o (5) Using the services and assistance, as appropriate, of such organizations as the Sma
ll
B
usiness Administration and the Minority Business Development Agency of the
Department of Commerce; and
o
Request for Proposals (RFP 2021-01) – CNI Planning Partner Consulting Services
11
o (6) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative
steps listed in paragraphs (1) through (5) of this section.
4.12 P
rompt Return of Contract Documents. Any and all documents required to complete the contract,
including contract signature by the successful proposers, shall be provided to MHA within 10 working
days of receipt from MHA.
5. R
eservation of Rights. MHA reserves the following rights:
5.1 The Right to Reject, Waive, or Terminate the RFP. Reject any or all proposals, waive any informality
in the RFP process, or terminate the RFP process at any time, if deemed by MHA to be in its best
interests.
5.2 The Right to Not Award. Not award a contract pursuant to this RFP.
5.3 The Right to Determine Time and Location. Determine the days, hours and locations that the
successful proposer will provide the services detailed in this RFP.
5.4 The Right to Retain Proposals. All proposal shall remain open for acceptance for a period of 180
days beginning upon submission to MHA.
5.5 The Right to Reject Any Proposal. Reject and not consider any proposal that does not meet the
requirements of this RFP, including, but not limited to, incomplete proposals and/or proposals offering
alternative or non-requested services.
5.6
No Obligation to Compensate. Have no obligation to compensate any proposer for any costs incurred
in responding to this RFP.
5.7
The Right to Prohibit. At any time during the RFP or contract process prohibit any further participation
by a proposer or reject any proposal submitted that does not conform to the requirements detailed herein.
By submitting a proposal, the proposer agrees to abide by all terms and conditions listed herein and in
the attachments.
5.8 The Right to Reject – Obtaining the RFP Documents. The Housing Agency Marketplace and the
MHA Website are the only places to obtain the RFP documents and any other information regarding this
RFP, such as addenda. By submitting a proposal, the proposer affirms that they obtained all information
on such site. Any other group, such as a bid depository, that informs potential proposers of competitive
solicitations, is hereby instructed to not distribute the RFP documents to any potential proposers, but to
instruct such to visit the Housing Agency Marketplace or the MHA website to obtain the documents.
5.9
The Right to Modify. The right to increase, reduce, add or delete any item to this solicitation as deemed
necessary. MHA also reserves the right to increase or delete any scheduled items, reduce the quantity
of any scheduled item, or to only award portion of this RFP as deemed necessary.
FORM OF PROPOSAL
(This Form must be fully completed and placed under Tab No. 1 of the “hard copy” tabbed proposal submittal.)
____________________ _________ ________________ _____________________
Signature Date Printed Name Company
MONTGOMERY HOUSING AUTHORITY, AL
Page 1
(1) Instructions. Unless otherwise specifically required, the items listed below must be
completed and included in the proposal submittal. Please complete this form by marking an
“X,” where provided, to verify that the referenced completed form or information has been
included within the “hard copy” proposal submittal submitted by the proposer. Also,
complete all the statements and certifications listed following herein:
[Table No. 1]
“X” =
Item
Included
Tab
No.
Submittal Item
(one original signature copy of each document)
1
Form of Proposal
2
form HUD 5369-C, Form HUD SF-LLL Disclosure of Lobbying
Activities, Form HUD 50071 Certification of Payments to
Influence Federal Transactions, Form HUD 50070
Certification for a Drug-Free Workplace and Form HUD 2530
Previous Participation Certification
3
Profile of Firm Form
4
Proposed Services
5
Managerial Capacity/Financial Viability, including resumes
6
Client Information
7
Equal Employment Opportunity Statement
8
Subcontractor/Joint Venture Information (Optional)
9
Section 3 Submittal Form & Section 3 Business Preference
Documentation (Optional)
10
Other Information (Optional)
(2) SECTION 3 STATEMENT. Are you claiming a Section 3 business preference? Yes No
If “YES,” pursuant to the Section 3 portion within the Conditions and Specifications, and
pursuant to the documentation justifying such submitted under Tab No. 9, which priority are
you claiming? ____________.
(3) Debarred Statement. Has this firm, or any principal(s) thereto, ever been debarred from
providing any services by the Federal Government, any state government, the State of
Alabama, or any local government agency within or without the State of Alabama? Yes No
If "Yes," please attach a full detailed explanation, including dates, circumstances, and
current status.
(4) Disclosure Statement. Does this firm or any principals thereof have any current, past
personal or professional relationship with any Commissioner or Officer of the Agency? Yes
FORM OF PROPOSAL
(This Form must be fully completed and placed under Tab No. 1 of the “hard copy” tabbed proposal submittal.)
____________________ _________ ________________ _____________________
Signature Date Printed Name Company
MONTGOMERY HOUSING AUTHORITY, AL
Page 2
No If "Yes," please attach a full detailed explanation, including dates, circumstances,
and current status.
(5) Felony Disclosure. Has any principal(s) or any person(s) proposed to perform the work
ever been convicted of a felony? Yes No If "Yes," please attach a full detailed
explanation, including dates, circumstances, and current status. PLEASE NOTE: The Agency
reserves the right to not make award to any proposer that has staff who has been convicted
of a felony if the Agency feels that doing such is in its best interests.
(6) Non-Collusive Affidavit. The undersigned party submitting this proposal hereby certifies
that such proposal is genuine and not collusive and that said proposer entity has not colluded,
conspired, connived or agreed, directly or indirectly, with any proposer or person, to put in
a sham proposal or to refrain from proposing, and has not in any manner, directly or indirectly
sought by agreement or collusion, or communication or conference, with any person, to fix
the proposal price of affiant or of any other proposer, to fix overhead, profit or cost element
of said proposed price, or that of any other proposer or to secure any advantage against the
Agency or any person interested in the proposed contract; and that all statements in said
proposal are true.
