Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Agenda 06/11/2013 Item #11B
6/11/2013 11. B. EXECUTIVE SUMMARY Recommendation to 1) adopt a Bond Resolution authorizing the Collier County Water -Sewer District to incur a fixed interest rate, non -bank qualified term loan through the issuance of its Water and Sewer Refunding Revenue Bond, Series 2013 in an amount not to exceed $19,000,000 to provide for the refunding of outstanding Water and Sewer Refunding Revenue Bonds, Series 2003B; 2) approve PNC Bank, National Association, as the qualified financial institution to provide a fixed interest rate bank - qualified tax exempt term loan to provide for the refunding of the Collier County Water -Sewer District's Refunding Revenue Bond, Series 2003B, at a lower interest rate; and, 3) authorize the County Manager or his designee to sign the rate lock letter. OBJECTIVE: Partially refund Collier County Water -Sewer District (District) senior debt Revenue Bonds, Series 2003B, with the intent of realizing net present value savings of approximately $2.19 million. CONSIDERATIONS: The County's Finance Committee, consisting of key County Manager Agency and Clerk of the Courts financial management staff, the County Attorney, the County's financial advisor and bond counsel, routinely consider changes to the County's debt structure through refunding or other means in pursuit of the lowest overall financing costs to the County. The Board of County Commissioners' Debt Management Policy, as amended, originally adopted on September 13, 2005, states the following: Refundings: The County's staff and advisors will undertake periodic reviews of all outstanding debt to determine refunding opportunities. Refunding will be considered (within federal tax law constraints) if and when there is a net economic benefit of the refunding or the refunding is essential in order to modernize covenants essential to operations and management. In 2003, the District issued $33,630,000 of Water and Sewer Refunding Revenue Bonds, Series 2003B. The Series 2003B Bonds were issued to provide funds to refund the District's Water and Sewer Refunding Revenue Bonds, Series 1994B. The Bonds have interest rates ranging from 5.0% to 5.5% and have a final maturity of July 1, 2021. As part of the finance committee's periodic evaluation of the debt portfolio to obtain favorable net present value savings in a declining interest rate environment, an analysis of the Series 2003B Bonds was performed. Staff issued Invitation to Bid 13 -6091, which was publicly advertised on May, 08, 2013. Notices were sent to two hundred forty seven (247) email addresses and 25 solicitation packages were downloaded. Six (6) responses were received on the due date of May, 23, 2013. At the recommendation of Public Financial Management, Inc., PNC Bank, National Association was selected as the lowest qualified bid with a fixed interest of 1.47% (Attachment A). Packet Page -309- 6/11/2013 11. B. FINANCE COMMITTEE RECOMMENDATION: The Finance Committee on May 3, 2013, unanimously endorsed this proposed refunding provided there was a positive net present value savings over the remaining eight -year life of the Series 2003B Series Bonds. FISCAL IMPACT: At the proposed interest rate set forth in the proposal of PNC Bank, National Association, the net present value savings is approximately $2.19 million (net of all issuance costs). LEGAL CONSIDERATIONS: This item has been reviewed by the County Attorney, is approved as to form and legality, and requires majority vote for approval. -JAK GROWTH MANAGEMENT IMPACT: There is no Growth Management Plan impact associated with this item. RECOMMENDATION: That the Board of County Commissioners, as Ex- officio the Governing Board of Collier County Water -Sewer District, 1) adopt a Bond Resolution authorizing the Collier County Water -Sewer District to incur a fixed interest rate, non -bank qualified term loan through the issuance of its Water and Sewer Refunding Revenue Bond, Series 2013, in an amount not to exceed $19,000,000 to provide for the refunding of outstanding Water and Sewer Refunding Revenue Bonds, Series 2003B; 2) approve PNC Bank, National Association, as the qualified financial institution to provide a fixed interest rate bank - qualified tax exempt term loan to provide for the refunding of the Collier County Water -Sewer District's Refunding Revenue Bond, Series 2003B, at a lower interest rate; 3) authorize the County Manager or his designee to sign the rate lock letter; and, 4) authorize any necessary budget amendments. PREPARED BY: Joe Bellone, Director, Financial Operations Support, Public Utilities Division Laura Zautcke, Senior Management & Budget Analyst, Public Utilities Division Attachment A — Proposal Recommendation from Public Financial Management, Inc Attachment B — Bond Resolution Attachment C — 13 -6091- Public Utilities Term Bank Loan Packet Page -310- COLLIER COUNTY Board of County Commissioners Item Number: 11.11.B. 6/11/2013 11. B. Item Summary: Recommendation to 1) adopt a Bond Resolution authorizing the Collier County Water -Sewer District to incur a fixed interest rate, non -bank qualified term loan through the issuance of its Water and Sewer Refunding Revenue Bond, Series 2013 in an amount not to exceed $19,000,000 to provide for the refunding of outstanding Water and Sewer Refunding Revenue Bonds, Series 20036; 2) approve PNC Bank, National Association, as the qualified financial institution to provide a fixed interest rate bank - qualified tax exempt term loan to provide for the refunding of the Collier County Water -Sewer District's Refunding Revenue Bond, Series 20038, at a lower interest rate; and, 3) authorize the County Manager or his designee to sign the rate lock letter. Meeting Date: 6/11/2013 Prepared By Name: ZautckeLaura Title: Management Analyst, Senior, Utility Finance Ops. 6/3/2013 3:19:44 PM Approved By Name: JacobsSusan Title: Operations Analyst, Public Utilities Date: 6/3/2013 3:52:57 PM Name: HapkeMargie Title: Operations Analyst, Public Utilities Date: 6/3/2013 4:36:43 PM Name: Joseph Bellone Title: Manager - Utility Billing & Cust Serv.,Utilities F Date: 6/3/2013 4:48:58 PM Name: NorthrupAdam Title: Procurement Strategist, Purchasing Date: 6/4/2013 11:47:24 AM Packet Page -311- Name: MarkiewiczJoanne Title: Manager - Purchasing Acquisition,Purchasing & Gene Date: 6/4/2013 12:11:12 PM Name: YilmazGeorge Title: Administrator, Public Utilities Date: 6/4/2013 1:11:26 PM Name: KlatzkowJeff Title: County Attorney Date: 6/4/2013 3:49:25 PM Name: KlatzkowJeff Title: County Attorney Date: 6/4/2013 4:28:48 PM Name: UsherSusan Title: Management/Budget Analyst, Senior,Office of Manage Date: 6/4/2013 5:09:25 PM Name: KlatzkowJeff Title: County Attorney Date: 6/5/2013 8:01:33 AM Name: OchsLeo Title: County Manager Date: 6/5/2013 9:13:47 AM Packet Page -312- 6/11/2013 11.B. = The PFM Group Public Financial Management, Inc. PFM Asset Management LLC PFM Advisors Memorandum 6/11/2013 11. B. 255 Alhambra Circle, Suite 404 Coral Gables, FL 33134 305 -448 -6992 www.pfm.com May 30, 2013 To: Collier County From: Sergio Masvidal, Public Financial Management Nicklas Rocca, Public Financial Management Re: Collier County — 2013 Water and Sewer Refunding Proposal Recommendation At the request of Collier County (the "County "), Public Financial Management (PFM) reviewed and analyzed the proposals submitted in response to ITB 13 -6091 (the "ITB "). The purpose of the ITB was to solicit responses from qualified firms to provide a fixed -rate term loan that will be used to refund the Water -Sewer District's outstanding Series 2003B Bonds. The County received six (6) responses to the ITB (shortly summarized in the table below), of which we quickly narrowed down to three (3) potential candidates based on rates and terms. The initial three proposals that appeared most attractive and reviewed in greater detail were Wells Fargo, PNC Bank and JPMorgan Chase Bank. Wells Fargo proposed the lowest rate, with a 1.30% fixed -rate. However other factors should also be considered. The rates provided by Wells Fargo are indicative as of the date of the proposal and are based off Wells Fargo's "cost of funds" plus an additional spread. While it states in the proposal that the "cost of funds" rate is based off the executable swap rate at which the bank would pay fixed to receive 1 -month LIBOR, this rate isn't something that we can independently verify and keep track of. In addition to the rate not being locked and difficult to track, Steve Miller of Nabors, Giblin & Nickerson, P.A. (Bond Counsel) reviewed the legal requirements in the Wells Fargo proposal and concluded that there were certain key covenants that were either inconsistent with or were in addition to existing covenants in the existing bond resolution. In addition, Wells Fargo is requiring the County to execute an additional agreement, the specific provisions of which were not provided. The ITB clearly stated the County reserves the right to reject proposals with terms and conditions different than those included in the bond resolution. Because the interest rate quoted does not offer an index that can be tracked it may not conform to that aspect of the ITB as well. Bank Rate Rate Set Closing Bank Bank of America, N.A. 1.55% Indicative, to be set 2 days prior to dosing Must close by 7/5/13 4,500 Make Whole Fifth Third Bank 1.63°o Held until 6/11/13 Mast close by 6/21/13 6,000 No Penalty JPMorgan Chase Bank, N.A. 1.45' 0 Indicative, Forward Rate Lock available 5,000 Non - Callable 1.65% Indicative, Forward Rate Lock available 5,000 7/1/14 a Par Rate held until 6/5/13 (Levised will be held until 6/12/131 Must close by 6/30/13 5,500 Make Whole PNC Bank, N.A. -1.47% 1.52% Rate held until 6/12/13 Most close by 6/30/13 5,500 Make Whole US Bank, N.A. 1.55°/0 11ndicative Must close by 6/30/13 25,000 Pre avment Premium 130 °.o Indicative Must close by 6/30/13 35,000 Non - Callable Wells Fargo 1.35° Indicative Must close by 6 /30/13 35,000 7/l/16 @ Par Packet Page -313- �M` Cu 6/11/2013 11. B. May 30, 2013 Page 2 After a thorough review of the Wells Fargo proposal, the next lowest bid was JPMorgan Chase Bank with a rate of 1.45 %. Like the Wells Fargo bid, this is just an indicative rate that may change before the term loan is closed and is based on an internal cost of funds that cannot be easily tracked through the closing date, or rate lock date. The JPMorgan Chase Bank submission also requires acceleration as a remedy which is inconsistent with the provisions of the bond resolution and not desirable for the County. Finally, the third lowest rate proposed was from PNC Bank at 1.47 %. This rate, unlike the other two previously discussed, is locked in and will not change if the County signs a rate lock letter before June 12, 2013. PFM recommends the County proceed with the PNC Bank proposal and enter into a discussion to remove the terms that are not favorable to the County. ` lhile the rate is 0.17% greater than the rate proposed by Wells Fargo, we believe the better terms of the PNC Bank proposal along with the assurance of the locked rate make it the best option for the County. UPDATE: June 3, 2013 After the submission of PFM's recommendation memo, the County along with Steve Miller and PFM engaged in a call to review the proposals and discuss PFM's recommendation. During the call it was decided PFM would reach out to all three of the shortlisted banks (Wells Fargo, JPMorgan Chase Bank and PNC Bank) and ask each respective bank if they would be willing to waive any covenants or terms the County wasn't willing to accept and if the banks could provide a rate they could hold until after the board approval. The County along with Steve Miller were included in all correspondence between PFM and the banks. PNC Bank was the first to respond to our request and stated they would be willing to waive all the terms that the County disagreed with and would continue to hold the proposed rate of 1.47 %. Wells Fargo responded to the request saying they would be willing to waive most of the problematic covenants but as of the morning of June 3, 2013 were still waiting on internal approval to remove the Continuing Covenant Agreement. Wells Fargo also responded with an updated rate of 1.46% that would be held until the board approval. JPMorgan Chase Bank responded they would waive the disputed covenants and provided a locked rate of 1.56 %. After the additional correspondence with the shortlisted banks, PFM is still of the opinion that PNC Bank has submitted the best option for the County's financing. While PNC Bank's locked rate of 1.47% is one basis point (0.01%) higher than the Wells Fargo rate, when you consider that PNC Bank included a significantly lower not -to- exceed Bank Counsel fee (approximately $29,500 less), the all-in cost to the County is lower. The proposal by PNC Bank offers the County the lowest cost of financing while being in compliance with the outstanding bond resolution. If the County proceeds with the PNC Bank proposal, preliminary numbers show the refunding of the 2003B Bonds will result in approximately $2,188,000 (12.2 %) net present value savings. Packet Page -314- 6/11/2013 11. B. RESOLUTION /CWS RESOLUTION A RESOLUTION OF THE GOVERNING BODY OF THE COLLIER COUNTY WATER -SEWER DISTRICT ACCEPTING THE PROPOSAL OF PNC BANK, NATIONAL ASSOCIATION, TO PROVIDE THE DISTRICT WITH A TERM LOAN IN ORDER TO REFUND ALL OF THE DISTRICT'S OUTSTANDING WATER AND SEWER REFUNDING REVENUE BONDS, SERIES 2003B; AUTHORIZING THE EXECUTION AND DELIVERY OF A FORWARD FIXED RATE LOCK LETTER IN ORDER TO ESTABLISH AND FIX THE INTEREST RATE FOR SUCH LOAN; AND PROVIDING FOR AN EFFECTIVE DATE FOR THIS RESOLUTION. BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF COLLIER COUNTY, FLORIDA, ACTING AS THE EX- OFFICIO GOVERNING BOARD OF THE COLLIER COUNTY WATER -SEWER DISTRICT: SECTION 1. AUTHORITY FOR THIS RESOLUTION. This Resolution is adopted pursuant to the provisions of Chapter 125, Florida Statutes, Part H of Chapter 153, Florida Statutes, Chapter 78 -489, Laws of Florida, Special Acts of 1978, as amended and supplemented, the Florida Constitution, and other applicable provisions of law. SECTION 2. FINDINGS. It is hereby ascertained, determined and declared that: (A) The District previously issued its Collier County Water -Sewer District Water and Sewer Refunding Revenue Bonds, Series 2003B (the "Series 2003B Bonds ") in order to refund certain outstanding bonds of the District. (B) The District has been informed by its financial advisor, Public Financial Management, Inc. (the "Financial Advisor "), that it could achieve significant debt service savings by issuing refunding bonds to refund all of the outstanding Series 2003B Bonds. (C) The Financial Advisor, on behalf of the District, solicited proposals from various qualified financial institutions to provide the District with a fixed interest rate term loan in order to effect the refunding of the Series 2003B Bonds. (D) The Financial Advisor has advised the District that the most beneficial proposal was submitted by PNC Bank, National Association (the "Bank "), which proposal is attached hereto as Exhibit A (the "Proposal "). Packet Page -315- 6/11/2013 11. B. (E) It is in the best interests of the District to accept the Proposal of the Bank to provide the District with a term loan in order to refund the Series 2003B Bonds and achieve debt service savings for the District. SECTION 5. ACCEPTANCE OF PROPOSAL. The District hereby accepts the proposal of the Bank to provide the District with a term loan in the form attached hereto as Exhibit A. All of the terms and provisions of the Proposal are hereby approved and the Chairwoman is hereby authorized and directed to execute and deliver the Proposal to the Bank. SECTION 6. APPROVAL OF FORWARD FIXED RATE LOCK LETTER. In order to establish and fix the interest rate at 1.47% per annum through June 30, 2013, it is necessary and desirable to execute a Forward Fixed Rate Lock Letter (the 'Rate Lock Letter "). The terms and provisions of the Rate Lock Letter attached hereto as Exhibit B are hereby approved. The County Manager is hereby authorized and directed to execute and deliver the Rate Lock Letter to the Bank. SECTION 7. GENERAL AUTHORIZATION. The Chairwoman, the County Manager, and other appropriate officers and staff of the District and the County are authorized to execute and deliver such documents, instruments and contracts, whether or not expressly contemplated hereby, and the County Attorney, bond counsel to the District, the Financial Advisor and other employees or agents of the District and the County are hereby authorized and directed to do all acts and things required hereby or thereby as may be necessary for the full, punctual and complete performance of all the terms, covenants, provisions and agreements herein and therein contained, or as otherwise may be necessary or desirable to effectuate the purpose and intent of this Resolution. SECTION 8. REPEAL OF INCONSISTENT DOCUMENTS. All ordinances, resolutions or parts thereof in conflict herewith are hereby superseded and repealed to the extent of such conflict. SECTION 9. EFFECTIVE DATE. This Resolution shall become effective immediately upon its adoption. 