REQUEST FOR QUALIFICATIONS RFQ #12-018

PLANNING COORDINATOR

Planning Coordinator to Develop a Transformation Plan for the McDougald Terrace Public Housing Community and Surrounding Area

The Housing Authority of the City of Durham

William Bryant, Procurement Manager

330 East Main Street Durham, North Carolina 27701

LEGAL NOTICE

REQUEST FOR QUALIFICATIONS PLANNING COORDINATOR

RFQ #12-018 The Housing Authority of the City of, Durham, North Carolina requests qualifications-based competitive proposals (RFQ# 12-018), so marked for Planning Coordinator to Develop a Transformation Plan. Sealed proposals will be received until 2:00 p.m. EDST; on April 23, 2012 at DHA, 330 East Main Street, Durham, North Carolina. Proposed contract documents and specifications, are available beginning, April 8, 2012 at www.durhamhousingauthority.org and www.demandstar.com. DHA reserves the right to reject any or all proposals or to waive any informality in the bidding, or select the proposal which in its opinion, is in the best interest of DHA. No proposal shall be withdrawn for a period of 60 days subsequent to the opening of bids without the consent of DHA.

The Housing Authority of the City of Durham William Bryant

Procurement and Contract Officer

Publication Date: Sunday April 8, 2012 and April 15, 2012

I. INTRODUCTION The Housing Authority of the City of Durham, North Carolina (DHA) pursuant to the procurement regulations of 24 CFR 85.36 and 24 CFR 941.602, seeks responses to this Request for Qualifications (RFQ) to procure the services of a Planning Coordinator to prepare a Transformation Plan for the McDougald Terrace public housing development and surrounding area (see map). Interested firms should submit a proposal to DHA, which must be received by the submission deadline stated in this RFQ. DHA is an autonomous non-profit municipal corporation established in 1949 under the laws of the state of North Carolina. A Board of Commissioners, appointed by the City Council of Durham, North Carolina, governs it. Mr. Dallas J. Parks is the Chief Executive Officer. DHA seeks to reinvigorate its public housing developments through the utilization of a mixed-finance approach and, in the process, stimulate and support public and private investment in the community. DHA currently operates 1805 units of conventional public housing, and provides rental assistance to approximately 2700 residents through the Housing Choice Voucher Program. In addition, DHA established a non-profit instrumentality for the development of affordable housing in March 1985. This instrumentality, Development Ventures, Inc. (DVI) has developed 160 units of affordable housing, including two low-income housing tax credit developments, Preiss-Steele Place and Edgemont Elms, and also served as the co-developer for DHA’s HOPE VI initiative, co-developing 226 rental units. McDougald Terrace is located at 1101 Lawson Street in Durham, North Carolina and consists of 360 units of conventional public housing that were first occupied in 1954. This rental development has fifty-nine dwelling and one non-dwelling unit. Families occupy the row type brick veneer structures. The current unit size bedroom distribution includes 59 one-bedroom, 136 two-bedroom, 100 three-bedroom, 60 four-bedroom, and 5 five-bedroom units. The property consists of eight parcels with 25.05 acres zoned RU-M. DHA OBJECTIVES The overall objective of this RFQ is to select a firm or team that shares DHA’s vision for the transformation of the target area and has the resources and expertise to act as the Planning Coordinator to lead the master planning process and implementation of the Transformation Plan. The Transformation Plan should incorporate residents into the broader neighborhood spatially, economically, and socially as well as take into consideration the existing and planned development for the neighborhood. Additional goals are to create new affordable housing, preserve housing in the surrounding neighborhood, and develop a mixed-use and mixed income community which reduces the concentration of poverty. This RFQ for Planning Coordinator services will support DHA’s application for a U.S. Department of Housing and Urban Development Choice Neighborhoods Initiative (CNI) Implementation Grant. The Transformation Plan will be created in partnership with city/county officials, stakeholders, neighborhood organizations, service providers, financial institutions, churches, community leaders, and residents. The CNI initiative utilizes a comprehensive approach to neighborhood transformation. The program transforms neighborhoods by revitalizing severely distressed public and/or assisted housing. The three core goals of the CNI initiative are housing, people, and neighborhoods. Housing involves transforming distressed public and assisted housing into energy efficient, mixed-income communities. The core goal of people is addressed by providing supportive services related to health, safety, employment, mobility, and education for families who live in the target area. Through implementation of the Transformation Plan, neighborhoods are transformed into viable mixed-income communities with access to quality schools, public transportation, services, and improved access to jobs. Work will be issued via task orders and is contingent upon available funding.

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SCOPE OF WORK

1. Develop a Neighborhood Transformation Plan (the “Plan) for the target area. The Plan should encompass a site and community resources plan which concentrates on the provision of supportive services and the creation of economic development opportunities. The Plan should illustrate how DHA, through the revitalization of obsolete public housing, will incorporate its public housing residents into a diverse socio-economic neighborhood that is architecturally consistent with its surrounding and which improves the quality of life for residents. The final plan should be submitted on or before June 30, 2014. The plan should also identify a proposed schedule of activities (in terms of months) for each planning stage.

2. The Plan should provide a description of the current geographic area, history, historic resources and existing real estate market data.

3. The Plan should provide highly detailed conceptual and architectural renderings for the project which

complements other neighborhood initiatives, projects, and programs.

4. Provide advice to DHA regarding the economic feasibility of implementing the mixed finance/mixed income/mixed use development aspects of the Plan.

5. Prepare a landscape plan that highlights the location of parkways and other design features which

support the creation of open space elements.

6. Schedule and facilitate a series of focus group discussions and charettes with key state, city, and county agencies/departments, service providers, residents, community stakeholders, and persons residing in the identified boundary areas, financial and other organizations to solicit input regarding the Plan. Prepare all materials and exhibits for use during charettees.

7. Document all charrettes through the use of written information and internet based web site(s). This

documentation should include presentations, meeting notes, and display boards.

8. Create a web site dedicated to the Plan and the planning process. The website should be updated as needed to provide the community with information on meeting dates, project progress, and other updates. The website should be designed so that the general public can provide input and comments throughout the planning process.

9. Present various proposed scenarios of the Plan at charrettes and refine the selected Plan according to

stakeholders and agency input. The Plan should incorporate design principals and characteristics for the programming components suggested and accepted by the community and stakeholders.

10. Finalize the preferred master plan and document the overall process in a final report for submittal and

presentation to the community, stakeholders, and other designated committees and/or Boards. This report should include the vision, guiding principles, preferred master plan, conceptual design, concept alternatives, and diagrams developed during charrettes with the community and stakeholders.

11. Meet with DHA staff monthly to provide project status updates and written reports.

12. Provide a demographic overview of population and employment as well as survey of existing property

attributes including land use, zoning, property value, building floor area, height, housing conditions, and number of residential units.

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13. Develop a sustainable pedestrian oriented vision for the community.

14. Work responsively with the residents of the target area to effectively meet revitalization objectives in

the Plan.

15. Provide short and long term strategies for implementation of the Plan which includes a list of recommendations, lead entities, key partners, resources, and possible timing.

DELIVERABLES 1. A Transformation Plan for the McDougald Terrace community and surrounding identified boundaries

which includes text, photographs, graphics, tables, charts and renderings for both existing conditions and visions for the community. The Plan should incorporate items identified and agreed upon by stakeholders and the community during charrettes. The final Plan should be submitted on or before June 30, 2014. The Plan should also identify a proposed schedule of activities (in terms of months) for each planning stage.

2. The Plan should be in full color and include buildings, streetscapes, movement patterns, land uses and

boundary/entry descriptions. The Plan should be provided in a printed format as well as on a CD-ROM in Microsoft Word along with maps in a printable format.

3. The Plan should be inclusive of, but not limited to, the following: (1) vision for the community (2)

existing conditions, (3) detailed site plans with options, as appropriate, (4) land use types (residential, commercial, recreational, community, open space), (5) compatibility or buffering with surrounding neighborhoods, (6) appropriate use preservation and enhancement of environmental features, (7) circulation and parking plan, (8) transportation/mobility plan for both off and on-site based upon the traffic impact analysis, and (9) utilities infrastructure plan.

4. Plan, schedule, and conduct opportunities for input by members of the community, governmental

leaders, stakeholders, and the general public into planning and design through charrettes to stimulate ideas and involve interested individuals in the planning process. The Planning Coordinator will be responsible for organizing, advertising, attending and leading all charrettes and for keeping DHA advised of all planned events and communications.