(7) Proposer’s Statement. The undersigned proposer hereby states that by completing and
submitting this Form and all other documents within this proposal submittal, he/she is
verifying that all information provided herein is, to the best of his/her knowledge, true and
accurate, and that if the Agency discovers that any information entered herein to be false,
such shall entitle the Agency to not consider or make award or to cancel any award with the
undersigned party. Further, by completing and submitting the proposal submittal, and by
entering and submitting the costs where provided within the eProcurement Marketplace, the
undersigned proposer is thereby agreeing to abide by all terms and conditions pertaining to
this RFP as issued by the Agency, either in hard copy or on the eProcurement Marketplace,
including an agreement to execute the attached Sample Contract form. Pursuant to all RFP
Documents, this Form of Proposal, and all attachments, and pursuant to all completed
Documents submitted, including these forms and all attachments, the undersigned proposes
to supply the Agency with the services described herein for the fee(s) entered within the
areas provided within the eProcurement Marketplace pertaining to this RFP.
PROFILE OF FIRM
MONTGOMERY HOUSING AUTHORITY, ALABAMA
Page 1
Montgomery Housing Authority
525 South Lawrence Street
Montgomery, Alabama 36104
(This Form must be fully completed and placed in the submittal.)
PRIME_______ SUB-CONTRACTOR _______
(Proposer must also identify his sub-contractors (if any) by providing Profile of Vendor form for each)
(1)Name of
Vendor:_______________________________________________________________________________
(2)Address, City, State, Zip:_______________________________________________________________________
(3)Telephone: __________________________ Fax:____________________________________________________
Email:____________________________________________________________________________________
(4) Proposer Diversity Statement: You must check all of the following that apply to the ownership of this
vendor and enter where provided the correct percentage (%) of ownership of each:
Caucasian Public-Held Government Non-Profit
American (Male) Corporation Agency Organization
__________% __________% __________% __________%
Resident – (RBE), Minority- (MBE), or Woman-Owned (WBE) Business Enterprise (Qualifies by virtue of
51% or more ownership and active management by one of more of the following:
Resident- African Native Hispanic Asian/Pacific Asian/Indian
Owned American American American American American
_______% _______% _______% _______% _______% _______%
Woman-Owned Woman-Owned Disabled Other
(MBE) (Caucasian) Veteran (Specify)
_______% _______% _______% _______%
WMBE Certification Number:___________________________________________________________
Certified by:_________________________________________________________________________
(NOTE: A CERTIFICATION / NUMBER NOT REQUIRED TO PROPOSE – ENTER IF AVAILABLE)
(5) Federal Tax ID No. __________________________________________________________
DUNS No._________________________________________________
(6) Business License No. ___________________________________ State___________________
(7) General Liability Insurance Carrier:_________________________________________________
Policy No.___________________________________ Expiration Date_____________________
(8) Worker’s Compensation Insurance Carrier:___________________________________________
PROFILE OF FIRM
MONTGOMERY HOUSING AUTHORITY, ALABAMA
Page 2
Policy No.___________________________________ Expiration Date_____________________
(9) Professional Liability Insurance Carrier:_____________________________________________
Policy No.___________________________________ Expiration Date_____________________
(10) Debarred Statement: Has this firm or any principal(s) ever been debarred from provided any services by the
Federal Government, any state government, the State of Alabama, or any local government agency within or
without the State of Alabama? Yes No
If “Yes” please attach a full detailed explanation, including dates, circumstances and current status.
(11) Disclosure Statement: Does this firm or any principals thereof have any current past personal or professional
relationship with any Commissioner or Officer of MHA? Yes No
If “Yes” please attach a full detailed explanation, including dates, circumstances and current status.
(12) Non-Collusive Affidavit: The undersigned party submitting this proposal or bid hereby certifies that such
proposal or bid is genuine and not collusive and that said proposer entity has not colluded, conspired,
connived or agreed, directly or indirectly, with any proposer or person to put in a sham proposal or bid or to
refrain from proposing or bidding, and has not in any manner, directly or indirectly sought by agreement or
collusion or communication or conference with any person, to fix the proposal or bid price of affiant or of
any other proposer or bidder, to fix overhead, profit or cost elements of said proposal or bid price, or that any
other proposer or bidder or to secure any advantage against the Housing Authority or any person interested in
the proposed contract; and that all statements in said proposal or bids are true.
(13) Verification Statement: The undersigned proposer hereby states that by completing and submitting this
form he/she is verifying that all information provided herein is, to the best of his/her knowledge, true and
accurate, and agrees that if MHA discovers that any information entered herein if false, that shall entitle
MHA to not consider nor make or to cancel any award with the undersigned party.
(14) Code of Alabama §11-93-2. Maximum amount of damages recoverable against governmental entities;
settlement or compromise of claims not to exceed maximum amounts.
The recovery of damages under any judgment against a governmental entity shall be limited to $100,000.00
for bodily injury or death for one person in any single occurrence. Recovery of damages under any judgment
or judgments against a governmental entity shall be limited to $300,000.00 in the aggregate where more than
two persons have claims or judgments on account of bodily injury or death arising out of any single
occurrence. Recovery of damages under any judgment against a governmental entity shall be limited to
$100,000.00 for damage or loss of property arising out of any single occurrence. No governmental entity
shall settle or compromise any claim for bodily injury, death or property damage in excess of the amounts
herein above set forth. (Acts 1977, No. 673, p. 1161, §2.)