2 Packet Page -316- 6/11/2013 11. B. THIS RESOLUTION ADOPTED after motion, second and majority vote on this the 1 lth day of June, 2013. ATTEST: BOARD OF COUNTY COMMISSIONERS DWIGHT E. BROCK, Clerk COLLIER COUNTY, FLORIDA, ACTING AS THE EX OFFICIO GOVERNING BOARD OF THE COLLIER COUNTY WATER SEWER DISTRICT By: Deputy Clerk By: GEORGIA A. HILLER, ESQ. CHAIRWOMAN Approved as to form and legality: Jeffrey A. Klatzkow County Attorney 3 Packet Page -317- 6/11/2013 11. B. EXHIBIT A PROPOSAL OF PNC BANK, NATIONAL ASSOCIATION m Packet Page -318- May 23, 2013 Collier County Government, Purchasing Department Mr. Adam Northrup Mr. Joseph 13ellone , 3327 Tamiami Trail E Naples, FL 34112 Re: Solicitation: 13 -6091 — Public Utilities Term Bank Loan Dear Mr. Northrup and Mr. Bellone, 6/11/2013 11.B. Attached you will find our response in reference to the above - mentioned Request For Proposal (RFP) for Collier County, Florida regarding the tax exempt bank loan refunding for up to $19,000,000 non -bank qualified. PNC Bank, NA is excited for the opportunity to assist The County in the completion of this transaction. PNC brings a team - oriented approach to each financing, offering deep industry experience and sound technical expertise. Furthermore, PNC believes in developing full relationships with its clients. We work hard to comprehensively understand our clients' unique financial needs, and leverage the complete capabilities of the bank to respond with thorough, thoughtful solutions. Once again, PNC is pleased be able to support Collier County, Florida in this credit financing solution and aims to get the transaction completed in a timely fashion. If you have any questions or need any additional information, please do not hesitate to contact me. Regards, Nick Ayotte Vice President, Public Finance The PNC Financial Services Group Packet Page -319- 6/11/2013 11. B. This Summary of Terms and Conditions is not a commitment or an offer to lend and does not create any obligation on the part of the Bank. The Bank will not be deemed to extend any commitment to the Borrower unless and until a formal commitment letter is issued. This outline is only a brief description of the principal terms of the suggested loan and is intended for discussion purposes only. COLLIER COUNTY, FLORIDA SUMMARY OF TERMS AND CONDITIONS May 23, 2013 Borrower Collier County, Florida ( "County", "District" or the "Borrower") Note The "District" refers to Collier County Water -Sewer District Bank PNC Bank, National Association (the "Bank") Amount Subject to credit approval and documentation, PNC proposes to provide a Non -Bank Qualified Tax Exempt Fixed Rate Bank Loan for up to $19,000,000.00 (the "Loan" or "Facility ") Purpose To provide a fixed rate non -bank qualified tax exempt bank loan to the County to (1) refund the District's outstanding Water and Sewer Refunding Revenue Bonds, Series 2003B and (2) to pay the associated cost of issuance. This offering is for a private placement on the Bank's balance sheet (no CUSIP number). Collateral The Facility will be secured by a senior lien with the Prior District Bonds by a pledge of an lien upon (1) the Net Revenues of the District's Water and Sewer System and (2) certain charges imposed by the District on Persons (as defined in the Resolution). Amortization, Interest & Maturity Interest will be payable semi- annually every January 1 and July 1 with the first payment on July 1, 2013. Principal will be paid annually every July 1 with the first payment on July 1, 2014. Interest day count method will be 30/360. Interest Rates NBQ Rate: Tax - Exempt Fixed Rate *: 1.47% (Rate held until June 5, 2013 — see below) NBQ Rate: Tax - Exempt Fixed Rate` *: 1.52 % (Rate held until June 12, 2013 — see below) Packet Page -320- 6/11/2013 11. B. Collier County, Florida — Solicitation 13 -8091 — Public Utilities Term Bank Loan Summary of Terms and Conditions *Rate will be held until June 5. 2013, at which point the County will have executed a forward rate lock letter (assuming the Loan has not closed). Should the loan not close or the Rate Lock Letter not be executed within these time parameters, the Bank reserves the right to adjust these rates or not offer the financings at all. Please also note the executed Rate Lock Letter must be accompanied by a formal authorization or Board approval to execute (i.e. an enforceability opinion, stated in the Resolution, etc.) * *Rate will be held until June 12. 2013, at which point the County will have executed a forward rate lock letter (assuming the Loan has not closed). Should the loan not close or the Rate Lock Letter not be executed within these time parameters, the Bank reserves the right to adjust these rates or not offer the financings at all. Please also note the executed Rate Lock Letter must be accompanied by a formal authorization or Board approval to execute (i.e. an enforceability opinion, stated in the Resolution, etc.) Default Rate Prime + 3.00% or maximum allowable by law, whichever is less. Prepayment Prepayment at anytime within the guidelines of the Bank's Standard Make Whole provisions. Yield Protection If for any reason an event of taxability shall occur, the interest rate charged on the outstanding principal balance of the Certificate shall, effective as of and after the date of the occurrence of such event of taxability, be increased to, calculated and recalculated at the taxable equivalent rate. Covenants Affirmative and negative covenants will be specified by the Bank for inclusion in the Agreement including but not limited to the following: 1. Rate Covenant: As outlined in the Series 2003B Series Bonds and all senior parity debt. 2. Ad Bonds Test: As outlined in the Series 2003B Series Bonds and all senior parity debt. Expenses All expenses incurred by the Bank shall be paid by the Borrowers. These include, but are not limited to, fees and expenses of legal counsel (inside and outside) and any other expenses in connection with documenting, closing, monitoring or enforcing the Loans and shall be payable at closing or otherwise on demand. Payment by Borrowers of expenses described above shall not be contingent upon the closing of the Loan. Legal fees will be for the account of the Borrowers after documentation of the transaction has started, regardless of whether the transaction closes. Mr. Mike Williams of Akerman Senterfitt will serve as bank counsel and review -only (i.e. no opinion) fees will be no greater than $5,500. Packet Page -321- 6/11/2013 11.B. , Collier County, Florida — Solicitation 13 -6091 — Public Utilities Term Bank Loan Summary of Terms and Conditions Representations And Warranties The Borrower shall make representations and warranties standard for this type of transaction, in form and substance satisfactory to the Bank. Conditions Precedent Including, but not limited to, the following all of which shall be in form and substance satisfactory to the Bank: 1) All documentation relating to the Loan in form and substance satisfactory to the Bank. 2) The completion of an Additional Bonds Compliance Certificate, if applicable, along with Rate Covenant compliance as continuing disclosure. 3) Satisfactory review of other agreements relating to the Loan. 4) Evidence that Loan is on parity with all other senior debt obligations. 5) Evidence that Borrower is authorized to enter into this transaction. 6) No material adverse change in the condition, financial or otherwise, operations, properties, assets or prospects of the Borrower. 7) No material threatened or pending litigation against the borrower or additional material contingent obligations of the Borrower. 8) Delivery of opinions of counsel. 9) Payment of all legal fees. Reporting Requirements Annual audited financial statements for the borrower within 180 days of the Borrower's fiscal year end. Continuing disclosure as it relates to the Rate Covenant and Ad Bonds Test, if applicable. Budgets, forecasts and other items as may be reasonably requested by the Bank which are prepared by the Borrower and submitted to the Bank no later than the first day of each Fiscal Year. Events of Default 1) Payment default. 2) Breach of Representations or Warranties. 3) Violation of covenant(s). Packet Page -322- 6/11/2013 11. B. , Collier County, Florida — Solicitation 13 -6091 — Public Utilities Term Bank Loan Summary of Terms and Conditions 4) Bankruptcy, insolvency. 5) Cross Default to other indebtedness or any condition which results in the acceleration of other indebtedness of the Borrower. 6) Loan documents unenforceable. 7) Adverse judgments. 8) Change of control. 9) Cessation of business. 10) Default under governing bond documents. Other Events of Default as appropriate Documentation Resolution and other loan documents in form and substance satisfactory to the Bank must be executed and delivered containing representations, warranties, covenants, indemnities, conditions to lending, events of default and other provisions as are appropriate in the Bank's opinion and specified by the Bank. Governing Law State of Florida. Consent to Florida Jurisdiction. Waiver of jury trial. Indemnification Standard indemnification of the Bank by the Borrower will apply. Underwriting Should PNC be appointed the winner of this RFP, the Bank requires a minimum of 3 weeks for the formal underwriting process from the appointed date. Expiration This proposal expires June 30, 2013 and the Facility must close no later than this date unless otherwise extended by the Bank in writing. The Rate Lock Letter provisions will also apply. Packet Page -323- coly county Administtative Services Division Purchasing Memorandum - - 6/11/2013 11. B. Email: adamnorthrup@colliergov.net Telephone: (239) 252 -6098 FAX: (239) 252 -6302 ADDENDUM #1 Date: May, 15 2013 From: Adam Northrup, Procurement Strategist To: Interested Bidders Subject: Addendum #1 13 -6091 — Public Utilities Term Bank Loan The following additional information is issued as an addendum as a result of questions asked by interested parties. This addendum includes files 1 — 4 of 7. 1. Updated debt schedule with P &I broken down for all W &S debt and Combined Water and Sewer Debt. See attached spreadsheet. Please note that this schedule has not been updated for P and I payments made between 1 0101 /201 2 and 5/1312013. 2. Rate Studies — Attached are the latest rate studies for Water and Sewer User Rates, IQ Water, Wholesale Water and Goodland Water District. Goodland Water District is now part of the CCWSD. 3. Engineers Reports — Attached are compliance inspections from FDEP. If you require additional information please post a question on the Online Bidding site or contact me using the above contact information. c: Laura Zautcke Please sign below a d return a copy of this Addendum with your submittal for the above referenced solicitation. (Signature) Da (Name of Firm) Packet Page -324- 13 -6091 Public utilities Term Bank Loan 1 coer county Administrative Services Divis Purchasing Mamnranfinm 6/11/2013 11. B. Email: adamnorthrup @colliergov.net Telephone: (239) 252 -6098 FAX: (239) 252 -6302 ADDENDUM #2 Date: May, 17 2013 From: Adam Northrup, Procurement Strategist To: interested Bidders Subject: Addendum # 2 13 -6091 — Public Utilities Term Bank Loan The following additional information is issued as an addendum as a result of questions asked by interested parties. This addendum includes 3 additional files. 1. Age of water/waste water plants: Water Plants :North: Nano- filtration —1993 Reverse Osmosis expansion —_ 1999 South: Water Lime Softening Plant — Mid 1980's and expanded in 1988 Reverse Osmosis Treatment Plant 2004 and expanded in 2007 Wastewater: Soitth WW Plant -1989 and expansions iu 1996, 1998 acrd 2004 North WW Plant — Built in mid 1970's with expansions in 1999 and 2005 2. Neighboring community retail rate comparisons for W&S rates assuming 5,000 gallons See attached document 2012 Rate Survey 2. Provide YTD operating results with comparisons to same date for previous year and comparison to budget See attached spreadsheet if you require additional information please post a question on the Online Bidding site or contact me using the above contact information. c: Laura Zautcke Please sign below and solicitation. A of this Addendum with your submittal for the above referenced (Signature) i l Date /: (Name of Firm) 13 -6091 Public Utilities Term Bank Loan 1 Packet Page -325- t?f �it✓►" County Adrninistrative Senrlces Division Purchasing Memorandum 6/11/2013 11. B. ; Email: adamnorthrup @colliergov.net Telephone: (239) 252 -6098 FAX: (239) 252 -6302 ADDENDUM #3 Date: May, 20 2013 From: Adam Northrup, Procurement Strategist To: Interested Bidders Subject: Addendum # 3 13 -6091 — Public Utilities Term Bank Loan The following additional information is issued as an addendum as a result of questions asked by interested parties. This addendum includes 1 additional file. Reconciliation of Non - Operating revenues (2010, 2011 and 2012) reported in Table 2 of the Annual Debt Report to the Statement of Revenues, Expenses and Fund Net Assets. See attached spreadsheet, file 3.1 If you require additional information please post a question on the Online Bidding site or contact me using the above contact information. c: Laura Zautcke Please sign below and r urn a copy of this Addendum with your submittal for the above referenced solicitation. (Signature) Dat (Name of Firm) Packet Page -326- 13 -6091 Public Utilities Term Bank Loan 1 CQt�r county Administrative Services Division Purchasing Memorandum 6/11/2013 11. B. i Email: adamnorthrup @colliergov.net Telephone: (239) 252 -6098 FAX: (239) 252 -6302 ADDENDUM #4 Date: May, 20 2013 From: Adam Northrup, Procurement Strategist To: Interested Bidders Subject: Addendum # 4 13 -6091 — Public Utilities Term Bank Loan In order to give all vendors sufficient time to review the new information provided, the ending date for this solicitation is now as follows: Thursday May 23, 2013, 3:OOPM If you require additional information please post a question on the Online Bidding site or contact me using the above contact information. c: Laura Zautcke Please sign below and Wurn a copy of this Addendum with your submittal for the above referenced solicitation. (Signature) V4 bateP (Name of Firm) Packet Page -327- 13 -6091 Public Utilities Term Bank Loan 1 6/11/2013 11.B. Co per County Administrative SeNoes Divislon Purchasing Attachment 2: Vendor's Check List IMPORTANT: THIS SHEET MUST BE SIGNED BY VENDOR. Please read carefully, sign in the spaces indicated and return with bid. Vendor should check off each of the following items as the necessary action is completed: 1. The Bid has been signed. 2. The Bid prices offered have been reviewed. 3. The price extensions and totals have been checked. 4. The payment terms have been indicated. 5. Any required drawings, descriptive literature, etc. have been included. 6. Any delivery information required is included. 7. If required, the amount of bid bond has been checked, and the bid bond or cashiers check has been included. 8. Addendum have been signed and included, if applicable. 9. Affidavit for Claiming Status as a Local Business, if applicable. 10. Immigration Affidavit and company's E- Verify profile page or memorandum of understanding. 11. Copies of licenses, equipment lists, subcontractors or any other information as noted in this ITB. 12. The mailing envelope must be addressed to: Purchasing Director Collier County Government Purchasing Department 3327 Tamiami Trail E Naples FL 34112 The mailing envelope must be sealed and marked with: • Solicitation: 13 -6091 — Public Utilities Term Bank Loan • Opening Date: 05121/2013 13. The bid will be mailed or delivered in time to be received no later than the specified opening date and time. (Otherwise bid cannot be considered,) ALL COURIER DELIVERED BIDS MUST HAVE THE BID NUMBER AND TITLE ON THE OUTSIDE OF THE COURIER PACKET. Compan Na ie L Signature tl Date 13 -6091 17 Public Utilities Term Bank Loan Packet Page -328- 6/11/2013 11. B. Co r County Adrrini*aWe SeMoes Wslon Purchasing Attachment 3: Vendor Submittal - Bid Response Form FROM: Rx-J-6, l' uwr lam. A Board of County Commissioners Collier County Government Center Naples, Florida 34112 RE: Solicitation: 13 -6091 — Public Utilities Term Bank Loan Dear Commissioners: The undersigned, as Vendor, hereby declares that the specifications have been fully examined and the Vendor is fully informed in regard to all conditions pertaining to the work to be performed for as per the scope of work. The Vendor further declares that the only persons, company or parties interested in this Bid or the Contract to be entered into as principals are named herein; that this Bid is made without connection with any other person, company or companies submitting a Bid; and it is all respects fair and in good faith, without collusion or fraud. The Vendor proposes and agrees if this Bid is accepted, to contract, either by a County issued purchase order or formal contract, to comply with the requirements in full in accordance with the terms, conditions and specifications denoted herein, according to the following unit price cs�: * * *SEE FOLLOWING PAGES * * * sec— r gizot s k� cotornelAis Any discounts or terms must be shown on the Bid Response Form. Such discounts, if any, will be considered and computed in the tabulation of the bids. In no instance should terms for less than fifteen (15) days payment be offered. Prompt Payment Terms: % Days; Net_ Days Please submit a paper ORIGINAL and THREE exact copies on Campact Disk (CD), The undersigned do agree that should this Bid be accepted, to execute a formal contract, if required, and present the formal contract to the County Purchasing Director for approval within fifteen (15) days after being notified of an award. 13 -6091 18 Public Utilities Term Bank Loan Packet Page -329- 6/11/2013 11. B. IN WITNESS WHEREOF, WE have hereunto subscribed our names on this Jq-�— day of &-� 2013 in the County of t tom {` VIA. , in the State of L t F Firm's Complete Legal Name P—N IA. Address / `mo, A%- NcZa— . 