Section 3 Plan_Housing and Urban DevelopmentMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Section 3 Plan
DATE: December 10, 2011
Dubuque
knerd
All-America City
hill!
2007
Housing and Community Development Department Director David Harris recommends
City Council approval of the Section 3 Plan. Section 3 is a federal regulation that
requires the City, as recipient of HUD funds, to provide job training, employment, and
construction contracting opportunities for low- or very -low income residents in
connection with HUD funded projects and activities. Although the City has complied
with this regulation in the past, new HUD regulations require a more formalized process.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
David Harris, Housing and Community Development Department
Masterpiece on the Mississippi
Dubuque
kard
All- America City
'111
2007
To: Michael Van Milligen, City Manager
From: David Harris, Housing and Community Development Department
SUBJECT: Section 3 Plan
DATE: December 5, 2011
INTRODUCTION
The purpose of this memorandum is to request the City Council's approval of the attached
resolution approving the Section 3 Plan. Section 3 is a federal regulation that requires the
City, as recipient of HUD funds, to provide job training, employment, and construction
contracting opportunities for low- or very-low income residents in connection with HUD
funded projects and activities. Although the City has complied with this regulation in the
past, new HUD regulations require a more formalized process.
DISCUSSION
Section 3 regulations necessitate that when a covered project requires the hiring of additional
persons or the awarding of certain contracts, preference must be given to low- and very low -
income persons or businesses in the City where the project is located. Section 3 requirements
apply to contractors and subcontractors performing CDBG funded housing rehabilitation,
housing construction, or other public construction where the amount of HUD assistance
exceeds $200,000 and a contract or subcontract exceeds $100,000.
The attached plan describes how the City will implement Section 3 regulations.
Contractors and subcontractors will submit reports and applicable certifications
documenting their compliance and provide information for our reports to HUD.
Staff has discussed the required Section 3 regulations with other City Departments. It was
determined that the Plan should require reporting for contractors and subcontractors,
including all necessary documentation on actions undertaken to hire low income residents
for HUD funded projects.
RECOMMENDATION
I recommend that the City Council approve the attached Section 3 Plan to formalize the
process for implementation of the federal regulations.
ACTION STEP
The Action Step is for the City Council to adopt the attached resolution and approve the
attached Section 3 Plan.
F: \USERS\ATAUKE \CDBG \Sec 3 \MVM memo.Section 3.doc
RESOLUTION NO. 424 -2011
RESOLUTION APPROVING A SECTION 3 PLAN FOR THE CITY OF
DUBUQUE, IOWA.
Whereas, the City of Dubuque is a recipient of Community Development Block
Grant and other federal funds through the U.S. Department of Housing and Urban
Development (HUD); and
Whereas, Section 3 is a provision of the Housing and Urban Development Act
that requires the City, as recipient of HUD funds, to provide job training, employment,
and construction contracting opportunities for low- or very-low income residents in
connection with certain HUD funded projects and activities; and
Whereas, said Section 3 Plan will apply to housing rehabilitation, housing
construction, or other public construction funded with HUD funds; and
Whereas, the Community Development Advisory Commission reviewed the
proposed Section 3 Plan on November 30, 2011 and has voted to approve said Plan
and to recommend approval by the City Council.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That the Section 3 Plan hereto attached as Exhibit A is hereby
approved.
Passed, approved and adopted this 19th day of December, 2011.
nstahl, Acting Cit
1
ynn Sutton, Mayor Pro -Tem
c: \users\kfirnsta \appdata \local \temp \section_3_resolution.doc
City of Dubuque, Iowa
Section 3 Program Overview
Masterpiece on the Mississippi
Section 3 is a provision of the Housing and Urban Development Act of 1968, which recognizes that HUD funds
are typically one of the largest sources of federal funding expended in communities through the form of grants,
loans, entitlement allocations and other forms of financial assistance. Section 3 is intended to ensure that when
employment or contracting opportunities are generated because a covered project or activity necessitates the
employment of additional persons or the awarding of contracts for work, preference must be given to low- and
very low - income persons or business concerns residing in the community where the project is located.