______________________________________ __________________________
Signature Date
______________________________________ __________________________
Printed Name Title
PROFILE OF FIRM
MONTGOMERY HOUSING AUTHORITY, ALABAMA
Page 3
Client Reference Form
The past performance of the respondent on prior work of the same or similar nature, in the past (3) years,
based on the letters of reference and/or client lists submitted, and based upon the results of any consultation
that the MHA chooses to conduct with such. The past performance shall also include quality of work, and
compliance with performance schedules.
Respondent shall submit a listing of former or current clients, including any other Public Housing Authority
for whom the respondent has performed similar or like services to those being proposed in the QSP. The
listing shall at a minimum include:
• Client’s name
• Client’s contact name
• Client’s telephone number
• A brief description and scope of the service(s) and the dates the services were provided
Client Information
Organization Name (Client):
Organization Address:
Contact Name:
Title:
Phone Number:
Email address:
Brief Description of Services
Dates Provided
Client Information
Organization Name (Client):
Organization Address:
Contact Name:
Title:
Phone Number:
Email address:
Brief Description of Services
Dates Provided
form HUD-5369-C (8/93)
ref. Handbook 7460.8
Previous edition is obsolete
page 1 of 2
1. Contingent Fee Representation and Agreement
(a) The bidder/offeror represents and certifies as part of its bid/
offer that, except for full-time bona fide employees working
solely for the bidder/offeror, the bidder/offeror:
(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.
(b) If the answer to either (a)(1) or (a) (2) above is affirmative,
the bidder/offeror shall make an immediate and full written
disclosure to the PHA Contracting Officer.
(c) Any misrepresentation by the bidder/offeror shall give the
PHA the right to (1) terminate the resultant contract; (2) at its
discretion, to deduct from contract payments the amount of any
commission, percentage, brokerage, or other contingent fee; or
(3) take other remedy pursuant to the contract.
2. Small, Minority, Women-Owned Business Concern Rep-
resentation
The bidder/offeror 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, includ-
ing 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 small business concern.
“Women-owned,” as used in this provision, means a small
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 enterprise which, pursuant to
Executive Order 11625, is defined as a business which is at
least 51 percent owned 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
3. Certificate of Independent Price Determination
(a) The bidder/offeror certifies that—
(1) The prices in this bid/offer have been arrived at indepen-
dently, without, for the purpose of restricting competi-
tion, any consultation, communication, or agreement
with any other bidder/offeror or competitor relating to (i)
those prices, (ii) the intention to submit a bid/offer, or
(iii) the methods or factors used to calculate the prices
offered;
(2) The prices in this bid/offer have not been and will not be
knowingly disclosed by the bidder/offeror, directly or
indirectly, to any other bidder/offeror or competitor be-
fore bid opening (in the case of a sealed bid solicitation)
or contract award (in the case of a negotiated solicitation)
unless otherwise required by law; and
(3) No attempt has been made or will be made by the bidder/
offeror to induce any other concern to submit or not to
submit a bid/offer for the purpose of restricting competition.
(b) Each signature on the bid/offer is considered to be a certifi-
cation by the signatory that the signatory:
(1) Is the person in the bidder/offeror’s organization respon-
sible 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 subpara-
graphs (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/offeror’s
organization responsible for determining the prices of-
fered in this bid or proposal, and the title of his or her
position in the bidder/offeror’s organization);
(ii) As an authorized agent, does certify that the princi-
pals named in subdivision (b)(2)(i) above have not par-
ticipated, and will not participate, in any action contrary
to subparagraphs (a)(l) through (a)(3) above; and
U.S. Department of Housing
and Urban Development
Office of Public and Indian Housing
Certifications and
Representations
of Offerors
Non-Construction Contract
Public reporting burden for this collection of information is estimated to average 5 minutes 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 form includes clauses required by OMB’s common rule on bidding/offering procedures, implemented by HUD in 24 CFR 85.36, and those requirements
set forth in Executive Order 11625 for small, minority, women-owned businesses, and certifications for independent price determination, and conflict of interest.
The form is required for nonconstruction contracts awarded by Housing Agencies (HAs). The form is used by bidders/offerors to certify to the HA's Contracting
Officer for contract compliance. If the form were not used, HAs would be unable to enforce their contracts. Responses to the collection of information are
required to obtain a benefit or to retain a benefit. The information requested does not lend itself to confidentiality.
form HUD-5369-C (8/93)
ref. Handbook 7460.8
Previous edition is obsolete
page 2 of 2
(iii) As an agent, has not personally participated, and will
not participate in any action contrary to subparagraphs
(a)(l) through (a)(3) above.
(c) If the bidder/offeror deletes or modifies subparagraph (a)2
above, the bidder/offeror must furnish with its bid/offer a
signed statement setting forth in detail the circumstances of
the disclosure.
4. Organizational Conflicts of Interest Certification
(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 a proposed
contract and a prospective contractor’s organizational, fi-
nancial, contractual or other interest are such that:
(i) Award of the contract may result in an unfair competi-
tive advantage;
(ii) The Contractor’s objectivity in performing the con-
tract work may be impaired; or
(iii) That the Contractor has disclosed all relevant infor-
mation and requested the HA to make a determination
with respect to this Contract.
(b) The Contractor agrees that if after award he or she discovers
an organizational conflict of interest with respect to this
contract, he or she shall make an immediate and full disclo-
sure in writing to the HA which shall include a description of
the action which the Contractor has taken or intends to
eliminate or neutralize the conflict. The HA may, however,
terminate the Contract for the convenience of HA if it would
be in the best interest of 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 HA, the HA
may terminate the Contract for default.
