RFQ 26-004 Development Partner - Lincoln Apartments.pdf

DEVELOPMENT VENTURES INCORPORATED (DVI)

REQUEST FOR QUALIFICATIONS

DEVELOPMENT PARTNERS

RFQ #26-004

DEVELOPMENT VENTURES INCORPORATED (DVI) REQUEST FOR QUALIFICATIONS

DEVELOPMENT PARTNERS RFQ #26-004

TABLE OF CONTENTS

I. Invitation II. Profile of the Authority III. Scope of Work IV. Submission Requirements V. Evaluation Criteria

ATTACHMENTS

1. Exhibit A: Lincoln Apartments Site Map

2. Exhibit B: McDougald Terrace Redevelopment Plan

3. Non-Collusive Affidavit

4. Hold Harmless Agreement

5. Representations, Certifications, and Other Statements of Bidders form HUD-5369-A (11/92)

6. Instructions to Offerors - Non-Construction HUD Form 5369-B (8/93)

7. General Conditions for Non-Construction Section HUD Form 5370-C Section I and II

8. Certification for a Drug-Free Workplace HUD Form 50070

9. Equal Employment Opportunities Certification HUD Form 92010

I. INVITATION

Development Ventures Incorporated (DVI), an instrumentality of the Housing Authority of the City of Durham (DHA or the Authority), requests proposals (RFQ #26-004) from qualified developers to partner with DVI in re-developing Lincoln Apartments, also known as Phase I of the McDougald Terrace Repositioning Plan (MTRP). DVI reserves the right to, in its sole discretion, to partner with the successful respondent in other phases of the MTRP.

Proposals in response to this Request for Qualifications (RFQ) must be received by delivery or electronically to the address below no later than 5:00 pm (EDST) on September 24, 2026 at the following location:

Housing Authority of the City of Durham Attn: Procurement, REF: RFQ 26-004 DEVELOPMENT PARTNERS 423 Morris Street Durham, North Carolina 2770 Electronic Delivery Email: Procurement@dha-nc.org

Questions regarding the interpretation of this Request for Qualifications should be submitted via email no later than 3:00 pm on August 28, 2026 to procurement@dha-nc.org.

No proposals shall be withdrawn for a period of 180 days subsequent to the opening of the proposals without the consent of the Housing Authority of the City of Durham.

The term of the Master Development Agreement (MDA) shall not exceed five (5) years. The MDA shall contain certain terms and development milestones that must be met during the term of the agreement.

DVI expects to negotiate a final development agreement with the successful respondent upon fully assessing the viability of the proposed development plan. DVI reserves the right to terminate negotiations if an agreement cannot be reached. Upon such termination, DVI may enter negotiation with other respondents to the RFQ. DVI expects to have a Master Development Agreement consummated by December 2026 and commence construction at the project site there or about Q1 of 2028.

II. PROFILE OF THE AUTHORITY

Development Ventures Incorporated (DVI) is a non-profit instrumentality of the Housing Authority of the City of Durham (DHA) established in 1985 as an affordable housing component to the conventional public housing program. DVI’s mission is to develop, in conjunction with the public and private sectors, affordable mixed-use and mixed-income communities within the City of Durham, NC.

DHA is an autonomous municipal entity created by the City of Durham in 1949 pursuant to state law and the National Housing Act of 1937. DHA exists to provide safe, decent, and sanitary housing for low-income families in Durham in accordance with the rules and regulations prescribed by the U.S. Department of Housing and Urban Development (HUD) and other federal agencies. The mission of DHA is to be a leader in affordable housing within Durham County by serving as a housing safety net, promoting individual self-sufficiency, and leveraging core housing competencies.

DHA operates over 700 units of conventional public housing and provides rental assistance to over 2,400 families through the Housing Choice Voucher Program. DHA is also responsible for the management of 160 affordable housing units and is an investor in four (4) mixed finance ventures.

The governing body of the Authority is its Board of Commissioners (Board), which is comprised of six (6) members appointed by the City Council of the City of Durham and one (1) member appointed by the Mayor of the City of Durham. The Board appoints a Chief Executive Officer (CEO) to administer the affairs of the Authority.

III. SCOPE OF WORK

Development Ventures Incorporated (DVI), on behalf of the Housing Authority of the City of Durham (DHA), seeks proposals from qualified, experienced and capable real estate developers with financial strength and resources who have demonstrated a record of accomplishments in successfully developing/re-developing communities. DVI’s goal for this RFQ is to identify a development partner to undertake the following Scope of Work:

1. Redevelop Lincoln Apartments into a new affordable residential community as the initial phase of the MTRP; and

2. Effectuate the transfer of Project-Based Voucher (PBV) subsidy for 149 replacement units, at minimal, from McDougald Terrace to the redeveloped Lincoln Apartments site under HUD’s Rental Assistance Demonstration (RAD) program using a Transfer of Assistance (TOA).