Applicability
A Section 3 covered project or contract is:
• Public and Indian housing development, operating or capital funds; or
• Other housing assistance and community development assistance expended for housing
rehabilitation, housing construction or other public construction projects, such as: CDBG,
HOME, Lead -Based Paint Abatement, Healthy Homes, etc.
The requirements of Section 3 typically apply to recipients of HUD funds (Recipients) that will be used for
housing construction, rehabilitation, or other public construction.
Section 3 applies to contracts for professional services and for construction work and opportunities that exist in
areas of administration, management, clerical support and construction.
Threshold Amounts
Recipient threshold. Section 3 requirements apply to all Recipients undertaking projects where the amount of
HUD assistance exceeds $200,000.
Contractor and Subcontractor threshold. Section 3 requirements apply to Contractors and Subcontractors
performing contracts on a project where the amount of HUD assistance exceeds $200,000 and a contract or
subcontract exceeds $100,000.
Example 1: If a project receives $350,000 in HUD assistance, and the Contractor has a contract for $200,000,
and the Subcontractor has a contract for $100,000, Section 3 requirements apply to the Recipient of the funds,
the Contractor and the Subcontractor.
Example 2: If a project receives $250,000 in HUD assistance, but no contract exceeds
$100,000, Section 3 requirements will apply only to the Recipient of the funds — not the
Contractor or Subcontractors.
Section 3 requirements apply to ALL non - Davis -Bacon and Davis -Bacon Projects.
Residents
Section 3 residents (Residents) are:
1) Persons who live in public and assisted housing;
2) Persons who live in the metropolitan area (the City of Dubuque) or nonmetropolitan
county where the HUD assisted project is located and have a household income that
falls below 80% of the median income for the area;
3) Participants in HUD Youthbuild programs; and
4) Homeless persons.
Priority for training and hiring Section 3 residents follows the same order as listed in the definition of Residents
above.
How can businesses find Section 3 residents to employ?
• Post or distribute flyers in Public Housing
• Contact Community Development Corporations and/or non - profits
• Contact employment agencies
• Contact neighborhood associations
• Place ads in newspapers
Eligible Section 3 residents should complete the attached form as part of the hiring process
Business Concerns
Section 3 "business concerns" are businesses that meet one or more of the following criteria (Business
Concerns)
1) 51 percent or more owned by Section 3 residents, or
2) At least 30 percent of its permanent, full -time employees include persons who are
currently Section 3 Residents, or within three years of the date of first employment
with the Business Concern were Section 3 Residents, or
3) Provides evidence, as required, of a commitment to subcontract in excess of 25
percent of the dollar award of all subcontracts to be awarded to Business Concerns
that meet the qualifications in the above two paragraphs
Numerical Goals
Recipients, Contractors and Subcontractors are required, to the greatest extent possible, to meet the following
numerical goals under Section 3
1) Recipients of Section 3 funding for public and Indian housing assistance and their
Contractors and Subcontractors may commit to employ Section 3 Residents as 30% of the
aggregate new hires in any fiscal year,
2) Recipients of Section 3 housing funding under other HUD programs and their Contractors
and Subcontractors may commit to employ Section 3 Residents as 10% of the aggregate
new hires each year for the duration of the project,
3) Recipients of Section 3 community development funding and their Contractors and
Subcontractors may commit to employ Section 3 Residents as 30% of the aggregate new
hires in any fiscal year
Numerical goals also apply to contracts awarded in connection with Section 3 projects Recipients, Contractors,
and Subcontractors may commit to award Section 3 Business Concerns
1) At least 10% of the total dollar amount of all Section 3 contracts for building trades
work for maintenance, repair, modernization or development of public or Indian
housing, or for building trades work arising in connection with housing rehabilitation,
housing construction and other public construction, and