2-41 Y"t'ttit_ kt City, State, Zip PA (J -zzz- Florida Certificate of Authority Document Number Federal Tax Identification Number CCR # or CAGE Code Telephone Number FAX Number Signature / Title Type Name of Signature Date 217-- 1144-50 Za4- 1,37- S�i -ale -Ntc4,4Yozz22-1- VP /-13 Additional Contact Information Send Payments To: (REQUIRED ONLY if different from above) Firm's Complete Legal Name Address City, State, Zip Contact Name Telephone Number FAX Number Email Address FA JACQUELIN"USHER Notary Public, State of Florida My Commission Expires Aug. 0, 2015 My Commission # EE 120422 Bonded through National Notary As,,m. 13 -6091 19 Public Utilities Term Bank Loan Packet Page -330- 6/11/2013 11. B. cv ,err county Adninislrative Services Wsion Purchasing Attachment 4: Vendor Submittal — Local Vendor Preference Affidavit Solicitation: 13 -6091— Public Utilities Term Bank Loan (Check Appropriate Boxes Below) State of F rfda (Select County if Vendor is described as a Local Business rK Collier County Lee County Vendor affirms that it is a local business as defined by the Purchasing Policy of the Collier County Board of County Commissioners and the Regulations Thereto. As defined in Section XI of the Collier County Purchasing Policy; A "local business" is defined as a business that has a valid occupational license issued by either Collier or Lee County for a minimum of one (1) year prior to a Collier County bid or proposal submission that authorizes the business to provide the commodities or services to be purchased, and a physical business address located within the limits of Collier or Lee Counties from which the vendor operates or performs business. Post Office Boxes are not verifiable and shall not be used for the purpose of establishing said physical address. In addition to the foregoing, a vendor shall not be considered a "local business" unless it contributes to the economic development and well -being of either Collier or Lee County in a verifiable and measurable way. This may include, but not be limited to, the retention and expansion of employment opportunities, the support and increase to either Collier or Lee County's tax base, and residency of employees and principals of the business within Collier or Lee County. Vendors shall affirm in writing their compliance with the foregoing at the time of submitting their bid or proposal to be eligible for consideration as a "local business" under this section. Vendor must complete the following information: Year Business Established in j6Comer County or El Lee County: "t ��--77 Number of Employees (Including Owner(s) or Corporate Officers): Lt r $T� Number of Employees Living in ❑ Collier County or ❑ Lee (Including Owner(s) or Corporate Officers): If requested by the County, vendor will be required to provide documentation substantiating the information given in this affidavit. Failure to do so will result in vendor's submission being deeme not pplicable. Vendor Name: / ? /�✓tA, Eew N,4 Date: Address in Calker or Ley Signature: STATE OF FLORIDA ❑ COLLIER COUNTY © LEE COUNTY Title: U P Sworn to and Subscribed Before Me, a Notary Public, for the above State and County, on this Day of M A-] 20 E_. Notary Public JACQUELINE RUSHER My Commission Expires: A(� C. ,X61 Notary public, State of Florida My Commission Expires Aug. 0, 2015 (AFFIX OFFICIAL SEAL) My Commission # EE 120422 Bonded through National Notary AsIn. 13-6091 20 Public Utilities Term Bank Loan Packet Page -331- 6/11/2013 11. B Goliier County Mmnsiratr,a Swces oiv," PuRhas'sQ Attachment 5: Vendor Submittal — Immigration Affidavit Solicitation: 13 -6091 — Public Utilities Term Bank Loan This Affidavit is required and should be signed, notarized by an authorized principal of the firm and submitted with formal Invitations to Bid (ITB's) and Request for Proposals (RFP) submittals. Further, Vendors / Bidders are required to enrol in the E- Verify program, and provide acceptable evidence of their enrollment, at the time of the submission of U vendor's /bidder's proposal. Acceptable evidence consists of a copy of the properly completed E- Verify Compa Profile page or a copy of the fully executed E- Verify Memorandum of Understanding for the company. Failure t include this Affidavit and acceptable evidence of enrollment in the E- Verify program, may deem the Vendor t Bidder's proposal as non- responsive. Collier County will not intentionally award County contracts to any vendor who knowingly employs unauthorized alien workers, constituting a violation of the employment provision contained in 8 U.S.C. Section 1324 a(e) Section 274A(e) of the Immigration and Nationality Act ( "INA "). Collier County may consider the employment by any vendor of unauthorized aliens a violation of Section 274A (e) of the INA. Such Violation by the recipient of the Employment Provisions contained in Section 274A (e) of the INA shall be grounds for unilateral termination of the contract by Collier County. Vendor attests that they are fully compliant with all applicable immigration laws (specifically to the 1986 Immigration Act and subsequent Amendment(s)) and agrees to comply with the provisions of the Memorandum of Understanding with E- Verify and to provide proof of enrollment in The Employment Eligibility Verification System (E- Verify), operated by the Department of Homeland Security in partnership with the Social Security Administration at the time of submission of the Vendor's / Bidder's proposal. Company Name PAZ- / k— 114 Print Name Title G' Signature Date State of T7!—.o r— t DA- County of L51a The foregoing instrument was signed and acknowledged before me this `day of lAq , 20_, by br-N A1077 tZ who has produced t-t—a f— ti3Gb63b%'ar3 as identification. —' (P int r�ype Name) (Type of Identification and Number) o ry Public Signature �---�� JACQUELINE RUSHER C (i�C' 1a L° %i �2� Notary Public, State of Florida Printed Na a of Notary Public My Commission Expires Aug. 9, 2015 My Commission # EE 120422 P.6 /a 0Ya a ALA6 C Bonded through National Notary Aspn. Notary Commission Number /Expiration The signee of this Affidavit guarantees, as evidenced by the sworn affidavit required herein, the truth and accuracy of this affidavit to interrogatories hereinafter made. 13.6091 Public utilities Term Bank Loan Packet Page -332- 2. - 6/11/2013 11.B. Wf lt-v-effl r ?bx 0 yi v's.n'.s Company ID Number: 19959 Client Company ID Number, 537667 THE E- VERIFY PROGRAMI FOR EUPLOYIIRENT VERIFICATION MEMORANDUM OF UNDERSTANDING FOR EMPLOYERS USING A E- VERIFY EMPLOYER AGENT- ARTICLE I PURPOSE AND AUTHORITY This Memorandum of Understanding (MOU) sets forth the points of agreement between the Department of Homeland Security (DHS), PNC Bank, N.A. (Employer), and TALX Corporation .(E- Verify Employer Agent) regarding the Employer's and E -Verify Employer Agent's participation in the Employment Eligibility Verification Program (E- Verify). This MOU explains certain features of the E- Verify program and enumerates specific responsibilities of DHS, the Social Security Administration (SSA), the Employer, and the E- Verify Employer Agent.. References to the Employer include the E- Verify Employer Agent when acting. on behalf of the Employer. E- Verify is a program that electronically confirms an employee's eligibility to work in the United States after completion of the Employment Eligibility Verification Form (Form 1 -9). For covered government contractors, E- Verify is used to verify the employment eligibility of all newly hired employees and all existing 'employees assigned to Federal contracts or to verify the entire workforce if the contractor so chooses. Authority for the E- Verify program is found in Title IV, Subtitle A, of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA), Pub. L. 104 -208, 110 Stat. 3009, as amended "(8 U.S.C. § 1324a note). Authority for use of the E- Verify program by Federal contractors and subcontractors covered by the terms of Subpart 22.18, "Employment Eligibility Verification'; of the Federal Acquisition Regulation (FAR) (hereinafter referred to in this MOU as a "Federal contractor with the FAR E- Verify clause ") to verify the employment eligibility of certain_ employees working'on Federal contracts is also found in Subpart 22.18 and in Executive Order 12989, as amended. ARTICLE Il FUNCTIONS TO BE PERFORMED A. RESPONSIBILITIES OF SSA 1. SSA agrees to provide the Employer (through the E- Verify Employer Agent) with available information that will allow the Employer to confirm the accuracy of Social Security Numbers provided by all employees verified under this MOU and the employment authorization of U.S. citizens. 2. SSA agrees to provide the Employer and E- Verify Employer Agent appropriate assistance with operational problerns that may arise during the Employer's participation in E- Verify. SSA agrees to provide the E- Verify Employer Agent with names, titles, addresses, -and telephone numbers of SSA representatives to be contacted during the E -Verify Page 1 of 15 I E- Verify MOU for Employer (Client) using a E -Vedfy Employer Agent I Revision Date 09101/09 www.d hs.g ov1E- Verify Packet Page -333- 6/11/2013 11. B. film SF i-Mcm- tin sIlf Company ID Number: 19959 Client'Company ID Number: 537667 process. 3. SSA agrees to safeguard the information provided by the Employer through the E- Verify program procedures, and to limit access to such information, as is appropriate by law, to individuals responsible for the verification of Social Security Numbers and for evaluation of E- Verify or such other persons or entities who may be authorized by SSA as governed by the Privacy Act (5 U.S.C. § 552a), the Social Security Act (42 U.S.C. 1306(a)),- and SSA regulations (20 CFR Part 401). 4. SSA agrees to provide a means of automated verification that is designed (in conjunction with DHS's automated system if necessary). to provide confirmation or tentative nonconfirmation of U.S. citizens' employment eligibility within 3 Federal Government work days of the initial inquiry. 5. SSA agrees to provide a means of secondary verification (including updating SSA records as may be necessary) for employees who contest SSA tentative nonconfirmations that is designed to provide final confirmation or nonconfirmation of U.S, citizens' employment eligibility and accuracy of SSA records for both citizens and non - citizens within 10 Federal Government work days of the date of referral to SSA, unless SSA determines that more than 10 days may be necessary. in such cases, SSA will provide additional verification instructions. B. RESPONSIBILITIES OF DHS 1. After SSA verifies the accuracy of SSA records for employees through E- Verify, DHS agrees to provide ' the Employer (through the E- Verify Employer Agent) access to selected data from DHS's database to enable the Employer (through the E- Verify Employer Agent) to conduct, to the extent authorized by this MOU: - Automated verification checks on employees by electronic means, and • Photo verification checks (when available) on employees. 2. DHS agrees to provide to the Employer and E- Verify Employer Agent appropriate assistance with operational problems that may arise during the Employer's participation in E- Verify. DHS agrees to provide the E- Verify Employer Agent names, titles, addresses, and telephone numbers of DHS representatives to be contacted during the E- Verify process. 3. DHS agrees to make available to the Employer (through the E- Verify Employer Agent), at the E- Verify Web site and on the E -Verify Web browser, instructional materials on E- Verify policies, procedures and requirements for both SSA and DHS, including restrictions on the use of E- Verify. DHS agrees to provide training materials on E- Verify. 4. DHS agrees to provide to the Employer (through the E- Verify Employer Agent) a notice, which indicates the Employer's participation in the E -Verify program. DHS also agrees to Page 2 of 151 E- Verify MOU for Employer (Client) using a E- Vorify Employer Agent I Revision Date 09/01109 www.diis.gov /E- Verify Packet Page -334- 6/11 /2013 11. B. � SFC4 Z-Ver Ify Company ID Number: 19959 Client Company ID Number: 537667 provide to the Employer (through the E- Verify Employer Agent) anti - discrimination notices issued by the Office of Special Counsel for immigration- Related Unfair Employment Practices (OSC), Civil Rights Division, U.S. Department of Justice. 5. DHS. agrees to issue the E- Verify Employer Agent a user identification number and password that will be used exclusively by the E- Verify Employer Agent, on behalf of the Employer, to verify information provided by employees with DHS's databases. 6. DHS agrees to safeguard the information provided to D.HS by the Employer (through the E- Verify Employer Agent), and to limit access to such information to individuals responsible for the verification of employees' employment eligibility and for evaluation of the E- Verify program, or to such other persons or entities as may be authorized by applicable law. Information will be used only to verify the accuracy of Social Security Numbers and employment eligibility, to enforce the Immigration and Nationality Act (INA) and Federal criminal laws, and to administer Federal contracting requirements. 7. DHS agrees to provide a means of automated verification that is designed (in conjunction with SSA .verification procedures) to provide confirmation or tentative nonconfirmation of employees' employment eligibility within 3 Federal Government workdays of the initial inquiry. 8. • DHS agrees to provide a means of secondary verification (including updating DHS records as may be necessary) for employees who contest DHS tentative nonconfirmations and photo non -match tentative nonconfirmations that is designed to provide final confirmation or nonconfirmation of the employees' employment eligibility within 10 Federal Govemment work days of the date of referral to DHS, unless DHS determines that more than 10 days may be necessary. In such cases, DHS will provide additional verification instructions. C. RESPONSIBILITIES OF THE EMPLOYER 1. The Employer agrees to display the notices supplied by DHS (through the E- Verify Employer Agent) in a prominent place that is clearly visible to prospective employees and all employees who are to be verified through the sysiem. 2. The Employer agrees to provide to the SSA and DHS the names, titles, addresses, and telephone numbers of the Employer representatives to be contacted regarding Verify. 3. The Employer agrees to become familiar with and comply with the most recent version of the E- Verify User Manual. The Employer will obtain the E- Verify User Manual from the E- Verify Employer Agent. 4. The Employer agrees to comply with current Form 1 -9 procedures, with two exceptions: If an employee presents -a "List B" "identity document, the Employer agrees to only accept "List B" docurents that contain a photo. (List B documents identified in 8 Page 3 of 15 1 E -Verity MOU for Employer (Client) using a E- Verify Employer Agent I Revision We 09l01!09 www.dhs.gov /E- Verify Packet Page -335- mv.erl E Company ID Number. 19959 Client Company ID Number: 537667 6/11/2013 11. B. '. WO Ziff C.F.R. § 274a.2(b)(1)(B)) can be presented during the Form 1 -9 process to establish identity.) If an employee objects to the photo requirement for religious reasons, the Employer should contact E- Verify at 1- 888 - 464 - 4218.. 0 If an employee presents a DHS Form 1 -551 (Permanent Resident Card) or Form I- 766 (Employment Authorization Document) to complete the. Form 1 -9, the Employer agrees to make a photocopy of the document and to retain the photocopy with the employee's Form 1 -9. The photocopy must be of sufficient quality to allow for verification of the photo and written information. The employer will use the photocopy to verify the photo and to assist DHS with its review of photo non - matches that are contested by employees. Note that employees retain the right to present any List A, or List B and List C, documentation to complete the Form 1 -9. DHS may In the future designate other documents that activate the photo screening tool. S. The Employer understands that participation in E- Verify does not exempt the Employer from the responsibility to complete, retain, and make available for inspection Forms 1 -9 that relate to its employees, or from other requirements of applicable regulations or laws, including the obligation to comply with the antidiscrimination requirements of section 274B "of the INA with respect to Form 1 -9 procedures, except for the following modified requirements applicable by reason of the Employer's participation in E- Verify: (1) identity documents must have photos, as described in paragraph 4 above; (2) a rebuttable presumption is established that the Employer has not violated section 274A(a)(1)(A) of the Immigration and Nationality Act (iNA) with respect to the hiring of any individual if it obtains confirmation of the identity and employment eligibility of the individual in good faith compliance with the terms and conditions of E- Verify; (3) the Employer must notify DHS if it continues to employ any employee after receiving a final nonconfirmation, and is subject to a civil money penalty between $650 and $1,100 for each failure to notify DHS of continued employment following a final nonconfirmation; "(4) the Employer is subject to a rebuttable presumption "that it has knowingly employed an unauthorized alien in violation of section 274A(a)(1)(A) if the Employer continues to employ an employee after receiving a final nonconfirmation; and (5) no person or entity participating in E- Verify is civilly or criminally liable under- any law for any action taken in good faith based on information provided through the confirmation system. DHS reserves the right to conduct Form 1 -9 and E- Verify system compliance inspections during the course of E- Verify, as well as to conduct any other enforcement activity authorized by law. 6. The Employer agrees to initiate E- Verify verification procedures (through the E- Verify Employer Agent), for new employees within 3 Employer business days after each employee has been hired (but after both sections 1 and 2 of the Form 1 -9 have been completed), and to complete as many (but only as many) steps of the E- Verify process as are necessary according to the E- Verify User Manual, or in the case of Federal contractors with the "FAR E- Verify clause, the E- Verify User Manual for Federal Contractors. The Employer is prohibited from initiating verification procedures before the employee has been hired and the Form 1 -9 completed. If the automated system to be .queried is temporarily unavailable, the 3 -day time period is extended until it is again operational In order to accommodate tha Employer's attempting, in good faith, to make Page 4 of 151 E- Verify MOU for Employer (Client) using a E- Verify Employer Agent I Revision Date 09101109 www.dhs.gov /E- Verify Packet Page -336- 6/11/2013 11. B. Ify Company ID Number: 19959 Client Company ID Number: 537667 inquiries during the period of unavailability. Employers may initiate verification, through the -E- Verify Employer .Agent, by notating the Form 1 -9 in circumstances where the employee has applied for a Social Security Number (SSN) from the SSA and is waiting to receive the SSN, provided that the Employer (through the E- Verify Employer Agent) performs an E- Verify employment verification query using the employee's SSN as soon as the SSN becomes available. 