PROJECT BACKGROUND

DHA anticipates that Lincoln Apartments will be demolished and redeveloped as a vibrant affordable community, with mixed-use opportunities integrated, where appropriate. Lincoln Apartments, located at 1102 Dayton Street, 1502 Wabash Street, and 1404 and 1510 Lakeland Street, consists of 150 vacant units spread throughout sixteen (16) two-story buildings on four

(4) separate parcels totaling 9.8 acres. The property was built in 1960 and sold to DVI in December 2012. DVI is seeking to demolish all existing buildings prior to redevelopment;

however, for purposes of the development plan the demolition cost should be included.

Please see Exhibit A for a site map of Lincoln Apartments.

DHA received HUD’s approval for the McDougald Terrace Repositioning Plan (MTRP) in 2024 (please see Exhibit B for a copy of the MTRP). The plan proposes the redevelopment of the existing, occupied 360 units at McDougald Terrace, located at 1101 E. Lawson Street, into a purpose driven community featuring mixed uses and resident incomes. Upon the successful transfer of a current group of units under the RAD Transfer of Assistance (TOA) option, DHA anticipates receiving HUD’s approval to convert the remaining 149 units at McDougald Terrace to PBV subsidy under a RAD TOA. RAD provides public housing authorities with a tool to revitalize aging public housing developments by restructuring their rental assistance from the public housing subsidy platform (Section 9) to a Section 8 project-based subsidy platform with a long-term Housing Assistance Payments (HAP) contract. A RAD TOA allows a public housing authority to “transfer” RAD PBV subsidy -– and residents -- to an existing or new construction site. To date, DHA has successfully converted eighteen (18) public housing properties under

RAD.

REPLACEMENT UNIT REQUIREMENTS

The following chart specifies the number and types of replacement units required to be included in the redevelopment of Lincoln Apartments.

Required Replacement Unit Mix Number of Bedrooms

Fixed Bedroom Size Units

Floating Bedroom Size

Units

Total Units

Gross Rent*

1BR 0 10 10 $ 1,473

2BR 28 30 58 $ 1,684

3BR 18 23 41 $ 2,100

4BR 17 21 38 $ 2,526

5BR 2 0 2 $ 2,905

Total 65 84 149 *Anticipated rents as of April 1, 2026

The fixed bedroom size units are occupied units at McDougald Terrace and must be replaced as specified. The floating bedroom size units may be reconfigured upon approval from HUD.

Please note that this mix may be subject to modifications due to changes in family size for current McDougald Terrace residents. DHA will work with the selected development partner to submit any needed reconfiguration request(s) as part of the RAD application process. Please also note that DHA’s current public housing waitlist is heavily weighted towards 1- and 2-bedroom units. The total number of units at the redeveloped Lincoln site is not limited to replacement unit requirements and can exceed that number based upon the proposed plan.

DEVELOPMENT PARTNER ROLE

The development partner selected under this RFQ will be expected to work collaboratively with residents, DVI, the City of Durham and other stakeholders throughout the planning and redevelopment process as follows:

• Development Plan - Develop a comprehensive plan for the site that complements the primary elements of the MTRP. The development partner and its team will lead the planning process and propose plan refinements, as needed, for review and approval by DVI. The development partner is responsible for ensuring that the final redevelopment plan is financially viable and implementable. DVI will consider development (offsite) at the current McDougald site, if needed, to accommodate the fulfillment of replacement units.

• Development Team – The development partner will:

o Hire and oversee a qualified team to implement the final redevelopment plan, including architects, engineers, general contractor and property manager;

o Oversee the design, construction, and quality control of the development, including strategy, budget, and schedule for all infrastructure, site improvements, and vertical components;

o Provide regular reports to DVI staff and DHA Board on the progress of the development efforts; and o Work with DVI and its legal team to create an ownership structure for the development which may include an affiliate of DVI.

• Pre-Development – The development partner will be responsible for all predevelopment planning and tasks, including, but not limited to, environmental and geotechnical testing, analysis of the condition of existing utilities at the site, market and economic analyses, entitlement applications and permits, environmental clearances, and demolition. The development partner must be able to fund all pre-development activities.

• Financing – The development partner will produce an overall financing plan that maximizes and leverages public and private resources. The development partner will also:

o Develop detailed development and operating budgets, which include the underwriting of relocation and supportive services costs;

o Diligently pursue and use best efforts to secure financing, including preparing funding applications and obtaining equity investments using competitive processes, resulting in commitments on the best terms available;

o Provide all guarantees required for the successful financing of the project, including construction completion guarantees, operating deficit guarantees, tax credit adjuster or recapture guarantees and guarantees under the MDA; and o Structure reserves and other accounts that will reasonably guarantee the long-term operating feasibility of the replacement units and the development.

