83-i 2577-0161 (2013)

Paperwork Reduction Act Submission

Please read the instruction before completing this form. For additional forms or assistance in completing this forms, contact your agency’s Paperwork Reduction Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 Seventeenth St. NW, Washington, DC 20503.

1. Agency/Sub agency Originating Request: U.S. Department of Housing and Urban Development Office of Public and Indian Housing (PIH) Management and Occupancy Division (MOD)		2. OMB Control Number: a. 2577-0161	b. None      
3. Type of information collection: (check one) New Collection Revision of a currently approved collection Extension of a currently approved collection Reinstatement, without change, of previously approved collection for which approval has expired Reinstatement, with change, of previously approved collection for which approval has expired Existing collection in use without an OMB control number For b-f, note item A2 of Supporting Statement instructions.	4. Type of review requested: (check one) Regular Emergency - Approval requested by       Delegated 5. Small entities: Will this information collection have a significant economic impact on a substantial number of small entities? Yes No 6. Requested expiration date: a. Three years from approval date b. Other (specify)      

7. Title:

Public Housing Contracting with Resident-Owned Businesses / Application Requirements

8. Agency form number(s): (if applicable)

This information collection does not apply to form(s).

9. Keywords: Housing, Eligible resident-owned businesses, alternative procurement procedures, public housing agencies (PHAs)

10. Abstract: PHAs enter into contracts, not to cumulatively exceed $1,000,000, with eligible resident-owned businesses under an alternative procurement process. As such, PHAs are required to obtain documentation to verify the eligibility of the resident-owned business and to collect other information related to the contract award itself under the Department’s procurement requirements.

11. Affected public: (mark primary with “P” and all others that apply with “X”) a.   Individuals or households e.   Farms b. X Business or other for-profit f.   Federal Government c.   Not-for-profit institutions g P State, Local or Tribal Government		12. Obligation to respond: (mark primary with “P” and all others that apply with “X”) a.   Voluntary b. P Required to obtain or retain benefits c.   Mandatory
13. Annual reporting and recordkeeping hour burden: a. Number of respondent 81 b. Total annual response 81 Percentage of these responses collected electronically 0% c. Total annual hours requested 1,944 d. Current OMB inventory 1968 e. Difference (+,- -24 f. Explanation of difference: 1. Program change: 0 2. Adjustment: -24		14. Annual reporting and recordkeeping cost burden: (in thousands of dollars) a. Total annualized capital/startup costs $0.00 b. Total annual costs (O&M)       c. Total annualized cost requested       d. Total annual cost requested       e. Current OMB inventory $0.00 f. Explanation of difference: 1. Program change:       2. Adjustment:      
15. Purpose of Information collection: (mark primary with “P” and all others that apply with “X”) a. X Application for benefits e.   Program planning or management b.   Program evaluation f.   Research c.   General purpose statistics g. P Regulatory or compliance d.   Audit		16. Frequency of recordkeeping or reporting: (check all that apply) a. Recordkeeping b. Third party disclosure c. Reporting: 1. On occasion 2. Weekly 3. Monthly 4. Quarterly 5. Semi-annually 6. Annually 7. Biennially 8. Other (describe) Per applicant.
17. Statistical methods: Does this information collection employ statistical methods? Yes No	18. Agency contact: (person who can best answer questions regarding the content of this submission) Name: Salima Appiah-KubiBecky Primeaux Phone: (202) 402-65242-6050

19. Certification for Paperwork Reduction Act Submissions

On behalf of the U.S. Department of Housing and Urban Development, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9.

Note: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320/8(b)(3). appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.

The following is a summary of the topics, regarding the proposed collections of information, that the certification covers:

1. It is necessary for the proper performance of agency functions;

2. It avoids unnecessary duplication;

3. It reduces burden on small entities;

4. It uses plain, coherent, and unambiguous terminology that is understandable to respondents;

5. Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

6. It indicates the retention periods for recordkeeping requirements;

7. It informs respondents of the information called for under 5 CFR 1320.8(b)(3):

1. Why the information is being collected;

2. Use of the information;

3. burden estimate;

4. Nature of response (voluntary, required for a benefit, or mandatory);

5. Nature and extent of confidentiality; and

6. Need to display currently valid OMB control number;

8. It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to collected (see note in item 19 of the instructions);

1. It uses effective and efficient statistical survey methodology; and

2. It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in item 18 of the Supporting Statement.

     

Signature of Program Official: X Milan Ozdinec, Deputy Assistant Secretary, Office of Public and Voucher Programs, PEBecky Primeaux, Director of Public Housing

Date:

Supporting Statement for Paperwork Reduction Act Submission

Public Housing – Contracting with Resident-Owned Businesses

1. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

Public Housing Agencies (PHAs) can enhance the economic opportunities of public housing residents by allowing for an alternative method to contract with eligible and qualified resident-owned businesses. PHAs that enter into contracts with resident-owned businesses must comply with the requirements/procedures set forth in 24 § 963.10, 24 § 963.12, 24 § 85.36(h), 24 § 85.36(i) and other such contract terms that may be applicable to the procurement under the Department’s regulations.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

Within the scope of this information collection, PHAs must collect the following information to determine if the entity is an eligible resident-owned business:

• Certified copies of any State, county, or municipal licenses that may be required of the business to engage in the type of business activity for which it was formed. Where applicable, the PHA must obtain a certified copy of its corporate charter or other organizational document that verifies that the business was properly formed in accordance with State law;

• Certification that shows the business is owned by residents, disclosure documents that indicate all owners of the business and each owner’s percentage of the business along with sufficient evidence sufficient that demonstrates to the satisfaction of the PHA that the business has the ability to perform successfully under the terms and conditions of the proposed contract;

• Certification as to the number of contracts awarded, and the dollar amount of each contract award received, under the alternative procurement process; and

• Contract award documents, proof of bonding documents, independent cost estimates and comparable price analyses.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also, describe any consideration of using information technology to reduce burden.

This collection of information does not currently involve use of automated, electronic or other technological collection techniques.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

There is no similar information collected elsewhere. As such, there is no duplication.

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods and minimize burden.

This information does not impact small businesses. As such, there is no method to minimize the burden.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is less frequently conducted, as well as any technical or legal obstacles to reducing burden.

If the information is not collected, both the Department and the PHAs will not be in compliance with the regulatory requirements regarding collection of documents specific to contracts entered into with resident-owned businesses.

7. Explain any special circumstances that would cause an information collection to be collected in a manner:

*Requiring respondents to report information to the agency more often than quarterly;

None

*Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

None

*Requiring respondents to submit more than an original and two copies of any document;

None

*Requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than 3 years;

None

*In connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

None

*Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

None

*That includes a pledge of confidentiality that is not supported by authority established in statute or regulation that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

None

*Requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.

None

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency’s notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received on cost and hour burden.

Specifically address comments received on cost and hour burden.

• Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and the data elements to be recorded, disclosed, or reported.

• Identify date and page number of the Federal Register notice soliciting comments on the information.

HUD published a Notice of Proposed Information Collection for public comments in the Federal Register, Volume 78; Page 47335 on July 8, 2013. The public was given until October 4, 2013, to submit comments on the proposed information collection. HUD received no comments on this proposed collection.

• Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least every 3 years – even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

No payment or gift will be made to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for assurance in statute, regulation, or agency policy.

None

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

This item is not applicable.

12. Provide estimates of the hour burden of the collection of information. The statement should:

*Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business.

Although the Department has an inventory of 4,055 PHAs, the Department estimates that only 2 percent of PHAs contract with resident-owned businesses. The number is thought to be low because there are 1) likely to be very few eligible resident-owned businesses or 2) eligible resident-owned businesses may not have the requisite experience to meet requirements for available PHA procurements. The calculation for burden hours is as follows:

Number of PHAs	Number of Responses Annually*	Hours per Response	Total Annual Burden Hours	Cost per Hour	Total Annual Cost
81	81	*24	1,944	**$29.00	$56,376

*The Department estimates that out of a total of 4,055 PHAs only 2 percent or 81 PHAs contract with resident owned business. The calculation is as follows:

81 PHAs x 24 hours = 1,944 hours x $29 p/hr = $56,376

**Average PHA salary = $60,000 per year; $1154 per week; $29.00 per hour

A PHA is required to undertake the following activities under the alternative method of procurement:

• Prepare the contract package (8 hours)

• Prepare the advertisement (4 hours);

• Review the bid documents and award the contract (8 hours);

• Conduct follow-up activities as necessary prior to the start date of the work (4 hours)

The allocation of 24 hours per response is based upon the procurement activities reflected above.

13. Provide an estimate for the total annual cost burden to respondents or record-keepers resulting from the collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14).

Notwithstanding requirements set forth in the procurement regulations, PHAs already collect and maintain this information. As such, there is no annual cost burden to respondents or record-keepers resulting from this collection of information.

14. Provide estimates of annualized costs to the Federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expenses that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14, in a single table.

There is no additional cost to HUD for collection of this information.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.

The burden hours are lower due to a decrease in number of PHAs since 2010.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

The information collected by PHAs will not be published or made available to the public.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

Not Applicable

18. Explain each exception to the certification statement identified in Item 19, “Certification for paperwork Reduction Act Submissions,” of OMB Form 83-I.

B. Collections of Information Employing Statistical Methods – [NOT APPLICABLE]

OMB 83-I 10/95