5. Provide documentation of all charrettes inclusive of, but not limited to, presentations, meeting notes,

and display board(s).

6. Meet monthly with designated staff to provide updates, oral and written, about the status of the project.

7. A list of strategies for implementing the Plan 8. An interactive website dedicated to the Plan and the planning process that is updated as needed with

information regarding meeting dates, project schedule(s), and other related information.

9. Presentation of the Plan to Boards and Committees identified by DHA.

10. Submit the final Plan in both hard copy and electronic formats which allows easy reproduction, direct web readiness, and the ability to edit. Electronic documents shall not be locked or password protected.

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SUBMISSION REQUIREMENTS Each firm is required to submit a proposal providing information on the items listed in this RFQ. Hand written proposals are not acceptable. All responses to this RFQ must be bound in either a three-ring binder or by other format. Rubber bands do not constitute an acceptable binding format. Each applicant must submit one original and two copies of their proposal accompanied by electronic copies on a compact disc (CD) in a Microsoft Word or Adobe pdf format. The CD must be labeled with the RFQ number and the firm’s name. Original copies must contain original signatures. DHA’s selection shall be based on the technical evaluation of each firm’s qualifications. The firm determined by DHA, in its sole discretion, to be the most qualified in terms of ability and willingness to perform the desired Scope of Work; actual demonstrated experience, knowledge, and perceived benefit to DHA’s objectives, shall be selected as the Planning Coordinator. The relative weight for each category that will be used during the RFQ review is identified below. All responses to this RFQ should address each of the items listed.

COVER SHEET Proposals should include a letter which identifies the location of the principal offices, form of the organization (corporation, partnership), other names under which the firm has operated and primary contact information including name, address, telephone number, and e-mail address. A summary of the firm’s qualifications and past experience should also be provided as well as a list of team members. The primary contact person should be identified. The letter should indicate a willingness and capacity to proceed expeditiously on the provisions of services, if firm is selected. STATEMENT OF PROJECT UNDERSTANDING The submission should include a statement of the Planning Coordinator’s understanding of the project, including reflections on the Scope of Services and the firm’s ability to meet the anticipated project milestones. If the Planning Coordinator is not local in North Carolina, the submission should clarify how the Planning Coordinator will address potential challenges associated with travel, communication, and necessary access to the project area.

STAFFING & EXPERTISE

The submission should include the identification of specific individuals and potential subcontractors who will work on the project, including a brief description of their expertise, qualifications and role on the team/project. A resume should be provided for each key member. DOCUMENTATION OF PAST EXPERIENCE

The submission should include information pertaining to the Planning Coordinator’s experience working on (no more than four) similar projects in which the key personnel identified above were involved in substantive ways. For each project, the summary should include the project client and contact information, a description of the Planning Coordinator’s role in the project, project budget and timeframe (planning stage only), a summary of design objectives addressed by the project, a description of mechanisms used to engage public participation and their effectiveness in the project. The approach strategy must include estimated completion times (calendar days). Provide at least two samples of work completed on previous projects.

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REFERENCES Provide a minimum of three (3) references, to include names, complete addresses, and telephone numbers.

EVALUATION CRITERIA

All proposals submitted will be reviewed and evaluated by the Chief Executive Officer, or his designee(s), in accordance with the evaluation criteria identified below. Durham Housing Authority may reject any and all proposals. Proposals will be evaluated based on the following:

PLANNING COORDINATOR PROPOSAL EVALUATION SCORE SHEET

PROPOSAL FROM: ________________________________

EVALUATION CRITERIA AWARD POINTS COMMENTS/EXPLANATION

1. Evidence of ability to perform the work - principals, staff, experience, facilities, technical and professional competence.

(25 POINTS)

2. Capability of the consultant and/or firm to comply with performance schedules.

(25 POINTS)

3. Past performance, experience and quality of work on similar projects.

(25 POINTS)

4. Demonstrated ability to organize and lead effective, productive public meetings and meetings with residents, citizens, local businesses, stakeholders, community groups, and other organizations throughout the planning process. (25 POINTS)

TOTAL POINTS (MAX. 100 POINTS)

REVIEWER: _________________________________ DATE: _______________________

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EVALUATION CRITERIA POINTS DEFINITIONS

Criteria 1. Evidence of ability to perform the work - principals, staff, experience, facilities, technical, and professional competence. Unacceptable (no experience)

0 points

Advantageous (some experience as a Planning Coordinator 5- 9 years)

10 points

Highly Advantageous (extensive experience as a Planning Coordinator 10 – 15 years )

25 points

Criteria 2. Capability of consultant and/or firm to comply with performance schedules. Unacceptable (does not meet performance schedules).

0 points

Advantageous (always meets performance schedule)

10 points

Highly Advantageous (always meets performance schedule and completes tasks ahead of schedule, late).

25 points

Criteria 3. Past performance and quality of work. Unacceptable (poor quality of work).

0 points

Advantageous (good quality of work).

10 points

Highly Advantageous (excellent quality of work).

25 points

Criteria 4. Demonstrated ability to organize and lead effective and productive public meetings and meetings with stakeholders. Unacceptable (no experience)

0 points

Advantageous (some experience organizing and leading productive community meetings 5- 9 Years)

10 points

Highly Advantageous (extensive experience organizing and leading productive community meetings 10 – 15 Years)

25 points

Cost Not a Factor: This represents a Request for Qualifications and price/cost will not be considered in selecting the most qualified firm.

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SCHEDULE AND REQUIRED INFORMATION Request for Proposal Due Date: The Durham Housing Authority requests sealed proposals by 2:00 p.m. EDST, on April 23, 2012 at DHA, 330 East Main Street, Durham, North Carolina. DHA will date stamp all proposals upon receipt to evidence such. Acknowledgement of receipt will be provided upon request. Late proposals will not be considered. Responses should be addressed as follows:

Mailing Address: Attention: William Bryant, Procurement Manager The Housing Authority of the City of Durham P.O. Box 1726 Durham, NC 27702

PLANNING COORDINATOR FOR MCDOUGALD TERRACE AND THE SURROUNDING IDENTIFIED BOUNDARY AREAS

Physical Address: Attention: William Bryant, Procurement Manager The Housing Authority of the City of Durham Housing Authority 330 East Main St. Durham, NC 27701

PLANNING COORDINATOR FOR MCDOUGALD TERRACE AND THE SURROUNDING IDENTIFIED BOUNDARY AREAS INTERPRETATION Questions should be submitted to via email to William Bryant (wbryant@dha-nc.org). DHA shall respond to all questions by posting the answers online. DHA reserves the right to amend the Scope of Work or Submission Requirements or any part of this RFQ, prior to or subsequent to the submission deadline. If this occurs, DHA will issue a written amendment to all those prospective firms who were issued a copy of the RFQ. If necessary, based on the nature and extent of the amendment, a revised date for the submission of additional information may be required. If the submission date is changed, all firms who received the RFQ will be notified. If there are no amendment(s) by DHA or minor omissions, no modification to the firm’s submission will be accepted after the submission deadline.

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SELECTION PROCESS DHA will engage in individual discussions with two or more firms deemed fully qualified, responsible and suitable on the basis of initial responses and with emphasis on professional competence, to provide the required services. This will provide an opportunity for firms to elaborate on their qualifications and performance, or staff expertise pertinent to the project. At the conclusion of the informal interviews, on the basis of evaluation factors published in this RFQ and all information developed in the selection process to this point, DHA shall select, in the order of preference, two or more firms whose professional qualifications and proposed services are deemed most appropriate. Negotiations shall then be conducted, beginning with the firm ranked first. If the Planning Coordinator Agreement that is satisfactory and advantageous to DHA cannot be negotiated, then negotiations with that firm will be terminated. DHA will begin negotiations with the firm ranked second, and so on, until such an agreement can be negotiated with fair and reasonable terms and conditions and agree to work diligently to implement changes that may be required. DHA Options All submissions in response to this request become the property of DHA. The attention of bidders is directed to the fact that the proposed work will be financed in whole or in part with federal funds, therefore, all applicable federal statutes, rulings, and regulations, including applicable prevailing wage rates will apply to such work. Final awards will be subject to available funds. DHA will consider as NON-RESPONSIVE any firm for which critical information is lacking or whose submission represents a substantial deviation from the requirement of the RFQ. DHA reserves the right to accept or reject any and all proposals received, cancel this RFQ in part or in its entirety, or to reissue this RFQ. DHA reserves the right to determine reasonable or unreasonable, the terms of all or part of any contract(s) resulting from this RFQ. DHA reserves the right to require specific modifications to responses accepted before agreeing to a contract(s), including but not limited to: (a) increase or decrease in specific line items of cost, (b) modifications to project information, (c) other modifications to bring the proposal into compliance with all federal and/or state rules and regulation(s), requirements of this RFQ, and/or Board policies and procedures. DHA reserves the right to withdraw or cancel any contract(s) resulting from this procurement. Should DHA cancel said contract, contractor will be reimbursed for cost incurred up to that point (providing these costs are legitimate and documented to DHA’s satisfaction). Additionally, the firm will be entitled to retain any prorated payments it has received up to that point. DHA reserves the right to conduct a review of records, systems, procedures, etc., of any entity selected to receive an award for a contract. This may occur prior to or subsequent to any contract award. Misrepresentation of the firm’s ability to perform, as stated in the RFQ, may result in contract cancellation. DHA reserves the right to contact any individual, agencies or employers listed in a proposal, to contact others who have experience and/or knowledge of the firm’s relevant performance and/or qualifications, and request additional information.