2) At least 3% of the total dollar amount of all other Section 3 contracts
However, Section 3 rules and regulations do not prescribe specific methods of procurement or supersede
applicable procurement requirements Contracts are awarded on a competitive basis while, to the greatest extent
feasible, encouraging preference for Section 3 Business Concerns within the competitive bidding process
Recordkeepin g
Recipients, Contractors and Subcontractors must retain and make available to HUD upon request all records,
reports and other documents or items that demonstrate compliance or the attempt to comply with Section 3
requirements
Section 3 Reports
Recipients, Contractors and Subcontractors must complete the attached Section 3 Report to document all new
hires and to indicate whether Section 3 Residents were hired to fill any available positions The definition of
Section 3 Residents above is a guide for determining the status of all new employees Entities that have direct
agreements with the City of Dubuque— CDBG recipients - regarding a Section 3 Project, and other direct
Recipients of HUD funding, are responsible for collecting Section 3 Reports from their contractors,
subcontractors, consultants, etc and ultimately submitting such reports to HUD
Section 3 reports must be submitted annually by the direct Recipient of the HUD funds, along with the project's
annual performance report, to HUD If the project does not require an annual performance report, Section 3
reports should be submitted by January 10th of each year or within ten days of completion of the project General
Contractors and Subcontractors should complete and submit Section 3 reports to the assigned project manager as
defined below and/or with the closeout report of project completion
Compliance Reporting
If the numerical goals are not met, Contractors and Subcontractors must show why the goals were not feasible,
what impediments were encountered, what other economic opportunities were provided or what actions were
taken to encourage compliance
Employment
Recipients, Contractors and Subcontractors are required, to the greatest extent feasible, to provide all types of
employment opportunities to low- and very low- income persons, including permanent and long term jobs, and
are also encouraged to have Section 3 Residents make up at least 30 percent of their permanent full time staff
Filing a Complaint
Any Section 3 Resident or Section 3 Business Concern (or authorized representative) seeking employment,
training or contracting opportunities generated by Section 3 covered assistance may file a complaint using form
HUD 958 Complaints must be filed no later than 180 days from the date of the action or omission upon which
the complaint is based
Section 3 complaints can be filed by telephone, email or mail by contacting the following
Section 3 Coordinator
DC Department of Housing & Community Development
1800 Martin Luther King Jr Avenue
Washington, DC 20020
(202) 442 -7200
Section3@dc gov
Complaints may also be filed with the following
Assistant Secretary
HUD Fair Housing and Equal Opportunity
451 7th Street, SW
Washington, DC 20410
(202) 708 -3633
or
Office of Fair Housing Equal Opportunity (FHEO)
U S Department of Housing and Urban Development
Edward Zorinsky Federal Building
1616 Capitol Avenue, Suite 329
Omaha NE 68102 -4908
Note Section 3 Plan effective upon adoption by the City Council of the City of Dubuque
Oct 2011
SECTION 3 PLAN AND CERTIFICATIONS
INTRODUCTION The purpose of Section 3 of the Housing and Urban Development Act of 1968, as
amended, is to "ensure that employment and other economic opportunities generated by certain HUD
financial assistance shall, to the greatest extent feasible, be directed to low and very low income persons,
and to business concerns which provide economic opportunities to low and very low income persons "
Section 3 requires that, to the greatest extent feasible, opportunities for training and employment be given
to lower income residents of the City of Dubuque, Iowa (the Section 3 Project Area), and contracts for
work in connection with the Project be awarded to business concerns which are located m, or owned in
substantial part by persons residing in the Section 3 Project Area This is applicable for all NEW hires
THRESHOLDS
Section 3 is triggered when Recipients of funding for Section 3 covered projects receive more than
$200,000 in assistance for the project.
