HUD 60002 Section 3 Summary Report (revised)

Section 3 Summary Report U.S. Department of Housing OMB Approval No: 2529-0043

Economic Opportunities for and Urban Development (exp. 8/13/20XX)

Low – and Very Low-Income Persons

And Eligible Businesses Office of Fair Housing

And Equal Opportunity

Public Reporting Burden statement printed below

1. Recipient Name & Address: (street, city, state, zip)			2. Tax Identification Number (TIN):					3. Total Amount Expended:
			4. Contact Person					5. Telephone Number: (Include area code)
			6. Start Date of Reporting Period:					7. End Date of Reporting Period:
			8. Program Code and Name: (A separate report must be submitted for each source of covered funding)				9. Date Report Submitted:
	Part I: Employment and Training Opportunities (** Columns B, C and F are mandatory fields. Only include New Hires in these fields)
A Job Category		B Number of New Hires		C Number of New Hires that are Section 3 Residents	D Aggregate Number of all Staff Hours Worked (Optional)	E Total Staff Hours Worked by all Section 3 Employees (Optional)			F Percentage of Staff Hours Worked by Section 3 Employees Column E/ Column D (Optional, but must be completed if columns D & E are completed	G Number of Section 3 Trainees
Professionals
Clerical
Administrative
Case Management
Facilities Management
Technical (Bookkeeping, IT, etc.)
Carpentry
Painting
Masonry
Plumbing
Electrical
Janitorial
Security
Other: Describe
Total

Part II: Contracting Opportunities

	Construction Contracts	HUD Amount	Leveraged Amount	Total (HUD Amount + Leveraged Amount)
	Total dollar amount of construction contracts awarded with covered funds expended during the reporting period
	Total dollar amount of contracts awarded to Section 3 businesses during the reporting period
	Percentage of the total dollar amount of construction contracts that were awarded to Section 3 businesses during the reporting period (i.e., Item B/ Item A= %)
	Total number of Section 3 businesses receiving construction contracts during the reporting period
	Non-Construction Contracts
	Total dollar amount of non-construction contracts awarded with covered funds expended during the reporting period
	Total dollar amount of non-contracts awarded to Section 3 businesses during the reporting period
	Percentage of the total dollar amount of non-construction contracts that were awarded to Section 3 businesses during the reporting period (i.e., Item B/ Item A= %)
	Total number of Section 3 businesses receiving non-construction contracts during the reporting period
Part III: Summary of Efforts 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 and maintain copies of all documentation as evidence of the actions checked below) _____ Attempted to recruit low-income residents through: local advertising media, signs prominently displayed at the project site, contracts with the community organizations and public or private agencies operating within the metropolitan area (or nonmetropolitan county) in which the Section 3 covered program or project is located, or similar methods. _____ Participated in a HUD program or other program which promotes the training or employment of Section 3 residents. _____ Participated in a HUD program or other program which promotes the award of contracts to business concerns which 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. Entered into ‘‘first source’’ hiring agreements with organizations representing Section 3 residents. Established training programs, which are consistent with the requirements of the Department of Labor. Posted job postings within public housing developments(s) for employment opportunities available which identify the positions to be filled, the qualifications required, and where to obtain additional information about the application process. Advertised and/or issued print or electronic notices of employment opportunities to Section 3 residents. Advertised the jobs to be filled through the local media, such as community television networks, newspapers of general circulation, and/or radio advertising. Contacted public housing resident councils, resident management corporations, or other resident organizations, to request the assistance of these organizations in notifying Section 3 residents of the training and employment positions to be filled. Provided contractors a list of Work force development, social service, community based organizations, etc. that the recipient contacted to assist them with notifying Section 3 residents about employment and training opportunities. Initiated targeted community group meetings and mailings to recruit/attract Section 3 residents and Section 3 businesses. Conducted speaking presentations and or trainings to Section 3 residents and/or businesses. Employed Section 3 residents directly on either a permanent or a temporary basis to perform work generated by Section 3 assistance (‘‘force account labor’’). Maintained a file of eligible qualified Section 3 residents for future employment positions. Utilized Payroll Certification, Worker Utilization Forms, and other types of data to identify potential employment and contracting opportunities. Maintained documentation of training provided to Section 3 residents. Provided contractors a list of Section 3 Residents that applied for jobs that were advertised (name, address and phone numbers). Contacted business development agencies, minority contractors associations, chambers of commerce, local Small Business Administration (SBA) and/or other similar community organizations to request their assistance in identifying section 3 businesses to be notified about HUD funded contracts. _____ Used HUD’s Section 3 Business Registry to locate local Section 3 businesses. Advertised and/or issued print or electronic notices of contracting opportunities to prospective Section 3 businesses. Provided contractors a list of Section 3 businesses to be notified about subcontracting opportunities (names, address and phone numbers). Advertised contracting opportunities by posting notices, which provide general information about the work to be contracted and where to obtain additional information at job sites. Initiated targeted community business group meetings and mailings to notify Section 3 business of contracting opportunities. ____ Other efforts to achieve compliance (Please describe below).
Describe other Efforts to achieve compliance:
Covered Recipients are required to either meet all three minimum numerical goals for employment and contracting (see below), or provide a description of the steps taken to meet the goals, barriers encountered, and actions that will be taken to address them If your agency failed to meet all three Section 3 minimum numerical goals, please provide an explanation:

NOTE: The Section 3 minimum numerical goals are as follows:

Employment Opportunities:

30% of the aggregate number of new hires shall be Section 3 Residents

Contracting Opportunities:

Construction contract—10% of the aggregate dollar amount of construction contracts shall be awarded to Section 3 Businesses

Construction contract—3% of the aggregate dollar amount of non-construction contracts shall be awarded to Section 3 Businesses

Please review the Section 3 FAQs for definitions of Section 3 Residents and Business Concerns.

Public reporting for this collection of information is estimated to average 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB number.

Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u,and the implementing regulation at 24 CFR § 135 mandates that HUD shall ensure that employment, training, contracting, and other economic opportunities generated by its housing and community development assistance programs are directed toward low- and very-low income persons, particularly those who are recipients of government assistance housing and businesses that substantially employ these persons. Please visit www.hud.gov/section3 to learn more about the regulatory requirements of Section 3.

The information will be used by the Department to monitor program recipients’ compliance with Section 3, to assess the results of the Department’s efforts to meet the statutory objectives of Section 3, to prepare reports to Congress. The report may also be used by recipients as self-monitoring tool. The data shall be entered into a database and will be analyzed and made available to the public by HUD staff. The collection of information is restricted to direct recipients of Federal financial assistance for housing and community development programs covered by Section 3. The information will be collected annually to assist HUD in meeting its reporting requirements under Section 3 of the Housing and Urban Development Act and Section 916 of the HCDA of 1992. An assurance of confidentiality is not applicable to this form. The Privacy Act of 1974 and OMB Circular A-108 are not applicable. The reporting requirements do not contain sensitive questions. Data is cumulative; personal identifying information is not included.

Instructions:

This form is to be used to report annual accomplishments regarding employment, training, contracting, and other economic opportunities provided to low- and very low-income persons, and the businesses that substantially employ them pursuant to 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 or capital fund 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 their contractors and subcontractors that receive awards in excess of $100,000 for Section-3covered activities.

Form HUD-60002 is only to be submitted by direct recipients of HUD funding (i.e., Public Housing Agencies (PHAs, municipalities, Participating Jurisdictions (PJs), property owners, recipients of competitive grant awards, etc.). This form is NOT to be submitted to HUD by contractors, developers, subrecipients, or other entities that do not receive funds directly from HUD. Additional information about Section 3 and reporting requirements can be found at: www.hud.gov/section3.

Form HUD-60002 has three parts, which are to be completed for all programs covered by Section 3. Part I relates to new Employment and Training opportunities created by recipients and their contractors. Part II of the form identifies covered Contracting opportunities generated by HUD funding , and Part III summarizes recipients’ Efforts to comply with the regulatory requirements of Section 3, which includes either meeting the minimum numerical goals for employment and contracting, or providing an explanation of why the goals were not met.