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Governing Provisions and Limitations No employee, officer, or member of DHA shall participate in the selection, development of a response to this RFQ, award or administration of contact(s) supported by the RFQ if a conflict of interest, real or apparent, would be involved. No employee of DHA shall assist any firm in the preparation of a proposal. Firms shall not, under penalty of applicable law, offer or provide any gratuities, favors or anything of monetary value to an officer, employee, or member of DHA. All proposal and any attachments, appendices, or other information submitted as part of a response becomes the property of DHA upon submission and may be printed, published, or distributed in any manner deemed appropriate, in accordance with open records laws (if applicable), and applicable State and Federal policies and procedures. Firms shall not engage in any activity that restricts or eliminates competition. Violation of this provision will disqualify proposal. This statement does not preclude joint ventures or subcontracts. Solicitation and selection of proposals must conform to Federal and State laws and regulations and local policies governing the procurement of goods and services. Successful firms will be responsible for all applicable laws and regulations. If selected for an award, the contents of a successful proposal may become a contractual obligation. Failure of the firm to accept this obligation may result in contract cancellation. A firm cannot plea for error or mistake as a basis for release. If issues of contract compliance, or questioned costs/disallowed costs exist, a contact with the selected firm may be cancelled, and/or any outstanding payments withheld at the discretion of DHA until such issues are satisfactorily resolved. Withdrawal of Interest Any firm may withdraw his/her interest either personally, by written or telegraphic request at any time prior to the scheduled closing time of receipt of the RFQ. Contact with DHA Staff, Board and Residents Any contact between respondents and DHA staff, Board members, or residents during the selection process is disallowed, except as stated in the Interpretation section above. Personnel The procured firm will not be considered as a DHA and/or its affiliate personnel, and DHA assumes the proposal of certain personnel to be a statement of their availability to perform the work. Miscellaneous This RFQ does not commit DHA to award a contract, pay any cost incurred in the preparation of a response to this request, or to procure or contract for services. DHA reserves the right to accept or reject any or all responses received as a result of this request, to waive any informalities, to negotiate with qualified consultants, or to cancel in part or in its entirety the RFQ if it is in the best interest of DHA. DHA also reserves the right to contact any references provided to assist in the evaluation of the respondent’s proposal, to verify information contained in the proposal, and to discuss the respondent’s qualifications.

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Equal Opportunity Programs The awarded consultant hereby agrees to comply with the State Fair Employment Practices Act, The State’s Minority Business Enterprise/Disabled Veterans Business Enterprise Program (MBE/WBE/DVBE), the Equal Opportunity Program for Non-Construction Contractors doing business with housing authorities, Section 3, and any other applicable federal and state laws and regulations. Those consultants that are identified as a minority or women owned business enterprise (MBE/WBE/DVBE) must also submit current certification documents. SECTION 3 REQUIREMENTS (24 C.F.R. §135) All work under this RFQ and any subsequent Agreement must comply with Section 3 of the Housing and Urban Development Act of 1968 which applies to all contracts. The selected Planning Coordinator must comply with Section 3 regulations and requirements, regardless of the dollar amount of the Agreement. To the greatest extent feasible, the successful Planning Coordinator must provide opportunities for training and employment to low income residents and business concerns in all Section 3 covered projects. The U.S. Department of Housing and Urban Development (HUD) regulations require that all Section 3 covered contracts include the entire Section 3 clause. Contract Requirements DHA will enter into a contract with the successful firm for the provision of Planning Coordinator Services for a one year period with a one year renewal options, for a maximum of five years. All work products must be delivered in the appropriate form and number of copies. The requested services are to be performed in support of DHA’s mission and in compliance with the requirements of the designated housing program. All tasks will be executed in a manner consistent with relevant federal, state, and local laws, the Code of Federal Regulations, and various HUD Handbooks and Notices, as appropriate. Interested parties should submit a proposal to DHA which must be received by the submission deadline stated in this Request for Proposal (RFQ). The selected firm shall agree to comply and submit the following, as attachments, with the proposal: ATTACHMENTS A Certification Regarding Debarment and Suspension, form HUD-2992 (3/98) B Certification for a Drug-Free Workplace, form HUD-50070 (3/98) C Disclosure of Lobbying Activities SF-LLL (Rev. 7-97) D Affirmative Action Plan E Instructions to Offerors Non-Construction form HUD 5369-B (8/93) F Certifications and Representations of Offerors Non- Construction Contract form HUD5369-C

(8/93) G General Conditions for Non-Construction Contracts, Section 1 – (With or Without Maintenance

Work) form HUD-5370-C (10/2006) H Non-Collusive Affidavit I Neighborhood Context Map

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ATTACHMENT A

Certification Regarding Debarment and Suspension, from HUD-2992 (3/98)

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Page 1 of 2 form HUD-2992 (3/98)

Certification A: Certification Regarding Debarment, Suspension, andOther Responsibility Matters - Primary Covered Transactions

1. The prospective primary participant certifies to the best of its knowl-edge and belief that its principals;

a. Are not presently debarred, suspended, proposed for debarment,declared ineligible, or voluntarily excluded from covered transactionsby any Federal debarment or agency;

b. Have not within a three-year period preceding this proposal,been convicted of or had a civil judgment rendered against them forcommission of fraud or a criminal offense in connection with obtain-ing, attempting to obtain, or performing a public (Federal, State, orlocal) transaction or contract under a public transaction; violation ofFederal or State antitrust statutes or commission of embezzlement, theft,forgery, bribery, falsification, or destruction of records, making falsestatements, or receiving stolen property;

c. Are not presently indicted for or otherwise criminally or civillycharged by a governmental entity (Federal, State, or local) withcommission of any of the offenses enumerated in paragraph (1)(b) ofthis certification; and

d. Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local)terminated for cause or default.

2. Where the prospective primary participant is unable to certify toany of the statements in this certification, such prospective participantshall attach an explanation to this proposal.

Instructions for Certification (A)

1. By signing and submitting this proposal, the prospective primaryparticipant is providing the certification set out below.

2. The inability of a person to provide the certification required belowwill not necessarily result in denial of participation in this coveredtransaction. The prospective participant shall submit an explanationof why it cannot provide the certification set out below. The certifi-cation or explanation will be considered in connection with thedepartment or agency’s determination whether to enter into thistransaction. However, failure of the prospective primary participant tofurnish a certification or an explanation shall disqualify such personfrom participation in this transaction.

3. The certification in this clause is a material representation of factupon which reliance was place when the department or agency deter-mined to enter into this transaction. If it is later determined that theprospective primary participant knowingly rendered an erroneouscertification, in addition to other remedies available to the FederalGovernment, the department or agency may terminate this transactionfor cause of default.

4. The prospective primary participant shall provide immediate writ-ten notice to the department or agency to whom this proposal issubmitted if at any time the prospective primary participant learns thatits certification was erroneous when submitted or has become errone-ous by reason of changed circumstances.

5. The terms covered transaction, debarred, suspended, ineligible,lower tier covered transaction, participant, person, primary cov-ered transaction, principal, proposal, and voluntarily excluded, asused in this clause, have the meanings set out in the Definitions andCoverage sections of the rules implementing Executive Order 12549.You may contact the department or agency to which this proposal isbeing submitted for assistance in obtaining a copy of these regulations.