Section 3 is triggered when the total HUD assistance for a project exceeds $200,000, and a contract or
subcontract with a Contractor or Subcontractor exceeds $100,000. If a contract exceeds the $100,000
threshold but none of the subcontracts exceed $100,000 — the Contractor must report any NEW Section 3
hires for all hiring activities, including its hiring of all Subcontractors
If the City of Dubuque receives Section 3 covered HUD assistance in excess of $200,000 for a project, but
no contract exceeds $100,000, the Section 3 requirements apply only to the City
In order to comply with Section 3 regulations, the Recipient, Contractor or Subcontractor, as applicable,
must encourage participation of Section 3 Residents and Section 3 Business Concerns As set forth in 24
CFR 135 30, Recipients, including the City, Contractors and Subcontractors must comply, to the greatest
extent feasible, with the following numerical goals for contracting and employment
1 At least 10 percent (10 %) of the total dollar amount of all Section 3 covered contracts
for building trades work arising in connection with housing rehabilitation, housing
construction, and other public construction must be awarded to Section 3 Business
Concerns,
2 At least 3 percent (3 %) of the total dollar amount of all other Section 3 covered
contracts (e g architect, appraisal, etc) must be awarded to Section 3 Business Concerns,
3 At least 30 percent (30 %) of the aggregate number of new hires in any fiscal year
must be Section 3 Residents, for applicable Recipients, Contractors and Subcontractors
receiving assistance for public and Indian housing and community development funds,
and at least 10 percent (10 %) of the aggregate number of new hires for each year over the
duration of the project for other HUD housing programs
If these numerical goals are not met, Recipients, Contractors and Subcontractors must demonstrate why the
goals were not feasible, what impediments were encountered, what other economic opportunities were
provided or what actions were taken to encourage compliance
Section 3 residents must meet the following income limits established by HUD as of June 1, 2011.
Th ese income u� id e i lnes may be changed annually by HUD.
1 Family Size 1
2
3
4
5
6
7
8
Limit $35,700
$40,800
$45,900
$50,950
$55,050
$59,150
$63,200
$67,300
The City has a number of resources to find and place low and moderate income City residents for
employment opportunities. The following is a listing of the names and addresses of agencies to assist
contractors:
Iowa Works
680 Main Street 2' Floor
Dubuque, Iowa 52001
Tel 563 -556 -5800
Website www iowaworkforce org
Carroll Clark (c clark@cityofdubuque org)
Erica Haugen (ehaugen@cityofdubuque org)
Family Self- Sufficiency Coordinators
City of Dubuque Housing and Community Development
350 West 6th Street Suite 312, Dubuque, Iowa 52001
Tel 563 -589 -4230
SECTION 3 PLAN
Section 3 requires that, to the greatest extent feasible, opportunities for training and employment be given to lower
income residents of the City of Dubuque, Iowa ( the Section 3 Project Area), and contracts for work in connection
with a project be awarded to Business Concerns which are located in, or owned in substantial part by persons
residing in the City of Dubuque
Contractors and Subcontractors, must attempt to use Section 3 Residents and Section 3 Business Concerns located
within the City of Dubuque, as follows
A. Attempt to recruit from within the City of Dubuque the necessary individuals to fill
employment opportunities generated by Section 3 covered assistance through local
advertising media, signs placed at the proposed site for the project, and/or community
organizations and public or private institutions operating within or serving the project
area,
B. Attempt to fill vacant training positions with the maximum number of lower mcome City
residents,
C. Contact unions and trade associations to secure their cooperation for this program,
D. Notify potential Contractors and Subcontractors about Section 3 requirements, and
incorporate the "Section 3 Clauses" in all contracts,
E. Cooperate in obtaining the compliance of Contractors and Subcontractors with the
requirements of Section 3 and document the attempts to use Section 3 employees and
businesses,
F. Have all Contractors and Subcontractors on the covered project submit the following
reports
1) "Contractor /Subcontractor, Section 3 and MBEIWBE Participation Report" by
April 15` and/or October 15` following contract award,
2) "Section 3 Report" prior to July 1 s` of each year and at the completion of the
project prior to final payment, and
3) "Certification for Section 3 Businesses and Persons ", if applicable,
G. Maintain any records, including copies of correspondence, income verification
memoranda, etc , which document that all levels of the above steps have been taken, and
I. Notify Section 3 Residents and Section 3 Business Concerns about economic
opportunities generated by Section 3 covered assistance and award Section 3 covered
contracts, to the greatest extent feasible, to Section 3 business concerns in the following
order of priority
1) Section 3 Business Concerns in the project service area,
2) Low and very low income residents residing in "affected neighborhoods" adjacent
or near where a project is located, and
3) Section 3 Resident participants in the HUD Youth Build Program
2
SECTION 3 CLAUSES INCLUDE IN ALL CONTRACTS
The City will ensure that the following clauses are included in all Section 3 covered
contracts. The Contractor and Subcontractors (where applicable) will be bound by
its provisions.