7. The Employer agrees not to use E- Verify procedures for pre - employment screening of job applicants, in support of any unlawful employment practice, or for any other use not authorized by this MOU. Employers must use E- Verify (through its E- Verify Employer Agent) for all new employees, unless an Employer is a Federal contractor that qualifies for the exceptions described in Article Ii.D.1.c. Except as provided in Article iLD, the Employer will not verify selectively and will not - verify employees hired. before the effective date of this MOU. The Employer understands that if the Employer uses the E- Verify system for any purpose other than as authorized by this MOU, the Employer may be subject to appropriate legal action and termination of its access to SSA and DHS information pursuant to this MOU. 8, The Employer (through its E- Verify Employer Agent) agrees to follow appropriate procedures (see Article III. below) regarding tentative nonconfirmations, including notifying employees in private of the finding and providing them written notice of the findings, providing written referral instructions to employees, allowing employees to contest the finding, and not taking adverse action against employees. If they choose to contest the finding. Further, when employees contest a tentative nonconfirmation based upon a photo non- match,. the Employer is required to take affirmative steps (see Article III.B. below) to contact DHS with information necessary to resolve the challenge. 9. The Employer agrees not to take any adverse action. against an employee based upon the employee's perceived employment eligibility status while SSA or DHS is processing the verification request unless the Employer obtains knowledge (as defined in 8 C.F.R. § 274a.1(1)) that the employee is not work authorized: The Employer understands that an initial inability of the SSA or DHS automated verification system to verify work authorization, a tentative nonconfirmation, a case in continuance (indicating the need for - additional time for the government to resolve a case), or the .finding 'of a photo non - match, does not establish, and should not be interpreted as evidence, that the employee is not work authorized. In any of the cases listed above, the employee must be provided a full and fair opportunity to contest the finding, and if he or she does so, the employee may not be terminated or suffer any adverse employment consequences-based upon the employee's perceived employment eligibility status (including denying, reducing, or extending work hours, delaying or preventing training, requiring an employee to work in poorer conditions, refusing to assign the employee to a Federal contract or other assignment, or otherwise subjecting an employee -to any assumption that he or she is unauthorized to work, or otherwise mistreating an employee) until and unless secondary verification by SSA or DHS has been completed and a final nonconfirmation has been issued. If the employee does not choose to contest a tentative nonconfirmation or a Page 5 of 15 i E Verify MOU for Employer (Client) using a E -Verify Employer Agent I Revision Date 09101/09 www.dhs.gov /E- Verify Packet Page -337- 6/11/2013 11. B. Company ID Number: 19969 Client Company ID Number: 537667 photo non -match or if a secondary verification is completed and a final nonconfirmation is issued, then the Employer can find.the employee is not work authorized and terminate the employee's employment. Employers or employees with questions about a final nonconfirmation may call E- Verify at 1- 888 -464 -4218 or OSC at 1- 800 - 255 -8155 or 1- 800- 237 -2515 (TDD). 10. The Employer agrees to comply with Title VII of the Civil Rights Act of 1964 and section 274E of the iNA, as applicable, by not discriminating unlawfully against any individual in hiring, firing, or recruitment or referral practices because of his or her national origin or, in the case of a protected individual as defined in section 274B(a)(3)• of-the INA, because of his or her citizenship. status. The Employer understands that such illegal practices can include selective verification or use of E- Verify except as. provided in part D below, or discharging or refusing to hire employees because they appear or sound "foreign" or have received tentative nonconfirmations: The Employer further understands that any violation of the unfair immigration - related employment practices provisions In section 274B. of the INA could subject the Employer to civil 'penalties, back pay awards, and other sanctions, and violations of Title VII could subject the Employer to back pay awards, -compensatory and punitive damages. Violations of either section 274E of the INA or Title VII may also lead to the termination of its participation in E- Verify. if the Employer has any questions relating to the anti - discrimination provision, it should contact OSC at 1- 800 -255 -8155 or 1- 800 -237 -2515 (TDD). 11. The Employer agrees to record the case verification number on the employee's Form 1 -9 or to print the screen containing the case verification number and attach it to the employee's Fonn 1 -9. 12. The Employer agrees that it will use the information it receives from SSA or DHS (through the E- Verify Employer Agent) pursuant to E- Verify and this MOU only to confirm the employment eligibility of employees - as authorized by this MOU. The Employer agrees that it will safeguard this information, and means of access to it (such as PiNS and passwords) to ensure that it is not used for any other purpose and as necessary to protect its confidentiality, including ensuring that it is not disseminated to any person other than employees of the Employer who are authorized to perform the Employer's responsibilities under this MOU, except for such dissemination as may be authorized in advance by SSA or DHS for legitimate purposes. 13. The Employer acknowledges that the information which it receives through the E- Verify Employer Agent from SSA is governed by the Privacy Act (5 U.S.C. § 552a(i)(1) and (3)) and the Social Security Act (42 U.S.C. 1306(a)), and that any person who obtains this information under false pretenses or uses it for any purpose other than as provided for in this MOU may be subject to criminal penalties. 14. The Employer agrees to cooperate with DHS and SSA in their compliance monitoring and evaluation -of. E- Verify, including by permitting DHS and SSA, upon reasonable notice, to review Forms 1-9 and other employment records and to interview it and its Page 6 of 151 E- Verify MOU for Employer (Client) using a E- Verify EmployerAgent I Revision Date 09/01/09 www.dhs.gov /E- Verify Packet Page -338- 6/11/2013 11.6. 4 COW AR"011 I �W_Sffgmma P,,'', �'nrar Company ID Number: 19959 Client Company ID Number: 537667 employees regarding the Employer's use of E- Verify, and to respond in a timely and accurate manner to DHS requests for information relating to their participation in E- Verify. D. RESPONSIBILITIES OF FEDERAL CONTRACTORS WITH THE FARE VERIFY GLAUSE 1. The Employer understands that if it is a Federal contractor subject to.the employment verification terms In Subpart. 22.18 of the FAR it must verify the employment eligibility of any existing employee assigned to the contract and all new hires, as discussed in the Supplemental Guide for Federal Contractors. Once an employee has been verified through E- Verify by the Employer, the Employer may not reverify the employee through E- Verify. a. Federal contractors with the FAR E- Verify clause agree to become familiar with and comply with the most recent versions of • the E Verify User Manual for Federal Contractors' and the E- Verify Supplemental Guide for Federal Contractors. b. Federal contractors with the FAR E- Verify clause agree to complete a tutorial for Federal contractors with the FAR E- Verify clause. . c. Federal contractors with the FAR E -Velify clause not enrolled .at the time of contract award: An Employer that is not enrolled in E- Verify as a Federal contractor at the time of a contract award must enroll as a Federal contractor with the FAR E- Verify clause in E- Verify within 30 calendar days of contract award and, within 90 days of enrollment, begin to use E- Verify to initiate verification of employment eligibility of new hires of the Employer who are working in the United States, whether or not assignee{ to the contract. Once the Employer Begins verifying new hires, such verification of new hires must be initiated within 3 business days after the date of hire. Once enrolled in •E- Verify 'as a Federal contractor with the FAR E- Verify clause, the Employer must initiate verification of employees assigned to the contract within 90 calendar days from the tune of enrollment in the system and then selecting which employees will be verified in E- Verify or within 30 days of an employee's assignment to the contract, whichever date is later. d. Employer that are already enrolled in E- Verify at the time of a contract award but are not enrolled in. the system as a Federal contractor with the FARE Verify clause: Employers enrolled in E- Verify as a Federal contractor for 90 days or more at the time of a contract award must use E- Verify to initiate verification of employment eligibility for new hires of the Employer who are working in the United States, whether or not assigned to the contract, within 3 business days after the date of hire. Employers enrolled in E- Verify as other than a Federal contractor with the FAR E- Verify clause, must update E- Verify to indicate that they are a Federal contractor with the FAR E- Verify clause.within 30 days after Page 7 of 151 E- Verify MOU for Employer (Client) using a E -Verify Employer Agent I Revision Date 09/01/09 www.dhs.gov /E- Verify Packet Page -339- 6/11/2013 11. B. . SIC& jCrY c p�"I MAN Company ID Number: 19959 Client Company ID Number: 537667 assignment to the contract. If the Employer is enrolled in E -Verify for 90 calendar days or less at the time of contract award, the- Employer must, within 90 days of enrollment,, begin to use E- Verify to initiate verification of new hires of the contractor who are working in the United States, whether or not assigned to the contract. Such verification of new hires must be initiated within 3 business days. after the date of hire. An Employer enrolled as a Federal contractor with the FAR E- Verify clause in E- Verify must initiate verification of each employee assigned to the contract within 90 calendar days after date of contract award or within 30 days after assignment to the contract, whichever is later. e. institutions of higher education, State, local and tribal governments and sureties: Federal contractors with the FAR E- Verify clause that are institutions of higher education (as defined at 20 U.S.C. 1001(a)), State or local governments, governments of Federally recognized Indian tribes, or sureties performing under a takeover agreement entered into with a Federal agency pursuant to. a performance bond may choose to only verify new and existing employees -assigned to the Federal contract, Such Federal contractors with the FAR E- Verify clause may, however, elect to verify all new hires, and /or all . existing employees. hired after November 6, 1986. The provisions of Article 11, part D, paragraphs 1.a and 1.b of this MOU -providing 'timeframes for initiating employment verification of, employees assigned to. a contract apply to such institutions of higher education, State, local , tribal governments, and sureties. Verification of all employees: Upon enrollment, Employers who are Federal contractors with the FAR E- Verify clause may elect to verify employment eligibility of all existing employees working in the.United States who were hired after November 6, 1986, instead of verifying only new employees and, those existing employees assigned to a covered Federal contract. After enrollment, Employers must elect to do so only in the manner designated by DHS and initiate E- Verify verification of all existing employees within 180 days after the election. g. Form 1 -9 procedures for existing employees of Federal contractors with the FAR- E- Verify clause: Federal contractors with the FAR E- Verify clause (through their E- Verify Employer Agent) may choose to complete new Forms 1-9 for all existing employees other than those that are completely exempt from this process. Federal contractors with the FAR E- Verify clause may also update previously completed Forms 1 -9 to initiate E- Verify verification of existing employees who are not completely exempt as long as that Form 1 -9 is complete (including the SSN), complies with Article Ii.C.4, the employee's work authorization has not expired, and the Employer has reviewed the information reflected in the Form 1 -9 either in person or in communications with the employee to ensure that the employee's stated basis in section 1 of the Form 1 -9 for work authorization has not changed (including, but not limited to, a lawful permanent resident- alien having become a naturalized U.S. citizen). If the Employer is unable to determine that the Form 1 -9 complies with Article II.C.4, if the employee's basis Page 8 of 151 E- Verify MOU for Employer (Client) using a E- Verify Employer Agent I Revision pate 09/01/09 www.dhs.gov /E- Verify Packet Page -340- 6/11/2013 11. B., K Company ID Number: 19959 Client Company ID Number: 537667 for work authorization as attested in section 1 has expired or changed, or if the Form 1 -9 contains no SSN or is otherwise incomplete, the Employer shall complete a new 1 -9 consistent with Article II.C.4, or update the previous 1 -9 to provide the necessary information. If section 1 of the Form 1 -9 is otherwise valid and up -to -date and the fonn otherwise complies with Article Ii.C.4, but reflects documentation (such as a U.S. passport or Form 1 -551) that expired subsequent to completion of the Form 1 -9, the Employer shall not require the production of additional documentation, or use the photo screening tool described in Article II.C.4, subject to any additional or superseding instructions that may be provided on this subject in the Supplemental Guide for Federal-Contractors. Nothing in this section shall be construed to require a second verification using E- Verify of any assigned employee who has previously been verified as a newly hired employee under this MOU, or to' authorize verification of any existing employee by any Employer that is not a Federal contractor with the FAR E-Verify clause. 2. The Employer understands that if it is a Federal contractor with the FAR E- Verify clause, its compliance with this MOU is a performance requirement under the terms of the Federal contract or subcontract; and the Employer consents to the release of information relating to compliance with its verification responsibilities under this MOU to contracting officers or other officials authorized to "review the Employer's compliance with Federal contracting requirements. E. RESPONSIBILITIES OF THE E- VERIFY EMPLOYER AGENT 1. The E- Verify Employer Agent agrees to provide to the SSA and DNS the names, titles, addresses, and telephone'nuimbers of the E- Verify Employer- -Agent representatives who will be accessing information under E- Verify. 2. The E- Verify Employer Agent agrees to become familiar with and comply with the E- Verify User Manual and provide a copy of the manual to the Employer so that the Employer can become familiar with and comply with E- Verify policy. and procedures. 3. The E- Verify Employer Agent agrees that any E- Verify Employer Agent Representative who will perform- employment verification queries will complete the E-Verify- Tutorial before that individual initiates any queries. a. The E- Verify Employer Agent agrees that all E-Verify Employer Agent representatives will take the refresher tutorials initiated by the E -Verify program as a condition of continued use -of E- Verify, including any 'tutorials for Federal contractors if the Employer is a Federal contractor. b. Failure to complete a refresher tutorial will prevent the E- Verify Employer Agent and Employer from continued use of the program. 4. The E- Verify Employer Agent agrees to obtain the necessary equipment to utilize E- Verify. Page 9 of 151 E -Verify MOU for Employer (Client) using a E- Verify Employer Agent I Revision Date 09 /01/09 www.dhs.gov/E-Varify Packet Page -341- 6/11/2013 11. B. r, -Verm Ify� ..