RFQ#13-026-1 REQUEST FOR QUALIFICATIONS...(CFP) into the Public Housing Agency Plan (PHA Plan) process. Therefore annually, PHAs identify capital activities proposed for the upcoming

RFQ#13-026-1

REQUEST FOR QUALIFICATIONS

FOR ARCHITECTURAL AND ENGINEERING SERVICES

AS AN INDEFINITE QUANTITY CONTRACT

FOR THE CAPITAL FUND PROGRAM (CFP)

The Housing Authority of the City of Durham

William Bryant, Procurement Manager

330 East Main Street

Durham, North Carolina 27701

TABLE OF CONTENTS

REQUEST FOR QUALIFICATIONS (RFQ) 13-026-1

FOR ARCHITECTURAL AND ENGINEERING SERVICES AS AN INDEFINITE

QUANTITY CONTRACT FOR THE CAPITAL FUND PROGRAM (CFP)

THE HOUSING AUTHORITY OF THE CITY OF DURHAM

Page(s)

Introduction ................................................................................................................................................. 1

Contract Period ............................................................................................................................................ 1

Location of Work ......................................................................................................................................... 2

Scope of Work ............................................................................................................................................. 2

Task Order Issuance .................................................................................................................................... 3

Submission Requirements ........................................................................................................................... 4

Qualifications-Based Proposal Evaluation Criteria ..................................................................................... 5

Schedule and Required Information ............................................................................................................ 6

Contract Requirements ................................................................................................................................ 8

Insurance Coverage ..................................................................................................................................... 9

Attachments

Development Physical Characteristics .....................................................................................Attachment A

2013 CFP Annual Statement ................................................................................................... Attachment B Certification Regarding Debarment and Suspension, form HUD-2992 (3/98) ........................ Attachment C

Certifications and Representations of Offerors Non-Construction Contract,

form HUD-5369-C (8/93) ........................................................................................................Attachment D Non-Collusive Affidavit .......................................................................................................... Attachment E

Model Form of Agreement Between Owner and Design Professional and Contract Provisions

Required by Federal Law or Owner Contract with the U. S. Department of Housing and Urban

Development, form HUD-51915 (9/98) and form HUD-51915-A (9/98) ............................... Attachment F

Performance Evaluation (Architect-Engineer) Form, form SF 1421 (10-83) .......................... Attachment G

Instruction to Offerors Non-Construction, form HUD-5369-B (8/93) ....................................Attachment H

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

Work), form HUD 5370-C (10/2006) ....................................................................................... Attachment I

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

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

Certification of Payments to Influence Federal Transactions, form HUD-50071 (3/98) ......... Attachment L

The above listed components are incorporated herein by reference and attached hereto. It is the offeror’s

responsibility to ensure receipt of these documents. These documents are sometimes referred to as “Contract

Documents”.

1

RFQ#13-026-1

REQUEST FOR QUALIFICATIONS

FOR ARCHITECTURAL AND ENGINEERING SERVICES

AS AN INDEFINITE QUANTITY CONTRACT

FOR THE CAPITAL FUND PROGRAM (CFP)

THE HOUSING AUTHORITY OF THE CITY OF DURHAM

INTRODUCTION

The Housing Authority of the City of Durham (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 currently operates

1,871 units of conventional public housing, and provides rental assistance to

approximately 2700 residents through the Housing Choice Voucher Program.

The Housing Authority of the City of Durham (DHA), pursuant to the procurement

regulations of 24 CFR 85.36 seeks qualifications-based competitive proposals from

interested architectural and engineering Firms (the “Firm”) for the provision of

multidiscipline professional services to include the preparation of construction drawings,

specifications, plans, cost/price estimates, bid documents, advertisements; bid

negotiation; construction administration; and such other related needs as DHA may

define in its implementation of the Capital Fund Program (CFP). Interested parties should

submit a proposal to DHA, which must be received by the submission deadline stated in

this Request for Qualifications (RFQ). Minority and women-owned businesses are

encouraged to respond. The requirements of this solicitation shall be performed via

multiple task orders and is contingent upon funding. Information requested in this RFQ

must be submitted on or before November 15, 2013 at 4:00 pm.

CONTRACT PERIOD

It is DHA’s intent to enter into an Indefinite Quantity Contract (IQC) with the successful

Firm for the provision of architectural and engineering services for a period not to exceed

five years. The IQC will be for a one year period with one year renewal options for a

maximum of five years. The IQC will require a yearly cost analysis (hourly billing rates

for architectural and engineering staff) and a performance evaluation of the architectural

and engineering Firm. DHA will verify that the Firm has not been suspended or debarred

prior to each renewal of the IQC.

2

LOCATION OF WORK

Architectural and engineering services will be performed for the completion of proposed

work items at NC13-1 McDougald Terrace, NC13-3 Scattered Sites, NC13-4 Oldham

Towers, NC13-5 Cornwallis Road, NC13-6 Liberty Street, NC13-7 Club Boulevard,

NC13-8 Hoover Road, NC13-9 J. J. Henderson, NC13-10 Morreene Road, NC13-11

Damar Court, NC13-12 Oxford Manor, NC13-14 Forest Hill Heights, and NC13-15

Laurel Oaks. Development profiles are shown in Attachment A. Development Physical

Characteristics.

RAD CONVERSION SITES – DHA has received Rental Assistance Demonstration

(RAD) program awards to convert Morreene Road and Damar Court to project-based

assistance complexes. DHA is reviewing its remaining public housing inventory for

submission of applications to the RAD program for subsequent conversion. Therefore,

the locations of work for the provision of the architectural and engineering services are

subject to change.

SCOPE OF WORK

DHA is interested in contracting with an architectural and engineering firm for the

provision of multidiscipline professional services to include the preparation of

construction drawings, specifications, plans, cost/price estimates, bid documents,

advertisements; bid negotiation; construction administration; and such other related needs

as DHA may define in its implementation of the Capital Fund Program (CFP).

The Capital Fund Program (CFP) provides funds, annually, through the award of formula

grants to Public Housing Agencies (PHAs) to carry out capital and management

activities, to include:

Development, financing, and modernization of public housing projects, such as the

redesign, reconstruction, and reconfiguration of public sites and buildings (including

accessibility improvements and the development of financed projects)

Vacancy reduction

Addressing deferred maintenance needs and the replacement of obsolete utility

systems and dwelling equipment

Planned code compliance

Management improvements

Demolition and replacement

Resident relocation

The funds may not be used for luxury improvements, direct social services, cost funded

by other HUD programs, and ineligible activities as determined by HUD.

3

In 1998, HUD’s prior modernization programs - the Comprehensive Grant Program

(CGP) and the Comprehensive Improvement Assistance Program (CIAP) were converted

into the Capital Fund Program. In March 2000, HUD published its final rule to

implement the new formula system for allocation of funds to public housing agencies for

their capital needs.

As a result of HUD’s efforts to streamline grant submission processes for public housing

agencies, HUD consolidated the planning requirements of the Capital Fund Program

(CFP) into the Public Housing Agency Plan (PHA Plan) process. Therefore annually,

PHAs identify capital activities proposed for the upcoming year, to ensure long-term

physical and social viability of its public housing developments, through the completion

of the Annual Statement Parts I and II for the Capital Fund Program (CFP) (form HUD-

52837). PHAs also include a 5-Year Action Plan, describing capital work items to be

completed over a five-year rolling period (form HUD-52834), in the annual PHA Plan.

The most recently approved Annual Statement - 2013 CFP is attached (Attachment B).

The requested services are to be performed in support of DHA’s mission and in

compliance with the requirements of the Capital Fund Program placed upon DHA by

HUD. All tasks shall be performed in a manner consistent with relevant federal, state,

and local laws, the Code of Federal Regulations, and various HUD Handbooks and

Notices, as appropriate. Tasks will be defined and Task Orders will be awarded on an as

needed basis during the term of the contract.

It is impossible at this time to accurately estimate the entire scope of this project, but in

no event over the course of the five year contract will DHA expend more than $1,500,000

on this contract.

Interested parties should submit a qualifications-based proposal to DHA which must be

received by the submission deadline stated in this Request for Qualifications (RFQ).

TASK ORDER ISSUANCE PROCESS

The process for issuing a Task Order is as follows:

1. DHA will issue a Request for a Task Order to the Firm. The Request will provide

background on the perceived need; it will identify any applicable statutory or

administrative requirements; it will indicate the desired services and/or products

to be delivered; it will provide guidance on the anticipated period of performance

(including any binding deadlines) and the anticipated level of effort. The Request

may be indicative of, but not inclusive, regarding the scope, and/or level of effort.

The Architect will be expected to provide substantial assistance in responding to

the task requirements.

4

2. The Architect’s Project Director will review the Request within the specified

period for response (typically no more than thirty (30) days, the Architect will

prepare a draft Task Order.

3. The draft Task Order will provide the following:

a. Task Leader and key staff

b. Work Plan and schedule

c. Proposed budget and schedule of payments

4. DHA will review the draft Task Order for cost reasonableness and budget

compliance, negotiate modifications, or reject it with a request for resubmittal. A

Final Task Order will be provided, once the draft Task Order is found to be

satisfactory to the architectural and engineering Firm and DHA. If DHA rejects a

proposed Task Order, it can choose to pursue completion of the work by other

means.

5. DHA will enter into an Indefinite Quantity Contract (IQC) with the successful

Firm for the provision of architectural and engineering services for a one year

period, with one year renewal options, for a maximum of five years. The work

will begin within thirty (30) days unless otherwise specified in the Final Task

Order.

6. All work products will be delivered in the appropriate form and number of copies.

SUBMISSION REQUIREMENTS

Each Firm is requested to submit a qualifications-based proposal providing information

on the following items:

Letter of Interest: Proposal shall include a letter of interest briefly summarizing the

Firm’s qualifications and past experience relevant to this effort. Provide a list of team

members and identify a chief contact person. Indicate a willingness to proceed

expeditiously on the provision of services, if Firm is selected.

Organizational Structure and Staffing: Provide a description of the Firm’s

organizational structure and staffing to include profiles of principals’ and staffs’

professional and technical competence, as well as experience, and the facilities that will

be involved in the IQC projects.

Previous Experience: Describe past performance in terms of cost control, quality of

work, and compliance with performance schedules.

5

Capability to Provide Professional Services: Describe the Firm’s capability to provide

professional services in a timely manner.

Knowledge of Local Building Codes, etc.: Demonstrate knowledge of local building

codes, state building codes, and federal building alterations requirements.

Evidence of License in the State of North Carolina: Provide evidence that the

architecture and engineering Firm is currently registered in North Carolina to perform the

requested services.

Errors and Omissions Insurance: Provide a certificate documenting coverage for

Professional Errors & Omissions Liability Insurance with minimum limits of $1 million

per claim and $2 million per aggregate for a period extending two years past the date of

contract completion; General Liability Insurance of at least $1 million per occurrence and

$1 million per aggregate covering the activities to be performed; Automobile Liability

Insurance with coverage of at least $500,000 per occurrence; and Worker’s

Compensation Insurance as required by the laws of the State of North Carolina. Failure

to submit this required certificate of insurance will result in the automatic rejection of the

proposal.

Certification Regarding Debarment and Suspension: Provide an executed certified

statement that your Firm is not debarred, suspended, or otherwise prohibited from

professional practice by any Federal, State, or Local agency, using form HUD-2992

Certification Regarding Debarment and Suspension (3/98). (Attachment C.) Failure to

submit this required certification will result in the automatic rejection of the proposal.

Certifications and Representations of Offerors Non-Construction Contract: Provide

an executed Certifications and Representations of Offerors Non-Construction Contract,

form HUD-5369-C (8/93) (Attachment D.) Failure to submit this required certification

will result in the automatic rejection of the proposal.

Non-Collusive Affidavit: Provide an executed Non-Collusive Affidavit. (Attachment E.)

Failure to submit this affidavit will result in the automatic rejection of the proposal.

References: Provide a minimum of three (3) references, to include names, addresses, and

telephone numbers.

QUALIFICATIONS-BASED PROPOSAL EVALUATION CRITERIA

All qualifications-based proposals submitted will be reviewed and evaluated by the Chief

Executive Officer, or individuals designated by him, 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:

6

Proposal Evaluation Criteria Evaluation Points

Evidence of ability to perform the work – principals, staff,

experience, facilities, technical and professional competence

25 maximum

Capability to provide professional services in a timely manner,

creativity of approach, ability to achieve efficiencies in

performance of tasks

25 maximum

Evidence of Current Insurance coverage. This is a “yes” or “no”

criterion; if the evidence of Current Insurance coverage is not

provided, i.e., the answer is “no”; then the Firm is disqualified; not

point-scored.