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 of 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 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 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.
G. With respect to work performed in connection with Section 3 covered Indian housing
assistance, section 7(b) of the Indian Self - Determination and Education Assistance Act (25
U.S.C. 450e) also applies to the work to be performed under this contract. Section 7 (b)
requires that to the greatest extent feasible (i) preference and opportunities for training and
employment shall be given to Indians, and (ii) preference in the award of contracts and
subcontracts shall be given to Indian organizations and Indian -owned Economic
Enterprises. Parties to this contract that are subject to the provisions of Section 3 and
section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in
derogation of compliance with section 7(b).
3
DEFINITIONS
Applicant — Any entity which makes an application for Section 3 covered assistance, and includes, but
is not limited to, any State, unit of local government, public housing agency, Indian housing authority,
Indian tribe, or other public body, public or private nonprofit organization, private agency or
institution, mortgagor, developer, limited dividend sponsor, builder, property manager, community
housing development organization, resident management corporation, resident council, or cooperative
association
Business Concern — a business entity formed in accordance with State law, and which is licensed
under State, county or municipal law to engage in the type of business activity for which it was formed
Section 3 Business Concern — a business concern
1) That is 51 percent or more owned by Section 3 resident, or
2) Whose permanent, full -time employees include persons, at least 30 percent of whom are
currently Section 3 residents, or within three years of the date of first employment with the
business concern were Section 3 residents, or
3) That provides evidence of a commitment to subcontract in excess of 25 percent of the
dollar award of all subcontractors to be awarded to business concerns that meet the
qualifications set forth in paragraphs 1 or 2 above
Contractor - any entity which contracts to perform work generated the expenditure of Section 3
covered assistance, or for work in connection with a Section 3 covered project
Subcontractor — any entity (other than a person who is an employee of the contractor) which has a
contract with a contractor to undertake a portion of the contractor's obligation for the performance of
work generated by the expenditure of Section 3 covered assistance, or arising in connection with a
Section 3 covered project
Employment Opportunities Generated by Section 3 Covered Assistance — all employment
opportunities generated by the expenditure of Section 3 covered public and Indian housing assistance
(i e , operating assistance, development assistance and modernization assistance, (as described in
Section 135 3 (a)(1)) With respect to Section 3 covered housing and community development
assistance, this term means all employment opportunities arising in connection with Section 3 covered
projects (as described in Section 135 3(a)(2)), including management and administrative jobs
Management and administrative jobs include architectural, engineering or related professional services
required to prepare plans, drawings, specifications, or work write -ups, and jobs directly related to
administrative support of these activities, e g , construction manager, relocation specialist, payroll
clerk, etc
HUD Youthbuild Proerams — programs that receive assistance under subtitle D of Title IV of the
National Affordable Housing Act, as amended by the Housing and Community Development Act of
1992 (42 U S C 12899), and provide disadvantaged youth with opportunities for employment,
education, leadership development, and training in the construction or rehabilitation of housing for
homeless individuals and members of low- and very low- income families
Low- income person — families (including single persons) whose incomes do not exceed 80 per centum
of the median income for the area, as determined by the Secretary, with adjustments for smaller and
larger families, except that the Secretary may establish income ceilings higher or lower than 80 per
centum of the median for the area on the basis of the Secretary's findings that such variations are
necessary because of prevailing levels of construction costs or unusually high or low- income families
Very low- income person — families (including single persons) whose income do not exceed 50 per
4
centum of the median family income for the area, as determined by the Secretary with adjustments for
smaller and larger families, except that the Secretary may establish income ceilings higher or lower
than 50 per centum of the median for the area on the basis of the Secretary's findings that such
variations are necessary because of unusually high or low family incomes
Metropolitan Area — a metropolitan statistical area (MSA), as established by the Office of