(d) The Contractor shall require a disclosure or representation
from subcontractors and consultants who may be in a position
to influence the advice or assistance rendered to the HA and
shall include any necessary provisions to eliminate or neutralize
conflicts of interest in consultant agreements or subcontracts
involving performance or work under this Contract.
5. Authorized Negotiators (RFPs only)
The offeror represents that the following persons are authorized
to negotiate on its behalf with the PHA in connection with this
request for proposals: (list names, titles, and telephone numbers
of the authorized negotiators):
6. Conflict of Interest
In the absence of any actual or apparent conflict, the offeror, by
submission of a proposal, hereby warrants that to the best of its
knowledge and belief, no actual or apparent conflict of interest
exists with regard to my possible performance of this procure-
ment, as described in the clause in this solicitation titled “Orga-
nizational Conflict of Interest.”
7. Offeror's Signature
The offeror hereby certifies that the information contained in
these certifications and representations is accurate, complete,
and current.
Signature & Date:
Typed or Printed Name:
Title:
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
a. contract a. bid/offer/application a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post-award For Material Change Only:
d. loan year _________ quarter _________
e. loan guarantee date of last report ______________
f. loan insurance
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
and Address of Prime:
Tier ______,
if known
:
Congressional District,
if known
: Congressional District,
if known
:
6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number,
if applicable
: _____________
8. Federal Action Number,
if known
: 9. Award Amount,
if known
:
$
10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (
including address if
(
if individual, last name, first name, MI
):
different from No. 10a
)
(
last name, first name, MI
):
11. Signature:
Print Name:
Title:
Telephone No.: _______________________
Authorized for Local Reproduction
Standard Form LLL (Rev. 7-97)
Information requested through this form is authorized by title 31 U.S.C. section
1352. This disclosure of lobbying activities is a material representation of fact
upon which reliance was placed by the tier above when this transaction was made
or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This
information will be available for public inspection.
required disclosure shall be subject to a
not more than $100,000 for each such failure.
Prime
Subawardee
Federal Use Only:
Date:
who fails to file the Any person
$10,000 and than civil penalty of not less
4c
PRINT
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal
action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreementto make
payment to any lobbying entity for influencing or attempting to influence an officer or employeeof any agency, a Member of Congress, an officer or employeeof
Congress, or an employeeof a Member of Congress in connectionwith a coveredFederalaction. Completeall items that apply for both the initial filing and material
change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3.
Identify the appropriateclassification of this report. If this is a followup report caused by a material change to the information previously reported, enter
the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal
action.
4.
Enter the full name, address, city, State and zip code of the reporting entity. Include CongressionalDistrict, if known. Check the appropriateclassification
of the reporting entity that designatesif it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee,e.g., the first subawardee
of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, State and zip code of the prime Federal
recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizationallevel below agency name, if known. For
example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance
(CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8.
Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting
entity identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and
Middle Initial (MI).
11.
The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB Control
Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is
estimated to average 10 minutes per response, including 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 the burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington,
DC 20503.
form HUD-50070 (3/98)
ref. Handbooks 7417.1, 7475.13, 7485.1 & .3
U.S. Department of Housing
and Urban Development
Certification for
a Drug-Free Workplace
Applicant Name
Program/Activity Receiving Federal Grant Funding
I certify that the above named Applicant will or will continue
to provide a drug-free workplace by:
a. Publishing a statement notifying employees that the un-
lawful manufacture, distribution, dispensing, possession, or use
of a controlled substance is prohibited in the Applicant's work-
place and specifying the actions that will be taken against
employees for violation of such prohibition.
b. Establishing an on-going drug-free awareness program to
inform employees ---
(1) The dangers of drug abuse in the workplace;
(2) The Applicant's policy of maintaining a drug-free
workplace;
(3) Any available drug counseling, rehabilitation, and
employee assistance programs; and
(4) The penalties that may be imposed upon employees
for drug abuse violations occurring in the workplace.
c. Making it a requirement that each employee to be engaged
in the performance of the grant be given a copy of the statement
required by paragraph a.;
d. Notifying the employee in the statement required by para-
graph a. that, as a condition of employment under the grant, the
employee will ---
Acting on behalf of the above named Applicant as its Authorized Official, I make the following certifications and agreements to
the Department of Housing and Urban Development (HUD) regarding the sites listed below:
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her convic-
tion for a violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such conviction;
e. Notifying the agency in writing, within ten calendar days
after receiving notice under subparagraph d.(2) from an em-
ployee or otherwise receiving actual notice of such conviction.
Employers of convicted employees must provide notice, includ-
ing position title, to every grant officer or other designee on
whose grant activity the convicted employee was working,
unless the Federalagency has designated a central point for the
receipt of such notices. Notice shall include the identification
number(s) of each affected grant;
f. Taking one of the following actions, within 30 calendar
days of receiving notice under subparagraph d.(2), with respect
to any employee who is so convicted ---
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfacto-
rily in a drug abuse assistance or rehabilitation program ap-
proved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;
g. Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs a. thru f.
2. Sites for Work Performance. The Applicant shall list (on separate pages) the site(s) for the performance of work done in connection with the
HUD funding of the program/activity shown above: Place of Performance shall include the street address, city, county, State, and zip code.
Identify each sheet with the Applicant name and address and the program/activity receiving grant funding.)
Check here if there are workplaces on file that are not identified on the attached sheets.
I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate.
Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.