5 maximum

Past performance – quality of work, cost control, compliance with

performance schedules

20 maximum

Knowledge of applicable local, state, and federal statutes,

regulations and codes; Evidence of current NC professional license.

20 maximum

Executed Certification Regarding Debarment and Suspension,

Executed Certifications and Representations of Offerors Non-

Construction Contract, and Executed Non-Collusive Affidavit. This

is a “yes” or “no” criterion; if these three executed documents are

not provided, i.e., the answer is “no”; then the Firm is disqualified;

not point-scored.

5 maximum

Total Possible Points 100 maximum

Cost Not a Factor: This represents a Request for Qualifications and price/cost will not

be considered in selecting the most qualified Firm. Once DHA has selected a Firm, the

parties shall negotiate a fair and reasonable price for the services requested. If an

agreement can not be reached concerning price, DHA will select the next most qualified

Firm to provide architectural and engineering services and will commence price

negotiations with that Firm.

SCHEDULE AND REQUIRED INFORMATION

Qualifications-Based Proposal Due Date: The Durham Housing Authority requests

sealed qualifications-based proposals for architectural and engineering services by 4:00

pm, EST, on November 15, 2013 at DHA, 330 East Main Street, Durham, North

Carolina. Your Firm must provide five (5) copies of the qualifications-based

proposal, of which one (1) must be an original. All qualifications-based proposals

must be bound in either a 3-ring binder or other format. Rubber bands do not

constitute an acceptable binding format. Firms are requested to submit one (1)

electronic copy of the qualifications-based proposal in PDF format submitted via

CD ROM or Flash/Thumb Drive. DHA will date stamp all qualifications-based

proposals upon receipt to evidence such. Acknowledgement of receipt will be provided

upon request. Faxed qualifications-based proposals are not acceptable.

7

Responses should be addressed as follows:

Mailing Address:

ARCHITECTURAL/ENGINEERING SERVICES AS AN INDEFINITE QUANTITY

CONTRACT FOR THE CAPITAL FUND PROGRAM (CFP)

RFQ # 13-026-1


Attention: William Bryant, Procurement Manager

P.O. Box 1726

Durham, NC 27702

Physical Address:

ARCHITECTURAL/ENGINEERING SERVICES AS AN INDEFINITE QUANTITY

CONTRACT FOR THE CAPITAL FUND PROGRAM (CFP)

RFQ # 13-026-1


Attention: William Bryant, Procurement Manager

330 East Main Street

Durham, NC 27701

Interpretation: Questions about how to interpret this RFQ may arise, and if so

respondents should submit questions by November 8, 2013, 5:00 pm via email to

[email protected] or by fax to 919-683-1237, attention William Bryant. DHA shall

respond to all questions no later than November 12, 2013, 5:00 pm via posting to the

DHA website located at www.durhamhousingauthority.org.

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. Should this become

necessary, DHA shall issue a written amendment to all those prospective Firms who were

issued a copy of the RFQ, and if necessary, based on the nature and extent of the

amendment, to all those who submitted a qualifications-based proposal and if necessary

DHA will provide a date for submitting additional information based on the amendment.

Absent an amendment by DHA, and minor omissions mentioned below, no modification

to the Firm’s submission shall be accepted after the submission deadline.

DHA Options: All submissions in response to this request will become the property of

DHA. 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.

http://www.durhamhousingauthority.org/

8

Withdrawal of Interest: Any Firm may withdraw his/her interest either personally, by

written request or by telegraphic request at any time prior to the scheduled closing time

of receipt of the qualifications-based proposal.

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 DHA 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 Firms, or to

cancel in part or in its entirety the RFQ, if it is in the best interest of DHA.

Equal Opportunity Programs: The selected Firm hereby agrees to comply with the

State Fair Employment Practices Act, the State’s Minority Business Enterprise/Disabled

Veterans Business Enterprise Program (MBE/WBE/DBE), as well as the Equal

Opportunity Program for Non-Construction Contractors doing business with housing

authorities, and any other applicable federal and state laws and regulations. The Firms

that are identified as a minority or women owned business enterprise (MWE/WBE/DBE)

must also submit current certification documents.

Section 3: The selected Firm hereby agrees to comply with Section 3 of the U. S.

Department of Housing and Urban Development (HUD) Act of 1968. The purpose of

Section 3 is to ensure that employment and other economic opportunities generated by

certain HUD financial assistance, shall, to the greatest extent feasible, and consistent with

existing federal, state, and local laws, be directed toward low and very low income

persons. Low-income is defined as a single person or family whose income does not

exceed 80 % of the median income for the area. A very low-income person is defined as a

family or single persons whose income does not exceed 50% of the median income for

the area. Section 3 is applicable when funds from the U. S. Department of Housing and

Urban Development are used on a project and when additional persons (new hires) are

employed. A new hire is any person hired after signing the contract or who is not a

current employee. For information regarding our Section 3 program, contact the DHA

Section 3 Coordinator.

CONTRACT REQUIREMENTS

DHA intends to enter into, with the selected Firm, a fixed price agreement with

reimbursable expenses allowed, utilizing form HUD-51915 (9/98) Model Form of

9

Agreement Between Owner and Design Professional and Contract Provisions Required

by Federal Law or Owner Contract with the U. S. Department of Housing and Urban

Development form HUD-51915-A (9/98) (Attachment F). The IQC will be for a one year

period, with one year renewal options, for a maximum of five years.

DHA will verify that the architectural/engineering Firm has not been suspended or

debarred prior to each renewal of the IQC. The IQC will require a yearly cost analysis

(hourly billing rates for architectural and engineering staff) prior to renewing the

agreement. Each year, DHA will also evaluate the performance of the selected Firm

utilizing the Performance Evaluation (Architect-Engineer) form SF 1421 (10-83)

(Attachment G).

The selected Firm shall agree to comply with the Instructions to Offerors Non-

Construction, form HUD-5369-B (8/93) (Attachment H.) and the General Conditions for

Non-Construction Contracts, Section I – (With or without Maintenance Work), form

HUD 5370-C (10/2006) (Attachment I.), which is a part of this RFQ and the subsequent

contract to be developed and executed.

In addition, the selected Firm must complete a Certification for a Drug-Free Workplace,

form HUD-50070 (3/98) (Attachment J), Disclosure of Lobbying Activities SF-LLL

(Rev. 7-97) (Attachment K), and Certification of Payments to Influence Federal

Transactions, form HUD-50071 (3/98) (Attachment L) at the time of execution of the

contract/agreement, and at the time the selected Firm executes any contract/agreement

with any subcontractor to provide services. DHA will retain the executed original

certification(s) together with the executed contract documents.

INSURANCE COVERAGE

Provide a certificate documenting current coverage for the following: Professional Errors

& Omissions Liability Insurance with minimum limits of $1 million per claim and $2

million per aggregate for a period extending two years past the date of contract

completion; General Liability Insurance of at least $1 million per occurrence and $1

million per aggregate covering the activities to be performed; Automobile Liability

Insurance with coverage of at least $500,000 per occurrence; and Worker’s

Compensation Insurance as required by the laws of the State of North Carolina.

10

ATTACHMENT A.

DEVELOPMENT PHYSICAL CHARACTERISTICS

NAME & NO. McDougald Terrace NC13-1

ADDRESS: 1101 Lawson Street, Durham NC 27701

YEAR BUILT: 1954 (247 units),

1959 (113 units)

TOTAL SF: (13-03)

99,952; (13-02) 214,930

GROSS SF: 1BR - 575, 2BR - 785-867,

3BR – 1087, 4BR – 1216, 5BR - 1568

Office/Community Center – 5700 gsf

DESIGN TYPE Two-Story Row Housing

1BR (59), 2BR (136), 3BR (100), 4BR (60), 5BR (5)

CONSTRUCTION Masonry 12” Walls, Concrete slab on grade/concrete slab over porous

fill/ wood frame floors over crawlspace, pitched/shingled roof, sheet rock

interior wall.

HOT WATER & PLUMBING Gas, 40 gal.

GAS PSNC Energy - 1 meter natural gas, DHA checkmeters - 360

WATER City of Durham – 59 meters

HEAT Gas fired fan type vented furnace, 70 BTU, individual control dial

ELECTRICAL Duke Power – 1 meter Commercial OPT rate 57, 110/220V, DHA

checkmeters – 360

REFRIGERATORS White Westinghouse, Electric 15 & 16 cu. ft.

RANGES White Westinghouse, Gas 20” & 30”

DOORS Hollow metal on wood core, steel screen doors

WINDOWS Double pane thermal glass in aluminum frames w/1/4” air gap – E type

TOTAL UNITS 360; 60 Buildings

ACREAGE 25.05

PARKING SPACES 176

PLAY AREAS 2


NAME & NO. Scattered Sites NC13-3

ADDRESS: 306 Gary Street, Durham NC 27703

YEAR BUILT 1962 TOTAL SF: 32,600 GROSS SF: 0BR – 427, 1BR – 642

Community Center – 836 gsf

DESIGN TYPE Single-story Duplexes, elderly housing

0 BR (12), 1 BR (38)

CONSTRUCTION Brick frame walls, slab on grade, pitched shingled roofs

HOT WATER & PLUMBING Rheem Electric, 40 gal.

GAS Not applicable


HEAT/AIR CONDITIONING Trane split system 1.5 ton 13 seer heat pump 5 kw electric heat strips

programmable thermostat

ELECTRICAL Duke Power – 51 meters RS1 Residential Service, 110/1220V, DHA

11

checkmeters – 50; CFLs installed

REFRIGERATORS Frigidaire, Electric 10 cu. ft.

RANGES Hotpoint, Electric 20”

DOORS Wood with large single pane window, steel screen doors

WINDOWS Double thermal pane glass in aluminum frames with 1/4” air gap – E type


ACREAGE 6.62

PARKING SPACES 54

PLAY AREAS 1


NAME & NO. Oldham Towers NC13-4

ADDRESS: 519 East Main Street, Durham NC 27701

YEAR BUILT 1969 TOTAL SF: 64,800 GROSS SF: 0BR – 418, 1BR – 544, 2BR -

836

Offices/Community Areas/Basement –

7,696 GSF

DESIGN TYPE Seven-story building, elderly housing

NO. BEDROOMS 0 BR (50), 1 BR (53), 2 BR (3)

CONSTRUCTION Tan brick and concrete masonry walls, flat single-ply membrane roof

HOT WATER & PLUMBING Electric, 30 gal.

GAS Not applicable

WATER City of Durham – 5 meters (shared with NC13-8 Liberty Street)

HEAT/AIR CONDITIONING

(Common spaces only for a/c)

Electric baseboard heaters, individual integral thermostat control,

overhead electric heater in bathroom; Oldham Towers Common Space –

York YCAL0027EC46 air cooled CH-1 chiller 27 tons; Oldham Towers

Annex Basement – Carrier 38ARZ012/40RM—012 air handling unit

with DX coil 10 tons cooling 460-3-60 power supply and Carrier 38ARZ

air-cooled condensing unit 10 tons cooling 460-3-60 power supply

ELECTRICAL Duke Power – 1 meter Commercial OPT rate 57 (shared with NC13-8

Liberty Street); CFLs installed

REFRIGERATORS Frigidaire, Electric 3 17 cu. Ft and 103 10 cu. Ft.