Management and Budget
New Hires — full -time employees for permanent, temporary or seasonal employment opportunities
Recipient — any entity which receives Section 3 covered assistance, directly from HUD or from
another recipient and includes, but is not limited to, any State unit of local government, PHA, or other
public body, public or private nonprofit organization, private agency or institution, mortgagor,
developer, limited dividend sponsor, builder, property manager, community housing development
organization, resident management corporation, resident council, or cooperative association Recipient
also includes any successor, assignee or transferee of any such entity, but does not include any ultimate
beneficiary under the HUD program to which Section 3 applies and does not include contractors
Section 3 — Section 3 of the Housing and Urban Development Act of 1968, as amended 12 U S C
1701u
Section 3 Covered Assistance — public and Indian housing operating assistance and assistance
provided under any HUD housing or community development program that is expended for work
arising in connection with housing rehabilitation, construction, or other public construction project
(which includes other buildings or improvements, regardless of ownership)
Section 3 Covered Contracts — a contract or subcontract (including a professional service contract)
awarded by a recipient or contractor for work generated by the expenditure of Section 3 covered
assistance, or for work arising in connection with a Section 3 covered project Section 3 covered
contracts do not include contracts awarded under HUD's procurement program, which are governed by
the Federal Acquisition Regulation (FAR), or contracts for the purchase of supplies and materials
However, whenever a contract for materials includes the installation of the materials, the contract
constitutes a Section 3 covered contract
Section 3 Covered Proiect - the construction, reconstruction, conversion or rehabilitation of housing
(including reduction and abatement of lead -based paint hazards), other public construction which
includes buildings or improvements (regardless of ownership) assisted with housing or community
development assistance
Section 3 Resident — a public housing resident or an individual who resides in the metropolitan area or
nonmetropolitan county in which the Section 3 covered assistance is expended and who is considered
to be a low -to very low- income person
F \USERS\ATAUKE1CDBG \Sec 3\Sec 3 Plan Oct 2011 Final docx
5
CERTIFICATION FOR SECTION 3 BUSINESS CONCERNS AND RESIDENTS
PROJECT:
NAME:
Complete and submit for each Section 3 Business Concern and /or Resident
used on the Section 3 Project
This is a (circle one): RESIDENT BUSINESS CONCERN
ADDRESS:
City: State:
Zip Code
If this is a RESIDENT:
Name of employing firm
Resident living in The City of Dubuque, Iowa
Average working hours each week
Check all For this person's Family Size, Approximate Annual Income is below the corresponding limit
that apply
Family Size
1
2
3
4
5
6
63,200
8
Limit
35,700
40,800
45,900
50,950
55,050
59,150
62,400
67,300
Participant in a local Youth Build program
Participant in the following rental assistance program
Sign Date
By
(also note relationship if not signed by Section 3 Resident)
If this is a BUSINESS CONCERN:
Check all
that apply
30% or more of full time (or equivalent) employees are qualified Section 3 Employees Attached please
find Section 3 Certifications for all qualified employees Business employs the equivalent of
approximately full time employees
The company is 51% or more owned by qualified Section 3 residents Attached please find evidence of
ownership and Section 3 Certifications for all qualified owners
25% of subcontracts will be awarded to qualified Section 3 Business Concerns Attached please find a
contract summary sheet listing subcontractors and contract amounts and the Section 3
Certifications and supporting Documents for each qualified Section 3 Subcontractor For this project,
the total of all Section 3 and Non - Section 3 contracts for this business is $
Sign Date
By
(note relationship if not signed by Section 3 Business Concern principal)
6
PROJECT:
CONTRACTOR/SUBCONTRACTOR, SECTION 3 AND MBE /WBE PARTICIPATION REPORT
FIRM:
DATE:
(DUE APRIL PT AND /OR OCTOBER 1ST)
PLEASE LIST ALL CONTRACTORS /SUBCONTRACTORS /SECTION 3 CONTRACTORS AND MINORITY/WOMEN OWNED BUSINESSES (MBE/WBE)
Please submit by March 1st and /or September 1St. Update and resubmit this form when hiring or changing contractors
DUE APRIL 131. Period Covered: Check one and Enter Year(s) DUE OCTOBER 1ST
Penod 1 October 1 to March 31
Penod 1 Apn1 1 to September 30
MBE or Race/ Section 3
WBE
Ethnicity Business Concern
Name of Firm
Trade
Total Contract Award
1
3
4
(,
8
0
10
A Section 3 Business Concern can be one of the following
1) *30% or more of full time (or equivalent) employees are qualified Section 3 employees
2) *The company is 51% or more owned by qualified Section 3 Residents Or
3) *25% of subcontracts will be to qualified Section 3 Contractors
I certify this information to be accurate and true to the best of my ability.