�,�.....,4..� <.. Company ID Number: 19969 Client Company ID Number: 537667 5. The E- Verify Employer Agent agrees to provide the Employer with the notices described in Article 11.6.4 above. 6. The E -Verify Employer Agent agrees to initiate E- Verify procedures on behalf of the Employer in accordance with the E- Verify Manual and E- Verify Web -Based Tutorial. The E -Verify Employer Agent will query the automated system using information provided by the Employer and will immediately communicate the response back to the Employer. If the automated system to be queried is temporarily unavailable, the 3 -day time period is extended until it is again operational in order to accommodate the E- Verify Employer Agent's attempting, in good faith, to make inquiries on behalf of the Employer during the period of unavailability. In all cases, the E -Verify Employer Agent will use the SSA verification procedures first, and will use DHS verification procedures only as directed by the SSA verification response. 7. The E -Verify Employer Agent agrees to cooperate with DHS and SSA in their compliance monitoring and evaluation of E- Verify, including by permitting DHS and SSA, upon reasonable notice, to review Forms 1 -9 and other employment records and to interview it and its employees regarding the use of E Verify, and to respond in a timely and accurate manner to DHS requests for information relating to their participation in E- Verify. ARTICLE ill . REFERRAL OF INDIVIDUALS TO SSA AND DHS A. REFERRAL TO SSA 1. If the Employer receives.a tentative nonconfirmation issued by SSA, the Employer must print the tentative nonconfirmation notice as directed- by the automated system and provide it to the employee so that the employee may determine whether he or she will contest the tentative nonconfirmation. The Employer .will refer employees to SSA field offices only as directed- by the automated system based on .a tentative nonconfirmation, and only after the Employer records the case verification number, reviews the input to detect any transaction errors, and determines that the employee contests the tentative nonconfirmation. The Employer (through the E- Verify Employer Agent), will transmit the Social Security Number to SSA for verification again if this review indicates a need to do so. The Employer will determine whether the employee contests the tentative nonconfirmation as soon as possible after the Employer receives it. 3. If the employee contests an SSA tentative nonconfirmation, the Employer will provide the employee with a system - generated referral letter and instruct the employee to visit an SSA office within 8 Federal Government work days. SSA will electronically transmit the result of the referral to the Employer (through the E- Verify Employer Agent) within 10 Federal Government work days of the referral.uniess it determines that more than 10 Page 10 of 151 E -Verify MOU for E=mployer (Client) using a E -Verify Employer Agent I Revision Date 09101109 wwvv. d hs.g ov1E- Verify Packet Page -342- 6/11/2013 11.B. -Ve r I rv_ Company ID Number: 19959 Client Company ID Number: 537667 days is necessary. The Employer agrees to check the E- Verify system regularly for case updates. 4. The Employer agrees not to ask the employee to obtain a printout from the Social Security Number database (the Numident) or other written verification of the Social Security Number from the SSA. B. REFERRAL TO DHS 1.._ If the Employer receives a tentative nonconfirmation issued by DHS, the Employer.must print the tentative nonconfirmation notice as directed by. the automated 'system and provide it to the employee so that the employee may determine whether he or she will contest the tentative nonconfirrriation. 2. If "the; Employer finds a photo non -match for an employee who provides a document for which the automated system has transmitted a photo, the employer must print the photo non -match tentative nonconfirmation notice as directed by the automated system and provide it to the employee so that the employee may determine whether he or she will contest the finding. 3. The Employer agrees to refer individuals to DHS only when the employee chooses to contest a tentative nonconfirmation received from DHS automated verification process or -when.the Employer issues a tentative nonconfirmation based upon a photo non- match. The Employer will determine whether the employee contests the tentative nonconfirmation as soon as possible after the Employer receives it. 4. If the employee contests a tentative nonconfirmation issued by DHS, the Employer will provide the employee with a referral letter and instruct the employee to contact DHS through its toll -free hotline (as found on the referral letter) within 8 Federal Government work days, 5. If the employee contests a tentative nonconfirmation based upon a photo non - match, the Employer will provide the employee with a referral letter to DHS. DHS will electronically transmit the result of the referral to the Employer within 10 Federal Government work days of the referral unless it determines that more than 10 days is necessary. The Employer agrees to check the E- Verify system regularly for case updates. 6. The Employer agrees that if an employee contests a tentative nonconfirmation based upon a photo non - match, the Employer (or the E- Verify Employer Agent) will send a copy of the employee's Form 1 -551 or Form 1 -766 to DHS.for review by: a Scanning and uploading the document, or ® Sending a photocopy of the document by and express mail account (pain for at employer expense). 7. if the Employer (through the E- Verify Employer Agent) determines that there is a photo Page 11 of 151 E- Verify MOU for Employer (Client) using a E Verify Employer Agent I Revision Date 09101/09 www.diis.gov/E-Verify Packet Page -343- � -Veri Company ID Number: 19959 Client Company ID Number: 537667 6/11/2013 11. B. x A., < non -match when comparing the photocopied List B document described in Article II,C.4 with the image generated in E- Verify, the Employer (through the E- Verify Employer Agent) must forward the employee's documentation to DHS using one of the means described in the preceding paragraph, and allow DHS to resolve the case. ARTICLE IV SERVICE PROVISIONS The SSA and DHS will not charge the Employer or the E- Verify Employer Agent for verification services performed under this MOU. DHS is not responsible for providing the equipment needed to make inquiries. A personal computer with Internet access is needed to access the E- Verify System. ARTICLE V PARTIES A. This MOU is effective upon the signature of all parties, and shall continue in effect for as long as the SSA and DHS conduct the -E- Verify program unless modified in writing by the mutual consent of all parties, or terminated by any party upon 30 days prior written notice to the others. Any and all system enhancements to the E- Verify. program by DHS or SSA, including but not limited to the E- Verify checking against additional data sources and instituting new verification procedures, will be covered under this MOU and will. not cause the need for a supplemental MOU that outlines these changes. DHS agrees to. train employers on all changes made to E- Verify through the use of mandatory refresher tutorials and updates to the E- Verify User Manual, the.E -Verify User Manual for Federal Contractors, or the E- Verify Supplemental Guide for Federal Contractors. Even without changes .to E- Verify, DHS reserves the right to require employers to take mandatory refresher tutorials. An Employer that is a, Federal contractor with the FAR E- Verify clause may terminate this MOU when the Federal contract that requires its participation in E- Verify is terminated or completed. In such a circumstance, the Federal contractor with the FAR E- Verify clause must provide written notice to DHS. If an Employer that is a Federal contractor with the FAR E- Verify clause fails to provide such notice, that Employer will remain a participant in the E- Verify program, will remain bound by the terms of this MOU that apply to participants that are not Federal contractors with the FAR E- Verify clause, and will be required to use the E- Verify procedures to verify'the employment eligibility of all newly hired employees. B. Notwithstanding Article V, part A of this MOU, DHS may terminate access to E- Verify if it is deemed necessary because of the requirements of law or policy, or upon a determination by SSA or DHS that there has been a breach of system integrity or security by the E- Verify Employer Agent or the Employer, or a failure on the part of either to comply with established procedures or legal requirements. The Employer understands that if it is a Federal contractor with the FAR E- Verify clause, termination of this MOU by. any party for any reason may negatively affect the Employer's performance of its contractual responsibilities. Page 12 of 151 E -Verify MOU for Employer (Client) using a E- Verify Employer Agent I Revision Date 09/01/09 www.dhs.gov /E- Verify Packet Page -344- 6/11/2013 11. B. Company ID Number: 19959 Client Company ID Number: 537667 C. Some or all SSA and DHS responsibilities under this MOU may, be performed by contractor(s), and SSA and DHS may adjust verification responsibilities between each other as they may determine necessary. By separate agreement with DHS, SSA has agreed to perform its responsibilities as described in this MOU. D. Nothing in this MOU is intended, or should be construed, to create any right or benefit, substantive or procedural, enforceable at law by any third party against the United States, its agencies, officers, or employees, or against the E- Verify Employer Agent, the Employer, or their agents, officers, or employees. E. Each party shall be solely responsible for defending any claim or action against it arising out of or related to E- Verify 'or this MOU, whether civil or criminal, and for any liability wherefrom, including (but not limited to) any dispute between the .E- Verify Employer Agent or the Employer and any other person or entity regarding.the applicability of Section 403(d) of IIRIRA to any action taken or allegedly- taken, by the E- Verify Employer Agent or the Employer. F. Participation in E- Verify is not confidential information and may be disclosed as authorized or required by law and DHS or SSA policy, including but not limited to, Congressional oversight, E- Verify publicity and media inquiriesi.determinations of compliance with Federal contractual requirements; and responses to inquiries under.the Freedom of Information Act (FOIA). G. The foregoing constitutes the full agreeme�pt on this subject between DHS, the Employer and the E- Verify Employer Agent. PNC Bank N.A. (Employer) hereby designates and appoints TALX Corporation (E- Verify Employer Agent), including its officers and employees, as the E- Verify Employer Agent for the purpose of carrying out ANC Bank, N.A. (Employer) responsibilities under the MOU between the Employer, the E- Verify Employer Agent, and DHS. . Page 13 of 151E Verify MOU for Employer (Client) using a E- Verify Employer Agent I Revision Date 09/01/09 www:dhs . govlE- Verify Packet Page -345- a:.' f f � l Company ID Number: 19969 Client Company ID Number: 537667 6/11/2013 11. B. � A II�,I�� The individuals whose signatures appear below represent that they are authorized to enter into this MOU on behalf of the Employer, the E- Verify Employer Agent and DHS respectively. If you have any questions, contact E- Verify at 1- 888 -464 -4218. Approved by: Employer PNC Sank, N.A. -31e A. PAcen N s (Please Type or Print) Sig ature E- Verify Employer Agent TALX Corporation V;f-P 1"tZ's��f�n� CPrur „1t; c�f��:�drr Title -' � rofl 2 Date Jerald Jackson Name (Please Type or Print) Title Electronically Signed 0410412012 Signature Date Department of Homeland Security — Verification Division Name (Please Type or Print)- Title Signature Information Required For the E- Verify E- Verify Employer Agent Program Information relating to your Company: Page 14 of 151 E -Verify MOU for Employer (Client) using a E- Verify Employer Agent I Revision Date 09/01/09 www.diis.gov/E-Verify Packet Page -346- I 6/11/2013 11. B. , Amr "° 41 '` � + ° OR; + V= Ve M Company ID Number: 19959 Client Company ID Number: 537667 _.___� • Catr~��ut�u f�la,tx:c:t -ltiC Sc.��E;, :�.f -:. __._ Company Facility Address :620 Liberty Avenue Pittsburgh, PA 15222 County or Parish: ALLEGHENY Employer Identification Dumber: 22.19464.30 North American Industry Classification Systems Co€ie:622 Administrator: Number of Employees: 10,000 and over Page 15 of 15 f E- Verify MOU for Employer (Client) using a E -Verify EmployerAgenf ( Revision Date 09101/09 www.dhs.gov /E- Verify Packet Page -347- Attachment 6: Vendor Substitute W — 9 Request for Taxpayer Identification Number and Certification In accordance with the Internal Revenue Service regulations, Collier County is required to collect the following information for tax reporting purposes from individuals and companies who do business with the County (including social security numbers if used by the individual" or company for tax reporting purposes). Florida Statute 119.071(5) require that the county notify you in writing of the reason for collecting this Information, which will be used for no other purpose than herein stated. Please complete all information that applies to your business and return with your quote or proposal. 1. General Information (provide all information) Taxpayer Name PNC Bank National Association (as shown on Income tax retum) Business Name PNC Bank National Association (if different from taxpayer name) Address _One PNC Plaza, 249 Fifth Avenue City Pittsburgh State PA ZI 15222 Telephone 412 -762 -8313 FAX 412-762-1 OE 4 Email _ thomas,scanlon(Monc.com Order information I Remit Payment Information Address Same Address Same City State FAX Email Zip City Stale Zip FAX Email 2. Company Status (check only one) Individual /Sole Proprietor )L Corporation _Partnership Tax Exempt (Federal income tax- exempt entity ^under Limited Liability Company internal Revenue Service guidelines IRC 501 (c) 3) Enter the tax classification A = Disre arded Enllt , C = Corporation, P = Padnership) 3. Taxpayer Identification Number (for tax reporting purposes only) Federal Tax Identification Number (TIN) 22- 1146430 (Vendors who do not have a TIN, will be required to provide a social security number prior to an award of file contract.) 4. Sign and Date Form Certification: Underpenalties of perjury, i certify that the information shown on this form is correct to my knoviledge. 13.64' Public Utilities Term Bank Loan Packet Page -348- 22 FORM OF RATE LOCK LETTER 5 Packet Page -349- 6/11/2013 11.B. 6/11/2013 11. B. June 12, 2013 Collier County, Florida 3299 Tamiami Trail East Naples, FL 34112 Re: Forward Fixed Rate Lock Letter Collier County, Florida (the `Borrower ") has requested that PNC Bank, National Association (the `Bank ") provide the Borrower with a forward rate commitment (the "Forward Rate ") for the Collier County Public Utilities Term Bank Loan, Series 2013 (the "Facility ") described in the Summary of Terms and Conditions dated May 23, 2013 (the "Terms and Conditions "). The Forward Rate is offered at a fixed rate of 1.47% per annum for a closing date on or before June 30, 2013 (the "Rate Lock Expiration Date "). Principal under the Facility shall be repaid as provided in Schedule A (or similar to) in Exhibit 1, Section 3, Subsection D ( "Scope of Work, Specifications and Response Format ") of the RFP dated May 8, 2013. The Bank is willing to commit to the Forward Rate upon the terms and conditions specified herein, subject to execution and delivery of the definitive documentation for the Facility in form and content satisfactory to the Bank and satisfaction of the other terms and conditions as are set forth in the Terms and Conditions. The documentation must be executed and delivered and funding of the Facility must occur by a date (the "Closing Date ") which is no later than the Rate Lock Expiration Date. By accepting this letter, the Borrower agrees that in the event that for any reason, other than the Bank's inability to complete credit approval within the parameters of the Terms and Conditions or close on the Facility, the Closing Date does not occur on or before the Rate Lock Expiration Date, or any of the provisions of the Forward Rate set forth above (rate, principal amount, Rate Lock Expiration Date or payment schedule set forth in Schedule A or Exhibit I of the RFP dated May 8, 2013) is changed, the Bank shall not be obligated to provide the Forward Rate and the Borrower shall pay to the Bank the amount of any loss or expense which the Bank may sustain or incur as a result of the Borrower's failure to close the Facility by such date or any such change in the Forward Rate provisions, including but not limited to any loss of margin, loss or expense incurred in liquidating or employing deposits from third parties and any loss or expense incurred in connection with funds acquired by the Bank to fund borrowings subject to the Forward Rate. Such payment shall be due two (2) business days after the Bank gives notice to the Borrower of the amount thereof, setting forth in reasonable detail the basis for the calculation thereof. A certificate by the Bank as to such amount shall be conclusive if made in Form 6K— Multistate Rev. 1102 0AWER4TNCTixed Rate Agtnfform for Pub FinTorward Fixed Rate Lock Letter (Pub Fin) 6k- m -w.doc Packet Page -350- 6/11/2013 11. B. Collier County, Florida June 12, 2013 Page 2 good faith. The Borrower acicnowledges and agrees that such amount represents reasonable compensation