RANGES GE Hotpoint, Electric 20”

DOORS Metal , self-closure, steel screen doors

WINDOWS Double thermal pane windows in aluminum frames with ¼” air gap

TOTAL UNITS 106; 1 Building

ACREAGE 3.51

PARKING SPACES 57

PLAY AREAS 1

12


NAME & NO. Cornwallis Road NC13-5

ADDRESS: 3000 Weaver Street, Durham NC 27707

YEAR BUILT 1967 TOTAL SF: 233,200 GROSS SF: 1BR – 551, 2BR – 795, 3BR –

1067, 4BR – 1177, 5BR – 1320, 6BR –

1539



1 BR (20), 2 BR (50), 3 BR (76), 4 BR (46), 5 BR (6), 6 BR (2)

CONSTRUCTION Brick frame walls, flat built-up roofs with pitched shingled roofs added

over original roof, 12” walls, concrete slab floors, full attic insulated,

vertical vinyl siding


GAS Not applicable


HEAT/AIR CONDITIONING 191 Split system heat pump systems (York 1.5 to 3.5 ton Olympian 230-

1-60 10 SEER Latitude Heat Pump and 230-1-60 Single Piece Air

Handling Unit; Electrical Programmable Thermostats) and 9 Package unit

heat pump systems (York 1.5 ton 230-1-60 Heat Pump Unit; Electrical

Programmable Thermostats)

ELECTRICAL Duke Power – 1 meter Commercial OPT rate 58, 110/220V, DHA

checkmeters – 200; CFLs installed


RANGES Brown Stoves Works, Electric 20” & 30”

DOORS Wood, steel screen doors

WINDOWS Double thermal pane glass in aluminum frames


ACREAGE 66.90

PARKING SPACES 260

PLAY AREAS 5


NAME & NO. Liberty Street NC13-6

ADDRESS: 131 Commerce Street, Durham NC 27701

YEAR BUILT 1972 TOTAL SF: 99,500 GROSS SF: 1BR – 617, 2BR – 916, 3BR –

924



NO. BEDROOMS 1 BR (32), 2 BR (47), 3 BR (29)

CONSTRUCTION Slab on grade, brick frame walls, batt insulation in wall cavities, pitched

shingle roofs


13

GAS Not applicable

WATER City of Durham – 5 meters (shared with NC13-6 Oldham Towers)

HEAT Electric baseboard heaters, integral thermostat control

ELECTRICAL Duke Power – 1 meter Commercial OPT rate 57 (shared with NC13-6

Oldham Towers), 110/220V, DHA checkmeters – 108; CFLs installed

REFRIGERATORS White Westinghouse, Electric 16 cu. ft.

RANGES White Westinghouse, Electric 21’ and 30’

DOORS Solid wood, steel screen doors

WINDOWS Double pane insulated glass, single hung in aluminum frames


ACREAGE 9.91

PARKING SPACES 175

PLAY AREAS 1


NAME & NO. Club Boulevard NC13-7

ADDRESS: 2415 Glenbrook Drive, Durham NC 27704


Office/Community Center – 4,350 GSF

DESIGN TYPE Single-story buildings

NO. BEDROOMS 3 BR (54), 4 BR (23)

CONSTRUCTION Wood frame walls with brick or vinyl siding exterior, pitched shingled

roofs, crawl space, full attic, insulation R-30


GAS PSNC Energy - 78 meters natural gas

WATER City of Durham - 78 meters

HEAT/AIR CONDITIONING First Co. DX Cooling/Hot water heating furnace with preinstalled indoor

coils up to 2 tons of cooling; Trane or equal air-cooled condensing units

ELECTRICAL Duke Power – 77 meters RS1 Residential Service, 1 meter General

Service rate 23, 110-220V; CFLs installed

REFRIGERATORS Frigidaire , Electric 17 cu. ft.

RANGES GE Hotpoint Gas 30” with exhaust hood fan, 13”

DOORS Metal, steel screen doors

WINDOWS Double thermal pane glass in aluminum frames with ¼” air gap


ACREAGE 18.47

PARKING SPACES 90

PLAY AREAS 1

14


NAME & NO. Hoover Road NC13-8

ADDRESS: 1126 Hoover Road, Durham NC 27703





CONSTRUCTION Slab-on-grade, brick frame walls on lower floor, standing seam metal

roof over second floor with flat, built-up roof or single-ply membrane

roof on top, vertical vinyl siding

HOT WATER & PLUMBING State, Gas 40 gal.


WATER City of Durham – 1 meter

HEAT/AIR CONDITIONING York split system 2.0 ton 13 seer heat pump gas heat 70,000 BTU

programmable thermostat

ELECTRICAL Duke Power – 24 meters RS1 Residential Service, 1 meter General

Service rate 23, 110-220V, DHA checkmeters – 54; CFLs installed


RANGES Brown Stove Works, Gas 30”


WINDOWS Double pane glass in aluminum frame with ¼” air gap


ACREAGE 4.66

PARKING SPACES 57

PLAY AREAS 4


NAME & NO. J.J. Henderson NC13-9

ADDRESS: 807 S. Duke Street, Durham NC 27701


Offices/Community Areas, 2 Basements –

6,996 GSF ea.

DESIGN TYPE Nine-story building, elderly housing

0 BR (141), 1 BR (37)

CONSTRUCTION Concrete masonry walls, flat single-ply membrane roof

HOT WATER & PLUMBING 2445 gallon, 89 kw electric boiler in basement

GAS Not applicable


HEAT/AIR CONDITIONING Fan coil unit with chilled water and electric resistance heating (5KW heat

strips); CH-1 and CH-2 Carrier 30XA200 Air-Cooled Rotary Screw

15

Chillers, 200 nominal tons cooling 460-3-60 power supply

ELECTRICAL Duke Power – 1 meter Commercial OPT rate 58; CFLs installed

REFRIGERATORS White Westinghouse Electric 16 cu. ft.

RANGES White Westinghouse 177 Electric, 20”; 1 Electric, 30”

DOORS Wood solid with self closer

WINDOWS Double thermal pane glass with ¼” air gap

TOTAL UNITS 178; 1 Building

ACREAGE 5.33

PARKING SPACES 50

PLAY AREAS 1


NAME & NO. Morreene Road NC13-10

ADDRESS: 3412 Glasson Street, Durham NC 27705

YEAR BUILT 1968 purchased TOTAL SF: 158,400 GROSS SF: 0BR – 347, 0BR HC – 435,

1BR – 504, 1BR HC – 523, 2BR – 672,

2BR HC – 726



NO. BEDROOMS 0BR (24), 1BR(168), 2BR(32)

CONSTRUCTION Concrete slab over crawl space, insulated brick frame walls , wood

siding, pitched shingled roof

HOT WATER & PLUMBING Electric, 30 gal. or 40 gal.

GAS Not applicable


HEAT Embedded electric radiant heat from ceiling, line voltage thermostats;

ceiling mounted electric heater/exhaust fan in bathrooms

ELECTRICAL Duke Power – 1 meter Commercial rate 58 (shared with NC13-13 Damar

Court), 110/220V, DHA checkmeters – 224; CFLs installed


RANGES White Westinghouse, Electric 21”

DOORS Solid wood, steel screen doors

WINDOWS Double pane glass in aluminum frames with ¼” air gap


ACREAGE 18.08

PARKING SPACES 283

PLAY AREAS 0

16


NAME & NO. Damar Court NC13-11

ADDRESS: 1002 Sherwood Drive, Durham NC 27705

YEAR BUILT 1967 purchase TOTAL SF: 91,800

Maintenance Shop: 380

SF

2 BR - AVERAGE SF: 900


NO. BEDROOMS 2 BR (102)

CONSTRUCTION Crawl space with brick frame walls, vinyl siding, pitched shingled roof,

insulated attic, basements in some buildings


GAS Not applicable


HEAT/AIR CONDITIONING Split system heat with auxiliary electric resistance heat , 13.0 MBH heat

output, 1.85 tons cooling

ELECTRICAL Duke Power – 1 meter Commercial rate 58 (shared with NC13-12

Morreene Road), 110/220V, DHA checkmeters – 102; CFLs installed


RANGES Brown Stove Works, Electric, 30”

DOORS Metal, steel screen door

WINDOWS Double pane glass in aluminum frames with ¼” air gap


ACREAGE 11.05

PARKING SPACES 126

PLAY AREAS 2


NAME & NO. Oxford Manor NC13-12

ADDRESS: 3633 Keystone Place, Durham NC 27704

YEAR BUILT 1972 TOTAL SF: 229,800 GROSS SF: 2 BR – 850 avg., 3BR – 1014,

4BR – 1206, 5BR – 1344


DESIGN TYPE Two-Story Housing

NO. BEDROOMS 2 BR (50), 3BR (34), 4BR (68), 5BR (20)

CONSTRUCTION Slab-on-grade with brick and concrete block walls on lower floor and

frame walls with vinyl siding on upper floor, pitched shingled roof, full

insulated attic




17

HEAT/AIR CONDITIONING Trane gas furnace 63,000 – 80,000 BTUH output/ Trane or equal air-

cooled condensing unit

ELECTRICAL Duke Power – 1 meter Commercial rate 58, 110/220V, DHA checkmeters

– 172; CFLs installed


RANGES White Westinghouse, Gas 30”


WINDOWS Double thermal pane in aluminum frames with ¼” air gap


ACREAGE 19.10

PARKING SPACES 282

PLAY AREAS 1


NAME & NO. Forest Hill Heights NC13-14

ADDRESS: 700 S. Mangum Street, Durham NC 27701

YEAR BUILT 1981 TOTAL SF: 34,500 GROSS SF: 0BR- 552, 1BR – 737

Community Center – 2120 gsf

DESIGN TYPE One-Story Row Housing, elderly


CONSTRUCTION Reinforced concrete slab with wood frame walls with vinyl siding,

pitched shingled roof


GAS Not applicable


HEAT/AIR CONDITIONING Electric baseboard heater, wall mounted thermostats; through the wall

A/C units

ELECTRICAL Duke Power – 55 meters RS2 Residential Service and WC, Residential

Water Heating Service Controlled, 1 meter General Service All Electric

rate 50, 110/220V; CFLs installed

REFRIGERATORS White Westinghouse, Electric 16 cu ft.



WINDOWS Double thermal pane windows in aluminum frames with ¼” air gap


ACREAGE 14.89

PARKING SPACES 87

PLAY AREAS 1

18


NAME & NO. Laurel Oaks, NC13-15

ADDRESS: 600 Laurel Oaks Drive, Durham, NC 27707

YEAR BUILT 2004 TOTAL SF: 51278.89

gross

GROSS SF: 3BR – 1252.11, 3BR HC –

1117.21

Office/Community Center – 1464.29 gsf

DESIGN TYPE Two-story townhouse buildings

NO. BEDROOMS 3 BR (30)

CONSTRUCTION Wood frame walls with brick and vinyl siding exterior, pitched shingled

roofs, slab foundation, full attic, insulation R-30




HEAT/AIR CONDITIONING Trane gas furnaces 53,000 BTUH output; DX coils 2.5 to 3.0 tons; Trane

air-cooling condensing units 2.5 to 3.0 tons 10 SEER

ELECTRICAL Duke Power – 30 meters RE1 Residential Service All Electric, 1 meter

General Service rate 23, 110-220V; CFLs installed



DOORS 1 3/4” thin metal insulated doors

WINDOWS Alenco 3810 series EHR30 single hung prefinished with thermal break

and 5/8” insulated glass, energy-efficient R value of 1.51 U value of .66


ACREAGE 5.91

PARKING SPACES 90

PLAY AREAS 2

19

ATTACHMENT B.

2013 CFP Annual Statement

Annual Statement/Performance and Evaluation Report U.S. Department of Housing and Urban Development

Capital Fund Program, Capital Fund Program Replacement Housing Factor and Office of Public and Indian Housing

Capital Fund Financing Program OMB No. 2577-0226 Expires 4/30/2011

Page 1 of 4 form HUD-50075.1 (4/2008)

Part I: Summary

PHA Name: The Housing Authority of the

City of Durham

PO Box 1726

Durham, NC 27702

Grant Type and Number

Capital Fund Program Grant No: NC19P01350113

Date of CFFP:

Replacement Housing Factor Grant No:

FFY of Grant:

2013

FFY of Grant Approval:

2013

Type of Grant

Original Annual Statement Reserve for Disasters/ Emergencies Revised Annual Statement (revision no: )

Performance and Evaluation Report for Period Ending: Final Performance and Evaluation Report

Line Summary by Development Account Total Estimated Cost Total Actual Cost 1

Original Revised 2 Obligated Expended

1 Total non-CFP Funds

2 1406 Operations (may not exceed 20% of line 20) 3 384,139

3 1408 Management Improvements 239,000

4 1410 Administration (may not exceed 10% of line 20) 214,763

5 1411 Audit

6 1415 Liquidated Damages

7 1430 Fees and Costs 260,735

8 1440 Site Acquisition

9 1450 Site Improvement 0

10 1460 Dwelling Structures 699,000

11 1465.1 Dwelling Equipment—Nonexpendable

12 1470 Non-dwelling Structures

13 1475 Non-dwelling Equipment

14 1485 Demolition

15 1492 Moving to Work Demonstration

16 1495.1 Relocation Costs

17 1499 Development Activities 4 350,000

18a 1501 Collateralization or Debt Service paid by the PHA

18b 9000 Collateralization or Debt Service paid via System of Direct Payment

19 1502 Contingency (may not exceed 8% of line 20)

20 Amount of Annual Grant: (sum of lines 2-19) 2,147,637

21 Amount of line 20 Related to LBP Activities 0

22 Amount of line 20 Related to Section 504 Activities 0

23 Amount of line 20 Related to Security – Soft Costs 200,000

24 Amount of line 20 Related to Security – Hard Costs 0

25 Amount of line 20 Related to Energy Conservation Measures 345,000

Signature of Executive Director Date 8/9/2013

Dallas J. Parks

Signature of Public Housing Director Date

1 To be completed for the Performance and Evaluation Report. 2 To be completed for the Performance and Evaluation Report or a Revised Annual Statement. 3 PHAs with under 250 units in management may use 100% of CFP Grants for operations. 4 RHF funds shall be included here.