(18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802)
Name of Authorized Official Title
Signature Date
X
Certification of Payments
to Influence Federal Transactions
U.S. Department of Housing
and Urban Development
Office of Public and Indian Housing
form HUD 50071 (3/98)
ref. Handboooks 7417.1, 7475.13, 7485.1, & 7485.3
Previous edition is obsolete
Applicant Name
Program/Activity Receiving Federal Grant Funding
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connec-
tion with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into
of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of an agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
Disclosure Form to Report Lobbying, in accordance with its
instructions.
The undersigned certifies, to the best of his or her knowledge and belief, that:
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352, Title
31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate.
Warning:HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.
(18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802)
Name of Authorized Official Title
Signature Date (mm/dd/yyyy)
Previous Participation Certification OMB Approval No. 2502-0118
(Exp. 02/29/2016)
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Page 1 of 2
86 'HSDUWPHQW RI +RXVLQJ DQG 8UEDQ 'HYHORSPHQW 86 'HSDUWPHQW RI $JULFXOWXUH
Office of Housing/Federal Housing Commissioner Farmers Home Administration
3DUW , WR EH
FRPSOHWHG E\ 3ULQFLSDOV RI 0XOWLIDPLO\ 3URMHFWV
(See instructions)
Reason for submission:
)RU +8' +4)P+$ XVH RQO\
 Agency name and City where the application is filed . Project Name, Project Number, City and Zip Code
. Loan or Contract amount $
. Number of Units or Beds
. Section of Act
. Type of Project (check one)
Existing Rehabilitation Proposed (New)
 /LVW DOO SURSRVHG 3ULQFLSDOV DQG DWWDFK RUJDQL]DWLRQ FKDUW IRU DOO RUJDQL]DWLRQV
Name and address of Principals and Affiliates (Name: Last, First, Middle Initial) proposing to participate
5ROH RI (DFK 3ULQFLSDO LQ 3URMHFW  ([SHFWHG
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Certifications: The principal(s) listed above hereby apply to HUD or USDA FmHA, as the case maybe, for approval to participate as principal(s) in the role(s) and project listed above. The principal(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. :DUQLQJ HUD will prosecute false claims and
statements. Conviction may result in criminal and/or civil penalties. The principal(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 principal(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 principals 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 principals or their projects;
d. There has not been a suspension or termination of payments under any HUD assistance contract due to the principal’s fault or negligence;
e. The principals 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 principals 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 principals 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 principals who propose to participate in this project are listed above.
4. None of the principals 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 principals 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 principals 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 principals or affiliates 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 principals 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 principal(s) cannot certify have been deleted by striking through the words with a pen, and the relevant principal(s) have initialed each deletion (if any) and have attached a true and
accurate signed statement (if applicable) to explain the facts and circumstances.
1DPH RI 3ULQFLSDO 6LJQDWXUH RI 3ULQFLSDO &HUWLILFDWLRQ 'DWHPPGG\\\\ $UHD &RGH DQG 7HO 1R
7KLV IRUP SUHSDUHG E\ SULQW QDPH $UHD &RGH DQG 7HO 1R
Previous Participation Certification OMB Approval No. 2502-0118
(Exp. 02/29/2016)
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Page 2 of 2
6FKHGXOH $ /LVW RI 3UHYLRXV 3URMHFWV DQG 6HFWLRQ &RQWUDFWV Below is a complete list of the principals’ previous participation projects and participation history in multifamily
Housing programs of HUD/FmHA, State and local Housing Finance Agencies. 1RWH 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, “1R SUHYLRXV SDUWLFLSDWLRQ )LUVW ([SHULHQFH´.
1. Principals Name (Last, First) 2. List of previous projects (Project name,
project ID and, Govt. agency involved )
3.List Principals’ 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
<HV 1R ,I \HV H[SODLQ
6. Last MOR rating and
Physical Insp. Score and
date
3DUW ,, )RU +8' ,QWHUQDO 3URFHVVLQJ 2QO\
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
recommended.
B. Name match in system D. Other (attach memorandum)
Staff Processing and Control
Supervisor Director of Housing/Director, Multifamily Division Approved
Yes No
Date (mm/dd/yyyy)
Page 1 of 2
,QVWUXFWLRQV IRU &RPSOHWLQJ WKH 3UHYLRXV
3DUWLFLSDWLRQ &HUWLILFDWH IRUP +8'
Carefully read these instructions and the applicable
regulations. A copy of those regulations published at
24 C.F.R. 200.210 to 200.245 can be obtained from
the Multifamily Housing Representative 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.
&DUHIXOO\ UHDG WKH FHUWLILFDWLRQ EHIRUH \RX VLJQ LW
Any questions regarding the form or how to complete
it can be answered by your HUD Office Multifamily
Housing Representative.
3XUSRVH This form provides HUD with a certified
report of all previous participation in HUD
multifamily housing projects 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 principal 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.
:KR 0XVW 6LJQ DQG )LOH )RUP +8'
Form HUD-2530 must be completed and signed by all
principals applying to participate in HUD multifamily
housing projects, including those who have no
previous participation. The form must be signed and
filed by all principals and their affiliates who propose
participating in the HUD project. Use a separate form
for each role in the project unless there is an identity
of interest.
Principals include all individuals, joint ventures,
partnerships, corporations, trusts, non-profit
organizations, any other public or private entity that
will participate in the proposed project as a sponsor,
owner, prime contractor, turnkey developer,
managing agent, nursing home administrator or
operator, packager, or consultant. Architects and
attorneys who have any interest in the project other
than an arm’s length fee arrangement for professional
services are also considered principals by HUD.