Signature: (Print) Name & Title:
7
Section 3 Report LDue July 1st and at Project Completion)
Economic Opportunities for Low- and Very Low - Income Persons
For City Use Only
Recorded Date By
1. Contractor (subcontractor) Name and Address:
2. Contract Number:
3. Dollar Amount of Award:
4. Contract End Date:
5. Date Report Submitted:
6. Contact Person:
7. Administering Agency: City of Dubuque, Iowa
8. PROGRAM: ❑ CDBG ❑ HOME ❑ Lead ❑ Healthy
Home
9. Signature:
10. Phone:
Part I: Em lo ment and Trainin
A
Job Category
B
Number of
New Hires
for this
Prgect/
Activity
C
Number of
New Hires
for this
Project/
Activity
who are
Section3
Eligible
D
Number of
Section 3
Employees
and Tramees
(new and
existing)
Professionals
Technicians
Office /Clerical
Construction by Trade:*
Carpenters
Concrete Finishers
Electricians
Ironworkers
Laborers
Power Equipment Operators
Truck Drivers
Other:
*Trades listed are from the Davis -Bacon General Heavy/Highway Wage Determination
Payroll Reports should indicate new hires and Section 3 employees
Part II: Contracts Awarded
1 Construction Contracts
Use other trades as necessary
A Total dollar amounts of all contracts awarded on this project /activity $
B Total dollar amount of all contracts awarded to Section 3 businesses $
C Total Number of Section 3 business receiving contracts
2 Non - construction Contracts
A Total dollar amount of all non - construction contracts awarded on this project/activity $
B Total dollar amount of non - construction contracts awarded to Section 3 businesses $
C Total number of Section 3 businesses receiving non - construction contracts
Certified
Part III: Summary
Indicate the efforts made to direct the employment and other economic opportunities generated by HUD financial assistance for
housing and community development programs, to the greatest extent feasible, toward low- and very low- income persons,
particularly those who are recipients of government assistance for housing (Check all that apply )
❑ Attempted to recruit low- income persons through local advertising media, signs prominently displayed at the project site,
contacts with community organizations and public or private agencies operating within the metropolitan area (or non -
metropolitan county) in which the Section 3 covered program or project is located, or similar methods
❑ Participated in a HUD program or other program that promotes the training or employment of' Section 3 persons
❑ Participated in a HUD program or other program that promotes the award of' contracts to business concerns that meet the
definition of Section 3 business concerns
❑ Coordinated with Youthbuild Programs administered in the metropolitan area in which the Section 3 covered project is
located
❑ Other; describe (Required):
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Please submit to City of Dubuque representative by July ls` of each year AND at
the end of the proiect.
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Section 3 Report: Economic Opportunities for Low- and Very Low - Income Persons.