Page 2 of 4 form HUD-50075.1 (4/2008)

PART II: Supporting Pages


City of Durham

PO Box 1726

Durham. NC 27702




CFFP (Yes /No ) Federal FFY of Grant: 2013

Development

Number

General Description of Major Work

Categories

Development

Account No.

Quantity Total Estimated Cost Total Actual Cost Status of Work

Name/PHA-Wide

Activities

Original Revised 1 Funds

Obligated 2

Funds

Expended 2

AMP NC013000001 0

McDougald Terrace

AMP NC013000003 0

Scattered Sites

AMP NC013000004 0

Oldham Towers

AMP NC013000005 Meters/mains replacement 1460 200 units 200,000

Cornwallis Road

AMP NC013000006 0

Liberty Street

AMP NC013000007 Electrical panel boxes replacement 1460 77 units 154,000

Club Boulevard Dryer outlets/vents 1460 77 units 45,000

AMP NC013000008 0

Hoover Road

AMP NC013000009 HVAC renovations (fan coil units/AHUs) 1460 100% 300,000

J J Henderson

AMP NC013000010

Morreene Road 0

AMP NC013000011 0

Damar Court

1 To be completed for the Performance and Evaluation Report or a Revised Annual Statement. 2 To be completed for the Performance and Evaluation Report.




Page 3 of 4 form HUD-50075.1 (4/2008)



City of Durham

PO Box 1726

Durham. NC 27702





Development

Number


Categories

Development

Account No.


Name/PHA-Wide

Activities


Obligated 2

Funds

Expended 2

AMP NC013000012 0

Oxford Manor

AMP NC013000013 0

Birchwood Heights

AMP NC013000014 0

Forest Hill Heights

AMP NC013000015 0

Laurel Oaks

PHA-Wide Vacancy reduction renovations 1406 250,000

Operating costs 1406 134,139

Maintenance training 1408 5,000

Property managers training 1408 5,000

Youth leadership training 1408 10,000

Admissions training 1408 2,000

Resident initiatives training 1408 17,000





Page 4 of 4 form HUD-50075.1 (4/2008)



City of Durham

PO Box 1726

Durham, NC 27702





Development

Number


Categories

Development

Account No.


Name/PHA-Wide

Activities


Obligated 2

Funds

Expended 2

PHA-Wide Resident safety and security 1408 200,000

Management fee 1410 214,763

Fees & Costs – Architecture/Engineering fees 1430.1 189,900

Fees & Costs – Construction Manager salary/ 1430.2 70,835

benefits

Section 504 renovations 1460 0

Development activities 1499 350,000


20

ATTACHMENT C.

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

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

21

ATTACHMENT D.

Certifications and Representations of Offerors Non-Construction Contract, form

HUD-5369-C (8/93)

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:

22

ATTACHMENT E.

Non-Collusive Affidavit

23

FORM OF NON-COLLUSIVE AFFIDAVIT

State of: ____________________

County of: ___________________

I ____________________________________________, being first duly sworn, deposes and says that:

(1) He/She is ____________________________ of the Firm, the offeror that has submitted the attached

proposal;

(2) He/She is fully informed respecting the preparation and contents of the attached proposal and of all

pertinent circumstances respecting such proposal;

(3) Such proposal is genuine and is not a collusive or sham proposal;

(4) Neither the said offeror nor any of its officers, partners, owners, agents, or representatives, employees,

or parties in interest, including this affiant, has in any colluded, conspired, connived, or agreed, directly or

indirectly, with any other offeror, Firm, or person to submit a collusive or sham proposal in connection

with the contract for which the attached proposal has been submitted or to refrain from bidding in

connection with such contract, , or has in any manner, directly, or indirectly, sought by agreement or

collusion or communication or conference with any other offeror or to secure through collusion,

conspiracy, connivance or unlawful agreement any advantage against the Housing Authority of the City of

Durham or any person interested in the proposed contract; and

(5) That the price or prices quoted in the attached proposal are fair and proper and are not tainted by any

collusion, conspiracy, connivance, or unlawful agreement on the part of the offeror or any of its agents,

representatives, owners, employees, or parties in interest, including this affiant.

Signature of Offeror: ______________________________________

Name and Title: __________________________________________

Subscribed and sworn to, before me, this ______ day of ________________________ 20 ____.

By: _____________________________________

My commission expires: _____________________

(NOTARY SEAL)

24

ATTACHMENT F.

Model Form of Agreement Between Owner and Design Professional and Contract

Provisions Required by Federal Law or Owner Contract with the U. S. Department

of Housing and Urban Development, form HUD-51915 (9/98) and form HUD-51915-

A (9/98)

form HUD-51915 (9/98)ref. Handbooks 7417.1, 7450.1 & 7460.8Previous editions are obsolete

OMB Approval No. 2577-0157 (exp.1/31/2014)

Model Form of Agreement Between

Owner and Design Professional


form HUD-51915 (9/98)ref. Handbooks 7417.1, 7450.1 & 7460.8Previous editions are obsolete Page 1 of 11

Model Form of AgreementBetween Owner andDesign Professional

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

Table of Contents PageIntroduction 3

Article A: Services 4A. 1.0 Design Professional's Basic Services 4A. 1.1 Areas of Professional’s Basic Services 4A. 1.2 Phases and Descriptions of Basic Services 4

A. 1.2.1 Schematic Design/Preliminary Study Phase 4A. 1.2.2 Design Development Phase 4A. 1.2.3 Bidding, Construction and Contract Document Phase 4A. 1.2.4 Bidding and Award Phase 4A. 1.2.5 Construction Phase 5A. 1.2.6 Post Completion/Warranty Phase 5

A. 1.3 Time of Performance 5A. 2.0 Design Professional's Additional Services 5A. 2.1 Description of Additional Services 5A. 2.2 Written Addendum or Contract Amendment 5

Article B: Compensation and Payment 6B. 1.0 Basic Services 6B. 1.1 Fixed Fee for Basic Services 6B. 1.2 Payment Schedule 6B. 2.0 Reimbursables 6B. 2.1 Reimbursable Expenses 6

B. 2.1.1 Travel Costs 6B. 2.1.2 Long-Distance Telephone Costs 6B. 2.1.3 Delivery Costs 6B. 2.1.4 Reproduction Costs 6B. 2.1.5 Additional Reimbursables 6

B. 3.0 Additional Services 6B. 3.1 Payment for Additional Services 6B. 4.0 Invoicing and Payments 6B. 4.1 Invoices 6B. 4.2 Time of Payment 6

Article C: Responsibilities 6C. 1.0 Design Professional's Responsibilities 6C. 1.1 Basic Services 6C. 1.2 Additional Services 6C. 1.3 General Responsibilities 6C. 1.4 Designing within Funding Limitations 7C. 1.5 Compliance with Laws, Codes, Ordinances and Regulations 7C. 1.6 Seal 7C. 1.7 Attendance at Conferences 7C. 2.0 Owner's Responsibilities 7C. 2.1 Information 7C. 2.2 Notice of Defects 7C. 2.3 Contract Officer 7

OMB Approval No. 2577-0157(exp. 1/31/2014)

Public reporting burden for this collection of information is estimated to average 3 hours 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 agency may not conductor sponsor, and a person is not required to respond to, a collection of information unless that collecton displays a valid OMB control number.

These contracts between a HUD grantee (housing agency (HA)) and an architect/engineer (A/E) for design and construction services do not require eitherparty to submit any materials to HUD. The forms provide a contractual agreement for the services to be provided by the A/E and establishes responsibilitiesof both parties pursuant to the contract. The regulatory authority is 24 CFR 85.36. These contractual agreements are required by Federal law or regulationpursuant to 24 CFR Part 85.36. Signing of the contracts is required to obtain or retain benefits. The contracts do not lend themselves to confidentiality.


C. 2.4 Duties to Furnish 7C. 2.4.1Survey and Property Restrictions 7C. 2.4.2Existing Conditions 7C. 2.4.3Waivers 7C. 2.4.4Minimum Wage Rates 7C. 2.4.5Tests 7C. 2.4.6Contract Terms 7

Article D: Contract Administration 8D. 1.0 Prohibition of Assignment 8D. 1.1 Ownership of Documents 8D. 1.2 Substitutions 8D. 1.3 Suspension 8D. 1.4 Subcontracts 8D. 1.5 Disputes 8D. 1.6 Terminations 8D. 1.7 Insurance 8D. 1.8 Retention of Rights 8

Article E: Additional Requirements 8E. 1.0 Contract Provisions Required by Federal Law or

Owner Contract with the U.S. Department of Housing and Urban Development 8E. 1.1 Contract Adjustments 8E. 1.2 Additional Services 9E. 1.3 Restrictive Drawings and Specifications 9E. 1.4 Design Certification 9E. 1.5 Retention and Inspection of Records 9E. 1.6 Copyrights and Rights in Data 9E. 1.7 Conflicts of Interest 9E. 1.8 Disputes 9E. 1.9 Termination 9E. 1.10 Interest of Members of Congress 9E. 1.11 Limitation of Payments to Influence Certain Federal Transactions 10E. 1.12 Employment, Training and Contracting Opportunities for Low income Persons, Section 3, HUD Act of 1968 10E. 1.13 Reserved 10E. 1.14 Clean Air and Water (Applicable to Contracts in excess of $100,000) 11E. 1.15 Energy Efficiency 11E. 1.16 Prevailing Wages 11E. 1.17 Non-applicability of Fair Housing Requirements in Indian Housing Authority Contracts 11E. 1.18 Prohibition Against Liens 11

Article F: Other Requirements (If any) 11

Execution of Agreement 11

Addendum (If any) 1

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Agreement made as of the _____________ day of ________________ in the year (yyyy) of ______

Between the Owner (Name & Address)

and the Design Professional (Name, Address and Discipline)

For the following Project (Include detailed description of Project, Location, Address, Scope and Program Designation)

The Owner and Design Professional agree as set forth below.

Introduction to Agreement


Article A: Services

A 1.0 Design Professional's Basic Services

A. 1.1 Areas of Professional’s Basic Services. Unless revised ina written addendum or amendment to this Agreement, in plan-ning, designing and administering construction or rehabilitationof the Project, the Design Professional shall provide the Ownerwith professional services in the following areas:

o Architecture

o Site Planning

o Structural Engineering

o Mechanical Engineering

o Electrical Engineering

o Civil Engineering

o Landscape Architecture

o Cost Estimating

o Construction Contract Administration

A 1.2 Phases and Descriptions of Basic Services.

