Section 3 Packet.pdf

Georgia Department of Community Affairs 60 Executive Park South, NE, Atlanta, GA 30329

Mandatory Section 3 Solicitation Package This mandatory solicitation package has been developed in accordance with DCA�s Section 3 Policy for Covered HUD Funded Activities. DCA encourages all recipients, sub-recipients, contractors, and sub-contractors to review this policy prior to completion of the solicitation package. For those that meet the applicable Section 3 thresholds, this package must be returned in accordance with the applicable instructions to the contracting entity prior to award or at the time of submission of a bid/proposal in order to claim a Section 3 preference. The Section 3 Clause, required forms, and instructions are included in this package.

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Any bid/proposal claiming a preference must include the completed and signed Section 3 Self- Certification and Action Plan and the Section 3 Business Concern Self Certification, and be submitted by the bid/proposal deadline.

The following Section 3 forms must be completed and returned x :

Section 3 Self Certification and Action Plan Previous Section 3 Compliance Certification Assurance of Compliance Certification

Additionally, if the contractor is claiming certification as a 51% o or is certifying as a % k the Resident Self-Certification and Skills Data Form must be returned for all employees who meet the low- or very low-income requirement as well as the appropriate Section 3 Business Certification.

DCA Mandatory Section 3 Solicitation Package October 20 Page 7

Appendix C Section 3 Forms

DCA Mandatory Section 3 Solicitation Package October 20 Page 8

Required Submittal - Section 3 Self-Certification and Action Plan

All firms and individuals intending to do business with DCA, its recipients, sub-recipients and contractors MUST complete and submit this Action Plan and submit it with the bid, offer, or proposal in order to claim a preference on any contract or prior to award of a contract $ ,0 C BG

Business Name:

D.B.A. (if different from above):

Address: City: State/Zip:

Business Phone:

Fax:

E-Mail: Business Website:

Federal Employer Identification Number: Owner Social Security Number (if no EIN):

Contact Person & Title: Contact Phone:

Trade Description:

Carpentry Heating (HVAC) Electrical Painting Masonry Restoration Asbestos Plumbing Roofing Lead (Abatement) General Contractor Concrete Ironwork Carpet/Flooring Rubbish Removal/Hauling Appraisal Services Landscaping Demolition Other:

Date Business was established (MM/DD/YYYY): ________________________________

Type of Business (Check One): Corporation Partnership Sole Proprietorship Limited Liability Corporation (LLC) Limited Liability Partnership (LLP) Joint Venture Other (Describe):

Number of employees: Full-time: _______ Part-time: _______ Contract: _______ Total: _______

Section 3 : Full-time: _______ Part-time: _______ Contract: _______ Total: _______

DCA Mandatory Section 3 Solicitation Package October 20 Page 9

I am Certifying as a Section 3 Business Concern and requesting Preference accordingly (Select only One Option):

Option 1

A business claiming status as %

Option 2 O % k

Option

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DCA Mandatory Section 3 Solicitation Package October 20 Page 10

I am NOT Requesting Preference under Section 3:

I am NOT certifying as a qualified Section 3 Business Concern and I am not requesting a preference.

However if I do trigger the regulation by doing any sub-contracting or hiring, I will comply by meeting all requirements of DCA�s Section 3 policy and am committing to do the outreach as specified below.

Check all methods you will employ to secure Section 3 Residents/Businesses Posting the position/contract opportunity in community sources that are generally available to low income residents and Section 3 Businesses and the general public is a standard requirement. Check at least three

(3) methods you will employ:

The local community newspaper The most widely distributed newspaper Company or agency website The management office of the local housing authority, or homeless service agency, or local low income housing community Local Workforce Board (i.e., Department of Labor) Local office of the Georgia Division of Family and Children Services Local office of the Georgia Department of Public Health Dodge Room http://www.construction.com/dodge/dodge.asp Other locations identified below and subject to DCA approval:

_____Initial here to confirm selection of this option

Signature:

Printed/Typed Name:

Title:

Date:

Notarial Affidavit

Sworn to and subscribed before me this ___________ day of ____________________, 20_____.

