1、703 SUBCHAPTER BEMPLOYMENT AND BUSINESS OPPORTUNITY PART 135ECONOMIC OPPORTU-NITIES FOR LOW- AND VERY LOW-INCOME PERSONS Subpart AGeneral Provisions Sec. 135.1 Purpose. 135.2 Effective date of regulation. 135.3 Applicability. 135.5 Definitions. 135.7 Delegation of authority. 135.9 Requirements appli
2、cable to HUD NOFAs for section 3 covered programs. 135.11 Other laws governing training, em-ployment, and contracting. Subpart BEconomic Opportunities for Section 3 Residents and Section 3 Busi-ness Concerns 135.30 Numerical goals for meeting the greatest extent feasible requirement. 135.32 Responsi
3、bilities of the recipient. 135.34 Preference for section 3 residents in training and employment opportunities. 135.36 Preference for section 3 business con-cerns in contracting opportunities. 135.38 Section 3 clause. 135.40 Providing other economic opportuni-ties. Subpart C Reserved Subpart DComplai
4、nt and Compliance Review 135.70 General. 135.72 Cooperation in achieving compliance. 135.74 Section 3 compliance review proce-dures. 135.76 Filing and processing complaints. Subpart EReporting and Recordkeeping 135.90 Reporting. 135.92 Recordkeeping and access to records. APPENDIX TO PART 135 AUTHOR
5、ITY: 12 U.S.C. 1701u; 42 U.S.C. 3535(d). SOURCE: 59 FR 33880, June 30, 1994, unless otherwise noted. EFFECTIVE DATE NOTE: At 59 FR 33880, June 30, 1994, part 135 was revised effective August 1, 1994 through June 30, 1995. At 60 FR 28325, May 31, 1995, the effective period was ex-tended until the fin
6、al rule implementing changes made to section 3 of the Housing and Urban Development Act of 1968 by the Hous-ing and Community Development Act of 1992 is published and becomes effective. Subpart AGeneral Provisions 135.1 Purpose. (a) Section 3. The purpose of section 3 of the Housing and Urban Develo
7、pment Act of 1968 (12 U.S.C. 1701u) (section 3) is to ensure that employment and other economic opportunities gen-erated by certain HUD financial assist-ance shall, to the greatest extent fea-sible, and consistent with existing Fed-eral, State and local laws and regula-tions, be directed to low- and
8、 very low- income persons, particularly those who are recipients of government assist-ance for housing, and to business con-cerns which provide economic opportu-nities to low- and very low-income per-sons. (b) Part 135. The purpose of this part is to establish the standards and proce-dures to be fol
9、lowed to ensure that the objectives of section 3 are met. 135.2 Effective date of regulation. The regulations of this part will re-main in effect until the date the final rule adopting the regulations of this part with or without changes is pub-lished and becomes effective, at which point the final
10、rule will remain in ef-fect. 60 FR 28326, May 31, 1995 135.3 Applicability. (a) Section 3 covered assistance. Sec-tion 3 applies to the following HUD as-sistance (section 3 covered assistance): (1) Public and Indian housing assist-ance. Section 3 applies to training, em-ployment, contracting and oth
11、er eco-nomic opportunities arising from the expenditure of the following public and Indian housing assistance: (i) Development assistance provided pursuant to section 5 of the U.S. Hous-ing Act of 1937 (1937 Act); (ii) Operating assistance provided pursuant to section 9 of the 1937 Act; and VerDate
12、Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00713 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-704 24 CFR Subtitle B, Ch. I (4111 Edition) 135.5 (iii) Modernization
13、 assistance pro-vided pursuant to section 14 of the 1937 Act; (2) Housing and community develop-ment assistance. Section 3 applies to training, employment, contracting and other economic opportunities arising in connection with the expenditure of housing assistance (including section 8 assistance, a
14、nd including other housing assistance not administered by the As-sistant Secretary of Housing) and com-munity development assistance that is used for the following projects; (i) Housing rehabilitation (including reduction and abatement of lead-based paint hazards, but excluding routine maintenance,
15、repair and replacement); (ii) Housing construction; and (iii) Other public construction. (3) Thresholds(i) No thresholds for section 3 covered public and Indian hous-ing assistance. The requirements of this part apply to section 3 covered assist-ance provided to recipients, notwith-standing the amou
16、nt of the assistance provided to the recipient. The require-ments of this part apply to all contrac-tors and subcontractors performing work in connection with projects and activities funded by public and Indian housing assistance covered by section 3, regardless of the amount of the con-tract or sub