• Relocation - The development partner will work with DHA to develop a suitable relocation strategy that ensures responsible relocation of existing impacted families at McDougald Terrace Apartments, currently estimated at 65 households, consistent with RAD and the Uniform Relocation Act.

• Resident Engagement – The development partner will:

o Assist DVI in resident engagement regarding the RAD process and any other community meetings or events related to Local, State, and Federal rules and regulations.

o Actively participate in and promote milestone events such as closings, groundbreakings, and ribbon cuttings.

• HUD Submissions and Requirements – The development partner will:

o Assist DVI in preparing and submitting development proposals and supporting documents for HUD review and approval;

o Comply with all applicable federal, state and local laws and local building codes;

o Obtain all required land use approvals, including building permits and zoning approvals; and o Adhere to RAD requirements for the replacement housing units.

DHA / DVI ROLE

DHA and DVI will serve the following roles in the development effort:

• Land Ownership - DVI owns the subject land parcels and expects to retain ownership.

DVI will enter into a long-term ground lease with the selected entity, subject to the requisite approvals.

• Financing - DVI will participate in all financial structuring decisions, including review and approval of financial arrangements and terms and conditions of any loan and equity documents.

• Design Review/Construction Monitoring and Approval - All designs are subject to

DVI’s review and approval. Designs may also be subject to HUD review and approval.

DVI will also provide construction monitoring and will have the right to review and approve construction documents. The cost of the DVI owner’s representative shall be underwritten into the development budget.

• HUD Contact - DHA / DVI will coordinate all communications with HUD. DHA / DVI will have responsibility for submission of program documents and will secure HUD approvals, including, but not limited to, demolition/disposition, RAD approval, development proposal and related evidentiary documents, acquisition proposals, and the relocation plan. The development partner will assist in the preparation of these documents and participate in all necessary engagements with HUD and other governing bodies as required.

• Operating Subsidy - DHA may make certain financial contributions toward the cost of operating the public housing replacement units, subject to HUD approval. The nature of the subsidy will be determined based on the final program approved by DHA, but DHA anticipates that RAD PBVs will be the primary subsidy source for approved RAD conversion projects. DHA will not provide any subsidy amount greater than what it receives from HUD, less any amount retained by DHA for administration, monitoring and asset management responsibilities. The development partner is responsible for fully understanding the HUD restrictions that may apply to the project and understanding how they may affect the development.

• Asset Management and Regulatory Oversight - DHA will continue to have asset management responsibilities for the public housing replacement units and other units in which DHA or DVI or any other affiliates have an ownership interest. DHA will monitor and enforce the terms of its agreements with the development partner and DHA will provide regulatory oversight for all units financed with DHA or public funds.

• Property Management - DHA reserves the right to assume property management of the redeveloped or newly constructed site after five (5) years, subject to approval by the investor.

When formulating their development approach, respondents must adhere to the following objectives:

1. Develop a comprehensive housing plan that includes 149 replacement units at the redeveloped Lincoln Apartments site as part of a transfer of assistance from McDougald Terrace.

2. Explore a multi-faceted approach to creating a vibrant community that complements the overall development strategy of a mixed-income and mixed-use neighborhood.

DVI expects that the final development plan will accommodate a diversity of housing and family types, community amenities, services, and programming. The plan may include a mix of market rate, workforce and affordable housing units, subject to market demand, and reflect the desires and needs of local families.

3. Integrate environmental sustainability using “green” construction and design practices, optimal energy efficiency through the incorporation of on-site renewable energy, and adherence to LEED Silver or higher or Enterprise Green Communities certification standards.

4. Establish an accessible, pedestrian-oriented environment that can serve as a model of effective accessibility through quality streetscapes, open space, and adaptable design.

5. Promote community and interconnectivity between residents of the redeveloped site and the surrounding neighborhood. The redevelopment should be integrated into the fabric of the surrounding area, and the site plan design and layout should encourage integration within the site itself. For example, the design of community spaces should encourage multi-generational uses and diversity of options.

6. Feature high quality, context sensitive architectural design that is respectful to the surrounding neighborhood. The selected development partner will be expected to utilize design principles that are compatible with the community surrounding the site and create designs that are appealing and architecturally attractive.

7. Develop a creative and viable financial plan that does not rely principally on DHA funding. The development partner is expected to pursue sources appropriate for the specific housing plan and leverage RAD PBVs, DHA-owned land, and other sources, including state and federal subsidy and grants, tax credits, bond financing, private mortgages, etc.

8. Facilitate a process that ensures public engagement of impacted residents, community members, the City, the County, public agencies and institutions, businesses, and other key stakeholders in the planning and implementation of the redevelopment.