Signature of Notary Public

Printed Name of Notary Public

Commission Expiration Date: ___________________________

(Notarial Seal)

DCA Mandatory Section 3 Solicitation Package October 20 Page 11

Required Submittal - Previous Section 3 Compliance Certification

Name of Business:

Address of Business:

Type of Business (Check One): Corporation Partnership

Sole Proprietorship Other

Business Activity:

All firms and individuals intending to do business with DCA, its , sub-recipients, or contractors MUST complete and submit this certification of prior compliance prior to award of any contract j $ , CDBG . Please check the appropriate line box below and sign and date the form.

1. I am certifying that I have complied with the HUD Section 3 Regulations, when triggered by new hiring or contracting opportunities, in my past contracts when required by the recipient, sub-recipient or contractor by either:

i. Certifying Business C

ii. C B C k ;

iii. Certifying as a Section 3 Business Concern because at least 51 percent of the business is owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing;

iv. Hiring or contracting to the �greatest extent feasible� with Section 3 Residents or Section 3 Businesses.

I have never done any HUD funded contracting.

Check this box

I completed HUD Section 3 covered contracts in the past three years but the regulation was not triggered because either there were no new hires on the contract(s) and/or I did not do any new contracting or subcontracting.

Check this box

Signature:

Print Name:

Title:

Check x

DCA Mandatory Section 3 Solicitation Package October 20 Page 12

Required Submittal - Assurance of Compliance Certification Section 3 Action Plan

Housing and Urban Development Act of 1968 (12 U.S.C. 1701 U)

Contract/Solicitation Name or Number:

DCA Funding Program:_______________________________________________________________

Entity Receiving DCA Funding Award:____________________________________

Purpose: To ensure that regulations promulgated under 24 CFR Part 5 Employment Opportunities for Businesses and Lower Income Persons in Connection with Assisted Projects and the Section 3 Policy of DCA, its recipients, sub-recipients and contractors to the greatest extent feasible is adhered to, and to serve as the �assurance of compliance� certification and action plan as required in the bid documents, supplemental general conditions, and required forms for the contract for any HUD work funded by DCA.

Description of the project�s work detail: The project work will be as listed in the final scope of work in the contract with DCA, its recipients, sub-recipients and contractors including any change orders.

List all known subcontractors below:

Subcontractor(s):

Subcontractor(s):

Subcontractor(s):

Subcontractor(s):

Subcontractor(s):

Subcontractor(s):

Subcontractor(s):

Subcontractor(s):

Use an additional sheet if required.

Note: If subcontractors are unknown at this time, print UNKNOWN on the line above. Also, the contractor must notify DCA or recipient or sub-recipient if subcontractors are added or changed during the contract. Any changes to this certification requires a resubmission of this form to DCA or recipient or sub-recipient.

DCA Mandatory Section 3 Solicitation Package October 20 Page 13

Preliminary Statement for Work Force Needs:

DCA intends to meet Section 3 compliance at the highest level and it is our intent to identify any short-term and long-term employment or contracting opportunities for qualified Section 3 and Business Concerns during the course of the contract funded by DCA via its recipients or sub-recipients and contractors. Please list the status of all planned employment positions and opportunities for this contract. Preference for all opportunities must be given to low and very low-income residents if they qualify. If awarded a contract, regardless of whether your firm has elected a preference, you are required to provide a list of your aggregate workforce on this project. Any changes to that workforce during the project will constitute NEW hires. You must notify DCA, its recipient, sub-recipient or contractor (respectively) overseeing your contract of any new hire opportunities that arise during the life of your contract. The anticipated workforce list may be provided on a separate sheet or in a different format.

