9-Assurance of Compliance.pdf
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- Attached to
- Scattered Sites General Construction Services
- Solicitation number
- 2026-03
- Issued by
- Dauphin County, Harveys Lake Borough, Pennsylvania
About this file
This is an Assurance of Compliance certification document mandated under Section 3 of the Housing and Urban Development (HUD) Act of 1968, applicable to federally-assisted projects. The document establishes requirements for applicants and recipients of Federal financial assistance to provide training, employment, and contracting opportunities to lower-income residents of project areas and to award contracts to business concerns located in or substantially owned by persons residing in the project area. The applicant must develop and implement an affirmative action plan, make good faith efforts to provide the required training and employment opportunities, and incorporate the Section 3 Clause into all project-related contracts. Compliance is a binding condition of Federal financial assistance, with failure to meet requirements subjecting the applicant, contractors, subcontractors, and their successors and assigns to specified sanctions as detailed in 24 CFR Part 135. The certification requires submission of a detailed Bidder's Section 3 action plan as an attachment.
The document does not contain pricing information, set-asides, or funding amounts, as it serves as a compliance certification framework rather than a procurement specification. The requirements apply uniformly to all federally-assisted projects covered under HUD Act Section 3, with regulations published in 24 CFR Part 135 (effective October 23, 1973) governing implementation. The certification must be signed by the applicant or recipient, with the signature, address, and date documented on the form. This assurance mechanism ensures that Federal funding advances both project objectives and broader policy goals of economic opportunity and non-discrimination in employment and contracting.
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Text version
ASSURANCE OF COMPLIANCE (Section 3, HUD ACT of 1968)
TRAINING, EMPLOYMENT, AND CONTRACTING OPPORTUNITIES FOR BUSINESS AND LOWER
INCOME PERSONS
A. The project assisted under this (contract) (agreement) is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S. C. 170U.
Section 3 requires that to the greatest extent feasible opportunities for training and employment be given to lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns which are located in or owned in substantial part by persons residing in the area of the project.
B. Notwithstanding any other provision of this (contract) (agreement), the (applicant) (recipient) shall carry out the provisions of said Section 3 and the regulations issued pursuant thereto by the Secretary set forth in 24 CFR Part 135 (published in 38 Federal Register 29220, October 23, 1973), and all applicable rules and orders of the Secretary issued there under prior to the execution of this (contract) (agreement). The requirements of said regulations include but are not limited to development and implementation of an affirmative action plan for utilizing business concerns located within or owned in substantial part by persons residing in the area of the project; the making of a good faith effort, as defined by the regulation, to provide training, employment and business opportunities required by Section 3; and incorporation of the “Section 3 Clause” specified by Section 135.20 (b) of the regulations in all contracts for work in connection with the project. The (applicant) (recipient) certifies and agrees that it is under no contractual or other disability which would prevent it from complying with these requirements.
C. Compliance with the provisions of the Section 3 Clause of this covered contract, the regulations set forth in 24 CFR Part 135, and all applicable rules and orders of the Secretary issued there under prior to approval by the Government of the application for this (contract) (agreement), shall be a condition of the Federal financial assistance provided to the project, binding upon the (applicant) (recipient), its successors and assigns. Failure to fulfill these requirements shall subject the (applicant) (recipient), its contractors and subcontractors, its successors, and assigns to the sanctions specified by the (contract) (agreement), and to such sanctions as are specified by 24 CFR Section 135
D. Attachment to this certification: Bidder's Section 3 action plan. Submission of a detailed plan shall be attached to and becomes a part of this certification.
APPLICANT:
SIGNATURE:
Address
Date:
| ASSURANCE OF COMPLIANCE |
| ASSURANCE OF COMPLIANCE (Section 3, HUD ACT of 1968) |
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