IV. SUBMISSION REQUIREMENTS

All respondents shall submit one (1) electronic version of their submissions. Submissions must contain the following information:

1. Cover Sheet, including the respondent entity’s name and point of contact.

2. Letter of interest, including an executive summary of the respondent’s qualifications.

(2-page limit)

3. Company resume, including resumes of staff who will perform the Scope of Work. (2-page limit); individual resumes may be submitted as an attachment)

4. Discussion of the respondent’s knowledge and experience in performing work that is the same as, or substantially like, what is required in the Scope of Work during the past ten(10) years. Include original schedule, budget, scope, and final project cost on similar projects. Please indicate if projects involve a public partner and RAD conversion. The location and types of funding used to finance projects should be clearly noted. (3-page limit)

5. Description in detail of the respondent’s technical capacity, including personnel, equipment and materials, and management plan, including staffing of key positions and method of assigning work, for the Scope of Work. (2-page limit)

6. Detailed work plan for the Scope of Work. This section should include the following (5-page limit):

a. Respondent should discuss their proposed development approach and preliminary plan concepts, i.e. what you might propose to develop and how you go about it. Note that the proposed concept must have sufficient detail for DVI to evaluate preliminary program and planned uses; anticipated site plan and layout; phasing of relocation, demolition, and construction; financing approach and timing; design and unit features; income mix and marketing.

b. Proposed business terms, which should minimally include developer fee amount and timing; methodology for operating subsidy and type; distribution of net operating income; treatment of available land; development funds accruing to DVI and timing; any role of DHA or DVI if different from role as articulated in this solicitation.

c. Approach to engaging DHA residents and the community at-large.

d. Section 3 and local business utilization plan and compliance. Include a detailed plan of how the respondent will meet or exceed Section 3 requirements.

Include a discussion of the approach and methods the team will use to ensure strong participation by Section 3 and locally owned businesses.

7. Name, telephone number, mailing and e-mail addresses of no more than three (3) references who can attest to the respondent’s capabilities to perform the Scope of Work.

8. Financial Capability: Provide audited financial statements for the past three years.

The respondent must also indicate its financial capacity to complete development projects of similar size and scope and demonstrate an ability to secure financing for the project and provide the required construction completion and operations guarantees to funders and investors.

Upon fully assessing the qualifications of the respondents to this RFQ, including the viability of each respondent’s proposed development approach, DVI will select its development partner and negotiate a master development agreement with that entity. DVI reserves the right to terminate negotiations if an agreement cannot be reached. Upon such termination, DVI may enter into negotiations with other respondents to the RFQ. DVI expects to execute a master development agreement with its selected development partner by the end of 2026 and commence construction at the site by 2028.

The selected development partner will obtain and maintain (a) workers' compensation insurance in accordance with state workers' compensation law; (b) liability insurance with minimum limits of $1,000,000 per occurrence, combined single limit for bodily injury liability and property damage liability; and (c) business auto liability with coverage with minimum limits of $500,000 per occurrence, combined single limit for bodily injury liability and property damage liability.

DVI reserves the right to amend the Scope of Work or any part of this Request for Qualifications prior to or after the submission deadline. If this occurs prior to the submission deadline, DVI shall issue a written addendum noting such changes and post it via Housing Agency Marketplace. If necessary, based on the nature and extent of the addendum, DVI may extend the submission deadline.

If an amendment to the Scope of Work is made after the submission deadline, DVI shall issue a written amendment to all those who submitted a proposal, and, if necessary, provide a date for submitting additional information based on the amendment. Absent an amendment by DVI and minor omissions mentioned below, no modification to a respondent’s submission shall be accepted after the submission deadline.

All proposals will become the property of DVI. DVI reserves the right to, in its sole discretion, cancel this Request for Qualifications, reject any or all submissions, either in whole or in part, with or without cause, and waive any informality in this Request for Qualifications process.

Final awards will be subject to available funds.

DVI considers as NON-RESPONSIVE any submission that lacks critical information or which represents a substantial deviation from the requirements of this Request for Qualifications.

Any contact during the procurement process between the respondent and the Board of Commissioners, evaluation panel or DVI employees regarding this Request for Qualifications is disallowed, except as stated above.

The selected respondent will not be considered a DVI employee. DVI assumes the proposal of certain personnel in a respondent’s submission to be a statement of their availability to do the work.

All costs incurred by the respondent in preparing its submission under this RFQ are to be borne by the respondent.

V. EVALUATION CRITERIA

All submissions received will be reviewed by an evaluation committee assigned by the Chief Executive Officer. Submissions will be evaluated based on the criteria indicated in the table below. Submissions will be scored against these criteria, and a rank ordered list will be generated to identify the highest qualified respondents, which may be invited for an interview.

330 E. Main Street P.O. Box 1726

Durham, NC 27701

(919) 683-1551

FAX: (919) 683-1237

TDD/TTY: (800) 545-1833 ext. 774 durhamhousingauthority.org

A Commitment to Quality Living

NON-COLLUSIVE AFFIDAVIT

State of )

County of ) S.S.