6. The prospective primary participant agrees by submitting thisproposal that, should the proposed covered transaction be entered into,it shall not knowingly enter into any lower tier covered transactionwith a person who is debarred, suspended, declared ineligible, orvoluntarily excluded from participation in this covered transaction,unless authorized by the department or agency entering into thistransaction.

7. The prospective primary participant further agrees by submittingthis proposal that it will include the clause titled “CertificationRegarding Debarment, Suspension, Ineligibility and Voluntary Exclu-sion - Lower Tier Covered Transaction,” provided by the departmentor agency entering into this covered transaction, without modification,in all lower tier covered transactions and in all solicitations for lowertier covered transactions.

8. A participant in a covered transaction may rely upon a certificationof a prospective participant in a lower tier covered transaction that itis not debarred, suspended, ineligible, or voluntarily excluded from thecovered transaction, unless it knows that the certification is erroneous.A participant may decide the method and frequency by which itdetermines this eligibility of its principals. Each participant may, butis not required to, check the Nonprocurement List.

9. Nothing contained in the foregoing shall be construed to requireestablishment of a system of records in order to render in good faith thecertification required by this clause. The knowledge and informationof a participant is not required to exceed that which is normallypossessed by a prudent person in the ordinary course of businessdealings.

10. Except for transactions authorized under paragraph (6) of theseinstructions, if a participant in a covered transaction knowingly entersinto a lower tier covered transaction with a person who is suspended,debarred, ineligible, or voluntarily excluded from participation in thistransaction, in addition to other remedies available to the FederalGovernment, the department or agency may terminate this transactionfor cause of default.

Certification RegardingDebarment and Suspension

U.S. Department of Housingand Urban Development

Page 2 of 2 form HUD-2992 (3/98)

Certification B: Certification Regarding Debarment, Suspension, Ineli-gibility and Voluntary Exclusion - Lower Tier Covered Transactions

1. The prospective lower tier participant certifies, by submission ofthis proposal, that neither it nor its principals is presently debarred,suspended, proposed for debarment, declared ineligible, or voluntarilyexcluded from participation in this transaction by any Federal depart-ment or agency.

2. Where the prospective lower tier participant is unable to certify toany of the statements in this certification, such prospective participantshall attach an explanation to this proposal.

Instructions for Certification (B)

1. By signing and submitting this proposal, the prospective lower tierparticipant is providing the certification set out below.

2. The certification in this clause is a material representation of factupon which reliance was placed when this transaction was entered into.If it is later determined that the prospective lower tier participantknowingly rendered an erroneous certification, in addition to otherremedies available to the Federal Government, the department oragency with which this transaction originated may pursue availableremedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediatewritten notice to the person to which this proposal is submitted if at anytime the prospective lower tier participant learns that its certificationwas erroneous when submitted or has become erroneous by reason ofchanged circumstances.

4. The terms covered transaction, debarred, suspended, ineligible,lower tier covered transaction, participant, person, primary cov-ered transaction, principal, proposal, and voluntarily excluded, asused in this clause, have the meanings set out in the Definitions andCoverage sections of rules implementing Executive Order 12549. Youmay contact the person to which this proposal is submitted for assis-tance in obtaining a copy of these regulations.

5. The prospective lower tier participant agrees by submitting thisproposal that, should the proposed covered transaction be entered into,it shall not knowingly enter into any lower tier covered transactionwith a person who is debarred, suspended, declared ineligible, orvoluntarily excluded from participation in this covered transaction,unless authorized by the department or agency with which this trans-action originated.

6. The prospective lower tier participant further agrees by submittingthis proposal that it will include this clause titled “CertificationRegarding Debarment, Suspension, Ineligibility and Voluntary Exclu-sion - Lower Tier Covered Transaction,” without modification, in alllower tier covered transactions and in all solicitations for lower tiercovered transactions.

7. A participant in a covered transaction may rely upon a certificationof a prospective participant in a lower tier covered transaction that itis not debarred, suspended, ineligible, or voluntarily excluded from thecovered transaction, unless it knows that the certification is erroneous.A participant may decide the method and frequency by which itdetermines the eligibility of its principals. Each participant may, butis not required to, check the Nonprocurement List.

8. Nothing contained in the foregoing shall be construed to requireestablishment of a system of records in order to render in good faith thecertification required by this clause. The knowledge and informationof a participant is not required to exceed that which is normallypossessed by a prudent person in the ordinary course of businessdealings.

9. Except for transactions authorized under paragraph (5) of theseinstructions, if a participant in a lower covered transaction knowinglyenters into a lower tier covered transaction with a person who issuspended, debarred, ineligible, or voluntarily excluded from partici-pation in this transaction, in addition to other remedies available to theFederal Government, the department or agency with which this trans-action originated may pursue available remedies including suspensionand/or debarment.

Applicant Date

Signature of Authorized Certifying Official Title

ATTACHMENT B

Certification for a Drug-Free Workplace, form HUD-50070 (3/98)

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form HUD-50070 (3/98)ref. Handbooks 7417.1, 7475.13, 7485.1 & .3

U.S. Department of Housingand Urban Development

Certification fora Drug-Free Workplace

Applicant Name

Program/Activity Receiving Federal Grant Funding

I certify that the above named Applicant will or will continueto provide a drug-free workplace by:

a. Publishing a statement notifying employees that the un-lawful manufacture, distribution, dispensing, possession, or useof a controlled substance is prohibited in the Applicant's work-place and specifying the actions that will be taken againstemployees for violation of such prohibition.

b. Establishing an on-going drug-free awareness program toinform employees ---

(1) The dangers of drug abuse in the workplace;

(2) The Applicant's policy of maintaining a drug-freeworkplace;

(3) Any available drug counseling, rehabilitation, andemployee assistance programs; and

(4) The penalties that may be imposed upon employeesfor drug abuse violations occurring in the workplace.

c. Making it a requirement that each employee to be engagedin the performance of the grant be given a copy of the statementrequired by paragraph a.;

d. Notifying the employee in the statement required by para-graph a. that, as a condition of employment under the grant, theemployee will ---

Acting on behalf of the above named Applicant as its Authorized Official, I make the following certifications and agreements tothe Department of Housing and Urban Development (HUD) regarding the sites listed below:

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her convic-tion for a violation of a criminal drug statute occurring in theworkplace no later than five calendar days after such conviction;

e. Notifying the agency in writing, within ten calendar daysafter receiving notice under subparagraph d.(2) from an em-ployee or otherwise receiving actual notice of such conviction.Employers of convicted employees must provide notice, includ-ing position title, to every grant officer or other designee onwhose grant activity the convicted employee was working,unless the Federalagency has designated a central point for thereceipt of such notices. Notice shall include the identificationnumber(s) of each affected grant;

f. Taking one of the following actions, within 30 calendardays of receiving notice under subparagraph d.(2), with respectto any employee who is so convicted ---

(1) Taking appropriate personnel action against such anemployee, up to and including termination, consistent with therequirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfacto-rily in a drug abuse assistance or rehabilitation program ap-proved for such purposes by a Federal, State, or local health, lawenforcement, or other appropriate agency;

g. Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs a. thru f.

2. Sites for Work Performance. The Applicant shall list (on separate pages) the site(s) for the performance of work done in connection with theHUD funding of the program/activity shown above: Place of Performance shall include the street address, city, county, State, and zip code.Identify each sheet with the Applicant name and address and the program/activity receiving grant funding.)

Check here if there are workplaces on file that are not identified on the attached sheets.

I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate.Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.