Instructions: This form is to be used to report annual accomplishments regarding
employment and other economic opportunities provided to low- and very low - income
persons under Section 3 of the Housing and Urban Development Act of 1968 The
Section 3 regulations apply to any public and Indian Housing programs that receive (1)
development assistance pursuant to Section 5 of the U S Housing Act of 1937, (2)
operating assistance pursuant to Section 9 of the U S Housing Act of' 1937, or (3)
modernization grants pursuant to Section 14 of the U S Housing Act of 1937 and to
recipients of housing and community development assistance in excess of$200,000
expended for (1) housing rehabilitation (including reduction and abatement of lead -based
paint hazards), (2) housing construction, or (3) other public construction projects, and to
contracts and subcontracts in excess of$100,000 awarded in connection with the
Section -3- covered activity
This form has three parts that are to be completed for all programs covered by
Section 3 Part I relates to employment and training, Part II of' the form relates to
contracting, and Part III summarizes recipients' efforts to comply with Section 3
Recipients or contractors subject to Section 3 requirements must maintain
appropriate documentation to establish that HUD financial assistance for
housing and community development programs were directed toward low -
and very low- income persons * A recipient of Section 3 covered assistance
shall submit one copy of this report to the Iowa Department of Economic
Development The report must be received within 60 days of the contract
end date
1 Recipient Enter the name and address of the recipient
2 Contract Number Enter the contract number
3 Dollar Amount of Award Enter the dollar amount, rounded to the nearest dollar,
received by the recipient
4 Contract End Date Enter the contract end date This will most likely be the person
responsible for contract administration
5 Date Report Submitted Enter the appropriate date
6 & 7 Contact Person /Admmistermg Agency Enter the name and administering
agency /company of' the person with knowledge of' the award and the Recipient's
implementation of Section 3
8 Program Check appropriate program for which the report is being submitted
9 Signature Signature of person completing the report
10 Contact person's phone number
Part I: Employment and Training Opportunities
Column A: Contains various job categories Professionals are defined as people who have
special knowledge of an occupation (i e , supervisors, architects, surveyors, planners, and
computer programmers) For construction positions, list each trade and provide data in columns
B through D for each trade where persons were employed For your convenience, a listing of
trades from the Davis -Bacon Heavy /Highway General Decision (the wage rate most commonly
used) has been provided List other trades as necessary The category of "Other" includes
occupations such as service workers
Column B: Enter the number of new hires for each category of workers identified in Column A
in connection with this award New Hire refers to a person who is not on the contractor's or
recipient's payroll for employment at the time of selection for the Section 3 covered award or at
the time of receipt of Section 3 covered assistance
Column C: Enter the number of Section 3 new hires for each category of workers identified in
Column A in connection with this award Section 3 new hire refers to a person who qualifies
under Section 3 income guidelines who is not on the contractor's or recipient's payroll for
employment at the time of selection for the Section 3 covered award or at the time of receipt of
Section 3 covered assistance
Column D: Enter the number of all Section 3 persons that were employed and trained in
connection with this award
Part II: Contract Opportunities
1. Construction Contracts
Item A Enter the total dollar amount of all contracts awarded on the project/activity
Item B Enter the total dollar amount of contracts connected with this project/activity that were
awarded to Section 3 businesses
Item C Enter the number of Section 3 businesses receiving awards
2. Non - Construction Contracts
Item A Enter the total dollar amount of all contacts awarded on the project/activity
Item B Enter the total dollar amount of contracts connected with this project/activity that were
awarded to Section 3 businesses
Item C Enter the number of Section 3 businesses receiving awards
Part III: Summary of Efforts - Self - explanatory
*Definitions of terms:
The terms "low- income persons" and "very low- income persons" have the same meanings given
the terms in section 3(b)(2) of the United States Housing Act of 1937 Low- income persons
mean families (including single persons) whose incomes do not exceed 80 per centum of the
median income for the area, as determined by the Secretary, with adjustments for smaller and
larger families, except that the Secretary may establish income ceilings higher or lower than 80
per centum of the median for the area on the basis of the Secretary's findings such that
variations are necessary because of prevailing levels
of construction costs or unusually high- or low- income families Very low - income persons mean low -
income families (including single persons) whose incomes do not exceed 50 per centum of the median
family income for the area, as determined by the Secretary with adjustments for smaller and larger families,
except that the Secretary may establish income ceilings higher or lower than 50 per centum of the median
for the area on the basis of the Secretary 's findings that such variations are necessary because of unusually
high or low family incomes
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