for loss of bargain and is not a penalty. This letter is governed by the laws of the State of Florida. No modification or waiver of any of the terms of this letter will be valid unless agreed to in writing by the Bank. When accepted, this letter will constitute the entire agreement between the Bank and the Borrower concerning the Forward Rate, and shall supersede all prior and contemporaneous understandings and agreements (written or oral) relating thereto. To accept this letter, please sign the enclosed copy where indicated below and return it to the Bank no later than 3:00 PM EST on June 12, 2013. If this letter is not accepted by said date, this letter will automatically terminate without liability or further obligation of the Bank. Very truly yours, PNC BANK, NATIONAL ASSOCIATION By: Nick Ayotte Vice President Form 6K — Multistate Rev. 1/02 0AWEINAPNCTired Rate AgmtWorm for Pub FinTorward Fixed Rate Lock Letter (Pub Fin) R- m -w.doc Packet Page -351- Collier County, Florida June 12, 2013 Page 3 ACCEPTANCE 6/11/2013 11. B. The Borrower hereby agrees to the above provisions, intending to be legally bound hereby. The Borrower understands that the above provisions may obligate the Borrower to make a significant payment to the Bank in the event the Closing Date does not occur by the Rate Lock Expiration Date or any of the provisions of the Forward Rate set forth above (rate, principal amount, Rate Lock Expiration Date or payment schedule set forth Exhibit I of the RFP dated May 8, 2013) is changed, and the amount of any such payment cannot be predicted in advance of such event. The Borrower is fully informed of and is capable of evaluating, and has evaluated, the potential financial risks and benefits and the appropriateness in light of its individual circumstances, of this letter. The Borrower is entering into this letter in reliance only upon its own judgment, and is not relying upon any representations, warranty, views or advice of the Bank. Concurrently with the execution and delivery of this Forward Fixed Rate Lock Letter to the Bank, the Borrower shall provide to the Bank a copy of a certified resolution (or Board - approved documentation), in form and substance satisfactory to the Bank, authorizing the Borrower to enter into the Facility and this Forward Fixed Rate Lock Letter. Collier County, Florida LN Naive: Title: 6k- m -w.doc Form 6K —Multistate Rev. 1/02 0AWEINTNCTixed Rate Agrnfform for Pub FinWonvard Fixed Rate Lock Letter (Pub Fin) 6k -m w.doc Packet Page -352- 6/11 /2013 11.6. SCHEDULE A TO FORWARD FIXED RATE LOCK AGREEMENT Principal Payment Schedule Date Principal Payments 7/1/2014 $4,257,488 7/1/2015 $4,325,558 7/1/2016 $2,188,517 7/1/2017 $1,391,659 7/1/2018 $1,413,425 7/1/2019 $1,437,040 7/1/2020 $1,457,282 7/1/2021 $1,474,099 Total $17,945,068 Packet Page -353- 6/11/2013 11. B. per County Adlnni&ahve Services Division Purchasing INVITATION TO BID Date: May 8, 2013 From: Adam Northrup, (239) 252 -6098 (Telephone) (239) 252 -6302 (FAX) adamnorthrup @colliergov.net (Email) To: Prospective Vendors Subject: Solicitation: 13 -6091 — Public Utilities Term Bank Loan As requested by the Collier County Water -Sewer District, the Collier County Board of County Commissioners Purchasing Department has issued this ITB for the purpose of obtaining fair and competitive responses. Please refer to the Public Notice included in this document for the opening date and time and any applicable pre -ITB conference. All questions regarding this ITB must be submitted online on the Collier County Purchasing Department Online Bidding System website: www.collier-gov.net/bid. All responses to questions will be posted on the website with electronic notification to all prospective vendors. Any reference in this document to Collier County or "the County," shall be interpreted as "the Collier County Water -Sewer District." We look forward to your participation in Collier County's competitive procurement process. cc: Joseph Bellone Note: All ITB responses submitted must include one (1) original labeled MASTER, along with three (3) exact duplicate copies on Compact Disks (CDs), including all required forms. Pu rtasIng DepamieN • 3327 TarriarTfi Trail East • Naples. Flonda 34112x901 • www.colliergov.nelipurchasing 13 -6091 Public Utilities Term Bank Loan Packet Page -354- 6/11/2013 11.B. Invitation to Bid Index PublicNotice ............................................................................................... ............................... 3 Exhibit I: Scope of Work, Specifications and Response Format ................ ............................... 4 Exhibit II: General Bid Instructions ............................................................. ............................... 7 Exhibit III: Additional ITB Terms and Conditions .......................................... .............................11 Attachment 1: Vendor Submittal - Vendor's Non - Response Statement ....... .............................16 Attachment 2: Vendor's Check List ............................................................. .............................17 Attachment 3: Vendor Submittal - Bid Response Form ............................... .............................18 Attachment 4: Vendor Submittal — Local Vendor Preference Affidavit .......... .............................20 Attachment 5: Vendor Submittal — Immigration Affidavit ............................... .............................21 Attachment 6: Vendor Substitute W — 9 ........................................................ .............................22 Attachment 7: Vendor Submittal - Insurance and Bonding Requirements. Error! Bookmark not defined. 13 -6091 2 Public Utilities Term Bank Loan Packet Page -355- 6/11/2013 11. B. Public Notice Sealed bid responses for Solicitation 13 -6091 — Public Utilities Term Bank Loan, will be received manually only at the Collier County Government, Purchasing Department, 3327 Tamiami Trail E, Naples, FL 34112 until 3:00 PM, Collier County local time on May 21 "d, 2013. Solicitation responses received after the stated time and date will not be accepted. Solicitation 13 -6091 — Public Utilities Term Bank Loan All questions regarding this ITB must be submitted online on the Collier County Purchasing Department Online Bidding System website: www.colliergov.net/bid. All responses to questions will be posted on the website with electronic notification to all prospective vendors. All solicitation responses must be made on the official ITB response form included and only available for download from the Collier County Purchasing Department Online Bidding System website noted herein. ITB Documents obtained from sources other than Collier County Purchasing may not be accurate or current. Collier County encourages vendors to utilize recycled paper on all manual bid response submittals. Collier County does not discriminate based on age, race, color, sex, religion, national origin, disability or marital status. BOARD OF COUNTY COMMISSIONERS COLLIER COUNTY, FLORIDA BY: /s/ Joanne Markiewicz Interim Purchasing /General Services Director Publicly posted on the Collier County Purchasing Department website: www.colliergov.net /purchasing and in the lobby of the Purchasing Building on 05/08/2013. 13 -6091 Public Utilities Term Bank Loan Packet Page -356- 6/11/2013 11. B. Exhibit I: Scope of Work, Specifications and Response Format As requested by the Collier County Water -Sewer District, Florida , the Collier County Board of County Commissioners Purchasing Department has issued this Invitation to Bid (hereinafter, "ITB ") with the intent of obtaining bids from interested and qualified firms in accordance with the terms, conditions and specifications stated or attached. The Financial Institution or Vendor (terms are used interchangeably throughout the document), at a minimum, must achieve the requirements of the Scope of Work and Specifications stated herein. Brief Description of Purchase: The proposed term loan will be used to: (1) refund the District's outstanding Water and Sewer Refunding Revenue Bonds, Series 200313; and (2) to pay the associated cost of issuance. The principal of and interest on the Series 2013 Bond will be secured equally and ratably with the Prior District Bonds by a pledge of and lien upon (1) the Net Revenues of the District's Water and Sewer System and (2) certain charges imposed by the District on Persons (as defined in the Resolution). The County's Utility District currently maintains ratings of Aa2 and AA+ from Moody's and Fitch, respectively. 2. Background: The Collier County Water -Sewer District, Florida (the "District ") is submitting this request for proposals (the "ITB ") to identify the institution that can provide the District with a fixed rate, non -bank qualified term loan in the form of a Water and Sewer Refunding Revenue Bond (the "Term Loan ") at the lowest overall borrowing cost, pursuant to certain conditions as determined by the District in an amount not to exceed $19,000,000. The refunding will be a private placement and the District does not anticipate preparing any continuing disclosure documents. 3. Detailed Scope of Work The following describes the District's requirements in establishing the Term Loan: A. Amount: Not to exceed $19,000,000. B. Final Maturity: July 1, 2021 C. Fixed, tax - exempt rate on a non -bank qualified basis. The rate quoted may not exceed the maximum rate permitted under Florida Statute 215.84 applicable at the time of sale. D. Preliminary Amortization Schedule (Subject to change) Period Ending Amortization Schedule 7/1/2014 4,257,488 7/1/2015 4,325,558 7/1/2016 2,188,517 7/1/2017 1,391,659 7/1/2018 1,413,425 7/1/2019 1,437,040 7/1/2020 1,457,282 7/1/2021 1,474,099 TOTAL 17,945,068 E. Repayment Provisions: Interest payments on the outstanding principal balance of the Term Loan will be calculated on a 30 /360 -day basis and will be paid semiannually on January 1 and 13 -6091 Public Utilities Term Bank Loan Packet Page -357- 6/11/2013 11. B. July 1, of each year, beginning July 1, 2013. The principal amount of the Term Loan will be payable annually on July 1 of each year beginning July 1, 2014, through the final maturity of the Term Loan. F. Prepayment Options: Please specify any prepayment parameters. Please note that the District would prefer a proposal that does not entail a prepayment penalty. However proposals with prepayment terms will be evaluated. G. The County reserves the right to reject proposals with terms and conditions different than those included in the Bond Resolution. This includes gross -up and /or other similar provisions allowing for modification of the rate of the loan. H. At the closing of the Note, the offeror will be required to make certain certifications, including but not limited to certifications that it: (a) Is not acting as a broker or other intermediary, and is purchasing the Bond as an investment for its own account and not with a present view to a resale or other distribution to the public; (b) Understands that the Bond may not be transferred in a denomination less than $100,000 under any circumstances; (c) Is a bank, trust company, savings institution, insurance company, dealer, investment company, pension or profit- sharing trust, or qualified institutional buyer as contemplated by Section 517.061(7), Florida Statutes; (d) Is not purchasing the Bond for the direct or indirect promotion of any scheme or enterprise with the intent of violating or evading any provision of Chapter 517, Florida Statutes; and (e) Is an "accredited investor" within the meaning of the Securities Act of 1933, as amended, and Regulation D thereunder. 4. Projected Timetable It is the intent of the County to Close on this loan by June 30, 2013 Event Date Issue Solicitation Notice 05/08/2013 Last Date for Receipt of Written Questions 05/17/2013, 3:OOPM Addendum Issued Resulting from Written Questions 05/17/2013 Solicitation Deadline Date and Time 05/21/2013, 3:OOPM Anticipated Evaluation of Submittals 05/22 to 05/23/2013 Anticipated Board of County Commissioner's Contract Approval Date 06/11/2013 Award Criteria ITB award criteria is as follows: • All questions on the Bid document shall be answered as to price(s), time requirements, and required document submissions. • Award shall be based upon the responses to all questions on the Bid Response Page(s). 13 -6091 Public Utilities Term Bank Loan Packet Page -358- 6/11/2013 11. B. Further consideration may include but not be limited to, references, completeness of bid response and past performances on other County bids /projects. Prices will be read in public exactly as input on the electronic bid response form or written on the manually submitted Bid Response Page(s) at the time of the bid opening; however, should an error in calculations occur whenever unit pricing and price extensions are requested, the unit price shall prevail. Mathematical miscalculations may be corrected by the County to reflect the proper response. It is the intent of Collier County to award to the lowest, qualified and responsive vendors) in accordance with the Method of Source Selection denoted in the terms and conditions in Exhibit II on the basis of: Interest Rate (Non -Bank Qualified) - State the fixed rate being proposed based on the Repayment Provisions. Provide the quoted interest rate at the time of response to this ITB (specify the date the rate was calculated). Please specify if the rate quoted is locked through closing upon notification that your firm is the most responsive bidder. Please also provide the formula used to derive the quoted interest rate (i.e., a formula tied to a nationally recognized index, or internal cost of funds, etc...). Please clearly specify, if the rate is not locked upon notification, the formula used to calculate the quoted rate at the time of submission, and when the rate can be locked. 2. Fees and Expenses: Provide a single TOTAL cost for all Fees and Expenses and describe in detail all fees and expenses which the District will be responsible to pay. The amounts stated in the proposal shall represent the maximum amounts payable to the proposer by the District. All fees and expenses in excess of those stated in the proposal shall be the sole responsibility of the proposer and will not be paid or reimbursed by the District. The District's Bond Counsel, Nabors, Giblin and Nickerson will deliver an opinion regarding the excludability of interest from gross income for federal income tax purposes on the Term Loan and on the Term Loan being a qualified tax - exempt obligation under Section 265(b)(3) of the Internal Revenue Code of 1986, as amended. The notification of award of the ITB does not obligate the District to close on the Bond. Vendor Required Documents • Attachment 2: Vendor's Check List • Attachment 3: Vendor Bid Response Form • Attachment 4: Local Vendor Preference • Attachment 5: Immigration Law Affidavit • Attachment 6: Vendor Substitute W -9 • Attachment 7: Insurance and Bonding Requirement 13 -6091 Public Utilities Term Bank Loan Packet Page -359- Exhibit II: General Bid Instructions 1. Purpose /Objective 6/11/2013 11. B. As requested by the District, identified in Exhibit 1, the Collier County Board of County Commissioners Purchasing Department (hereinafter, the County) has issued this Invitation to Bid (hereinafter, the "ITB", or "Bid ") with the sole purpose and intent of obtaining bid responses from interested and qualified firms in accordance with the terms, conditions, and specifications stated and /or attached herein /hereto. The successful vendor will hereinafter be referred to as the "Vendor ". All bids must be submitted on the Bid form furnished by the County noted in Attachments 2, 3, 4, 5, 6, and 7 of this ITB. No bid will be considered unless the Bid form is properly signed. Vendor is responsible to read and follow the instructions very carefully, as any misinterpretation or failure to comply with these instructions could lead to the bid submitted as being rejected as non- responsive. 2. Alternate Bid Pricing In the event that alternate pricing is requested, it is an expressed requirement of the bid to provide pricing for all alternates as listed. The omission of a response or a no -bid or lack of a submitted price will be the basis for the rejection of the submitted bid response. All bid responses received without pricing for all alternates as listed will be considered technically non - responsive and will not be considered for award. 3. Discounts Any discounts or terms must be shown on the Bid form. Such discounts, if any, may be considered in the award of tie bids. In no instance should payment terms less than fifteen (15) calendar days be offered. 4. Exceptions Vendors taking exception to any part or section of these specifications shall indicate such exceptions on a separate sheet entitled "EXCEPTIONS TO SPECIFICATIONS." Failure to indicate any exceptions to the specifications shall be interpreted as the Vendor's intent to fully comply with the specifications as written. The County, at its sole discretion, shall determine if the exceptions are material in nature, and if the Vendor's exceptions may be declared grounds for rejection of bid proposal. 5. Addenda The County reserves the right to formally amend and /or clarify the requirements of the bid specifications where it deems necessary. Any such addendum /clarification shall be in writing and shall be distributed electronically to all parties who received the original bid specifications prior to the deadline for submission of Bids. All changes to this ITB will be conveyed electronically through a notice of addendum or questions and answers to all vendors registered under the applicable commodity code(s) at the time when the original ITB was released, as well as those vendors who downloaded the ITB document. Additionally, all addendums are posted on the Collier County Purchasing Department Online Bidding System website: www.colliergov.net /bid. Before submitting a bid response, please make sure that you have read all, understood clearly and complied completely with any changes stated in the addenda as failure to do so may result in the rejection of your submittal. 