(18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802)

Name of Authorized Official Title

Signature Date

X

ATTACHMENT C

Disclosure of Lobbying Activities SF-LLL (Rev. 7-97)

14

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ATTACHMENT D

Affirmative Action Plan

15

AFFIRMATIVE ACTION PLAN I. General Statement The Housing Authority of the City of Durham will select contractors and business concerns that are in compliance with the appropriate equal opportunity employment laws the provisions of Section 3 of the Housing and Urban Development Act of 1968, and Executive Order 11246. A prime contractor or subcontractor who signs a contract on a Federal or federally-assisted construction project assumes the obligation to take whatever affirmative actions are necessary to assure equal employment opportunity in all aspects of employment, irrespective of race, color, creed, or national origin. It is expected that a contractor will carry out that part of his contract pertaining to equal employment opportunity with the same amount of thought and action as he will any other part of the contract. The Housing Authority of the City of Durham hereafter referred to as "Authority" will review contract bids from all contractors, to determine whether the bidder has met the requirements of the Affirmative Action Program. Compliance will be administered through the Authority's Equal Employment Opportunity Officer. By submitting a bid, the Contractor or subcontractor certifies that he will comply with the requirements of this policy and shall make this affirmative action policy apart of his project specifications. For the purpose of the specifications the following terms shall have the following meanings: a. "Affirmative Action" - procedures which establish hiring and employment goals, timetables,

and practices to be implemented, with good faith efforts, for minority group members. b. "Minority Group Members" - persons who are Black, Spanish surnamed Americans, American

Indians, American Orientals and females. II. Implementation a. The Housing Authority of the City of Durham plans to implement its goals through several

means. The Housing Authority's procurement policies require competitive bidding for most contracts; however, whenever this requirement is not applicable and with contracts that would normally be negotiated, the contracts that would normally be negotiated, the Housing Authority of the City of Durham intends to contract with small, local businesses, to the greatest extent feasible.

b. In the development of low rent public housing projects, the contractor or subcontractor in hiring

shall make every effort to employ persons residing within the geographical area in order to insure that persons employed in the project will be brought into the permanent construction industry labor force.

c. The contractor and/or subcontractor shall not discriminate against employees and applicants for employment on the grounds of race, color, religion, sex or national origin.

d. The contractor shall assure the Housing Authority of the City of Durham that the top

management of the company will exert positive efforts to assure equal opportunity in employment as required by this Affirmative Action Policy.

e. The contractor will submit to the Housing Authority of the City of Durham upon request,

periodic progress reports showing what action has been taken to assure continuing compliance with this Affirmative Action Policy.

f. The contractor or subcontractor shall notify the Housing Authority of the City of Durham at the

time of bid submission the name and title of their appointed equal employment opportunity officer in order that a focal point between the contractor or subcontractor and the Housing Authority of the City of Durham may be established to carry out the provisions of this policy.

The contractor or subcontractor is expected to make maximum use of apprenticeship and other training to help equalize opportunity for minority persons, taking appropriate steps such as: a. Sponsoring and assisting minority youths as well as others to enter pre-apprentice and

apprentice training, and making such training available to the maximum extent within their companies.

b. Actively encouraging minority employees as well as others to increase their skills and job

potential through participation in training and education programs, and helping to assure that such programs are adequate and are in fact available to minority persons.

c. Using as many apprentices and summer and part-time trainees - particularly from minority

groups as work needs will permit. d. Assisting lower paid employees to exert their potential with respect to any of the higher paid

trades to qualify themselves for such trades. III.Goals: It is not the intent of the Housing Authority of the City of Durham to require of itself or of contractors or of subcontractors engaged by the Authority, quotas per se in the placement of minority persons, past experiences have proven that this is in fact detrimental to the purpose of an Affirmative Action program. It is however the intent of this policy to assist in the implementation of a good faith effort in order that an ultimate goal of 50 percent employment of minority persons be realized in the trade groups. The contractor or subcontractor will in seeking to achieve this ultimate goal make every good faith effort to meet the following employment ranges: Trade Description Goals of Minority Employed Within these Ranges

Bricklayers 30-50 percent Carpenters 30-35 percent Cement Finishers 30-35 percent Electricians 25-35 percent Elevator Constructors 25-35 percent Glaziers 30-35 percent Insulators 30-35 percent Ironworkers 25-35 percent Lathers 30-50 percent Operating Engineers 30-50 percent Painters 30-50 percent Plasterers 30-50 percent Plumbers 25-35 percent Roofers 30-50 percent Sheet metal Workers 25-35 percent Sprinkler Fitters 25-35 percent The Housing Authority of the City of Durham will assist all contractors and subcontractors in implementing the Affirmative Action Plans through all feasible means including but not limited to: 1. Assisting the contractor in contacting lower income residents needed in the construction of the

project. 2. Acting as a focal point for hiring, with a list of local subcontractors and suppliers. IV. Compliance Each prime contractor shall be responsible for the performance of his subcontractors for the implementation of this Affirmative Action Policy during the performance of the contract. Whenever the contractor subcontracts a portion of the work on a project, the subcontract shall bind the subcontractor to the obligations contained herein to the full extent as if he were the contractor. In the event of failure by a contractor to meet his minority manpower commitments specified herein he shall be given an opportunity to demonstrate that he has made every good faith effort to meet his commitments. In any proceeding that such good faith is in issue, all of the actions of the contractor in seeking to comply with these requirements shall be reviewed and monitored by the Equal Opportunity Officer. 1. The Equal Opportunity Officer will issue a written Alert Notice to a contractor whenever, in

his/her opinion, a breach of these conditions appear to be developing. 2. If the Alert Notice is not removed by a correction of the deficiencies within ten (10) days, the

Officer shall follow up the Alert Notice by issuing a written Violation Notice. Upon issuance of such notice, the contractor will have seven (7) working days to remove the violation.

3. Either or both notices may be removed if the contractor meets his obligations, or if he presents a satisfactory explanation in writing as to why such compliance is impractical or impossible.

4. Failure to satisfactorily remove a Violation Notice shall be heard by the Executive Director, and a determination by him that the contractor is not in compliance with this policy shall result in a recommendation of sanctions by the Executive Director to the Commissioners, such recommendation shall be accepted by the Commissioners unless it is deemed unreasonable. Such sanctions may include any or all of the following:

1. The withholding of contract payments. 2. The termination or suspension of the contract. 3. Requiring the contractor to enforce his obligation under this contract with subcontractors,

either by suit at law or in equity or arbitration, whichever is appropriate. It shall be the responsibility of the Executive Director of the Housing Authority of the City of Durham to ensure that this Affirmative Action Plan is enforced and that a continuous evaluation of compliance with the goals contained within are carried out.

ATTACHMENT E

Instructions to Offers Non-Construction form HUD 5369-B (8/93)

16

ATTACHMENT F

Certifications and Representations of Offerors Non-Construction Contract, form HUD 5369-B & 5369-C (8/93)

17

form HUD-5369-C (8/93)ref. Handbook 7460.8Previous edition is obsolete page 1 of 2

1. Contingent Fee Representation and Agreement

(a) The bidder/offeror represents and certifies as part of its bid/offer that, except for full-time bona fide employees workingsolely for the bidder/offeror, the bidder/offeror:

(1) [ ] has, [ ] has not employed or retained any person orcompany to solicit or obtain this contract; and

(2) [ ] has, [ ] has not paid or agreed to pay to any personor company employed or retained to solicit or obtain thiscontract any commission, percentage, brokerage, or otherfee contingent upon or resulting from the award of thiscontract.

(b) If the answer to either (a)(1) or (a) (2) above is affirmative,the bidder/offeror shall make an immediate and full writtendisclosure to the PHA Contracting Officer.

(c) Any misrepresentation by the bidder/offeror shall give thePHA the right to (1) terminate the resultant contract; (2) at itsdiscretion, to deduct from contract payments the amount of anycommission, percentage, brokerage, or other contingent fee; or(3) take other remedy pursuant to the contract.

2. Small, Minority, Women-Owned Business Concern Rep-resentation

The bidder/offeror represents and certifies as part of its bid/ offerthat it:

(a) [ ] is, [ ] is not a small business concern. “Small businessconcern,” as used in this provision, means a concern, includ-ing its affiliates, that is independently owned and operated,not dominant in the field of operation in which it is bidding,and qualified as a small business under the criteria and sizestandards in 13 CFR 121.

(b) [ ] is, [ ] is not a women-owned small business concern.“Women-owned,” as used in this provision, means a smallbusiness that is at least 51 percent owned by a woman orwomen who are U.S. citizens and who also control andoperate the business.

(c) [ ] is, [ ] is not a minority enterprise which, pursuant toExecutive Order 11625, is defined as a business which is atleast 51 percent owned by one or more minority groupmembers or, in the case of a publicly owned business, at least51 percent of its voting stock is owned by one or moreminority group members, and whose management and dailyoperations are controlled by one or more such individuals.