17、contract. (ii) Thresholds for section 3 covered housing and community development as-sistance(A) Recipient thresholds. The requirements of this part apply to re-cipients of other housing and commu-nity development program assistance for a section 3 covered project(s) for which the amount of the assi
18、stance ex-ceeds $200,000. (B) Contractor and subcontractor thresholds. The requirements of this part apply to contractors and sub-contractors performing work on sec-tion 3 covered project(s) for which the amount of the assistance exceeds $200,000; and the contract or sub-contract exceeds $100,000. (
19、C) Threshold met for recipients, but not contractors or subcontractors. If a recipi-ent receives section 3 covered housing or community development assistance in excess of $200,000, but no contract exceeds $100,000, the section 3 pref-erence requirements only apply to the recipient. (b) Applicabilit
20、y of section 3 to entire project or activity funded with section 3 assistance. The requirements of this part apply to the entire project or ac-tivity that is funded with section 3 cov-ered assistance, regardless of whether the section 3 activity is fully or par-tially funded with section 3 covered a
21、s-sistance. (c) Applicability to Indian housing au-thorities and Indian tribes. Indian hous-ing authorities and tribes that receive HUD assistance described in paragraph (a) of this section shall comply with the procedures and requirements of this part to the maximum extent con-sistent with, but not
22、 in derogation of, compliance with section 7(b) of the In-dian Self-Determination and Education Assistance Act (25 U.S.C. 450e(b). (See 24 CFR part 905.) (d) Other HUD assistance and other Federal assistance. Recipients, contrac-tors and subcontractors that receive HUD assistance, not listed in para
23、-graph (a) of this section, or other Fed-eral assistance, are encouraged to pro-vide, to the greatest extent feasible, training, employment, and contracting opportunities generated by the expend-iture of this assistance to low- and very low-income persons, and business concerns owned by low- and ver
24、y low- income persons, or which employ low- and very low-income persons. 135.5 Definitions. The terms Department, HUD, Indian housing authority (IHA), Public housing agency (PHA), and Secretary are defined in 24 CFR part 5. Annual Contributions Contract (ACC) means the contract under the U.S. Housin
25、g Act of 1937 (1937 Act) between HUD and the PHA, or between HUD and the IHA, that contains the terms and conditions under which HUD as-sists the PHA or the IHA in providing decent, safe, and sanitary housing for low income families. The ACC must be in a form prescribed by HUD under which HUD agrees
26、 to provide assist-ance in the development, moderniza-tion and/or operation of a low income housing project under the 1937 Act, and the PHA or IHA agrees to develop, modernize and operate the project in compliance with all provisions of the VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm
27、00714 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-705 Office of Asst. Secy., Equal Opportunity, HUD 135.5 ACC and the 1937 Act, and all HUD reg-ulations and implementing
28、require-ments and procedures. (The ACC is not a form of procurement contract.) Applicant means any entity which makes an application for section 3 cov-ered assistance, and includes, but is not limited to, any State, unit of local government, public housing agency, In-dian housing authority, Indian t
29、ribe, or other public body, public or private nonprofit organization, private agency or institution, mortgagor, developer, limited dividend sponsor, builder, prop-erty manager, community housing de-velopment organization (CHDO), resi-dent management corporation, resident council, or cooperative asso
30、ciation. Assistant Secretary means the Assist-ant Secretary for Fair Housing and Equal Opportunity. Business concern means a business en-tity 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 fo
31、rmed. Business concern that provides eco-nomic opportunities for low- and very low-income persons. See definition of section 3 business concern in this section. Contract. See the definition of sec-tion 3 covered contract in this sec-tion. Contractor means any entity which contracts to perform work g
32、enerated by the expenditure of section 3 covered assistance, or for work in connection with a section 3 covered project. Employment opportunities generated by section 3 covered assistance means all employment opportunities generated by the expenditure of section 3 covered public and Indian housing a
33、ssistance (i.e., operating assistance, development assistance and modernization assist-ance, as described in 135.3(a)(1). With respect to section 3 covered housing and community development assist-ance, this term means all employment opportunities arising in connection with section 3 covered project