In the case of partnerships, all general partners
regardless of their percentage interest and limited
partners having a 25 percent or more interest in the
partnership are considered principals. In the case of
public or private corporations or governmental
entities, principals include the president, vice
president, secretary, treasurer and all other executive
officers who are directly responsible to the board of
directors, or any equivalent governing body, as well
as all directors and each stockholder having a 10
percent or more interest in the corporation.
Affiliates are defined as any person or business
concern that directly or indirectly controls the policy
of a principal or has the power to do so. A holding or
parent corporation would be an example of an affiliate
if one of its subsidiaries is a principal.
([FHSWLRQ IRU &RUSRUDWLRQV – All principals and
affiliates must personally sign the certificate except in
the following situation. When a corporation is a
principal, all of its officers, directors, trustees and
stockholders with 10 percent or more of the common
(voting) stock need not sign personally if they all have
the same record to report. The officer who is
authorized to sign for the corporation or agency will
list the names and title of those who elect not to sign.
However, any person who has a record of
participation in HUD projects that is separate from
that of his or her organization must report that activity
on this form and sign his or her name. The objective
is IXOO disclosure.
([HPSWLRQV ± The names of the following parties do
not need to be listed on form HUD-2530: Public
Housing Agencies, tenants, owners of less than five
condominium or cooperative units and all others
whose interests were acquired by inheritance or court
order.
:KHUH DQG :KHQ )RUP +8' 0XVW %H
)LOHG 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, or when otherwise required
in the situations listed below:
• Projects to be financed with mortgages insured
under the National Housing Act (FHA).
• Projects to be financed according to Section
202 of the Housing Act of 1959 (Elderly and
Handicapped).
• Projects in which 20 percent or more of the units are
to receive a subsidy as described in
24 C.F.R. 200.213.
• Purchase of a project subject to a mortgage insured
or held by the Secretary of HUD.
• Purchase of a Secretary-owned project.
• Proposed substitution or addition of a principal or
principal participation in a different capacity from
that previously approved for the same project.
• Proposed acquisition by an existing limited partner
of an additional interest in a project resulting in a
total interest of 25 percent or more or proposed
acquisition by a corporate stockholder of an
additional interest in a project resulting in a total
interest of 10 percent or more.
Projects with U.S.D.A., Farmers Home Ad-
ministration, or with state or local government
housing finance agencies that include rental
assistance under Section 8 of the Housing Act of
1937. For projects of this type, form HUD-2530
should be filed with the appropriate applications
directly to those agencies.
5HYLHZ RI $GYHUVH 'HWHUPLQDWLRQ 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
by the HUD Review Committee. Alternatively, you
may request a hearing before a Hearing Officer.
Either request must be made in writing within 30 days
from your receipt of the notice of determination.
If you do request reconsideration by the Review
Committee and the reconsideration results in an
adverse determination, you may then request a
hearing before a Hearing Officer. The Hearing Officer
will issue a report to the Review Committee. You will
be notified of the final ruling by certified mail.
6SHFLILF /LQH ,QVWUXFWLRQV
5HDVRQ IRU VXEPLWWLQJ this Certification: e.g.,
refinance, change in ownership, change in
management agent, transfer of physical assets, etc.
%ORFN  Fill in the name of the agency to which you
are applying. For example: HUD Office, Farmers
Home Administration District office, or the name of a
State or local housing finance agency. Below that, fill
in the name of the city where the office is located.
%ORFN  Fill in the name of the project, such as
"Greenwood Apts." If the name has not yet been
selected, write "Name unknown." Below that, enter
the HUD contract or project identification number,
the Farmers Home Administration project number, or
the State or local housing finance agency project or
contract number. Include DOO project or contract
identification numbers that are relevant to the project.
Also enter the name of the city in which the project is
located, and the ZIP Code.
%ORFN  Fill in the dollar amount requested in the
proposed mortgage, or the annual amount of rental
assistance requested.
%ORFN  Fill in the number of apartment units
proposed, such as "40 units." For hospital projects or
nursing homes, fill in the number of beds proposed,
such as "100 beds."
%ORFN  Fill in the section of the Housing Act under
which the application is filed.
%ORFN  Definitions of all those who are considered
principals and affiliates are given above in the section
titled "Who Must Sign and File...."
%ORFN  Beside the name of each principal, fill in the
appropriate role. The following are examples of
possible roles that the principals may assume:
Owner/Mortgagor, Managing Agent, Sponsor,
Developer, General Con-tractor, Packager,
Consultant, Nursing Home Administrator etc.
%ORFN  Fill in the percentage of ownership in the
proposed project that each principal is expected to
have.
%ORFN Fill in the Social Security Number or
IRS employer number of every principal listed,
including affiliates.
,QVWUXFWLRQV IRU
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Be sure that Schedule A is filled-in completely,
accurately and the certification is properly dated
and signed, because it will serve as a legal record
of your previous experience. All Multifamily
Housing projects involving HUD/ FmHA, and
State and local Housing Finance Agencies in which
you have previously participated PXVW EH listed.
Applicants ar e reminded that previous
participation pertains to the individual principal
within an entity as well as the entity itself. A newly
formed company may not have previous
participation, but the principals within the company
may have had extensive participation and disclosure
ofthat activityisrequired.
&ROXPQ  All previous projects must be listed or your
certification cannot be processed. Include the name of all
projects, project number, city where it is located and the
governmentalagency(HUD,USDA-FmHA orstate or local
housingfinance agency) that wasinvolved.
&ROXPQ  List the role(s) as a principal, dates participated
andiffee oridentityofinterest(IOI) with owners.
Page 2 of 2
&ROXPQ Indicate the currentstatus of theloan. Exceptfor
current loan, the date associated with the status is required.