, being first duly sworn, deposes and says that:

He/She (Partner or Officer of the Firm of, etc.)

is the party making the foregoing proposal or bid, that such proposal or bid is genuine and not collusive or sham; that said bidder has not colluded, conspired, connived or agreed, directly or indirectly, with any bidder or person, to put in a sham bid or to refrain from bidding, and has not in any manner, directly or indirectly, sought by agreement or collusion, or communication or conference, with any person, to affix the bid price of affiant or of any other bidder, or to fix any overhead, profit or cost element of said bid price, or of that of any other bidder, or to secure any advantage against the Housing Authority of the City of Durham or any person interested in the proposed contract; and that all statements in said proposal or bid are true.

Signature of:

Name of Bidder if Bidder is an Individual

Name of Partner if Bidder is a Partnership

Name of Officer if Bidder is a Corporation

State of )

County of ) S.S.

Subscribed and sworn to before me this day of 20 .

My commission expires 20 .

330 E. Main Street P.O. Box 1726

Durham, NC 27701

(919) 683-1551

FAX: (919) 683-1237

TDD/TTY: (800) 545-1833 ext. 774 durhamhousingauthority.org

A Commitment to Quality Living

Hold Harmless Agreement

The Contractor/Vendor/Professional Service shall indemnify and hold harmless the Housing Authority and its employees from and against all claims for personal injury or property damage, including claims against the Housing Authority, its agents or servants, and all losses and expenses, including reasonable attorney fees that may be incurred by the Housing Authority defending such claims, arising out of or resulting from the performance of the work but only to the extent in part by any negligent act or omission of the Contractor/Vendor/Professional Service, any Subcontractor, anyone directly or indirectly employed by any of them or anyone for whose acts any of them may be liable, and not to the extent it is caused in part by any party indemnified hereunder. In any and all claims against the Housing Authority or any of its agents or servants by an employee if a Contractor/Vendor/Professional Service, any Subcontractor, anyone directly or indirectly employed by any of them for whose acts any of them are liable the indemnification obligation under this paragraph shall not be limited in any way by any limitation on the amount or type of damages, compensation or benefits payable by or for the Contractor/Vendor/Professional Service or Subcontractor under Compensation Acts, Disability Acts, or their Employee Benefit Act.

By: Date:

Title: Company:

Street Address:

City, State, & Zip Code:

Previous edition is obsolete form HUD-5369-A (11/92)

U.S. Department of Housing and Urban Development Office of Public and Indian Housing

Representations, Certifications, and Other Statements of Bidders

Public and Indian Housing Programs

Previous edition is obsolete Page1 of 3 form HUD-5369-A (11/92)

1. Certificate of Independent Price Determination

(a) The bidder certifies that--

(1) The prices in this bid have been arrived at independently, without, for the purpose of restricting competition, any consultation, communication, or agreement with any other bidder or competitor relating to (i) those prices, (ii) the intention to submit a bid, or (iii) the methods or factors used to calculate the prices offered;

(2) The prices in this bid have not been and will not be knowingly disclosed by the bidder, directly or indirectly, to any other bidder or competitor before bid opening (in the case of a sealed bid solicitation) or contract award (in the case of a competitive proposal solicitation) unless otherwise required by law; and

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

(b) Each signature on the bid is considered to be a certification by the signatory that the signatory--

(1) Is the person in the bidder's organization responsible for determining the prices being offered in this bid or proposal, and that the signatory has not participated and will not participate in any action contrary to subparagraphs (a)(l) through (a)(3) above; or

(2) (i) Has been authorized, in writing, to act as agent for the following principals in certifying that those principals have not participated, and will not participate in any action contrary to subparagraphs (a)(l) through (a)(3) above.

[insert full name of person(s) in the bidder's organization responsible for determining the prices offered in this bid or proposal, and the title of his or her position in the bidder's organization];

(ii) As an authorized agent, does certify that the principals named in subdivision (b)(2)(i) above have not participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above; and

(iii) As an agent, has not personally participated, and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above.

(c) If the bidder deletes or modifies subparagraph (a)2 above, the bidder must furnish with its bid a signed statement setting forth in detail the circumstances of the disclosure.

[ ] [Contracting Officer check if following paragraph is applicable]

(d) Non-collusive affidavit. (applicable to contracts for construction and equipment exceeding $50,000)

(1) Each bidder shall execute, in the form provided by the PHA/ IHA, an affidavit to the effect that he/she has not colluded with any other person, firm or corporation in regard to any bid submitted in response to this solicitation. If the successful bidder did not submit the affidavit with his/her bid, he/she must submit it within three (3) working days of bid opening. Failure to submit the affidavit by that date may render the bid nonresponsive. No contract award will be made without a properly executed affidavit.

(2) A fully executed "Non-collusive Affidavit" [ ] is, [ ] is not included with the bid.