13 -6091 Public Utilities Term Bank Loan Packet Page -360- 6/11/2013 11. B. 6. Bid Submission Vendors must submit one (1) paper copy clearly labeled "Master," and 13 -6091 — Public Utilities Term Bank Loan. In addition, two (2) compact disks (CD's) with one copy of the proposal on each CD in Word, Excel or PDF. List the Solicitation Number and Title on the outside of the box or envelope. All bids sent by courier service must have the bid number and title on the outside of the courier packet. Vendors who wish to receive copies of bids after the bid opening may view and download same from the Collier County Purchasing Department Internet bid site. 7. Questions If the vendor should be of the opinion that the meaning of any part of the Bid Document is doubtful, obscure or contains errors or omissions it should report such opinion to the Procurement Strategist before the bid opening date. Direct questions related to this ITB only to the Collier County Purchasing Department Internet website: www.colliergov.net/bid. Questions will not be answered after the date noted on the ITB. Vendors must clearly understand that the only official answer or position of the County will be the one stated on the Collier County Purchasing Department Online Bidding System website. For general questions, please call the referenced Procurement Strategist identified in the Public Notice. 8. Protests Any actual or prospective respondent to an Invitation to Bid, who has a serious and legitimate issue with the ITB shall file a written protest with the Purchasing Director rip or to the opening of the bid or the due date for acceptance of bid. All such protests must be filed with the Purchasing Director no later than 11:00 a.m. Collier County time on the advertised date for the opening of the bid or the acceptance date for the Request for Proposals. 9. Rejection and Waiver The County reserves the right to reject any and all bids, to waive defects in the form of bid, also to select the bid that best meets the requirements of the District. Vendors whose bids, past performance or current status do not reflect the capability, integrity or reliability to fully and in good faith perform the requirements denoted may be rejected as non- responsive. Bids that do not meet all necessary requirements of this solicitation or fail to provide all required information, documents or materials may be rejected as non - responsive. 10. Immigration Affidavit Certification Statutes and executive orders require employers to abide by the immigration laws of the United States and to employ only individuals who are eligible to work in the United States. The Employment Eligibility Verification System (E- Verify) operated by the Department of Homeland Security (DHS) in partnership with the Social Security Administration (SSA), provides an Internet - based means of verifying employment eligibility of workers in the United States; it is not a substitute for any other employment eligibility verification requirements. The program will be used for Collier County formal Invitations to Bid (ITB) and Request for Proposals (RFP) including professional services and construction services. 13 -6091 Public Utilities Term Bank Loan Packet Page -361- 6/11/2013 11. B. Exceptions to the program: • Commodity based procurement where no services are provided. • Where the requirement for the affidavit is waived by the Board of County Commissioners Vendors / Bidders are required to enroll in the E- Verify program, and provide acceptable evidence of their enrollment, at the time of the submission of the vendor's /bidder's proposal. Acceptable evidence consists of a copy of the properly completed E- Verify Company Profile page or a copy of the fully executed E- Verify Memorandum of Understanding for the company. Vendors are also required to provide the Collier County Purchasing Department an executed affidavit certifying they shall comply with the E- Verify Program. The affidavit is attached to the solicitation documents. If the Bidder/Vendor does not comply with providing both the acceptable E- Verify evidence and the executed affidavit the bidder's / vendor's proposal may be deemed non - responsive. Additionally, vendors shall require all subcontracted vendors to use the E- Verify system for all purchases not covered under the "Exceptions to the program" clause above. For additional information regarding the Employment Eligibility Verification System (E- Verify) program visit the following website: httr): / /www,dhs.gov /E- Verify. It shall be the vendor's responsibility to familiarize themselves with all rules and regulations governing this program. Vendor acknowledges, and without exception or stipulation, any firm(s) receiving an award shall be fully responsible for complying with the provisions of the Immigration Reform and Control Act of 1986 as located at 8 U.S.C. 1324, et seg_ and regulations relating thereto, as either may be amended and with the provisions contained within this affidavit. Failure by the awarded firm(s) to comply with the laws referenced herein or the provisions of this affidavit shall constitute a breach of the award agreement and the County shall have the discretion to unilaterally terminate said agreement immediately. 11. Lobbying All firms are hereby placed on NOTICE that the County Commission does not wish to be lobbied either individually or collectively about a project for which a firm has submitted a bid. Firms and their agents are not to contact members of the County Commission for such purposes as meetings of introduction, luncheons, dinners, etc. During the bidding process, from bid opening to final Board approval, no firm or its agent shall contact any other employee of Collier County with the exception of the Purchasing Department. 12. Certificate of Authority to Conduct Business in the State of Florida (Florida Statute 607.1501) In order to be considered for award, firms must be registered with the Florida Department of State Divisions of Corporations in accordance with the requirements of Florida Statute 607.1501 and provide a certificate of authority (www.sunbiz.org /search.htmi) prior to execution of a contract. A copy of the document may be submitted with the solicitation response and the document number shall be identified. Firms who do not provide the certificate of authority at the time of response shall be required to provide same within five (5) days upon notification of selection for award. If the firm cannot provide the document within the referenced timeframe, the County reserves the right to award to another firm. 13. General Information When it is deemed by the County that a bid cannot be awarded as originally intended, the County reserves the right to award this bid through an approach which is the best interest of the County. 13 -6091 Public Utilities Term Bank Loan Packet Page -362- 6/11/2013 11. B. Alternate bids will not be considered unless authorized by the ITB. In case of identical bids tying as low bid, the County shall ask vendors to submit certification that they have a drug -free workplace in accordance with Section 287.087 Florida Statutes. Should all vendors provide said certification; the County will give local vendor preference. 14. Bid Award Process Award of contract will be made by the Board of County Commissioners in public session. Award shall be made in a manner consistent with the County's Purchasing Policy. Award recommendations will be posted outside the offices of the Purchasing Department as well as on the Collier County Purchasing Department website on Wednesdays and Thursdays prior to the County Commission meetings. Any actual or prospective respondent who desires to formally protest the recommended contract award must file a notice of intent to protest with the Purchasing Director within two (2) calendar days (excluding weekends and County holidays) of the date that the recommended award is posted. Upon filing of said notice, the protesting party will have five (5) days to file a formal protest and will be given instructions as to the form and content requirements of the formal protest. A copy of the "Protest Policy" is available at the office of the Purchasing Director. 13 -6091 10 Public Utilities Term Bank Loan Packet Page -363- 6/11/2013 11. B. Exhibit III: Additional ITB Terms and Conditions 1. Additional Items and/or Services During the contract term, Collier County reserves the right to add related items and /or services upon negotiation of a satisfactory price by the Project Manager and Vendor. 2. Conflict of Interest Vendor shall provide a list of any businesses and /or organizations to which the firm has any affiliation or obligations within the past five (5) years; whether paid or donated, which could be construed by the County as a conflict of interest. Disclosure of any potential or actual conflict of interest is subject to County staff review and does not in and of itself disqualify a firm from consideration. These disclosures are intended to identify and or preclude conflict of interest situations during contract selection and execution. 3. Vendor Performance Evaluation Collier County has implemented a Vendor Performance Evaluation System for all contracts awarded in excess of $25,000. To this end, vendors will be evaluated on their performance upon completion /termination of agreement. 4. Deductions for Non - Performance The County reserves the right to deduct a portion of any invoice for goods not delivered, or services not performed in accordance with requirements, including required timeframe. The County may also deduct, or chargeback the Vendor the costs necessary to correct the deficiencies directly related to the Vendor's non - performance. 5. Offer Extended to Other Governmental Entities Collier County encourages and agrees to the successful vendor extending the pricing, terms and conditions of this solicitation or resultant contract to other governmental entities at the discretion of the successful vendor. 6. Standards of Conduct The Vendor shall employ people to work on County projects who are neat, clean, well - groomed and courteous. Subject to the American with Disabilities Act, Vendor shall supply competent employees who are physically capable of performing their employment duties. The County may require the Vendor to remove an employee it deems careless, incompetent, insubordinate or otherwise objectionable and whose continued employment on Collier County projects is not in the best interest of the County. 7. Licenses The Vendor is required to possess the correct professional and other licenses, and any other authorizations necessary to perform the required work pursuant to all applicable Federal, State and Local Law, Statute, Ordinances, and rules and regulations of any kind. Additionally, copies of all the required licenses must be submitted with the bid response indicating that the entity bidding, as well as the team assigned to the County account, is properly licensed to 13 -6091 11 Public Utilities Term Bank Loan Packet Page -364- 6/11/2013 11. B. perform the activities or work included in the ITB documents. Failure on the part of any vendor to supply this documentation with their bid response may be grounds for deeming vendor non- responsive. A Vendor with an office within Collier County is required to have an occupational license. All State Certified contractors who may need to pull Collier County permits or call in inspections must complete a Collier County Contractor License registration form and submit the required fee. After registering the license /registration will need to be renewed thereafter to remain "active" in Collier County. Questions regarding professional licenses should be directed to Contractor Licensing, Community Development and Environmental Services at (239) 252 -2431, 252 -2432 or 252 -2909. Questions regarding required Business Tax Receipt (formerly known as Occupational Licenses) should be directed to the Tax Collector's Office at (239) 252 -2477. 8. Protection of Property The Vendor shall ensure that the service is performed in such manner as to not damage any property. In the event damage occurs to any property as a direct result of the Vendor or their Sub vendor in the performance of the required service, the Vendor shall repair /replace, to the County's satisfaction, damaged property at no additional cost to the County. If the damage caused by the Vendor or their Sub vendor has to be repaired /replaced by the County, the cost of such work will be deducted from the monies due the Vendor. 9. Prohibition of Gifts to County Employees No organization or individual shall offer or give, either directly or indirectly, any favor, gift, loan, fee, service or other item of value to any County employee, as set forth in Chapter 112, Part III, Florida Statutes, the current Collier County Ethics Ordinance and County Administrative Procedure 5311. Violation of this provision may result in one or more of the following consequences: a. Prohibition by the individual, firm, and /or any employee of the firm from contact with County staff for a specified period of time; b. Prohibition by the individual and /or firm from doing business with the County for a specified period of time, including but not limited to: submitting bids, RFP, and /or quotes; and, c. immediate termination of any contract held by the individual and /or firm for cause. 10. Invoice and Payments Payments are made in accordance with the Local Government Prompt Payment Act, Chapter 218, Florida Statutes. Vendor's invoices must include: • Description and quantities of the goods or services provided per instructions on the County's purchase order or contract. Invoices shall be sent to: Board of County Commissioners Clerk's Finance Department ATTN: Accounts Payable 3299 Tamiami Trail E Ste 700 Naples FL 34112 Or emailed to: bccapclerk(a)-collierclerk.com. Collier County, in its sole discretion, will determine the method of payment for goods and /or services as part of this agreement. 13 -6091 12 Public Utilities Term Bank Loan Packet Page -365- 6/11/2013 11. B. Payment methods include: • Traditional — payment by check, wire transfer or other cash equivalent. • Standard — payment by purchasing card. Collier County's Purchasing Card Program is supported by standard bank credit suppliers (i.e. VISA and MasterCard), and as such, is cognizant of the Rules for VISA Merchants and MasterCard Merchant Rules. The County may not accept any additional surcharges (credit card transaction fees) as a result of using the County's credit card for transactions relating to this solicitation. The County will entertain bids clearly stating pricing for standard payment methods. An additional separate discounted price for traditional payments may be provided at the initial bid submittal if it is clearly marked as an "Additional Cash Discount." Upon execution of the Contract and completion of each month's work, payment requests may be submitted to the Project Manager on a monthly basis by the Contractor for services rendered for that prior month. Services beyond sixty (60) days from current monthly invoice will not be considered for payment without prior approval from the Project manager. All invoices should be submitted within the fiscal year the work was performed. (County's fiscal year is October 1 - September 30.) Invoices submitted after the close of the fiscal year will not be accepted (or processed for payment) unless specifically authorized by the Project Manager. Payments will be made for articles and /or services furnished, delivered, and accepted, upon receipt and approval of invoices submitted on the date of services or within six (6) months after completion of contract. Any untimely submission of invoices beyond the specified deadline period is subject to non - payment under the legal doctrine of "laches" as untimely submitted. Time shall be deemed of the essence with respect to the timely submission of invoices under this agreement. In instances where the successful contractor may owe debts (including, but not limited to taxes or other fees) to Collier County and the contractor has not satisfied nor made arrangement to satisfy these debts, the County reserves the right to off -set the amount owed to the County by applying the amount owed to the vendor or contractor for services performed of for materials delivered in association with a contract. Invoices shall not reflect sales tax. After review and approval, the invoice will be transmitted to the Finance Division for payment. Payment will be made upon receipt of proper invoice and in compliance with Chapter 218 Florida Statutes, otherwise known as the "Local Government Prompt Payment Act." Collier County reserves the right to withhold and /or reduce an appropriate amount of any payment for work not performed or for unsatisfactory performance of Contractual requirements. 11. Survivability Bids (ITBs /RFPs): The Consultant/ContractorNendor agrees that any Work Order /Purchase Order that extends beyond the expiration date of Solicitation 13 -6091 resultant of this solicitation will survive and remain subject to the terms and conditions of that Agreement until the completion or termination of any Work Order /Purchase Order. 