Loans under a workout arrangement are considered
assigned. For all noncurrent loans, an explanation of the
statusisrequired.
&ROXPQ  Explain any project defaults during your
participation.
&ROXPQ Provide the latest Management Review (MOR)
rating andPhysicalInspection score.
&HUWLILFDWLRQ After you have completed all other parts of
form HUD-2530, including schedule A, read the
Certification carefully. In the box below the statement ofthe
certification, fill in the names of all principals and affiliates
as listed in block 7. Each principal should sign the
certification with the exception in some cases of individuals
associated with a corporation (see “Exception for
Corporations” in the section of the instructions titled “Who
Must Sign and File Form HUD-2530). Principal who is
signing on behalf of the entity should attach signature
authority document. Each principal who signs the form
should fill in the date of the signature and a telephone
number. By providing a telephone number, HUD can reach
you inthe eventof anyquestions.
If you cannot certify and sign the certification as it is printed
because some statements do not correctly describe your
record, usea pen tostrike through those parts that differ with
yourrecord,andthen signandcertify.
Attach a signed statement of explanation of the items you
have struckoutonthe certification. Item2e.relates tofelony
convictions within the past 10 years. If you are convicted of
a felony within the past 10 years, strike out 2e. and attach
statement of explanation. A felony conviction will not
necessarily causeyour participation to be disapproved unless
there is a criminal record or other evidence that your
previous conductormethod of doing business has been such
that your participation in the project would make it an
unacceptable risk from the underwriting stand point of an
insurer,lenderorgovernmentalagency.
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. 200.217) and by regulation at 24 CFR 200.210. This
information is needed so that principals applying to participate in multifamily programs can become HUD-approved 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 principal may not participate in a proposed or existing multifamily
project. HUD uses this information to evaluate whether or not principals pose an unsatisfactory underwriting risk. The information is used to evaluate the potential principals and approve
only individuals and organizations that will honor their legal, financial and contractual obligations.
3ULYDF\ $FW 6WDWHPHQW The Housing and Community Development Act of 1987, 42 U.S.C. 3543 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 yourrecords 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.
3XEOLF UHSRUWLQJ EXUGHQ 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.
Section 3 Business Preference Submittal Form
MONTGOMERY HOUSING AUTHORITY, AL
Page 1
1.0 Introduction. This form must be fully completed, accompanied by all required
attachments, for any proposer claiming a Section 3 Business Preference (hereinafter,
"Preference").
1.1 This fully completed form and any attachments thereto, will become a part of
any ensuing contract.
1.2 Each proposer shall mark an "X" where provided following for all that apply to
his/her claim of a Preference.
1.3 The proposer shall provide as an attachment to this completed form a detailed
work plan clearly explaining how each following "preference claim" will be
accomplished. Failure on the part of the proposer to include any such
required attachment fully explaining the claim of the proposer shall result in
the Agency not considering the claim for a Preference (though the Agency may,
if awarded, later require the proposer to submit the information to satisfy the
Section 3 requirements of the ensuing contract).
2.0 Current Section 3 Status. The undersigned proposer hereby claims that it is a Section
3 business concern and claims such preference in that he/she can provide evidence
that (the proposer has attached justifying documentation for each item following
marked with an "X"):
2.1 ____It is 51% or more owned by a Section 3 resident(s):
[Table No. 1]
(1)
Section
(2)
Mark
“X”* if
Included
(3)
Description
2.1.1 Agency resident lease
2.1.2 Evidence of participation in a public assistance program
2.1.3 Articles of Incorporation
2.1.4 Fictitious or Assumed Business Name Certificate
2.1.5 List of owners/stockholders and % of each
2.1.6 Latest Board minutes appointing officers
2.1.7 Organization chart with names and titles and brief
functional statement
2.1.8 Partnership Agreement
2.1.9 Corporation Annual Report
2.2 ____At least 30% of its full-time employees include persons that are currently
Section 3 residents, or within 3 years of the date of first employment with the
business concern were Section 3 residents:
Section 3 Business Preference Submittal Form
MONTGOMERY HOUSING AUTHORITY, AL
Page 2
2.2.1 To justify this claim, please see the immediate following:
[Table No. 2]
(1)
Classification
(2)
Total Number of
Current Permanent
Employees
(3)
Total Number of
Section 3 Resident
Employees
Trainees
Apprentices
Journeypersons
Laborers
Supervisory
Superintendent
Professional
Clerical
Other:
2.2.2 Attach a listing of all employees listed within column (3) above,
including name and total annual income. Also attach proof of the
income, such as a copy of the last tax return (please be sure to
“black-out” all but the last 4 digits of the person(s) social security
number), or any documentation showing proof of the receipt of public
assistance.
2.3 ____He/she has a commitment to subcontract in excess of 25% of the dollar
award of all subcontracts to be awarded to a Section 3 business concern.
2.3.1 To justify this claim, please see the immediate following:
[Table No. 3]
(1)
Name of Section 3 Firm
Receiving the Subcontract
(2)
Total Amount of
Subcontract(s)
(3)
Percentage the
Subcontract(s)
is/are of the
Total Proposed
Contract
Amount
$ %
$ %
Section 3 Business Preference Submittal Form
MONTGOMERY HOUSING AUTHORITY, AL
Page 3
2.3.2 Attach for each firm listed immediately above:
2.3.2.1 A detailed description of the subcontracted activity; and
2.3.2.2 A fully completed Profile of Firm form.
2.3.2.3 Proof of the income of the ownership of the Section 3 firm
receiving the subcontract, such as a copy of the last tax
return for the owner(s) (please be sure to “black-out” all
but the last 4 digits of the person(s) social security number)
or any other documentation showing proof of receipt of
public assistance.