2. Contingent Fee Representation and Agreement

(a) Definitions. As used in this provision:

"Bona fide employee" means a person, employed by a bidder and subject to the bidder's supervision and control as to time, place, and manner of performance, who neither exerts, nor proposes to exert improper influence to solicit or obtain contracts nor holds out as being able to obtain any contract(s) through improper influence.

"Improper influence" means any influence that induces or tends to induce a PHA/IHA employee or officer to give consideration or to act regarding a PHA/IHA contract on any basis other than the merits of the matter.

(b) The bidder represents and certifies as part of its bid that, except for full-time bona fide employees working solely for the bidder, the bidder:

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

(2) [ ] has, [ ] has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract.

(c) If the answer to either (a)(1) or (a)(2) above is affirmative, the bidder shall make an immediate and full written disclosure to the PHA/IHA Contracting Officer.

(d) Any misrepresentation by the bidder shall give the PHA/IHA the right to (1) terminate the contract; (2) at its discretion, deduct from contract payments the amount of any commission, percentage, brokerage, or other contingent fee; or (3) take other remedy pursuant to the contract.

3. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions (applicable to contracts exceeding $100,000)

(a) The definitions and prohibitions contained in Section 1352 of title 31, United States Code, are hereby incorporated by reference in paragraph (b) of this certification.

Representations,Certifications, and Other Statements of Bidders

Public and Indian Housing Programs

Table of Contents

Clause Page

1. Certificate of Independent Price Determination 1

2. Contingent Fee Representation and Agreement 1

3. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions

4. Organizational Conflicts of Interest Certification 2

5. Bidder's Certification of Eligibility 2

6. Minimum Bid Acceptance Period 2

7. Small, Minority, Women-Owned Business Concern Representation

8. Indian-Owned Economic Enterprise and Indian Organization Representation

9. Certification of Eligibility Under the Davis-Bacon Act 3

10. Certification of Nonsegregated Facilities 3

11. Clean Air and Water Certification 3

12. Previous Participation Certificate 3

13. Bidder's Signature 3

Previous edition is obsolete Page2 of 3 form HUD-5369-A (11/92)

(b) The bidder, by signing its bid, hereby certifies to the best of his or her knowledge and belief as of December 23, 1989 that:

(1) No Federal appropriated funds have been paid or will be paid to 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 on his or her behalf in connection with the awarding of a contract resulting from this solicitation;

(2) If any funds other than Federal appropriated funds (includ-ing profit or fee received under a covered Federal transaction) have been paid, or will be paid, to 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 on his or her behalf in connection with this solicitation, the bidder shall complete and submit, with its bid, OMB standard form LLL, "Disclosure of Lobbying Activities;" and

(3) He or she will include the language of this certification in all subcontracts at any tier and require that all recipients of subcontract awards in excess of $100,000 shall certify and disclose accordingly.

(c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

(d) Indian tribes (except those chartered by States) and Indian organizations as defined in section 4 of the Indian Self-Determina-tion and Education Assistance Act (25 U.S.C. 450B) are exempt from the requirements of this provision.

4. Organizational Conflicts of Interest Certification

The bidder certifies that to the best of its knowledge and belief and except as otherwise disclosed, he or she does not have any organizational conflict of interest which is defined as a situation in which the nature of work to be performed under this proposed contract and the bidder's organizational, financial, contractual, or other interests may, without some restriction on future activities:

(a) Result in an unfair competitive advantage to the bidder; or,

(b) Impair the bidder's objectivity in performing the contract work.

[ ] In the absence of any actual or apparent conflict, I hereby certify that to the best of my knowledge and belief, no actual or apparent conflict of interest exists with regard to my possible performance of this procurement.

5. Bidder's Certification of Eligibility

(a) By the submission of this bid, the bidder certifies that to the best of its knowledge and belief, neither it, nor any person or firm which has an interest in the bidder's firm, nor any of the bidder's subcon-tractors, is ineligible to:

(1) Be awarded contracts by any agency of the United States Government, HUD, or the State in which this contract is to be performed; or,

(2) Participate in HUD programs pursuant to 24 CFR Part 24.

(b) The certification in paragraph (a) above is a material represen-tation of fact upon which reliance was placed when making award. If it is later determined that the bidder knowingly rendered an erroneous certification, the contract may be terminated for default, and the bidder may be debarred or suspended from participation in HUD programs and other Federal contract programs.

6. Minimum Bid Acceptance Period

(a) "Acceptance period," as used in this provision, means the number of calendar days available to the PHA/IHA for awarding a contract from the date specified in this solicitation for receipt of bids.

(b) This provision supersedes any language pertaining to the acceptance period that may appear elsewhere in this solicitation.

(c) The PHA/IHA requires a minimum acceptance period of [Contracting Officer insert time period] calendar days.