A. 1.2.1 Schematic Design/Preliminary Study Phase. After re-ceipt of a Notice to Proceed from the Owner, the Design Profes-sional shall prepare and deliver Schematic Design/PreliminaryStudy Documents. These documents shall consist of a presenta-tion of the complete concept of the Project, including all majorelements of the building(s), and site design(s), planned to pro-mote economy both in construction and in administration and tocomply with current program and cost limitations. The DesignProfessional shall revise these documents consistent with therequirements and criteria established by the Owner to secure theOwner’s written approval. Additionally, the Design Professionalshall make an independent assessment of the accuracy of theinformation provided by the Owner concerning existing condi-tions. Documents in this phase shall include:

o Site plan(s)

o Schedule of building types, unit distribution and bedroomcount

o Scale plan of all buildings, and typical dwelling units

o Wall sections and elevations

o Outline specifications

o Preliminary construction cost estimates

o Project specific analysis of codes, ordinances and regulations

o Three dimensional line drawings

A. 1.2.2 Design Development Phase. After receipt of writtenapproval of Schematic Design/Preliminary Study Documents, theDesign Professional shall prepare and submit to the Owner De-sign Development Documents. The Design Professional shallrevise these documents consistent with the requirements andcriteria established by the Owner to secure the Owner’s writtenapproval. These documents shall include the following:

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o Drawings sufficient to fix and illustrate project scope andcharacter in all essential design elements

o Outline specifications

o Cost estimates and analysis

o Recommendations for phasing of construction

o Site plan(s)

o Landscape plan

o Floor plans

o Elevations, building and wall sections

o Updated three dimensional line drawings

o Engineering drawings

A. 1.2.3 Bidding, Construction and Contract Document Phase.After receipt of the Owner’s written approval of Design Develop-ment Documents, the Design Professional shall prepare Con-struction Documents. After consultation with the Owner andOwner’s attorney, if requested by the owner, the Design Profes-sional shall also prepare and assemble all bidding and contractdocuments. The Design Professional shall revise these Bidding,Construction and Contract documents consistent with the re-quirements and criteria established by the Owner to secure theOwner’s written approval. They shall, include in a detailed,manner all work to be performed; all material; workmanship;finishes and equipment required for the architectural, structural,mechanical, electrical, and site work; survey maps furnished byOwner; and direct reproduction of any logs and subsurface soilinvestigations. These documents shall include:

o Solicitation for Bids

o Form of Contract

o Special Conditions

o General Conditions

o Technical Specifications

o Plans and drawings

o Updated cost estimates

A. 1.2.4 Bidding and Award Phase. After written approval ofBidding, Construction and Contract Documents from the Owner,the Design Professional shall assist in administering the biddingand award of the Construction Contract. This shall include:

o Responding to inquires

o Drafting and issuing addendum approved by Owner

o Attending prebid conference(s)

o Attending public bid openings

o Reviewing and tabulating bids

o Recommending list of eligible bids

o Recommending award

o Altering drawings and specifications as often as required toaward within the Estimated Construction Contract Cost


A. 1.2.5 Construction Phase. After execution of the ConstructionContract, the Design Professional shall in a prompt and timelymanner administer the Construction Contract and all work re-quired by the Bidding, Construction and Contract Documents.The Design Professional shall endeavor to protect the Owneragainst defects and deficiencies in the execution and performanceof the work. The Design Professional shall:

o Administer the Construction Contract.

o Conduct pre-construction conference and attend disputeresolution conferences and other meetings when requestedby the Owner.

o Review and approve contractor’s shop drawings and othersubmittals for conformance to the requirements of thecontract documents.

o At the Owner’s written request, and as Additional Service,procure testing from qualified parties.

o Monitor the quality and progress of the work and furnisha written field report weekly, semi monthly,

monthly, or ____________________. Thisservice shall be limited to a period amounting to 110% ofthe construction period as originally established under theconstruction contract unless construction has been delayeddue to the Design professional’s failure to properly performits duties and responsibilities. The Owner may direct addi-tional monitoring but only as Additional Services.

o Require any sub-consultant to provide the services listedin this section where and as applicable and to visit theProject during the time that construction is occurring onthe portion of the work related to its discipline and reportin writing to the Design Professional.

o Review, approve and submit to Owner the ContractorRequests for Payment.

o Conduct all job meetings and record action in a set ofminutes which are to be provided to the Owner.

o Make modifications to Construction Contract Documentsto correct errors, clarify intent or to accommodate changeorders.

o Make recommendations to Owner for solutions to specialproblems or changes necessitated by conditions encoun-tered in the course of construction.

o Promptly notify Owner in writing of any defects or defi-ciencies in the work or of any matter of dispute with theContractor.

o Negotiate, prepare cost or price analysis for and counter-sign change orders.

o Prepare written punch list, certificates of completion andother necessary construction close out documents.

o Prepare a set of reproducible record prints of Drawingsshowing significant changes in the work made duringconstruction, including the locations of underground utili-ties and appurtenances referenced to permanent surfaceimprovements, based on marked-up prints, drawings andother data furnished by the contractor to the Design Pro-fessional.

A. 1.2.6 Post Completion/Warranty Phase. After execution of theCertificate of Completion by the Owner, the Design Professionalshall:

o Consult with and make recommendations to Owner duringwarranties regarding construction, and equipment war-ranties.

o Perform an inspection of construction work, material,systems and equipment no earlier than nine months and nolater than ten months after completion of the constructioncontract and make a written report to the Owner. At theOwner’s request, and by Amendment to the AdditionalServices section of this contract, conduct additional war-ranty inspections as Additional Services.

o Advise and assist Owner in construction matters for aperiod up to eighteen months after completion of theproject, but such assistance is not to exceed forty hours ofservice and one nonwarranty trip away from the place ofbusiness of the Design Professional.

A. 1.3 Time of Performance. The Design Professional’s sched-ule for preparing, delivering and obtaining Owner’s approval forBasic Services shall be as follows:

o Schematic Design/Preliminary Study Documents within_______ calendar days for the date of the receipt of aNotice to Proceed.

o Design Development Documents within ________ calendardays from the date of receipt of written approval by theOwner of Schematic Design/Preliminary Study documents.

o Bidding, Construction and Contract Documents within________ calendar days from the date of receipt of writtenapproval by the Owner of Design Development Docu-ments.

A. 2.0 Design Professional's Additional Services

A. 2.1 Description of Additional Services. Additional Servicesare all those services provided by the Design Professional on theProject for the Owner that are not defined as Basic Services inArticle A, Section 1.2 or otherwise required to be performed bythe Design Professional under this Agreement. They includemajor revisions in the scope of work of previously approveddrawings, specifications and other documents due to causesbeyond the control of the Design Professional and not due to anyerrors, omissions, or failures on the part of the Design Professionalto carry out obligations otherwise set out in this Agreement.

A. 2.2 Written Addendum or Contract Amendment. All addi-tional services not already expressly required by this agreementshall be agreed to through either a written addendum or amend-ment to this Agreement.

Article B: Compensation and Payment

B. 1.0 Basic Services

B. 1.1 Fixed Fee for Basic Services. The Owner will pay theDesign Professional for Basic Services performed as defined byA.1.2, a Fixed Fee (stipulated sum) of $ _____________________plus Reimbursable Expenses identified in Article B.2.0. Such

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payment shall be compensation for all Basic Services required,performed, or accepted under this Contract.

B. 1.2 Payment Schedule. Progress payments for Basic Servicesfor each phase of work shall be made in proportion to servicesperformed as follows:

Phase Amount

Schematic Design/Preliminary Study Phase $ ____________

Design Development Phase $ ____________

Bidding, Construction & Contract Document Phase $ ____________

Bidding & Award Phase $ ____________

Construction Phase $ ____________

Post Completion/ Warranty Phase $ ____________

Total Basic Services $ ____________

B. 2.0 Reimbursables

B. 2.1 Reimbursable Expenses. The Owner will pay the DesignProfessional for the Reimbursable Expenses listed below up to aMaximum Amount of $ _____________________. ReimbursableExpenses are in addition to the Fixed Fee for Basic Services and arefor certain actual expenses incurred by the Design Professional inconnection with the Project as enumerated below.

B. 2.1.1 Travel Costs. The reasonable expense of travel costsincurred by the Design Professional when requested by Owner totravel to a location that lies outside of a 45 mile radius of eitherthe Project site, Design Professional’s office (s), and Owner’soffice.

B. 2.1.2 Long Distance Telephone Costs. Long distance tele-phone calls and long distance telefax costs.

B. 2.1.3 Delivery Costs. Courier services and overnight deliverycosts.

B. 2.1.4 Reproduction Costs. Reproduction and postage costs ofrequired drawings, specifications, Bidding and Contract docu-ments, excluding the cost of reproductions for the Design Profes-sional or Subcontractor’s own use.

B. 2.1.5 Additional Reimbursables. The Design Professional andOwner may agree in an addendum or amendment to this Agree-ment to include certain other expenses not enumerated above asReimbursable Expenses. These Reimbursables shall not be lim-ited by the Maximum Amount agreed to above. A separateMaximum Amount for these Reimbursables shall be established.

B .3.0 Additional Services

B. 3.1 Payment for Additional Services. The Owner will pay theDesign Professional only for Additional Services agreed to in anaddendum or amendment to this Agreement executed by theOwner and the Design Professional pursuant to A.2. Payment forall such Additional Services shall be in an amount and upon theterms set out in such amendment or addendum and agreed uponby the parties. Each such amendment or addendum shall providefor a fixed price or, where payment for such Additional Servicesis to be on an hourly basis or other unit pricing method, for a

maximum amount; each such amendment or addendum shall alsoprovide for a method of payment, including, at a minimum,whether payment will be made in partial payments or in lump sumand whether it will be based upon percentage of completion orservices billed for.

B. 4.0 Invoicing and Payments

B. 4.1 Invoices. All payments shall require a written invoicefrom the Design Professional. Invoices shall be made no morefrequently than on a monthly basis. Payments for Basic Servicesshall be in proportion to services completed within each phase ofwork. When requesting such payment, the invoice shall identifythe phase and the portion completed. All invoices shall state theAgreement, name and address to which payment shall be made,the services completed and the dates of completion, and whetherthe invoice requests payment for Basic Services, Reimbursable orAdditional Services. Invoices seeking payment for Reimbursable orAdditional Services must provide detailed documentation.

B. 4.2 Time of Payment. Upon the Design Professional’s propersubmission of invoices for work performed or reimbursableexpenses, the Owner shall review and, if the work is in conform-ance with the terms of the Agreement, make payment withinthirty days of the Owner’s receipt of the invoice.

Article C: Responsibilities

C. 1.0 Design Professional's Responsibilities

C. 1.1 Basic Services. The Design Professionals shall providethe Basic Service set out in Article A.1.0.

C. 1.2 Additional Services. When required under this Agree-ment or agreed to as set out in A.2.0, the Design Professional shallprovide Additional Services on the Project.

C. 1.3 General Responsibilities. The Design Professional shallbe responsible for the professional quality, technical accuracy,and coordination of all designs, drawings, specifications, andother services, furnished by the Design Professional under thisAgreement. The Owner’s review, approval, acceptance of, orpayment for Design Professional services shall not be construedas a waiver of any rights under this Agreement or of any cause ofaction for damages caused by Design Professional’s negligentperformance under this Agreement. Furthermore, this Agree-ment does not restrict or limit any rights or remedies otherwiseafforded the Owner or Design Professional by law.

C. 1.4 Designing Within Funding Limitations. The Design Profes-sional shall perform services required under this Contract in such amanner so as to cause an award of a Construction Contract(s) thatdoes not exceed (1) $ ______________________ or (2) an amountto be provided by the Owner in writing to the Design Professionalprior to the commencement of Design Professional services. Thisfixed limit shall be called the Maximum Construction Contract Cost.The amount may be increased by the Owner, but only with writtennotice to the Design Professional. If the increase results in a changeto the scope of work, an amendment to this Agreement will berequired. The Design Professional and the Owner may mutuallyagree to decrease the Maximum Construction Contract Cost, butonly by signing a written amendment to this Agreement. Should bidsfor the Construction Contract(s) exceed the Maximum ConstructionContract Cost, the Owner has the right to require the Design Profes-

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sional to perform redesigns, rebids and other services necessary tocause an award of the Construction Contract within the MaximumConstruction Contract Cost without additional compensation orreimbursement.

C. 1.5 Compliance with Laws, Codes, Ordinances and Regulations.The Design Professional shall perform services that conform to allapplicable Federal, State and local laws, codes, ordinances andregulations except as modified by any waivers which may beobtained with the approval of the Owner. If the Project is within anIndian reservation, tribal laws, codes and regulations shall be substi-tuted for state and local laws, codes, ordinances and regulations.However, on such a Native American Projects, the Owner mayadditionally designate that some or all state and local codes shallapply. In some of these circumstances, a model national buildingcode may be selected by the Indian or Native American Owner. TheDesign Professional shall certify that Contract Documents willconform to all applicable laws, codes, ordinances and regulations.The Design Professional shall prepare all construction documentsrequired for approval by all governmental agencies having jurisdic-tion over the project. The Design professional shall make all changesin the Bidding and Construction Documents necessary to obtaingovernmental approval without additional compensation or reim-bursement, except in the following situations. If subsequent to thedate the Owner issues a notice to proceed, revisions are made toapplicable codes or non-federal regulations, the Design Professionalshall be entitled to additional compensation and reimbursements forany additional cost resulting from such changes. The DesignProfessional, however, is obligated to notify the Owner of allsignificant code or regulatory changes within sixty (60) days of theirchange, and such notification shall be required in order for theDesign Professional to be entitled to any additional compensation orreimbursement.