For the purpose of this definition, minority group members are:

(Check the block applicable to you)

[ ] Black Americans [ ] Asian Pacific Americans

[ ] Hispanic Americans [ ] Asian Indian Americans

[ ] Native Americans [ ] Hasidic Jewish Americans

3. Certificate of Independent Price Determination

(a) The bidder/offeror certifies that—

(1) The prices in this bid/offer have been arrived at indepen-dently, without, for the purpose of restricting competi-tion, any consultation, communication, or agreementwith any other bidder/offeror or competitor relating to (i)those prices, (ii) the intention to submit a bid/offer, or(iii) the methods or factors used to calculate the pricesoffered;

(2) The prices in this bid/offer have not been and will not beknowingly disclosed by the bidder/offeror, directly orindirectly, to any other bidder/offeror or competitor be-fore bid opening (in the case of a sealed bid solicitation)or contract award (in the case of a negotiated solicitation)unless otherwise required by law; and

(3) No attempt has been made or will be made by the bidder/offeror to induce any other concern to submit or not tosubmit a bid/offer for the purpose of restricting competition.

(b) Each signature on the bid/offer is considered to be a certifi-cation by the signatory that the signatory:

(1) Is the person in the bidder/offeror’s organization respon-sible for determining the prices being offered in this bidor proposal, and that the signatory has not participatedand will not participate in any action contrary to subpara-graphs (a)(l) through (a)(3) above; or

(2) (i) Has been authorized, in writing, to act as agent for thefollowing principals in certifying that those principalshave not participated, and will not participate in anyaction contrary to subparagraphs (a)(l) through (a)(3)above (insert full name of person(s) in the bidder/offeror’sorganization responsible for determining the prices of-fered in this bid or proposal, and the title of his or herposition in the bidder/offeror’s organization);

(ii) As an authorized agent, does certify that the princi-pals named in subdivision (b)(2)(i) above have not par-ticipated, and will not participate, in any action contraryto subparagraphs (a)(l) through (a)(3) above; and

U.S. Department of Housingand Urban DevelopmentOffice of Public and Indian Housing

Certifications andRepresentationsof OfferorsNon-Construction Contract

Public reporting burden for this collection of information is estimated to average 5 minutes per response, including the time for reviewing instructions, searchingexisting data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

This form includes clauses required by OMB’s common rule on bidding/offering procedures, implemented by HUD in 24 CFR 85.36, and those requirementsset forth in Executive Order 11625 for small, minority, women-owned businesses, and certifications for independent price determination, and conflict of interest.The form is required for nonconstruction contracts awarded by Housing Agencies (HAs). The form is used by bidders/offerors to certify to the HA's ContractingOfficer for contract compliance. If the form were not used, HAs would be unable to enforce their contracts. Responses to the collection of information arerequired to obtain a benefit or to retain a benefit. The information requested does not lend itself to confidentiality.

form HUD-5369-C (8/93)ref. Handbook 7460.8Previous edition is obsolete page 2 of 2

(iii) As an agent, has not personally participated, and willnot participate in any action contrary to subparagraphs(a)(l) through (a)(3) above.

(c) If the bidder/offeror deletes or modifies subparagraph (a)2above, the bidder/offeror must furnish with its bid/offer asigned statement setting forth in detail the circumstances ofthe disclosure.

4. Organizational Conflicts of Interest Certification

(a) The Contractor warrants that to the best of its knowledge andbelief and except as otherwise disclosed, it does not have anyorganizational conflict of interest which is defined as asituation in which the nature of work under a proposedcontract and a prospective contractor’s organizational, fi-nancial, contractual or other interest are such that:

(i) Award of the contract may result in an unfair competi-tive advantage;

(ii) The Contractor’s objectivity in performing the con-tract work may be impaired; or

(iii) That the Contractor has disclosed all relevant infor-mation and requested the HA to make a determinationwith respect to this Contract.

(b) The Contractor agrees that if after award he or she discoversan organizational conflict of interest with respect to thiscontract, he or she shall make an immediate and full disclo-sure in writing to the HA which shall include a description ofthe action which the Contractor has taken or intends toeliminate or neutralize the conflict. The HA may, however,terminate the Contract for the convenience of HA if it wouldbe in the best interest of HA.

(c) In the event the Contractor was aware of an organizationalconflict of interest before the award of this Contract andintentionally did not disclose the conflict to the HA, the HAmay terminate the Contract for default.

(d) The Contractor shall require a disclosure or representationfrom subcontractors and consultants who may be in a positionto influence the advice or assistance rendered to the HA andshall include any necessary provisions to eliminate or neutralizeconflicts of interest in consultant agreements or subcontractsinvolving performance or work under this Contract.

5. Authorized Negotiators (RFPs only)

The offeror represents that the following persons are authorizedto negotiate on its behalf with the PHA in connection with thisrequest for proposals: (list names, titles, and telephone numbersof the authorized negotiators):

6. Conflict of Interest

In the absence of any actual or apparent conflict, the offeror, bysubmission of a proposal, hereby warrants that to the best of itsknowledge and belief, no actual or apparent conflict of interestexists with regard to my possible performance of this procure-ment, as described in the clause in this solicitation titled “Orga-nizational Conflict of Interest.”

7. Offeror's Signature

The offeror hereby certifies that the information contained inthese certifications and representations is accurate, complete,and current.

Signature & Date:

Typed or Printed Name:

Title:

ATTACHMENT G

General Conditions for Non-Construction Contracts, Section I – (With or without Maintenance Work), form HUD 5370-C (10/2006)

18

General Conditions for Non-Construction Contracts Section I – (With or without Maintenance Work)

U.S. Department of Housing and Urban Development Office of Public and Indian Housing Office of Labor Relations OMB Approval No. 2577-0157 (exp. 3/31/2010)

Public Reporting Burden for this collection of information is estimated to average 0.08 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Reports Management Officer, Office of Information Policies and Systems, U.S. Department of Housing and Urban Development, Washington, D.C. 20410-3600; and to the Office of Management and Budget, Paperwork Reduction Project (2577-0157), Washington, D.C. 20503. Do not send this completed form to either of these addressees.

Applicability. This form HUD-5370-C has 2 Sections. These Sections must be inserted into non-construction contracts as described below:

1) Non-construction contracts (without maintenance) greater than $100,000 - use Section I;

2) Maintenance contracts (including nonroutine maintenance as defined at 24 CFR 968.105) greater than $2,000 but not more than $100,000 - use Section II; and

3) Maintenance contracts (including nonroutine maintenance), greater than $100,000 – use Sections I and II.

==================================================== Section I - Clauses for All Non-Construction Contracts greater than $100,000 ==================================================== 1. Definitions The following definitions are applicable to this contract:

(a) "Authority or Housing Authority (HA)" means the Housing Authority.

(b) "Contract" means the contract entered into between the Authority and the Contractor. It includes the contract form, the Certifications and Representations, these contract clauses, and the scope of work. It includes all formal changes to any of those documents by addendum, Change Order, or other modification.

(c) "Contractor" means the person or other entity entering into the contract with the Authority to perform all of the work required under the contract.

(d) "Day" means calendar days, unless otherwise stated. (e) "HUD" means the Secretary of Housing and Urban

development, his delegates, successors, and assigns, and the officers and employees of the United States Department of Housing and Urban Development acting for and on behalf of the Secretary.

2. Changes

(a) The HA may at any time, by written order, and without notice to the sureties, if any, make changes within the general scope of this contract in the services to be performed or supplies to be delivered.

(b) If any such change causes an increase or decrease in the hourly rate, the not-to-exceed amount of the contract, or the time required for performance of any part of the work under this contract, whether or not changed by the order, or otherwise affects the conditions of this contract, the HA shall make an equitable adjustment in the not-to-exceed amount, the hourly rate, the delivery schedule, or other affected terms, and shall modify the contract accordingly.

(c) The Contractor must assert its right to an equitable adjustment under this clause within 30 days from the date of receipt of the written order. However, if the HA decides that the facts justify it, the HA may receive and act upon a

proposal submitted before final payment of the contract. (d) Failure to agree to any adjustment shall be a dispute under

clause Disputes, herein. However, nothing in this clause shall excuse the Contractor from proceeding with the contract as changed.

(e) No services for which an additional cost or fee will be charged by the Contractor shall be furnished without the prior written consent of the HA.

3. Termination for Convenience and Default

(a) The HA may terminate this contract in whole, or from time to time in part, for the HA's convenience or the failure of the Contractor to fulfill the contract obligations (default). The HA shall terminate by delivering to the Contractor a written Notice of Termination specifying the nature, extent, and effective date of the termination. Upon receipt of the notice, the Contractor shall: (i) immediately discontinue all services affected (unless the notice directs otherwise); and (ii) deliver to the HA all information, reports, papers, and other materials accumulated or generated in performing this contract, whether completed or in process.