(d) In the space provided immediately below, bidders may specify a longer acceptance period than the PHA's/IHA's minimum require-ment. The bidder allows the following acceptance period:

calendar days.

(e) A bid allowing less than the PHA's/IHA's minimum acceptance period will be rejected.

(f) The bidder agrees to execute all that it has undertaken to do, in compliance with its bid, if that bid is accepted in writing within (1) the acceptance period stated in paragraph (c) above or (2) any longer acceptance period stated in paragraph (d) above.

7. Small, Minority, Women-Owned Business Concern Representation

The bidder represents and certifies as part of its bid/ offer that it --

(a) [ ] is, [ ] is not a small business concern. "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding, and qualified as a small business under the criteria and size standards in 13 CFR 121.

(b) [ ] is, [ ] is not a women-owned business enterprise. "Women-owned business enterprise," as used in this provision, means a business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and operate the business.

(c) [ ] is, [ ] is not a minority business enterprise. "Minority business enterprise," as used in this provision, means a business which is at least 51 percent owned or controlled by one or more minority group members or, in the case of a publicly owned business, at least 51 percent of its voting stock is owned by one or more minority group members, and whose management and daily opera-tions 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

8. Indian-Owned Economic Enterprise and Indian Organization Representation (applicable only if this solicitation is for a contract to be performed on a project for an Indian Housing Authority)

The bidder represents and certifies that it:

(a) [ ] is, [ ] is not an Indian-owned economic enterprise. "Economic enterprise," as used in this provision, means any com-mercial, industrial, or business activity established or organized for the purpose of profit, which is at least 51 percent Indian owned. "Indian," as used in this provision, means any person who is a member of any tribe, band, group, pueblo, or community which is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs and any "Native" as defined in the Alaska Native Claims Settlement Act.

(b) [ ] is, [ ] is not an Indian organization. "Indian organization," as used in this provision, means the governing body of any Indian tribe or entity established or recognized by such governing body.

Indian "tribe" means any Indian tribe, band, group, pueblo, or

Previous edition is obsolete Page3 of 3 form HUD-5369-A (11/92) community including Native villages and Native groups (including corporations organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native Claims Settlement Act, which is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs.

9. Certification of Eligibility Under the Davis-Bacon Act (applicable to construction contracts exceeding $2,000)

(a) By the submission of this bid, the bidder certifies that neither it nor any person or firm who has an interest in the bidder's firm is a person or firm ineligible to be awarded contracts by the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(b) No part of the contract resulting from this solicitation shall be subcontracted to any person or firm ineligible to be awarded contracts by the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(c) The penalty for making false statements is prescribed in the U.

S. Criminal Code, 18 U.S.C. 1001.

10. Certification of Nonsegregated Facilities (applicable to contracts exceeding $10,000)

(a) The bidder's attention is called to the clause entitled Equal Employment Opportunity of the General Conditions of the Con-tract for Construction.

(b) "Segregated facilities," as used in this provision, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise.

(c) By the submission of this bid, the bidder certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control where segregated facilities are maintained. The bidder agrees that a breach of this certification is a violation of the Equal Employment Opportunity clause in the contract.

(d) The bidder further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) prior to entering into subcontracts which exceed $10,000 and are not exempt from the requirements of the Equal Employment Opportunity clause, it will:

(1) Obtain identical certifications from the proposed subcon-tractors;

(2) Retain the certifications in its files; and

(3) Forward the following notice to the proposed subcontrac-tors (except if the proposed subcontractors have submitted identical certifications for specific time periods):

Notice to Prospective Subcontractors of Requirement for Certifications of Nonsegregated Facilities

A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Employment Opportunity clause of the prime contract. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually).

Note: The penalty for making false statements in bids is prescribed in 18 U.S.C. 1001.

11. Clean Air and Water Certification (applicable to con-tracts exceeding $100,000)

The bidder certifies that:

(a) Any facility to be used in the performance of this contract [ ] is, [ ] is not listed on the Environmental Protection Agency List of Violating Facilities:

(b) The bidder will immediately notify the PHA/IHA Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the Environmental Protection Agency, indicating that any facility that the bidder proposes to use for the performance of the contract is under consideration to be listed on the EPA List of Violating Facilities; and,

(c) The bidder will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract.

12. Previous Participation Certificate (applicable to construction and equipment contracts exceeding $50,000)

(a) The bidder shall complete and submit with his/her bid the Form HUD-2530, "Previous Participation Certificate." If the successful bidder does not submit the certificate with his/her bid, he/she must submit it within three (3) working days of bid opening. Failure to submit the certificate by that date may render the bid nonresponsive.

No contract award will be made without a properly executed certifi-cate.

(b) A fully executed "Previous Participation Certificate" [

] is, [ ] is not included with the bid.