34、s (as de-scribed in 135.3(a)(2), including man-agement and administrative jobs con-nected with the section 3 covered project. Management and administra-tive jobs include architectural, engi-neering or related professional services required to prepare plans, drawings, specifications, or work write-up
35、s; and jobs directly related to administrative support of these activities, e.g., con-struction manager, relocation spe-cialist, payroll clerk, etc. Housing authority (HA) means, collec-tively, public housing agency and In-dian housing authority. Housing and community development assistance means an
36、y financial assist-ance provided or otherwise made avail-able through a HUD housing or com-munity development program through any grant, loan, loan guarantee, coop-erative agreement, or contract, and in-cludes community development funds in the form of community development block grants, and loans g
37、uaranteed under section 108 of the Housing and Community Development Act of 1974, as amended. Housing and community development assistance does not in-clude financial assistance provided through a contract of insurance or guaranty. Housing development means low-in-come housing owned, developed, or o
38、p-erated by public housing agencies or Indian housing authorities in accord-ance with HUDs public and Indian housing program regulations codified in 24 CFR Chapter IX. HUD Youthbuild programs mean pro-grams that receive assistance under subtitle D of Title IV of the National Affordable Housing Act,
39、as amended by the Housing and Community Develop-ment Act of 1992 (42 U.S.C. 12899), and provide disadvantaged youth with op-portunities for employment, education, leadership development, and training in the construction or rehabilitation of housing for homeless individuals and members of low- and ve
40、ry low-income families. Indian tribes shall have the meaning given this term in 24 CFR part 571. JTPA means the Job Training Part-nership Act (29 U.S.C. 1579(a). Low-income person. See the definition of section 3 resident in this section. Metropolitan area means a metropoli-tan statistical area (MSA
41、), as estab-lished by the Office of Management and Budget. Neighborhood area means: VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00715 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted withou
42、t license from IHS-,-,-706 24 CFR Subtitle B, Ch. I (4111 Edition) 135.5 (1) For HUD housing programs, a geo-graphical location within the jurisdic-tion of a unit of general local govern-ment (but not the entire jurisdiction) designated in ordinances, or other local documents as a neighborhood, vill
43、age, or similar geographical designation. (2) For HUD community development programs, see the definition, if pro-vided, in the regulations for the appli-cable community development pro-gram, or the definition for this term in 24 CFR 570.204(c)(1). New hires mean full-time employees for permanent, te
44、mporary or seasonal employment opportunities. Nonmetropolitan county means any county outside of a metropolitan area. Other HUD programs means HUD pro-grams, other than HUD public and In-dian housing programs, that provide housing and community development assistance for section 3 covered projects,
45、as defined in this section. Public housing resident has the mean-ing given this term in 24 CFR part 963. Recipient means any entity which re-ceives section 3 covered assistance, di-rectly from HUD or from another re-cipient and includes, but is not limited to, any State, unit of local govern-ment, P
46、HA, IHA, Indian tribe, or other public body, public or private nonprofit organization, private agency or institu-tion, mortgagor, developer, limited dividend sponsor, builder, property manager, community housing develop-ment organization, resident manage-ment corporation, resident council, or cooper
47、ative 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 sec-tion 3 applies and does not include con-tractors. Section 3 means section 3 of the Hous-ing and Urban Development Act
48、of 1968, as amended (12 U.S.C. 1701u). Section 3 business concern means a business concern, as defined in this sec-tion (1) That is 51 percent or more owned by section 3 residents; or (2) Whose permanent, full-time em-ployees include persons, at least 30 per-cent of whom are currently section 3 resi
49、dents, or within three years of the date of first employment with the busi-ness concern were section 3 residents; or (3) That provides evidence of a com-mitment to subcontract in excess of 25 percent of the dollar award of all sub-contracts to be awarded to business concerns that meet the qualifications set forth in paragraphs (1) or (2) in this definition of section 3 business con-cern. Section 3 clause means the contract provisions set forth