(b) If the termination is for the convenience of the HA, the HA shall be liable only for payment for services rendered before the effective date of the termination.

(c) If the termination is due to the failure of the Contractor to fulfill its obligations under the contract (default), the HA may (i) require the Contractor to deliver to it, in the manner and to the extent directed by the HA, any work as described in subparagraph (a)(ii) above, and compensation be determined in accordance with the Changes clause, paragraph 2, above; (ii) take over the work and prosecute the same to completion by contract or otherwise, and the Contractor shall be liable for any additional cost incurred by the HA; (iii) withhold any payments to the Contractor, for the purpose of off-set or partial payment, as the case may be, of amounts owed to the HA by the Contractor.

(d) If, after termination for failure to fulfill contract obligations (default), it is determined that the Contractor had not failed, the termination shall be deemed to have been effected for the convenience of the HA, and the Contractor shall been titled to payment as described in paragraph (b) above.

(e) Any disputes with regard to this clause are expressly made subject to the terms of clause titled Disputes herein.

4. Examination and Retention of Contractor's Records

(a) The HA, HUD, or Comptroller General of the United States, or any of their duly authorized representatives shall, until 3 years after final payment under this contract, have access to and the right to examine any of the Contractor's directly pertinent books, documents, papers, or other records involving transactions related to this contract for the purpose of making audit, examination, excerpts, and transcriptions.

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form HUD-5370-C (10/2006)

(b) The Contractor agrees to include in first-tier subcontracts under this contract a clause substantially the same as paragraph (a) above. "Subcontract," as used in this clause, excludes purchase orders not exceeding $10,000.

(c) The periods of access and examination in paragraphs (a) and (b) above for records relating to: (i) appeals under the clause titled Disputes; (ii) litigation or settlement of claims arising from the performance of this contract; or, (iii) costs and expenses of this contract to which the HA, HUD, or Comptroller General or any of their duly authorized representatives has taken exception shall continue until disposition of such appeals, litigation, claims, or exceptions.

5. Rights in Data (Ownership and Proprietary Interest)

The HA shall have exclusive ownership of, all proprietary interest in, and the right to full and exclusive possession of all information, materials and documents discovered or produced by Contractor pursuant to the terms of this Contract, including but not limited to reports, memoranda or letters concerning the research and reporting tasks of this Contract.

6. Energy Efficiency

The contractor shall comply with all mandatory standards and policies relating to energy efficiency which are contained in the energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.L. 94-163) for the State in which the work under this contract is performed.

7. Disputes

(a) All disputes arising under or relating to this contract, except for disputes arising under clauses contained in Section III, Labor Standards Provisions, including any claims for damages for the alleged breach there of which are not disposed of by agreement, shall be resolved under this clause.

(b) All claims by the Contractor shall be made in writing and submitted to the HA. A claim by the HA against the Contractor shall be subject to a written decision by the HA.

(c) The HA shall, with reasonable promptness, but in no event in no more than 60 days, render a decision concerning any claim hereunder. Unless the Contractor, within 30 days after receipt of the HA's decision, shall notify the HA in writing that it takes exception to such decision, the decision shall be final and conclusive.

(d) Provided the Contractor has (i) given the notice within the time stated in paragraph (c) above, and (ii) excepted its claim relating to such decision from the final release, and (iii) brought suit against the HA not later than one year after receipt of final payment, or if final payment has not been made, not later than one year after the Contractor has had a reasonable time to respond to a written request by the HA that it submit a final voucher and release, whichever is earlier, then the HA's decision shall not be final or conclusive, but the dispute shall be determined on the merits by a court of competent jurisdiction.

(e) The Contractor shall proceed diligently with performance of this contract, pending final resolution of any request for relief, claim, appeal, or action arising under the contract, and comply with any decision of the HA.

8. Contract Termination; Debarment

A breach of these Contract clauses may be grounds for termination of the Contract and for debarment or denial of participation in HUD programs as a Contractor and a subcontractor as provided in 24 CFR Part 24.

9. Assignment of Contract

The Contractor shall not assign or transfer any interest in this contract; except that claims for monies due or to become due from the HA under the contract may be assigned to a bank, trust company, or other financial institution. If the Contractor is a partnership, this contract shall inure to the benefit of the surviving or remaining member(s) of such partnership approved by the HA.

10. Certificate and Release

Prior to final payment under this contract, or prior to settlement upon termination of this contract, and as a condition precedent thereto, the Contractor shall execute and deliver to the HA a certificate and release, in a form acceptable to the HA, of all claims against the HA by the Contractor under and by virtue of this contract, other than such claims, if any, as may be specifically excepted by the Contractor in stated amounts set forth therein.

11. Organizational Conflicts of Interest

(a) The Contractor warrants that to the best of its knowledge and belief and except as otherwise disclosed, it does not have any organizational conflict of interest which is defined as a situation in which the nature of work under this contract and a contractor's organizational, financial, contractual or other interests are such that: (i) Award of the contract may result in an unfair

competitive advantage; or (ii) The Contractor's objectivity in performing the contract

work may be impaired. (b) The Contractor agrees that if after award it discovers an

organizational conflict of interest with respect to this contract or any task/delivery order under the contract, he or she shall make an immediate and full disclosure in writing to the Contracting Officer which shall include a description of the action which the Contractor has taken or intends to take to eliminate or neutralize the conflict. The HA may, however, terminate the contract or task/delivery order for the convenience of the HA if it would be in the best interest of the HA.

(c) In the event the Contractor was aware of an organizational conflict of interest before the award of this contract and intentionally did not disclose the conflict to the Contracting Officer, the HA may terminate the contract for default.

(d) The terms of this clause shall be included in all subcontracts and consulting agreements wherein the work to be performed is similar to the service provided by the prime Contractor. The Contractor shall include in such subcontracts and consulting agreements any necessary provisions to eliminate or neutralize conflicts of interest.

12. Inspection and Acceptance

(a) The HA has the right to review, require correction, if necessary, and accept the work products produced by the Contractor. Such review(s) shall be carried out within 30 days so as to not impede the work of the Contractor. Any

Section I - Page 2 of 6

Form HUD-5370-C (10/2006)

product of work shall be deemed accepted as submitted if the HA does not issue written comments and/or required corrections within 30 days from the date of receipt of such product from the Contractor.

(b) The Contractor shall make any required corrections promptly at no additional charge and return a revised copy of the product to the HA within 7 days of notification or a later date if extended by the HA.

(c) Failure by the Contractor to proceed with reasonable promptness to make necessary corrections shall be a default. If the Contractor's submission of corrected work remains unacceptable, the HA may terminate this contract (or the task order involved) or reduce the contract price or cost to reflect the reduced value of services received.

13. Interest of Members of Congress

No member of or delegate to the Congress of the United States of America or Resident Commissioner shall be admitted to any share or part of this contract or to any benefit to arise there from, but this provision shall not be construed to extend to this contract if made with a corporation for its general benefit.

14. Interest of Members, Officers, or Employees and Former Members, Officers, or Employees

No member, officer, or employee of the HA, no member of the governing body of the locality in which the project is situated, no member of the governing body in which the HA was activated, and no other pubic official of such locality or localities who exercises any functions or responsibilities with respect to the project, shall, during his or her tenure, or for one year thereafter, have any interest, direct or indirect, in this contract or the proceeds thereof.

15. Limitation on Payments to Influence Certain Federal Transactions

(a) Definitions. As used in this clause:

"Agency", as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1).

"Covered Federal Action" means any of the following Federal actions:

(i) The awarding of any Federal contract; (ii) The making of any Federal grant; (iii) The making of any Federal loan; (iv) The entering into of any cooperative agreement; and, (v) The extension, continuation, renewal, amendment, or

modification of any Federal contract, grant, loan, or cooperative agreement.

Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan.

"Indian tribe" and "tribal organization" have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act.

"Influencing or attempting to influence" means making, with the intent to influence, any communication to or appearance before an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action.

"Local government" means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government.

"Officer or employee of an agency" includes the following individuals who are employed by an agency:

(i) An individual who is appointed to a position in the Government under title 5, U.S.C., including a position under a temporary appointment;

(ii) A member of the uniformed services as defined in section 202, title 18, U.S.C.;

(iii) A special Government employee as defined in section 202, title 18, U.S.C.; and,

(iv) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act, title 5, appendix 2.

“Person" means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal organization, or other Indian organization with respect to expenditures specifically permitted by other Federal law.