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 HUD Headquarters, Office of Fair Housing and Equal Opportunity. Where the program providing assistance requires an annual performance report, this Section 3 report is to be submitted at the same time the program performance report is submitted. Where an annual performance report is not required, this Section 3 report is to be submitted by January 10 and, if the project ends before December 31, within 10 days of project completion.

1. Recipient: Enter the name and address of the recipient submitting this report.

2. Tax Identification Number (TIN): Enter the tax identification associated with the recipient listed in item #1.

3. Dollar Amount of Award: Enter the dollar amount, rounded to the nearest dollar, received by the recipient.

4. Contact Person/: Enter the name

of the person with knowledge of the award and the recipient’s implementation of Section 3.

5. Telephone Number: Enter the office telephone number for the person listed in item #4.

6. Start Date of Reporting Period: Indicate the start date for the time period (month/day/year) that this report covers.

7. End Date of Reporting Period: Indicate the end date for the time period (month/day/year) that this report covers.

5. Program Code and Name: Enter the appropriate program code and name for the type of funds associated with this report. A separate report must be submitted for each program code.

6. Date Report Submitted. Enter the date that the report was submitted to HUD.

Part I: Employment and Training Opportunities

Column A: Lists various job categories for persons employed in connection with this report. The category of “Other” includes occupations such as service workers.

Column B: (Mandatory Field) Enter the number of new hires for each job category or trade identified in Column A in connection with this report. 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: (Mandatory Field) Enter the number of Section 3 new hires for each category of workers identified in Column A in connection with this report. Section 3 new hire refers to a Section 3 resident 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 aggregate number of staff hours of new hires (Section 3 residents) in connection with this report.

Column E: Enter the total amount of staff hours worked by persons that meet the definition of Section 3 residents (including new hires) connected with this report. Include staff hours for part-time and full-time positions.

Column F: Calculate the percentage of staff hours worked by Section 3 employees (i.e., staff hours worked by Section 3 Employees/aggregate number of staff hours worked).

Column G: (Mandatory Field) Enter the number of Section 3 residents that were trained for each job category or trade identified in Column A in connection with this report.

Part II: Contracting Opportunities

Block 1: Construction Contracts

Item A: Enter the total dollar amount of all construction contracts awarded during the reporting period. Include both HUD and Leveraged Amounts, which should be equal to the total (Item A + Item B = Total)

Item B: Enter the total dollar amount of construction contracts connected that were awarded to Section 3 businesses during the reporting period. Include both HUD and Leveraged Amounts, which should be equal to the total (Item A + Item B = Total)

Item C: Enter the percentage of the total dollar amount of construction contracts awarded to Section 3 businesses during the reporting period. Indicate HUD and Leveraged percentages. (Item B/ Item A = %) The total amount should be 100%

Item D: Enter the number of Section 3 businesses receiving construction contracts during the reporting period.

Block 2: Non-Construction Contracts

Item A: Enter the total dollar amount of all non-construction contracts awarded during the reporting period. Include both HUD and Leveraged Amounts, which should be equal to the total (Item A + Item B = Total)

Item B: Enter the total dollar amount of non- construction contracts t awarded to Section 3 businesses during the reporting period. Include both HUD and Leveraged Amounts, which should be equal to the total (Item A + Item B = Total)

Item C: Enter the percentage of the total dollar amount of non-construction contracts awarded to Section 3 businesses. Indicate HUD and Leveraged percentages. The total amount should be 100%

Item D: Enter the number of Section 3 businesses receiving non-construction contracts.

Part III: Summary of Efforts

1. Check all appropriate actions that describe efforts taken by the recipient to meet the regulatory requirements of Section 3. Recipients are required to maintain copies of all documentation as evidence of the actions that are checked.

2. Describe other efforts to achieve compliance. A list of some possible actions is provided at 24 CFR § 135.40 or in the Section 3 FAQs at www.hud.gov/section3.

3. Recipients that failed to meet all three Section 3 minimum numerical goals for employment and contracting, are required to provide an explanation of why it was not feasible to do so. Such explanations may describe the steps taken to meet the goals, barriers encountered, and actions that will be taken to address them in the future.

Page i Form HUD 60002 (7/2015 ) Ref 24 CFR 135

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