C. 1.6 Seal. Licensed Design Professionals shall affix their sealsand signatures to drawings and specifications produced under thisAgreement when required by law or when the project is located onan Indian Reservation.

C. 1.7 Attendance at Conferences. The Design Professional ordesignated representative shall attend project conferences and meet-ings involving matters related to basic services covered under thiscontract. Attendance at community wide meetings shall be consid-ered an additional service.

C. 2.0 Owner's Responsibilities

C. 2.1 Information. The Owner shall provide information regard-ing requirements for the project, including a program that shall setforth the Owner’s objectives and schedule. The Owner shall alsoestablish and update the Maximum Construction Cost. This shallinclude the Owner’s giving notice of work to be performed by theOwner or others and not included in the Construction Contract for theProject. The Design Professional, however, shall be responsible toascertain and know federal requirements and limitations placed onthe Project.

C. 2.2 Notice of Defects. If the Owner observes or otherwisebecomes aware of any fault or defect in the construction of the projector nonconformance with the Construction Contract, the Owner shallgive prompt written notice of those faults, defects or nonconfor-mance to the Design Professional.

C.2.3 Contract Officer. The Owner shall designate a ContractOfficer authorized to act on its behalf with respect to the designand construction of the Project. The Contract Officer shallexamine documents submitted by the Design Professional andshall promptly render decisions pertaining to those documents soas to avoid unreasonably delaying the progress of the DesignProfessional’s work.

C. 2.4 Duties to Furnish. The Owner shall provide the DesignProfessional the items listed below.

C. 2.4.1 Survey and Property Restrictions. The Owner shallfurnish topographic, property line and utility information as andwhere required. The Owner may at its election require the DesignProfessional to furnish any of these items as an AdditionalService.

C. 2.4.2 Existing Conditions. The Owner shall provide the De-sign Professional any available “as built” drawings of buildingsor properties, architect surveys, test reports, and any other writteninformation that it may have in its possession and that it mightreasonably assume affects the work.

C. 2.4.3 Waivers. The Owner shall provide the Design Profes-sional information it may have obtained on any waivers of localcodes, ordinances, or regulations or standards affecting the de-sign of the Project.

C. 2.4.4 Minimum Wage Rates. The Owner shall furnish theDesign Professional the schedule of minimum wage rates ap-proved by the U.S. Secretary of Labor for inclusion in thesolicitation and Contract Documents.

C. 2.4.5 Tests. When expressly agreed to in writing by both theOwner and the Design Professional, the Owner shall furnish theDesign Professional all necessary structural, mechanical, chemi-cal or other laboratory tests, inspections and reports required forthe Project.

C. 2.4.6 Contract Terms. The Owner or its legal counsel mayprovide the Design Professional text to be incorporated intoBidding and Construction Contract Documents.

Article D: Contract Administration

D. 1.0 Prohibition of Assignment. The Design Professional shallnot assign, subcontract, or transfer any services, obligations, orinterest in this Agreement without the prior written consent of theOwner. Such consent shall not unreasonably be withheld whensuch assignment is for financing the Design Professional’s per-formance.

D. 1.1 Ownership of Documents. All drawings, specifications,studies and other materials prepared under this contract shall bethe property of the Owner and at the termination or completion ofthe Design Professional’s services shall be promptly delivered tothe Owner. The Design Professional shall have no claim forfurther employment or additional compensation as a result ofexercise by the Owner of its full rights of ownership. It isunderstood, however, that the Design Professional does not rep-resent such data to be suitable for re-use on any other project orfor any other purpose. If the Owner re-uses the subject datawithout the Design Professional’s written verification, such re-use will be at the sole risk of the Owner without liability to theDesign Professional.

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D. 1.2 Substitutions.

A. The Design Professional shall identify in writing princi-pals and professional level employees and shall not substitute orreplace principals or professional level employees without theprior approval of the Owner which shall not unreasonably bewithheld.

B. The Design Professional’s personnel identified below areconsidered to be essential to the work effort. Prior to diverting orsubstituting any of the specified individuals, the Design Profes-sional shall notify the Owner reasonably in advance and shallsubmit justification, including proposed substitutions, in suffi-cient detail to permit evaluation of the impact on the contract. Nodiversion or substitution of such key personnel shall be made bythe Design professional without the prior written consent of theOwner.

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

D. 1.3 Suspension. The Owner may give written notice to theDesign Professional to suspend work on the project or any partthereof. The Owner shall not be obligated to consider a claim foradditional compensation if the Design Professional is givenwritten notice to resume work within 120 calendar days. If noticeto resume work is not given within 120 calendar days, the DesignProfessional shall be entitled to an equitable adjustment in com-pensation.

D. 1.4 Subcontracts. The Design Professional will cause allapplicable provisions of this Agreement to be inserted in all itssubcontracts.

D. 1.5 Disputes. In the event of a dispute arising under thisAgreement, the Design Professional shall notify the Ownerpromptly in writing and submit its claim in a timely manner. TheOwner shall respond to the claim in writing in a timely manner.The Design Professional shall proceed with its work hereunder incompliance with the instructions of the Owner, but such compli-ance shall not be a waiver of the Design Professional’s rights tomake such a claim. Any dispute not resolved by this proceduremay be determined by a court of competent jurisdiction or byconsent of the Owner and Design Professional by other disputeresolution methods.

D. 1.6 Termination. The Owner may terminate this Agreementfor the Owner’s convenience or for failure of the Design Profes-sional to fulfill contract obligations. The Owner shall terminateby delivering to the Design Professional a Notice of Terminationspecifying the reason therefore and the effective date of termina-tion. Upon receipt of such notice, the Design Professional shallimmediately discontinue all services affected and deliver to theOwner all information, reports, papers, and other materials accu-mulated or generated in performing this contract whether com-pleted or in process. If the termination is for convenience of theOwner, the Owner shall be liable only for payment for acceptedservices rendered before the effective date of termination.

D. 1.7 Insurance. The Design professional shall carry Commer-cial or Comprehensive General Liability Insurance, ProfessionalLiability Insurance (for a period extending two years past the dateof completion of construction), and other insurance as are re-quired by law, all in minimum amounts as set forth below. TheDesign Professional shall furnish the Owner certificates of insur-ance and they shall state that a thirty day notice of prior cancel-lation or change will be provided to the Owner. Additionally, theOwner shall be an additional insured on all Commercial orComprehensive General liability policies.

Insurance Limits or Amount

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

D. 1.8 Retention of Rights. Neither the Owner’s review, ap-proval or acceptance of, nor payment for, the services requiredunder this contract shall be construed to operate as a waiver of anyrights under this contract or of any cause of action arising out ofthe performance of this contract, and the Design Professionalshall be and remain liable to the Owner in accordance with theapplicable law for all damages to the Owner caused by the Designprofessional ‘s negligent performance of any of the servicesfurnished under this contract.

Article E: Additional Requirements

E. 1.0 Contract Provisions Required by Federal Law or OwnerContract with the U.S. Department of Housing and Urban Devel-opment (HUD).

E. 1.1 Contract Adjustments. Notwithstanding any other term orcondition of this Agreement, any settlement or equitable adjust-ment due to termination, suspension or delays by the Owner shallbe negotiated based on the cost principles stated at 48 CFRSubpart 31.2 and conform to the Contract pricing provisions of 24CFR 85.36 (f).

E. 1.2 Additional Services. The Owner shall perform a cost orprice analysis as required by 24 CFR 85.36 (f) prior to theissuance of a contract modification/amendment for AdditionalServices. Such Additional Services shall be within the generalscope of services covered by this Agreement. The Design Profes-sional shall provide supporting cost information in sufficientdetail to permit the Owner to perform the required cost or priceanalysis.

E. 1.3 Restrictive Drawings and Specifications. In accordancewith 24 CFR 85.36(c)(3)(i) and contract agreements between theOwner and HUD, the Design Professional shall not require the useof materials, products, or services that unduly restrict competi-tion.

E. 1.4 Design Certification. Where the Owner is required byfederal regulations to provide HUD a Design Professional certi-fication regarding the design of the Projects (24 CFR 968.235),the Design Professional shall provide such a certification to theOwner.

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E. 1.5 Retention and Inspection of Records. Pursuant to 24 CFR85.26(i)(10) and (11), access shall be given by the Design Profes-sional to the Owner, HUD, the Comptroller General of the UnitedStates, or any of their duly authorized representatives, to anybooks, documents, papers, and records of the Design Professionalwhich are directly pertinent to that specific Contract for thepurpose of making an audit, examination, excerpts, and transcrip-tions. All required records shall be retained for three years afterthe Owner or Design Professional and other subgrantees makefinal payments and all other pending matters are closed.

E. 1.6 Copyrights and Rights in Data. HUD has no regulationspertaining to copyrights or rights in data as provided in 24 CFR85.36. HUD requirements, Article 45 of the General Conditionsto the Contract for Construction (form HUD-5370) requires thatcontractors pay all royalties and license fees. All drawings andspecifications prepared by the Design Professional pursuant tothis contract will identify any applicable patents to enable thegeneral contractor to fulfil the requirements of the constructioncontract.

E. 1.7 Conflicts of Interest. Based in part on federal regulations(24 CFR 85.36(b)) and Contract agreement between the Ownerand HUD, no employee, officer, or agent of the Owner (HUDgrantee) shall participate in selection, or in the award or admin-istration of a contract supported by Federal funds if a conflict ofinterest, real or apparent, would be involved.

Such a conflict would arise when:

(i) The employee, officer or agent,

(ii) Any member of his or her immediate family,

(iii) His or her partner, or

(iv) An organization that employs, or is about to employ, anyof the above, has a financial or other interest in the firm selectedfor award. The grantee’s or subgrantee’s officers, employees oragents will neither solicit nor accept gratuities, favors or anythingof monetary value from Contractors, or parties to sub-agree-ments. Grantees and subgrantees may set minimum rules wherethe financial interest is not substantial or the gift is an unsoliciteditem of nominal intrinsic value. To the extent permitted by Stateor local law or regulations, such standards or conduct will providefor penalties, sanctions, or other disciplinary actions for viola-tions of such standards by the grantee’s and subgrantee’s officers,employees, or agents or by Contractors or their agents. Theawarding agency may in regulation provide additional prohibi-tions relative to real, apparent, or potential conflicts of interest.

Neither the Owner nor any of its contractors or their subcontrac-tors shall enter into any Contract, subcontract, or agreement, inconnection with any Project or any property included or plannedto be included in any Project, in which any member, officer, oremployee of the Owner, or any member of the governing body ofthe locality in which the Project is situated, or any member of thegoverning body of the locality in which the Owner was activated,or in any other public official of such locality or localities whoexercises any responsibilities or functions with respect to theProject during his/her tenure or for one year thereafter has anyinterest, direct or indirect. If any such present or former member,officer, or employee of the Owner, or any such governing bodymember or such other public official of such locality or localitiesinvoluntarily acquires or had acquired prior to the beginning of

his/her tenure any such interest, and if such interest is immedi-ately disclosed to the Owner and such disclosure is entered uponthe minutes of the Owner, the Owner, with the prior approval ofthe Government, may waive the prohibition contained in thissubsection: Provided, That any such present member, officer, oremployee of the Owner shall not participate in any action by theOwner relating to such contract, subcontract, or arrangement.

No member, officer, or employee of the Owner, no member of thegoverning body of the locality in which the project is situated, nomember of the governing body of the locality in which the Ownerwas activated, and no other public official of such locality orlocalities who exercises any functions or responsibilities withrespect to the project, during his/her tenure or for one yearthereafter, shall have any interest, direct or indirect, in thiscontract or the proceeds thereof.

E. 1.8 Disputes. In part because of HUD regulations (24 CFR85.36(i)(1)), this Design Professional Agreement, unless it is asmall purchase contract, has administrative, contractual, or legalremedies for instances where the Design Professional violates orbreaches Agreement terms, and provide for such sanctions andpenalties as may be appropriate.

E. 1.9 Termination. In part because of HUD regulations (24 CFR85.36(i)(2)), this Design Professional Agreement, unless it is foran amount of $10,000 or less, has requirements regarding termi-nation by the Owner when for cause or convenience. Theseinclude the manner by which the termination will be effected andbasis for settlement.

E. 1.10 Interest of Members of Congress. Because of Contractagreement between the Owner and HUD, no member of ordelegate to the Congress of the United States of America orResident Commissioner shall be admitted to any share or part ofthis Contract or to any benefit to arise from it.