List All Employees Date Hired

Section 3

(Yes/No) Job Title/Trade Salary Range

Name:

Address:

City, ZIP:

Name:

Address:

City, Zip Code:

Name:

Address:

City, Zip Code:

Name:

Address:

City, Zip Code:

Use additional pages as needed.

DCA Mandatory Section 3 Solicitation Package October 20 Page 14

�To the Greatest Extent Feasible�:

The Contractor has identified ___ # of OPEN positions with respect to this contract. The positions are filled by the _________________________________________ (Position title) of the Contractor.

Should the scope of work or duties of the contractor change to a degree requiring a modification of the work force needs, the contractor shall put forth a reasonable effort to fill vacant positions with eligible Section 3 .

Documentation of �To the Greatest Extent Feasible�:

The contractor will work with DCA, its recipients, sub-recipients, and contractors staff to notify residents of any opportunities afforded under the contract. The contractor will partner with DCA, its recipients, sub-recipients, and contractors by giving preference of any employment opportunities to the Section 3 persons or businesses.

The contractor shall recruit or attempt to recruit from the Section 3 area the necessary number of low-income and very low-income residents and Section 3 businesses, as applicable. The contractor must also document their recruiting efforts and any impediments to compliance with DCA�s Section 3 policy and the requirements of this solicitation package. This documentation must be submitted to the recipient or sub-recipient.

1. DCA, its sub-recipients and contractors shall: Maintain a list of all low-income area residents who have applied, either on their own or from referral from any source, and employ such person if otherwise eligible and if a trainee vacancy exists.

2. Conduct solicitation in accordance with DCA�s Section 3 policy and the requirements outlined in the solicitation package.

The contractor shall review all employment applications and determine if low-income and very low-income residents or Section 3 businesses meet minimum hiring or contracting qualifications. If these applicants meet such minimum qualifications, but are not hired due to lack of employment opportunities or for other reasons, they will be placed on a priority list and offered positions/contracts upon the occurrence of the first available appropriate opening.

Utilization of Section 3 Businesses Located Within the :

The recipient, sub-recipient or contractor does ___ does not ___ intend to subcontract any of the work identified in the scope of work cited in the bid specifications, scope of work or General Conditions. Should the scope of work or needs of the contractor change, the contractor shall, to the greatest extent feasible, Record Keeping:

The recipient, sub-recipient, contractor or subcontractor, as applicable, shall maintain on file all records related to employment and job training of low-income and very low-income residents or other such records, advertisements, legal notices, brochures, flyers, publications, assurances of compliance from sub-contractors, etc., in connection with this contract. If a report is needed in the future, the recipient, DCA Mandatory Section 3 Solicitation Package October 20 Page 15 sub-recipient, contractor or subcontractor, as applicable, agrees to provide all records upon request.

The contractor shall, upon request, provide such records or copies of records to HUD, DCA, their recipients, sub-recipients, contractors, staff, or agents. Records shall be maintained for at least three (3) years after the close of the contract.

Reports:

The recipient, sub-recipient or contractor shall provide reports as required in connection with the contractor specifications. All certified and regular payrolls shall clearly detail which employees qualify under Section 3.

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Certification:

The recipient, sub-recipient or contractor will certify that any vacant employment positions, including training positions that filled:

After the recipient, sub-recipient or contractor is selected but before the contract is executed, and With persons other than those to who the regulations of 24 CFR Part 5 require employment opportunities to be directed, were not filled to circumvent the subcontractor�s obligations under 24 CFR Part 5.

Grievance and Compliance:

The recipient, sub-recipient, contractor or subcontractor hereby acknowledges that they understand that any low-income and very low-income resident of the project area, for him/her or as representatives of persons similarly situated, seeking employment or job training opportunities in the project area, or any eligible business concerns seeking contract opportunities may file a grievance if efforts to the greatest extent feasible were not executed. The grievance must be filed with HUD not later than one hundred eighty (180) calendar days from the date of the action (or omission) upon which the grievance is based.

I attest that the information on the preceding pages is true and correct.

Signature Date

Print Name

Title