Public Housing Agency Procurement Training - HUD Exchange

SOUTHWEST NETWORK PUBLIC HOUSING AGENCY PROCUREMENT TRAINING

Table of Contents

Chapter 1: Introduction ............................................................................................................... 1 A. Purpose and Application of This Course Book ...................................................................... 1 B. Source Requirements .............................................................................................................. 2 C. Consistency with Good Business Practices ............................................................................ 2 D. Public Access to Procurement Information............................................................................ 2

Chapter 2: Procurement Authority and Administration of Procurement Function .............. 5 A. Procurement Policy ................................................................................................................ 5 B. Contracting Officer................................................................................................................. 6 C. CO Signature and Obligation of Funds .................................................................................. 6 D. Staffing and Training.............................................................................................................. 7

Chapter 3: General Requirements ............................................................................................ 11 A. Procurement Planning .......................................................................................................... 11 B. Individual Procurement Plans............................................................................................... 14 C. Documentation...................................................................................................................... 14 D. Funding, Payment, and Internal Controls............................................................................. 15

Chapter 4: Ethics in Public Contracting .................................................................................. 19 A. Conflict of Interest................................................................................................................ 19 B. Gratuities, Kickbacks, and Use of Confidential Information ............................................... 20 C. Sanctions for Ethics Violations ............................................................................................ 22

Chapter 5: Small Purchase Procedures .................................................................................... 25 A. Micro-purchases ................................................................................................................... 25 B. Small Purchases .................................................................................................................... 25 C. Petty Cash ............................................................................................................................. 26 D. Use of Indefinite-Delivery Contracts ................................................................................... 27 E. Bid-splitting .......................................................................................................................... 27 F. Purchase Orders .................................................................................................................... 28 G. Required Forms and Mandatory Contract Clauses............................................................... 28

Chapter 6: Sealed Bids ............................................................................................................... 33 A. Invitation for Bids ................................................................................................................ 33 B. Bid Opening.......................................................................................................................... 35 C. Contract Award..................................................................................................................... 35

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SOUTHWEST NETWORK PUBLIC HOUSING AGENCY PROCUREMENT TRAINING

Chapter 7: Competitive Proposals ............................................................................................ 41 A. Competitive Proposals.......................................................................................................... 41 B. Procurement of Specific Services......................................................................................... 50

Chapter 8: Non-competitive Proposals ..................................................................................... 59 A. Process.................................................................................................................................. 60 B. HUD Approval ..................................................................................................................... 60 C. Justification Documentation ................................................................................................. 60

Chapter 9: Specifications and Statement of Work .................................................................. 65 A. Specifications ....................................................................................................................... 65 B. Statement of Work................................................................................................................ 67

Chapter 10: Miscellaneous Requirements ................................................................................ 71 A. Contract Pricing and Types of Contracts ............................................................................. 71 B. Contractor Responsibility, Including Limited Denial of Participation, Debarment, and Suspension ........................................................................................................................... 77 C. Evaluating Cost and Price..................................................................................................... 79 D. Protests ................................................................................................................................. 82 E. Options.................................................................................................................................. 82 F. Labor Standards and Wage Rates ......................................................................................... 83

Chapter 11: Contract Administration ...................................................................................... 89 A. General ................................................................................................................................. 89 B. Administering Construction Costs........................................................................................ 89 C. Administering Non-construction Contracts.......................................................................... 93 D. Contract Modifications......................................................................................................... 96 E. Contract Claims .................................................................................................................... 97 F. Contract Terminations........................................................................................................... 98

Chapter 12: HUD Review Requirements................................................................................ 103 A. PHA Submissions for HUD Approval ............................................................................... 103 B. Contract Actions Requiring Prior HUD Approval ............................................................. 103 C. Exemption from Pre-award Review ................................................................................... 104

Chapter 13: State and Local Laws and Regulations Governing PHA Procurement ......... 107 A. Application of State and Local Procurement Laws............................................................ 107 B. State Law ............................................................................................................................ 107 C. Local Law ........................................................................................................................... 108

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SOUTHWEST NETWORK PUBLIC HOUSING AGENCY PROCUREMENT TRAINING

D. Guidance on State and Local Procurement Laws............................................................... 108 Chapter 14: Cooperative Business Relationships .................................................................. 113

A. Intergovernmental Agreements .......................................................................................... 113 B. Inter-entity Agreements for Joint Procurement Activity.................................................... 116 C. Joint-venture Partners ......................................................................................................... 116 D. Consortia ............................................................................................................................ 117 Chapter 15: Opportunities and Contracting with Resident-owned, Small, Minority, and Other Disadvantaged Businesses ............................................................................................. 121 A. Training and Employment Opportunities........................................................................... 121 B. Section 3 of the Housing and Urban Development Act of 1968 (24 CFR ?135)............... 121 C. Resident-owned Businesses................................................................................................ 122 D. Contracting with a Resident Management Corporation ..................................................... 122 E. Assistance to Small and Other Disadvantaged Businesses................................................. 124 F. PHA Reporting.................................................................................................................... 125 Chapter 16: Public/Private Partnerships, HOPE VI, and Mixed-Finance Development .. 129 A. Application ......................................................................................................................... 129 B. Selection of a Developer and/or Development Partner ...................................................... 129 C. Procurement Requirements of the Selected Developer ...................................................... 130 D. Other Required Efforts ....................................................................................................... 130 E. Procurement by Parties Other Than the PHA or the Developer ......................................... 132 F. Resident Involvement ......................................................................................................... 132 G. Procurement by the PHA When Acting as Developer or with Ownership Interest ........... 133 H. Issues Arising in CSS Procurement Activity ..................................................................... 133 I. Contracting with Sub-grantees............................................................................................. 134 J. Fees and Guarantees ............................................................................................................ 134 Chapter 17: Utility Purchasing, Energy Conservation Loans, and Energy Performance Contracting ................................................................................................................................ 137 A. Energy Conservation Loans (Operating Subsidy Add-on)................................................. 137 B. Energy Performance Contracting (Frozen Rolling Base Incentive) ................................... 137 C. Utility Purchasing ............................................................................................................... 138 D. Procurement Regulations Pertaining to Energy Conservation Loans and Energy

Performance Contracts....................................................................................................... 139 E. Resources ............................................................................................................................ 139

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SOUTHWEST NETWORK PUBLIC HOUSING AGENCY PROCUREMENT TRAINING Answer Key................................................................................................................................ 143 Appendices Appendix 1: Mandatory Contract Clauses for Small Purchases Other Than Construction Appendix 2: Certification of Nondisclosure Appendix 3: Legal Services Contract Protocol Appendix 4: Sample Conflict of Interest Policy Appendix 5: Glossary

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