E. 1.11 Limitation of Payments to Influence Certain FederalTransaction. The Limitation on Use of Appropriated Funds toInfluence Certain Federal Contracting and Financial Transac-tions Act, Section 1352 of Title 31 U.S.C., provides in part that noappropriated funds may be expended by recipient of a federalcontract, grant, loan, or cooperative agreement to pay any person,including the Design Professional, for influencing or attemptingto influence an officer or employee of Congress in connectionwith any of the following covered Federal actions: the awardingof any federal contract, the making of any Federal grant, themaking of any federal loan, the entering into of any cooperativeagreement, and the extension, continuation, renewal, amend-ment, or modification of any federal contract, grant, loan, orcooperative agreement.

E. 1.12 Employment, Training, and Contracting Opportunitiesfor Low-Income Persons, Section 3 of the Housing and UrbanDevelopment Act of 1968.

A. The work to be performed under this contract is subject to therequirements of section 3 of the Housing and Urban DevelopmentAct of 1968, as amended, 12 U.S.C. 1701u (section 3). Thepurpose of section 3 is to ensure that employment and othereconomic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extentfeasible, be directed to low- and very low-income persons, particu-larly persons who are recipients of HUD assistance for housing.

Page 9 of 11


B. The parties to this contract agree to comply with HUD’sregulations in 24 CFR part 135, which implement section 3. Asevidenced by their execution of this contract, the parties to thiscontract certify that they are under no contractual or other im-pediment that would prevent them from complying with thepart 135 regulations.

C. The contractor agrees to send to each labor organization orrepresentative of workers with which the contractor has a collec-tive bargaining agreement or other understanding, if any, a noticeadvising the labor organization or workers’ representative of thecontractor’s commitments under this section 3 clause, and willpost copies of the notice in conspicuous places at the work sitewhere both employees and applicants for training and employ-ment positions can see the notice. The notice shall describe thesection 3 preference, shall set forth minimum number and jobtitles subject to hire, availability of apprenticeship and trainingpositions, the qualifications for each; and the name and locationof the person(s) taking applications for each of the positions; andthe anticipated date the work shall begin.

D. The contractor agrees to include this section 3 clause in everysubcontract subject to compliance with regulations in 24 CFRpart 135, and agrees to take appropriate action, as provided in anapplicable provision of the subcontract or in this section 3 clause,upon a finding that the subcontractor is in violation of theregulations in 24 CFR part 135. The contractor will not subcon-tract with any subcontractor where the contractor has notice orknowledge that the subcontractor has been found in violation ofthe regulations in 24 CFR part 135.

E. The contractor will certify that any vacant employmentpositions, including training positions, that are filled (1) after thecontractor is selected but before the contract is executed, and (2)with persons other than those to whom the regulations of 24 CFRpart 135 require employment opportunities to be directed, werenot filled to circumvent the contractor’s obligations under 24CFR part 135.

F. Noncompliance with HUD’s regulations in 24 CFR part 135may result in sanctions, termination of this contract for default,and debarment or suspension from future HUD assisted contracts.

G. Reserved.

H. Reserved.

E. 1.13 Reserved.

E. 1.14 Clean Air and Water. (Applicable to contracts in excessof $100,000). Because of 24 CFR 85.36(i)(12) and Federal law,the Design Professional shall comply with applicable standards,orders, or requirements issued under section 306 of the Clean AirAct (42 U.S.C. § 1857h-4 transferred to 42 USC § 7607, section508 of the Clean Water Act (33 U.S.C. § 1368), Executive Order11738, and Environmental Protection Agency regulations (40CFR part 15), on all contracts, subcontracts, and subgrants ofamounts in excess of $100,000.

E. 1.15 Energy Efficiency. Pursuant to Federal regulations (24C.F.R 85.36(i)(13)) and Federal law, except when working on anIndian housing authority Project on an Indian reservation, theDesign Professional shall comply with the mandatory standardsand policies relating to energy efficiency which are contained inthe state energy conservation plan issued in compliance with theEnergy Policy and Conservation Act (Pub. L. 94-163 codified at42 U.S.C.A. § 6321 et. seq.).

E. 1.16 Prevailing Wages. In accordance with Section 12 of theU.S. Housing Act of 1937 (42 U.S.C. 1437j) the Design Profes-sional shall pay not less than the wages prevailing in the locality,as determined by or adopted (subsequent to a determination underapplicable State or local law) by the Secretary of HUD, to allarchitects, technical engineers, draftsmen, and technicians.

E. 1.17 Non-applicability of Fair Housing Requirements in In-dian Housing Authority Contracts. Pursuant to 24 CFR section905.115(b) title VI of the Civil Rights Act of 1964 (42 U.S.C.2000d-2000d-4), which prohibits discrimination on the basis ofrace, color or national origin in federally assisted programs, andthe Fair Housing Act (42 U.S.C. 3601-3620), which prohibitsdiscrimination based on race, color, religion, sex, national origin,handicap, or familial status in the sale or rental of housing do notapply to Indian Housing Authorities established by exercise of aTribe’s powers of self-government.

E. 1.18Prohibition Against Liens. The Design professional is Pro-hibited from placing a lien on the Owner’s property. This prohibitionshall be placed in all design professional subcontracts.

Article F: Other Owner Requirements (if any)

(Continue on additional pages as necessary)


This Agreement is entered into as of the day and year first written above.

Owner Design Professional

______________________________________ ___________________________________________(Housing Authority) (Firm)

______________________________________ ___________________________________________(Signature) (Signature)

______________________________________ ___________________________________________(Print Name) (Print Name)

____________________________________________________ __________________________________________________________(Print Title) (Print Title)

Page 11 of 11


Addendum (If any)

(Additional Services and other modifications)

This is an Addendum to a Standard Form of Agreement between Owner and Design Professional signed and dated the __________ day

of ____________ in the year (yyyy) of ______ between the Owner ____________________________________ _____________________

and Design Professional _____________________________________________________________________________________ on

Project ___________________________________. The parties to that Agreement agree to modify the Agreement by the above

delineated Additional Services and modifications.

This Addendum is dated this ___________ day of __________________ in the year (yyyy) of ______.

Owner Design Professional

______________________________________ ___________________________________________(Housing Authority) (Firm)

______________________________________ ___________________________________________(Signature) (Signature)

______________________________________ ___________________________________________(Print Name) (Print Name)

____________________________________________________ __________________________________________________________(Print Title) (Print Title)

Page 1 of 1

form HUD-51915-A (9/98)ref. Handbooks 7417.1, 7450.1 & 7460.8Previous editions are obsolete

OMB Approval No. 2577-0157 (exp.3/31/2010)

Contract Provisions Required by Federal Law

or Owner Contract with the

U.S. Department of Housing and Urban Development


form HUD-51915-A (9/98)ref. Handbooks 7417.1, 7450.1 & 7460.8Previous editions are obsolete Page 1 of 3

Contract Provisions Required byFederal Law or Owner Contractwith the U.S. Department ofHousing and Urban Development

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

1.0 Contract Provisions Required by Federal Law or Owner Contractwith the U.S. Department of Housing and Urban Development (HUD).

1.1 Contract Adjustments. Notwithstanding any other term orcondition of this Agreement, any settlement or equitable adjust-ment due to termination, suspension or delays by the Owner shallbe negotiated based on the cost principles stated at 48 CFRSubpart 31.2 and conform to the Contract pricing provisions of 24CFR 85.36 (f).

1.2 Additional Services. The Owner shall perform a cost orprice analysis as required by 24 CFR 85.36 (F) prior to theissuance of a contract modification/amendment for AdditionalServices. Such Additional Services shall be within the generalscope of services covered by this Agreement. The Design Profes-sional shall provide supporting cost information in sufficient detailto permit the Owner to perform the required cost or price analysis.

1.3 Restrictive Drawings and Specifications. In accordance with24 CFR 85.36(c)(3)(i) and contract agreements between the Ownerand HUD, the Design Professional shall not require the use ofmaterials, products, or services that unduly restrict competition.

1.4 Design Certification. Where the Owner is required byfederal regulations to provide HUD a Design Professional certi-fication regarding the design of the Projects (24 CFR 968.235),the Design Professional shall provide such a certification to theOwner.

1.5 Retention and Inspection of Records. Pursuant to 24 CFR85.26(i)(10) and (11), access shall be given by the Design Profes-sional to the Owner, HUD, the Comptroller General of the UnitedStates, or any of their duly authorized representatives, to anybooks, documents, papers, and records of the Design Professionalwhich are directly pertinent to that specific Contract for thepurpose of making an audit, examination, excerpts, and transcrip-tions. All required records shall be retained for three years afterthe Owner or Design Professional and other subgrantees makefinal payments and all other pending matters are closed.

1.6 Copyrights and Rights in Data. HUD has no regulationspertaining to copyrights or rights in data as provided in 24 CFR85.36. HUD requirements, Article 45 of the General Conditionsto the Contract for Construction (form HUD-5370) requires thatcontractors pay all royalties and license fees. All drawings andspecifications prepared by the Design Professional pursuant tothis contract will identify any applicable patents to enable thegeneral contractor to fulfil the requirements of the constructioncontract.

1.7 Conflicts of Interest. Based in part on federal regulations(24 CFR 85.36(b)) and Contract agreement between the Ownerand HUD, no employee, officer, or agent of the Owner (HUDgrantee) shall participate in selection, or in the award or admin-istration of a contract supported by Federal funds if a conflict ofinterest, real or apparent, would be involved.

Such a conflict would arise when:

(i) The employee, officer or agent,

(ii) Any member of his or her immediate family,

(iii) His or her partner, or

(iv) An organization that employs, or is about to employ,any of the above, has a financial or other interest in the firmselected for award. The grantee’s or subgrantee’s officers,employees or agents will neither solicit nor accept gratuities,favors or anything of monetary value from Contractors, or partiesto sub-agreements. Grantees and subgrantees may set minimumrules where the financial interest is not substantial or the gift is anunsolicited item of nominal intrinsic value. To the extent permit-ted by State or local law or regulations, such standards or conductwill provide for penalties, sanctions, or other disciplinary actionsfor violations of such standards by the grantee’s and subgrantee’sofficers, employees, or agents or by Contractors or their agents.The awarding agency may in regulation provide additional prohi-bitions relative to real, apparent, or potential conflicts of interest.

Neither the Owner nor any of its contractors or their subcontractorsshall enter into any Contract, subcontract, or agreement, in connec-tion with any Project or any property included or planned to beincluded in any Project, in which any member, officer, or employeeof the Owner, or any member of the governing body of the localityin which the Project is situated, or any member of the governing bodyof the locality in which the Owner was activated, or in any otherpublic official of such locality or localities who exercises anyresponsibilities or functions with respect to the Project during his/hertenure or for one year thereafter has any interest, direct or indirect.If any such present or former member, officer, or employee of theOwner, or any such governing body member or such other publicofficial of such locality or localities involuntarily acquires or hadacquired prior to the beginning of his/her tenure any such interest,and if such interest is immediately disclosed to the Owner and suchdisclosure is entered upon the minutes of the Owner, the Owner, withthe prior approval of the Government, may waive the prohibitioncontained in this subsection: Provided, That any such presentmember, officer, or employee of the Owner shall not participate inany action by the Owner relating to such contract, subcontract, orarrangement.

Public reporting burden for this collection of information is estimated to average 3 hours 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 agency may not conductor sponsor, and a person is not required to respond to, a collection of information unless that collecton displays a valid OMB control number.

These contracts between a HUD grantee (housing agency (HA)) and an architect/engineer (A/E) for design and construction services do not require eitherparty to submit any materials to HUD. The forms provide a contractual agreement for the services to be provided by the A/E and establishes responsibilitiesof both parties pursuant to the contract. The regulatory authority is 24 CFR 85.36. These contractual agreements are required by Federal law or regulationpursuant to 24 CFR Part 85.36. Signing of the contracts is required to obtain or retain benefits. The contracts do not lend themselves to confidentiality.

OMB Approval No. 2577-0157(exp.3/31/2010)


No member, officer, or employee of the Owner, no member of thegoverning body of the locality in which the project is situated, nomember of the governing body of the locality in which the Ownerwas activated, and no other public official of such locality orlocalities who exercises any functions or responsibilities withrespect to the project, during his/her tenure or for one yearthereafter, shall have any interest, direct or indirect, in thiscontract or the proceeds thereof.