3.0 As further detailed herein, which of the following priority are you claiming? (NOTE:
Mark with an "X" the highest claimed Priority only.)
[Table No. 4]
Priority
Claimed
(Mark "X")
Max
Point
Value
Factor
Type
Factor Description
Objective SECTION 3 BUSINESS PR
EFERENCE PARTICIPATION.
(NOTE: A maximum of 10 points awarded).
10 points Priority I, Category 1a.
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.
10 points
Priority II, Category 1b. Business concerns whose
workforce includes 30 percent of residents of the
housing development for which the Section 3-covered
assistance is expended, or within three (3) yea
rs of
the date of first employment with the business
concern, were residents of the Section 3-covered
housing development.
10 points Priority III, Category 2a. Business concerns that are
51 percent or more owned by residents of any
other housing development or developments.
9 points Priority IV, Category 2b. 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 bus
iness concern,
were “Section 3” residents of any other public
housing development.
7 points Priority V, Category 3.
Business concerns
participating in HUD Youth-
build programs being
carried out in the metropolitan area in which the
Section 3-covered assistance is expended.
5 points Priority VI, Category 4a.
Business concerns that
are 51 percent or more owned by Section 3
Section 3 Business Preference Submittal Form
MONTGOMERY HOUSING AUTHORITY, AL
Page 4
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.
3 points Priority VII, Category 4b.
Business concerns that
subcontract in excess of 25 percent o
f the total
amount of subcontracts to Section 3 business
concerns.
4.0 The undersigned proposer hereby declares:
4.1 The information within this completed form (and any attachments) is, to the
best of his/her knowledge, true and accurate.
4.2 He/she is aware that if the Agency discovers that any such information is not
true and accurate, such shall allow the Agency to:
4.2.1 NOT award the proposer a Preference; and
4.2.2 If the Agency deems such is warranted (e.g. in the case of submitting
information the proposer knows to be untrue), declare such proposer
to be nonresponsive and not allow the proposer to receive an award.
4.3 He/she is aware that if he/she receives and award as the result of this
competitive solicitation, even though he/she may not receive a Preference from
the Agency as a result of this submittal, he/she will still be required to, to the
greatest extent feasible, implement a Section 3 Plan, including a commitment
to interview and consider hiring Section 3 persons (most specifically, residents
of the Agency) whenever the successful proposer has need to hire additional
employees during the term of the ensuing contract.
The undersigned contractor hereby affirms that the foregoing is true and accurate and that
he/she hereby agrees to comply as denoted herein.
____________________ __________ _____________________ ___________________
Signature Date Printed Name Company
SECTION 3 AND
MBE
PRE-AWARD COMPLIANCE
CERTIFICATION
Housing Authority of the City of Montgomery
525 South Lawrence Street
Montgomery, Al 36104
1. Contractor Name & Address (street, city, state, zip):
2. Contract Number and Description:
3. Dollar Amount of Contract:
4. Contact Person:
5. Phone Number:
6. Contracting Period:
7. Date Report Submitted:
Part I: Employment and Training of Section 3 Residents (If Prime Contractor is Section 3 Owned Check Here)
The employment and training component of section 3 applies to the prime
contractor and all sub-contractors providing construction services and
professional services to the Montgomery Housing Authority. It is the
responsibility of the Prime Contractor to enforce these same requirements
within any sub-contracts.
Instructions: Complete items A, B and C and adjoining worksheet
A. Total Number of Current Employees?
B. Total Number of Anticipated New Hires & Trainees?
C. Total Number of Section 3 New Hires & Trainees?
(the established goal is 30% of Line B)
Adjoining worksheet
(A)
Job
Category
(B)
Number
of
anticipated
new
hires and
trainees
(C)
Number of
column
(B) that will
be
Section 3
residents
Professional
Technical
Office/Clerical
Construction by Trade
(list)
Other (List)
Total
Part II: Subcontract awards – Section 3 and MBE (If Prime Contractor is Section 3 Owned Check Here)
The contracting component of section 3 and minority-owned business participation apply to all prime contractors and sub-
contractors providing construction services, professional services, and supplies to the Montgomery Housing Authority’s project. It is
the responsibility of the prime contractor to enforce the same requirements within any sub-contracts.
Instructions: All contractors must complete item D. Complete item E for construction contracts only. Complete item F for
professional service and supplier contracts only. All contractors must complete item G.
D. Total dollar amount of all sub-contracts anticipated for this project? $
Applies to construction contracts only:
E. Total amount of anticipated Section 3 sub-contract awards? $
(The established goal is 10% of Line D)
Applies to professional service contracts and suppliers:
F. Total amount of anticipated section 3 sub-contract awards? $
(The established goal is 3% of Line D)
Applies to all contracts:
G. Total amount of anticipated minority-owned business contract awards? $
(The established goal is 20% of Line D)
A minority-owned business is an entity that is 51% owned or controlled by one or more
of the following minority group members: Black Americans, Hispanic Americans, Native Americans, Asian Pacific Americans,
Asian Indian Americans and Hasidic Jewish Americans.
Part III: Certification
As a duly authorized representative of the prime contractor, it is hereby agreed that the prime contractor and all sub-contractors will
make every effort to achieve at least the minimum levels for compliance with Section 3 and Minority- Owned Business participation
goals. It is further understood that the undersigned will enforce and ensure compliance within all sub-contracts.
Signature:
Print Name and Title
Date
Rev-4 2/16/00
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REQUEST FOR PROPOSALS (RFP) 2021-01 (Montgomery Housing Authority)

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Completed 26 March 2021

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