13. Bidder's Signature

The bidder hereby certifies that the information contained in these certifications and representations is accurate, complete, and current.

(Signature and Date)

(Typed or Printed Name)

(Title)

(Company Name)

(Company Address) ref. Handbook 7460.8

Instructions to Offerors Non-Construction

U.S. Department of Housing and Urban Development Office of P blic and Indian Housing

11111111 -03291 -

1. Preparation of Offers

(a) Offerors are expected to examine the statement of work, the proposed contract terms and conditions, and all instructions. Failure to do so will be at the offeror's risk.

(b) Each offeror shall furnish the information required by the solicita-tion. The offeror shall sign the offer and print or type its name on the cover sheet and each continuation sheet on which it makes an entry.

Erasures or other changes must be initialed by the person signing the offer. Offers signed by an agent shall be accompanied by evidence of that agent's authority, unless that evidence has been previously furnished to the HA.

(c) Offers for services other than those specified will not be consid-ered.

2. Submission of Offers

(a) Offers and modifications thereof shall be submitted in sealed envelopes or packages (1) addressed to the office specified in the solicitation, and (2) showing the time specified for receipt, the solicita-tion number, and the name and address of the offerer.

(b) Telegraphic offers will not be considered unless authorized by the solicitation; however, offers may be modified by written or telegraphic notice.

(c) Facsimile offers, modifications or withdrawals will not be consid-ered unless authorized by the solicitation.

3. Amendments to Solicitations

(a) If this solicitation is amended, then all terms and conditions which are not modified remain unchanged.

(b) Offerers shall acknowledge receipt of any amendments to this solicitation by

(1) signing and returning the amendment;

(2) identifying the amendment number and date in the space provided for this purpose on the form for submitting an offer,

(3) letter or telegram, or

(4) facsimile, if facsimile offers are authorized in the solicitation.

The HA/HUD must receive the acknowledgment by the time specified for receipt of offers.

4. Explanation to Prospective Offerors

Any prospective offeror desii'lng an explanation or interpretation of the solicitation, statement of work, etc., must request it in writing soon enough to allow a reply to reach all prospective offerers before the submission of their offers. Oral explanations or instructions given before the award of the contract will not be binding. Any information given to aprospective offerer concerning a solicitation willbe furnished promptly to all other prospective offerors as an amendment of the solicitation, if that information is necessary in submitting offers or if the lack of it would be prejudicial to any other prospective offerors.

5. Responsibility of Prospective Contractor

(a) The HA shall award a contract only to a responsible prospective contractor who is able to perform successfully under the terms and conditions of the proposed contract. To be determined responsible, a prospective contractor must -

(1) Have adequate financial resources to perform the contract, or the ability to obtain them;

(2) Have a satisfactory performance record;

(3) Have a satisfactory record of integrity and business ethics;

(4) Have a satisfactory record of compliance with public policy

(e.g., Equal Employment Opportunity); and

(5) Not havebeen suspended, debarred, or otherwise determined to be ineligible for award of contracts by the Department of Housing and Urban Development or any other agency of the U.S. Government. Current lists of ineligible contractors are available for inspection at the HA/HUD.

(b) Before an offer is considered for award, the offeror may be requested by the HA to submit a statement or other documentation regarding any of the foregoing requirements. Failure by the offerer to provide such additional information may render the offerer ineligible for award.

6. Late Submissions, Modifications, and Withdrawal of Offers

(a) Any offer received at the place designated in the solicitation after the exact time specified for receipt will not be considered unless it is received before award is made and it -

(1) Was sent by registered or certified mail not later than the fifth calendar day before the date specified for receipt of offers (e.g., an offer submitted in response to a solicitation requiring receipt of offers by the 20th of the month must have been mailed by the 15th);

(2) Was sent by mail, or if authorized by the solicitation, was sent by telegram or via facsimile, and it is determined by the HA/ HUD that the late receipt was due solely to mishandling by the HA/HUD after receipt at the HA;

(3) Was sent by U.S. Postal Service Express Mail Next Day Service - Post Office to Addressee, not later than 5:00 p.m. at the place of mailing two working days prior to the date specified for receipt of proposals. The term "Working days" excludes weekends and U.S. Federal holidays; or

(4) Is the only offer received.

(b) Any modification of an offer, except a modification resulting from the HA's request for "best and final" offer (if this solicitation is a request for proposals), is subject to the same conditions as in subparagraphs (a)(1), (2), and (3) of this provision.

(c) A modification resulting from the HA's request for "best and final" offer received after the time and date specified in the request will not beconsidered unless received before award andthe late receipt is due solely to mishandling by the HA after receipt at the HA.

(d) The only acceptable evidence to establish the date of mailing of a late offer, modification, or withdrawal sent either by registered or certified mail is the U.S. or Canadian Postal Service postmark both on the envelope or wrapper and on the original receipt from the U.S. or Canadian Postal Service.