"Recipient" includes all contractors, subcontractors at any tier, and subgrantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.

"Regularly employed means, with respect to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement, an officer or employee who is employed by such person for at least 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract, grant, loan, or cooperative agreement. An officer or employee who is employed by such person for less than 130 working days within one year immediately preceding the date of submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.

"State" means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers. (b) Prohibition.

(i) Section 1352 of title 31, U.S.C. provides in part that no appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(ii) The prohibition does not apply as follows:

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(1) Agency and legislative liaison by Own Employees. (a) The prohibition on the use of appropriated funds, in paragraph (i) of this section, does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement, if the payment is for agency and legislative activities not directly related to a covered Federal action. (b) For purposes of paragraph (b)(i)(1)(a) of this clause, providing any information specifically requested by an agency or Congress is permitted at any time. (c) The following agency and legislative liaison activities are permitted at any time only where they are not related to a specific solicitation for any covered Federal action: (1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and,

(2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.

(d) The following agency and legislative liaison activities are permitted where they are prior to formal solicitation of any covered Federal action:

(1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action;

(2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and

(3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law 95-507 and other subsequent amendments.

(e) Only those activities expressly authorized by subdivision (b)(ii)(1)(a) of this clause are permitted under this clause.

(2) Professional and technical services. (a) The prohibition on the use of appropriated

funds, in subparagraph (b)(i) of this clause, does not apply in the case of- (i) A payment of reasonable compensation

made to an officer or employee of a person requesting or receiving a covered Federal action or an extension, continuation, renewal, amendment, or modification of a covered Federal action, if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal action or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal action.

(ii) Any reasonable payment to a person, other than an officer or employee of a

person requesting or receiving a covered Federal action or an extension, continuation, renewal, amendment, or modification of a covered Federal action if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal action or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal action. Persons other than officers or employees of a person requesting or receiving a covered Federal action include consultants and trade associations.

(b) For purposes of subdivision (b)(ii)(2)(a) of clause, "professional and technical services" shall be limited to advice and analysis directly applying any professional or technical discipline.

(c) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.

(d) Only those services expressly authorized by subdivisions (b)(ii)(2)(a)(i) and (ii) of this section are permitted under this clause.

(iii) Selling activities by independent sales representatives.

(c) The prohibition on the use of appropriated funds, in subparagraph (b)(i) of this clause, does not apply to the following selling activities before an agency by independent sales representatives, provided such activities are prior to formal solicitation by an agency and are specifically limited to the merits of the matter: (i) Discussing with an agency (including individual

demonstration) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and

(ii) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.

(d) Agreement. In accepting any contract, grant, cooperative agreement, or loan resulting from this solicitation, the person submitting the offer agrees not to make any payment prohibited by this clause.

(e) Penalties. Any person who makes an expenditure prohibited under paragraph (b) of this clause shall be subject to civil penalties as provided for by 31 U.S.C. 1352. An imposition of a civil penalty does not prevent the Government from seeking any other remedy that may be applicable.

(f) Cost Allowability. Nothing in this clause is to be interpreted to make allowable or reasonable any costs which would be unallowable or unreasonable in accordance with Part 31 of the Federal Acquisition Regulation (FAR), or OMB Circulars dealing with cost allowability for recipients of assistance agreements. Conversely, costs made specifically unallowable by the requirements in this clause will not be made allowable under any of the provisions of FAR Part 31 or the relevant OMB Circulars.

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Form HUD-5370-C (10/2006)

16. Equal Employment Opportunity

During the performance of this contract, the Contractor agrees as follows: (a) The Contractor shall not discriminate against any employee

or applicant for employment because of race, color, religion, sex, or national origin.

(b) The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to (1) employment; (2) upgrading; (3) demotion; (4) transfer; (5) recruitment or recruitment advertising; (6) layoff or termination; (7) rates of pay or other forms of compensation; and (8) selection for training, including apprenticeship.

(c) The Contractor shall post in conspicuous places available to employees and applicants for employment the notices to be provided by the Contracting Officer that explain this clause.

(d) The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

(e) The Contractor shall send, to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, the notice to be provided by the Contracting Officer advising the labor union or workers' representative of the Contractor's commitments under this clause, and post copies of the notice in conspicuous places available to employees and applicants for employment.

(f) The Contractor shall comply with Executive Order 11246, as amended, and the rules, regulations, and orders of the Secretary of Labor.

(g) The Contractor shall furnish all information and reports required by Executive Order 11246, as amended and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto. The Contractor shall permit access to its books, records, and accounts by the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

(h) In the event of a determination that the Contractor is not in compliance with this clause or any rule, regulation, or order of the Secretary of Labor, this contract may be canceled, terminated, or suspended in whole or in part, and the Contractor may be declared ineligible for further Government contracts, or federally assisted construction contracts under the procedures authorized in Executive Order 11246, as amended. In addition, sanctions may be imposed and remedies invoked against the Contractor as provided in Executive Order 11246, as amended, the rules, regulations, and orders of the Secretary of Labor, or as otherwise provided by law.

(i) The Contractor shall include the terms and conditions of this clause in every subcontract or purchase order unless exempted by the rules, regulations, or orders of the Secretary of Labor issued under Executive Order 11246, as amended, so that these terms and conditions will be binding upon each subcontractor or vendor. The Contractor shall take such action with respect to any subcontractor or purchase order as the Secretary of Housing and Urban Development or the Secretary of Labor may direct as a means of enforcing such provisions, including sanctions for noncompliance; provided that if the

Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction, the Contractor may request the United States to enter into the litigation to protect the interests of the United States.

17. Dissemination or Disclosure of Information

No information or material shall be disseminated or disclosed to the general public, the news media, or any person or organization without prior express written approval by the HA.

18. Contractor's Status

It is understood that the Contractor is an independent contractor and is not to be considered an employee of the HA, or assume any right, privilege or duties of an employee, and shall save harmless the HA and its employees from claims suits, actions and costs of every description resulting from the Contractor's activities on behalf of the HA in connection with this Agreement.

19. Other Contractors

HA may undertake or award other contracts for additional work at or near the site(s) of the work under this contract. The contractor shall fully cooperate with the other contractors and with HA and HUD employees and shall carefully adapt scheduling and performing the work under this contract to accommodate the additional work, heeding any direction that may be provided by the Contracting Officer. The contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or HA employee.

20. Liens

The Contractor is prohibited from placing a lien on HA's property. This prohibition shall apply to all subcontractors.

21. Training and Employment Opportunities for Residents in

the Project Area (Section 3, HUD Act of 1968; 24 CFR 135) (a) The work to be performed under this contract is subject to the

requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.

(b) The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Part 135 regulations.

(c) The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of

Section I - Page 5 of 6

Form HUD-5370-C (10/2006)

apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin.

(d) The contractor agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 135.

(e) The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135.

(f) Noncompliance with HUD's regulations in 24 CFR Part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts.

22. Procurement of Recovered Materials (a) In accordance with Section 6002 of the Solid Waste Disposal Act,

as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price.

(b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract.

Section I - Page 6 of 6

Form HUD-5370-C (10/2006)

ATTACHMENT G

Non-Collusive Affidavit

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FORM OF NON-COLLUSIVE AFFIDAVIT A F F I D A V I T (Prime Bidder) State of__________________________)ss. County of ________________________) ________________________________________ , being first duly sworn, deposes and says: That he/she is_____________________________________________________________ (Partner or Officer of the Firm of, etc.) the party making the foregoing proposal or bid, that such proposal or bid is genuine and not collusive or sham; that said bidder has not colluded, conspired, connived or agreed, directly or indirectly, with any bidder or person, to put in a sham bid or to refrain from bidding, and has not in any manner, directly or indirectly, sought by agreement or collusion, or communication or conference, with any person, to affix the bid price of affiant or of any other bidder, or to fix any overhead, profit or cost element of said bid price, or of that of any other bidder, or to secure any advantage against the Housing Authority of the City of Durham or any person interested in the proposed contract; and that all statements in said proposal or bid are true. Signature of: ___________________________________

Name of Bidder if Bidder is an Individual _____________________________________________

Name of Partner if Bidder is a Partnership _____________________________________________

Name of Officer if Bidder is a Corporation Subscribed and sworn to before me _________________________________________________

this ___________ day of_________________________20______.

My commission expires_______________________________20_____________.

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ATTACHMENT I

Neighborhood Context Map