12. Insurance Requirements The Vendor shall at its own expense, carry and maintain insurance coverage from responsible companies duly authorized to do business in the State of Florida as set forth in Insurance and Bonding Requirements Attachment of this solicitation. The Vendor shall procure and maintain property insurance upon the entire project, if required, to the full insurable value of the scope of work. 13 -6091 13 Public Utilities Term Bank Loan Packet Page -366- 6/11/2013 11. B. The County and the Vendor waive against each other and the County's separate Vendors, Contractors, Design Consultant, Subcontractors agents and employees of each and all of them, all damages covered by property insurance provided herein, except such rights as they may have to the proceeds of such insurance. The Vendor and County shall, where appropriate, require similar waivers of subrogation from the County's separate Vendors, Design Consultants and Subcontractors and shall require each of them to include similar waivers in their contracts. Collier County shall be responsible for purchasing and maintaining, its own liability insurance. Certificates issued as a result of the award of this solicitation must identify "For any and all work performed on behalf of Collier County." The General Liability Policy provided by Vendor to meet the requirements of this solicitation shall name Collier County, Florida, as an additional insured as to the operations of Vendor under this solicitation and shall contain a severability of interests provisions. Collier County Board of County Commissioners shall be named as the Certificate Holder. The "Certificate Holder" should read as follows: Collier County Board of County Commissioners Naples, Florida The amounts and types of insurance coverage shall conform to the minimum requirements set forth in the Insurance and Bonding Requirements Attachment, with the use of Insurance Services Office (ISO) forms and endorsements or their equivalents. If Vendor has any self- insured retentions or deductibles under any of the below listed minimum required coverage, Vendor must identify on the Certificate of Insurance the nature and amount of such self- insured retentions or deductibles and provide satisfactory evidence of financial responsibility for such obligations. All self- insured retentions or deductibles will be Vendor's sole responsibility. Coverage(s) shall be maintained without interruption from the date of commencement of the Work until the date of completion and acceptance of the scope of work by the County or as specified in this solicitation, whichever is longer. The Vendor and /or its insurance carrier shall provide 30 days written notice to the County of policy cancellation or non - renewal on the part of the insurance carrier or the Vendor. The Vendor shall also notify the County, in a like manner, within twenty -four (24) hours after receipt, of any notices of expiration, cancellation, non - renewal or material change in coverage or limits received by Vendor from its insurer and nothing contained herein shall relieve Vendor of this requirement to provide notice. In the event of a reduction in the aggregate limit of any policy to be provided by Vendor hereunder, Vendor shall immediately take steps to have the aggregate limit reinstated to the full extent permitted under such policy. Should at any time the Vendor not maintain the insurance coverage(s) required herein, the County may terminate the Agreement or at its sole discretion shall be authorized to purchase such coverage(s) and charge the Vendor for such coverage(s) purchased. If Vendor fails to reimburse the County for such costs within thirty (30) days after demand, the County has the right to offset these costs from any amount due Vendor under this Agreement or any other agreement between the County and Vendor. The County shall be under no obligation to purchase such insurance, nor shall it be responsible for the coverage(s) purchased or the insurance company or companies used. The decision of the County to purchase such insurance coverage(s) shall in no way be construed to be a waiver of any of its rights under the Contract Documents. 13 -6091 14 Public Utilities Term Bank Loan Packet Page -367- 6/11/2013 11. B. If the initial or any subsequently issued Certificate of Insurance expires prior to the completion of the scope of work, the Vendor shall furnish to the County renewal or replacement Certificate(s) of Insurance not later than ten (10) calendar days after the expiration date on the certificate. Failure of the Vendor to provide the County with such renewal certificate(s) shall be considered justification for the County to terminate any and all contracts. 15. Security and Background Checks If required, Vendor / Contractor / Proposer shall be responsible for the costs of providing background checks by the Collier County Facilities Management Department, and drug testing for all employees that shall provide services to the County under this Agreement. This may include, but not be limited to, checking federal, state and local law enforcement records, including a state and FBI fingerprint check, credit reports, education, residence and employment verifications and other related records. Contractor shall be required to maintain records on each employee and make them available to the County for at least four (4) years. 13 -6091 15 Public Utilities Term Bank Loan Packet Page -368- 6/11 /2013 113. Gv ear County Adrnroaly semi Dmsbn Purchasing Attachment 1: Vendor Submittal - Vendor's Non - Response Statement The sole, intent of the Collier County Purchasing Department is to issue solicitations that are clear, concise and openly competitive. Therefore, we are interested in ascertaining reasons why prospective Vendors did not wish to respond to this ITB. If your firm is not responding to this ITB, please indicate the reason(s) by checking any appropriate item(s) listed below and return this form via email or fax to the Procurement Strategist listed on the first page or mail to: Collier County Purchasing Department, 3327 Tamiami Trail East, Naples, Florida 34112. We are not responding to this ITB for the following reason(s): Solicitation: 13 -6091 — Public Utilities Term Bank Loan ❑ Services requested not available through our company. ❑ Our firm could not meet specifications /scope of work. ❑ Specifications /scope of work not clearly understood (too vague, rigid, etc.) ❑ Project is too small. ❑ Insufficient time allowed for preparation of response. ❑ Incorrect address used. Please correct mailing address: ❑ Other reason(s): Firm's Complete Legal Name Address City, State, Zip Telephone Number FAX Number Signature / Title Type Name of Signature 13 -6091 Public Utilities Term Bank Loan Packet Page -369- Date: 16 6/11/2013 11. B. COT er County Adrrlinis#a6ve services Dmsion Purchasing Attachment 2: Vendor's Check List IMPORTANT: THIS SHEET MUST BE SIGNED BY VENDOR. Please read carefully, sign in the spaces indicated and return with bid. Vendor should check off each of the following items as the necessary action is completed: 1. The Bid has been signed. 2. The Bid prices offered have been reviewed. 3. The price extensions and totals have been checked. 4. The payment terms have been indicated. 5. Any required drawings, descriptive literature, etc. have been included. 6. Any delivery information required is included. 7. If required, the amount of bid bond has been checked, and the bid bond or cashiers check has been included. 8. Addendum have been signed and included, if applicable. 9. Affidavit for Claiming Status as a Local Business, if applicable. 10. Immigration Affidavit and company's E- Verify profile page or memorandum of understanding. 11. Copies of licenses, equipment lists, subcontractors or any other information as noted in this ITB. 12. The mailing envelope must be addressed to: Purchasing Director Collier County Government Purchasing Department 3327 Tamiami Trail E Naples FL 34112 The mailing envelope must be sealed and marked with: • Solicitation: 13 -6091 — Public Utilities Term Bank Loan • Opening Date: 05/21/2013 13. The bid will be mailed or delivered in time to be received no later than the specified opening date and time. (Otherwise bid cannot be considered.) ALL COURIER DELIVERED BIDS MUST HAVE THE BID NUMBER AND TITLE ON THE OUTSIDE OF THE COURIER PACKET. Company Name Signature & Title Date 13 -6091 17 Public Utilities Term Bank Loan Packet Page -370- 6/11/2013 11. B. co Meer county AdrrftstraM seMces DMsbn Purchasing Attachment 3: Vendor Submittal - Bid Response Form FROM: Board of County Commissioners Collier County Government Center Naples, Florida 34112 RE: Solicitation: 13 -6091 — Public Utilities Term Bank Loan Dear Commissioners: The undersigned, as Vendor, hereby declares that the specifications have been fully examined and the Vendor is fully informed in regard to all conditions pertaining to the work to be performed for as per the scope of work. The Vendor further declares that the only persons, company or parties interested in this Bid or the Contract to be entered into as principals are named herein; that this Bid is made without connection with any other person, company or companies submitting a Bid; and it is all respects fair and in good faith, without collusion or fraud. The Vendor proposes and agrees if this Bid is accepted, to contract, either by a County issued purchase order or formal contract, to comply with the requirements in full in accordance with the terms, conditions and specifications denoted herein, according to the following unit prices: * * * SEE FOLLOWING PAGES * * * Any discounts or terms must be shown on the Bid Response Form. Such discounts, if any, will be considered and computed in the tabulation of the bids. In no instance should terms for less than fifteen (15) days payment be offered. Prompt Payment Terms: % Days; Net_ Days Please submit a paper ORIGINAL and THREE exact copies on Campact Disk (CD). The undersigned do agree that should this Bid be accepted, to execute a formal contract, if required, and present the formal contract to the County Purchasing Director for approval within fifteen (15) days after being notified of an award. 13 -6091 18 Public Utilities Term Bank Loan Packet Page -371- 6/11/2013 11. B. IN WITNESS WHEREOF, WE have hereunto subscribed our names on this day of ,20 in the County of , in the State of Firm's Complete Legal Name Address City, State, Zip Florida Certificate of Authority Document Number Federal Tax Identification Number CCR # or CAGE Code Telephone Number FAX Number Signature / Title Type Name of Signature Date Additional Contact Information Send Payments To: (REQUIRED ONLY if different from above) Firm's Complete Legal Name Address City, State, Zip Contact Name Telephone Number FAX Number Email Address 13 -6091 19 Public Utilities Term Bank Loan Packet Page -372- 6/11/2013 11. B. ol Mr cou�y Adm nisiraM Services Division Purchasing Attachment 4: Vendor Submittal — Local Vendor Preference Affidavit Solicitation: 13 -6091— Public Utilities Term Bank Loan (Check Appropriate Boxes Below) State of Florida (Select County if Vendor is described as a Local Business ❑ Collier County ❑ Lee County Vendor affirms that it is a local business as defined by the Purchasing Policy of the Collier County Board of County Commissioners and the Regulations Thereto. As defined in Section XI of the Collier County Purchasing Policy; A "local business" is defined as a business that has a valid occupational license issued by either Collier or Lee County for a minimum of one (1) year prior to a Collier County bid or proposal submission that authorizes the business to provide the commodities or services to be purchased, and a physical business address located within the limits of Collier or Lee Counties from which the vendor operates or performs business. Post Office Boxes are not verifiable and shall not be used for the purpose of establishing said physical address. In addition to the foregoing, a vendor shall not be considered a "local business" unless it contributes to the economic development and well -being of either Collier or Lee County in a verifiable and measurable way. This may include, but not be limited to, the retention and expansion of employment opportunities, the support and increase to either Collier or Lee County's tax base, and residency of employees and principals of the business within Collier or Lee County. Vendors shall affirm in writing their compliance with the foregoing at the time of submitting their bid or proposal to be eligible for consideration as a "local business" under this section. Vendor must complete the following information: Year Business Established in ❑Collier County or ❑ Lee County: Number of Employees (Including Owner(s) or Corporate Officers): Number of Employees Living in ❑ Collier County or ❑ Lee (Including Owner(s) or Corporate Officers):_ If requested by the County, vendor will be required to provide documentation substantiating the information given in this affidavit. Failure to do so will result in vendor's submission being deemed not applicable. Vendor Name: Address in Collier or Lee County: Signature: STATE OF FLORIDA ❑ COLLIER COUNTY ❑ LEE COUNTY Date: Title: Sworn to and Subscribed Before Me, a Notary Public, for the above State and County, on this Day of 120 Notary Public My Commission Expires: (AFFIX OFFICIAL SEAL) 13 -6091 20 Public Utilities Term Bank Loan Packet Page -373- 6/11 /2013 11. B. Coder- Cour>Gty HdnvrA abve sermis Duv mn Purchasing Attachment 5: Vendor Submittal — Immigration Affidavit Solicitation: 13 -6091 — Public Utilities Term Bank Loan This Affidavit is required and should be signed, notarized by an authorized principal of the firm and submitted with formal Invitations to Bid (ITB's) and Request for Proposals (RFP) submittals. Further, Vendors / Bidders are required to enroll in the E- Verify program, and provide acceptable evidence of their enrollment, at the time of the submission of the vendor's /bidder's proposal. Acceptable evidence consists of a copy of the properly completed E- Verify Company Profile page or a copy of the fully executed E- Verify Memorandum of Understanding for the company. Failure to include this Affidavit and acceptable evidence of enrollment in the E- Verify program, may deem the Vendor! Bidder's proposal as non - responsive. Collier County will not intentionally award County contracts to any vendor who knowingly employs unauthorized alien workers, constituting a violation of the employment provision contained in 8 U.S.C. Section 1324 a(e) Section 274A(e) of the Immigration and Nationality Act ( "INA "). Collier County may consider the employment by any vendor of unauthorized aliens a violation of Section 274A (e) of the INA. Such Violation by the recipient of the Employment Provisions contained in Section 274A (e) of the INA shall be grounds for unilateral termination of the contract by Collier County. Vendor attests that they are fully compliant with all applicable immigration laws (specifically to the 1986 Immigration Act and subsequent Amendment(s)) and agrees to comply with the provisions of the Memorandum of Understanding with E- Verify and to provide proof of enrollment in The Employment Eligibility Verification System (E- Verify), operated by the Department of Homeland Security in partnership with the Social Security Administration at the time of submission of the Vendor's / Bidder's proposal. Company Name Print Name Signature State of County of Title Date The foregoing instrument was signed and acknowledged before me this day of , 20_, by who has produced (Print or Type Name) Notary Public Signature Printed Name of Notary Public Notary Commission Number /Expiration as identification. (Type of Identification and Number) The signee of this Affidavit guarantees, as evidenced by the sworn affidavit required herein, the truth and accuracy of this affidavit to interrogatories hereinafter made. 13 -6091 Public Utilities Term Bank Loan Packet Page -374- 21 6/11/2013 11. B. Adryinislrative Sermoes lmsion Purchasing Attachment 6: Vendor Substitute W — 9 Request for Taxpayer Identification Number and Certification In accordance with the Internal Revenue Service regulations, Collier County is required to collect the following information for tax reporting purposes from individuals and companies who do business with the County (including social security numbers if used by the individual or company for tax reporting purposes). Florida Statute 119.071(5) require that the county notify you in writing of the reason for collecting this information, which will be used for no other purpose than herein stated. Please complete all information that applies to your business and return with your quote or proposal. 1. General Information (provide all information) Taxpayer Name (as shown on income tax return) Business Name (if different from taxpayer name) Address State Telephone FAX Order Information Address City State FAX Email City Zip _ Email Remit / Payment Information Address Zip City State FAX Email 2. Company Status (check only one) WE _Individual / Sole Proprietor _Corporation _Partnership _Tax Exempt (Federal income tax - exempt entity _ Limited Liability Company under Internal Revenue Service guidelines IRC 501 (c) 3) Enter the tax classification D = Disregarded Entity, C = Corporation, P = Partnership 3. Taxpayer Identification Number (for tax reporting purposes only) Federal Tax Identification Number (TIN) (Vendors who do not have a TIN, will be required to provide a social security number prior to an award of the contract.) 4. Sign and Date Form Certification: Under penalties of perjury, I certify that the information shown on this form is correct to my knowledge. Signature Date Title Phone Number 13 -6091 Public Utilities Term Bank Loan Packet Page -375- 22 6/11/2013 11. B. 13 -6091 23 Public Utilities Term Bank Loan Packet Page -376-