1.8 Disputes. In part because of HUD regulations (24 CFR85.36(i)(1)), this Design Professional Agreement, unless it is asmall purchase contract, has administrative, contractual, or legalremedies for instances where the Design Professional violates orbreaches Agreement terms, and provide for such sanctions andpenalties as may be appropriate.

1.9 Termination. In part because of HUD regulations (24 CFR85.36(i)(2)), this Design Professional Agreement, unless it is foran amount of $10,000 or less, has requirements regarding termi-nation by the Owner when for cause or convenience. Theseinclude the manner by which the termination will be effected andbasis for settlement.

1.10 Interest of Members of Congress. Because of Contractagreement between the Owner and HUD, no member of ordelegate to the Congress of the United States of America orResident Commissioner shall be admitted to any share or part ofthis Contract or to any benefit to arise from it.

1.11 Limitation of Payments to Influence Certain Federal Trans-action. The Limitation on Use of Appropriated Funds to Influ-ence Certain Federal Contracting and Financial Transactions Act,Section 1352 of Title 31 U.S.C., provides in part that no appropri-ated funds may be expended by recipient of a federal contract,grant, loan, or cooperative agreement to pay any person, includ-ing the Design Professional, for influencing or attempting toinfluence an officer or employee of Congress in connection withany of the following covered Federal actions: the awarding of anyfederal contract, the making of any Federal grant, the making ofany federal loan, the entering into of any cooperative agreement,and the extension, continuation, renewal, amendment, or modifi-cation of any federal contract, grant, loan, or cooperative agree-ment.

1.12 Employment, Training, and Contracting Opportunities forLow-Income Persons, Section 3 of the Housing and Urban Devel-opment Act of 1968.

A. The work to be performed under this contract is subject to therequirements of section 3 of the Housing and Urban DevelopmentAct of 1968, as amended, 12 U.S.C. 1701u (section 3). Thepurpose of section 3 is to ensure that employment and othereconomic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extentfeasible, be directed to low- and very low-income persons, par-ticularly persons who are recipients of HUD assistance for hous-ing.

B. The parties to this contract agree to comply with HUD’sregulations in 24 CFR part 135, which implement section 3. Asevidenced by their execution of this contract, the parties to thiscontract certify that they are under no contractual or other im-pediment that would prevent them from complying with thepart 135 regulations.

C. The contractor agrees to send to each labor organization orrepresentative of workers with which the contractor has a collec-tive bargaining agreement or other understanding, if any, a noticeadvising the labor organization or workers’ representative of thecontractor’s commitments under this section 3 clause, and willpost copies of the notice in conspicuous places at the work sitewhere both employees and applicants for training and employ-ment positions can see the notice. The notice shall describe thesection 3 preference, shall set forth minimum number and jobtitles subject to hire, availability of apprenticeship and trainingpositions, the qualifications for each; and the name and locationof the person(s) taking applications for each of the positions; andthe anticipated date the work shall begin.

D. The contractor agrees to include this section 3 clause in everysubcontract subject to compliance with regulations in 24 CFRpart 135, and agrees to take appropriate action, as provided in anapplicable provision of the subcontract or in this section 3 clause,upon a finding that the subcontractor is in violation of theregulations in 24 CFR part 135. The contractor will not subcon-tract with any subcontractor where the contractor has notice orknowledge that the subcontractor has been found in violation ofthe regulations in 24 CFR part 135.

E. The contractor will certify that any vacant employmentpositions, including training positions, that are filled (1) after thecontractor is selected but before the contract is executed, and (2)with persons other than those to whom the regulations of 24 CFRpart 135 require employment opportunities to be directed, werenot filled to circumvent the contractor’s obligations under 24CFR part 135.

F. Noncompliance with HUD’s regulations in 24 CFR part 135 mayresult in sanctions, termination of this contract for default, anddebarment or suspension from future HUD assisted contracts.

G. Reserved.

H. Reserved.

1.13 Reserved.

1.14 Clean Air and Water. (Applicable to contracts in excess of$100,000). Because of 24 CFR 85.36(i)(12) and federal law, theDesign Professional shall comply with applicable standards,orders, or requirements issued under section 306 of the Clean AirAct (42 U.S.C. § 1857h-4 transferred to 42 USC § 7607, section508 of the Clean Water Act (33 U.S.C. § 1368), Executive Order11738, and Environmental Protection Agency regulations (40CFR part 15), on all contracts, subcontracts, and subgrants ofamounts in excess of $100,000.

Page 2 of 3


1.15 Energy Efficiency. Pursuant to Federal regulations (24C.F.R 85.36(i)(13)) and Federal law, except when working on anIndian housing authority Project on an Indian reservation, theDesign Professional shall comply with the mandatory standardsand policies relating to energy efficiency which are contained inthe state energy conservation plan issued in compliance with theEnergy Policy and Conservation Act (Pub. L. 94-163 codified at42 U.S.C.A. § 6321 et. seq.).

1.16 Prevailing Wages. In accordance with Section 12 of theU.S. Housing Act of 1937 (42 U.S.C. 1437j) the Design Profes-sional shall pay not less than the wages prevailing in the locality,as determined by or adopted (subsequent to a determination underapplicable State or local law) by the Secretary of HUD, to allarchitects, technical engineers, draftsmen, and technicians.

Page 3 of 3

1.17 Non-applicability of Fair Housing Requirements in IndianHousing Authority Contracts. Pursuant to 24 CFR section905.115(b) title VI of the Civil Rights Act of 1964 (42 U.S.C.2000d-2000d-4), which prohibits discrimination on the basis ofrace, color or national origin in federally assisted programs, andthe Fair Housing Act (42 U.S.C. 3601-3620), which prohibitsdiscrimination based on race, color, religion, sex , national origin,handicap, or familial status in the sale or rental of housing do notapply to Indian Housing Authorities established by exercise of aTribe’s powers of self-government.

1.18 Prohibition Against Liens. The Design professional is Prohib-ited from placing a lien on the Owner’s property. This prohibitionshall be placed in all design professional subcontracts.

25

ATTACHMENT G.

Performance Evaluation (Architect-Engineer) Form, form SF 1421 (10-83)

PERFORMANCE EVALUATION

(ARCHITECT-ENGINEER)

1. PROJECT NUMBER

2. CONTRACT NUMBER

IMPORTANT: Be sure to complete Performance section on reverse. If additional space is necessary for any item, use Remarks section on reverse.

3. TYPE OF REPORT (Check one)

INTERIM

COMPLE-TION OFDESIGNOR STUDY

COMPLE-TION OFCONSTRUC-TION

TERMI-NATION

4. REPORT NUMBER 5. DATE OF REPORT

6. NAME AND ADDRESS OF CONTRACTOR 7. PROJECT DESCRIPTION AND LOCATION

NSN 7540-01-155-3244 STANDARD FORM 1421 (10-83)Prescribed by GSAFAR (48 CFR) 5.236-2(d)

8. OFFICE RESPONSIBLE FOR:A. SELECTION OF CONTRACTOR B. NEGOTIATION/AWARD OF CONTRACT C. ADMINISTRATION OF CONTRACT

9. CONTRACT DATA

A. TYPE OF WORK B. TYPE OF CONTRACT

FIXED-PRICE

COST-REIMBURSEMENT

OTHER (Specify)

C. PROJECT COMPLEXITY

DIFFICULT

SIMPLE

ROUTINE

D. PROFESSIONAL SERVICES CONTRACT

AMENDMENTS CLAIMS BY CONTRACTOR

NO. AMOUNT

$

NO. AMOUNT

$

INITIAL FEE

$

TOTAL FEE

$E. DATE CONTRACT AWARDED F.CONTRACT COMPLETION DATE (Including

extensions)

G. ACTUAL COMPLETION DATE OF CONTRACT

10. KEY CONSULTANT DATAA. NAMES B. ADDRESS C. SPECIALTY

11. CONSTRUCTION COSTSA. INITIAL ESTIMATE

$

C. ACTUAL

$

B. AWARD

$

12. CONSTRUCTION CHANGES AND DEFICIENCIES NUMBER TOTAL

A. CONSTRUCTION CHANGES

B. CONSTRUCTION CHANGES RESULTING FROMDEFICIENCIES IN A-E PERFORMANCE

C. DEFICIENCIES PAID FOR BY A-E

D. DEFICIENCIES PAID FOR BY GOVERNMENT

$

$

$

$13. OVERALL RATING

EXCELLENT AVERAGE POOR

14. RECOMMENDED FOR FUTURE CONTRACTS?

YES NO (If "NO," explain in REMARKS on reverse)

15A. NAME AND TITLE OF RATING OFFICIAL 16A. NAME AND TITLE OF REVIEWING OFFICIAL

15B. SIGNATURE 15C. DATE 16B. SIGNATURE 16C. DATE

PERFORMANCE

STAGESOF

SERVICES(As applicable)

NO

T A

PPLIC

ABLE

AC

CU

RA

CY

CO

MPLETEN

ESS

CO

OPERA

TIO

N

CO

ORD

INA

TIO

N

MA

NA

GEM

EN

T

MEETIN

GSC

HED

ULE

PERSO

NN

EL

ABIL

ITY

WO

RK

QU

ALIT

Y

RATING FACTORS/RATING RATED BY

CODE LEGEND: + EXCELLENTA AVERAGEP POOR

N/A NOT APPLICABLE NI NO INFORMATION

SIGNATURE AND DATE

CONCEPTS

TENTA-TIVES

WORKINGDRAWINGS

SCHEDULE(Mo., day, yr.)

ACTUAL(Mo., day, yr.)

SCHEDULE(Mos. day, yr.)


SCHEDULE(Mo., day, yr.)


FROM TO

FROM TO

FROM TO

ARCH.

STRU.

MECH.

ELEC.

ARCH.

STRUC.

MECH.

ELEC.

ARCH.

STRUC.

MECH.

ELEC.

A/S

M/E

PRE-AWARDPOST-AWARDSHOPDWGS.MAN-UALS

FIELD

OFFICE

FROM TO

FROM TO

FROM TO

ESTIMATES

CRITICAL PATH METHOD

POST CONSTRUCTION CONTRACTSERVICES

INSPECTION

SOLICITATION DOCUMENTS

REMARKS

STANDARD FORM 1421 BACK (REV. 10-83)

26

ATTACHMENT H.

Instruction to Offerors Non-Construction, form HUD-5369-B (8/93)

27

ATTACHMENT I.

General Conditions for Non-Construction Contracts, Section I – (With or without

Maintenance Work), form HUD 5370-C (10/2006)

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.

Section I - Page 1 of 6

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


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:


Form HUD-5370-C (10/2006)

(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.


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


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.


Form HUD-5370-C (10/2006)

28

ATTACHMENT J.

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

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

29

ATTACHMENT K.

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

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30

ATTACHMENT L.

Certification of Payments to Influence Federal Transactions, form HUD-50071

(3/98)

Certification of Paymentsto Influence Federa l Transactions


form HUD 50071 (3/98) ref. Handboooks 7417.1, 7475.13, 7485.1, & 7485.3Previous edition is obsolete

Applicant Name

Program/Activity Receiving Federal Grant Funding

(1) No Federal appropriated funds have been paid or will bepaid, by or on behalf of the undersigned, to any person forinfluencing or attempting to influence an officer or employee ofan agency, a Member of Congress, an officer or employee ofCongress, or an employee of a Member of Congress in connec-tion with the awarding of any Federal contract, the making of anyFederal grant, the making of any Federal loan, the entering intoof any cooperative agreement, and the extension, continuation,renewal, amendment, or modification of any Federal contract,grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds havebeen paid or will be paid to any person for influencing orattempting to influence an officer or employee of an agency, aMember of Congress, an officer or employee of Congress, or anemployee of a Member of Congress in connection with thisFederal contract, grant, loan, or cooperative agreement, theundersigned shall complete and submit Standard Form-LLL,Disclosure Form to Report Lobbying, in accordance with itsinstructions.

The undersigned certifies, to the best of his or her knowledge and belief, that:

(3) The undersigned shall require that the language of thiscertification be included in the award documents for all subawardsat all tiers (including subcontracts, subgrants, and contractsunder grants, loans, and cooperative agreements) and that allsubrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon whichreliance was placed when this transaction was made or enteredinto. Submission of this certification is a prerequisite for makingor entering into this transaction imposed by Section 1352, Title31, U.S. Code. Any person who fails to file the requiredcertification shall be subject to a civil penalty of not less than$10,000 and not more than $100,000 for each such failure.

I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate.

Warning : HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.(18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802)

Name of Authorized Official Title

Signature Date (mm/dd/yyyy)