CDBG-NDR_Phase_1_PRA_SS rev 83 I

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/Subagency Originating Request: U.S. Department of Housing and Urban Development Office of Community Development and Development, Office of Block Grant Assistance		2. OMB Control Number: a.
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 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:

Community Development Block Grant National Disaster Resilience (CDBG-RDR) Phase 1 Application

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

SF-424, SF-LLL, HUD-96011

9. Keywords:

Community Development Block Grant, Grants Administration, NOFA, Community Development, Resilience

10. Abstract:

This information describes the application requirements of Community Development Block Grant National Disaster Resilience (CDBG-NDR) Notice of Funding Availability (NOFA) Phase 1. The data required includes information needed to complete a single written request describing “most impacted and distressed” and “unmet needs” threshold responses for one or more potential target areas program level being considered by each CDBG-NDR Applicant, which may be submitted up to 45 days after CDBG-NDR publication for HUD to review in advance of full Phase 1 Application submissions. The respondents are 67 eligible local and State governments that experienced a presidentially-declared major disaster during 2011-2013 as identified in the CDBG-NDR NOFA.

11. Affected public: (mark primary with “P” and all others that apply with “X”) a.   Individuals or households e.   Farms b.   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 respondents 67 b. Total annual responses 134 Percentage of these responses collected electronically 100% c. Total hours requested 11,509 d. Current OMB inventory N/A e. Difference (+,-) N/A f. Explanation of difference: 1. Program change: 2. Adjustment:		14. Annual reporting and recordkeeping cost burden: (in thousands of dollars) Do not include costs based on the hours in item 13. a. Total annualized capital/startup costs 0 b. Total annual costs (O&M) 0 c. Total annualized cost requested 0 d. Current OMB inventory 0 e. Difference 0 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. P Application for benefits e. Program planning or management b. Program evaluation f.   Research c.   General purpose statistics g. Requlatory 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. Biennually 8. Other (describe)
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: Stanley Gimont Phone: (202) 708-3587

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      

Date:

Supporting Statement for Paperwork Reduction Act Submissions

Community Development Block Grant Resilient Disaster Recovery (CDBG-RDR) Phase 1

1. Justification

1. Circumstances that make the collection of information necessary.

The Community Development Block Grant (CDBG) program is authorized under Title I of the Housing and Community Development Act of 1974 (HCDA), as amended. According to Section 104(e)(1) of the Act, HUD is responsible for reviewing grantees’ compliance with applicable requirements and their continuing capacity to carry out their programs.  Program rules are published in the Federal Register pursuant to specific appropriation acts.  Under this program, HUD provides supplemental CDBG funds appropriated by Congress for recovery from major disasters declared by the President of the United States.  Each supplemental appropriations statute specifies the disasters or time period of disaster declarations for which funding is available. Grant funds are made available to states and units of general local government, Indian tribes, and insular areas, unless provided otherwise by supplemental appropriations statute based on their unmet disaster recovery needs. Unless otherwise restricted by statute or provided by waiver, the funds may be used for any activity eligible under section 105(a) of the Housing and Community Development Act of 1974, as amended, that meets a national objective under section 104(b)(3) of that Act, and is related to the covered disaster.  Generally, at least 50 percent of the funds must be for activities that principally benefit persons of low and moderate income.  Grantees must report program progress quarterly via a web-based Disaster Recovery Grant Reporting (DRGR) system.

The recent Hurricane Sandy supplemental appropriation (P. L. 113-2) provides funding for Hurricane Sandy disaster recovery efforts and other eligible events in 2011, 2012 and 2013. The appropriation directs the Department to address these efforts in areas of greatest unmet need. HUD has determined that to respond to the urgent recovery needs of communities affected by these eligible major disasters, a collection of information is needed prior to the expiration of time periods established under the PRA.  Not only is this information collection essential to HUD’s mission to create strong, sustainable, inclusive communities and quality affordable homes for all, the information collection is required by Public Law 113-2.  That statute provides that the “Secretary shall allocate to grantees… based on the best available data,” which at this stage in recovery must be collected from applicants.   

2. How the information is used

In accordance with the CDBG-NDR NOFA requirements, during the first 45 days after publication of this NOFA, any potential Applicant may provide HUD a single written request with its “most impacted and distressed” and “unmet needs” threshold responses for one or more potential target areas. HUD will review these requests and respond to confirm or reject whether the information provided for each area meets the thresholds and provide specific reasons for any rejection.

Phase 1 applications will include the “most impacted and distressed” and “unmet needs” threshold responses as well as other threshold narratives describing:

• Applicant eligibility;

• Eligibility of the county or counties where proposed projects or activities will take place;

• Eligibility of activities proposed for CDBG-NDR assistance;

• How activities proposed for CDBG-NDR assistance will improve the most impacted and distressed area’s resilience to current and future threats and hazards;

• How the proposed activity meets a CDBG National Objective;

• Demonstration that at least 50 percent of requested CDBG-NDR funds will benefit low- and moderate-income persons;

• An established tie-back to a Qualified Disaster for each activity for proposed CDBG-NDR assistance.

Phase 1 Applications will also include:

• Narratives as follows:

  • Executive summary;

  • Applicant and relevant organizational staff capacity to carry out proposed project;

  • Description of Need/Extent of the Problem;

  • Soundness of Approach;

  • Leverage and Outcomes; and

  • Long-term commitment.

• A completed crosswalk checklist;

• Evidence of partnership, if applicable;

• Documentation of leveraged funds;

• A summary of consultation according to instructions included in the NOFA;

• Waiver requests, if applicable;

• Optional maps, drawings, renderings and other graphical representations of the project or most impacted and distressed target area(s);

• Application certifications and standard forms;

• A summary of citizen comments by topic with a list of commenters by name and organization (if an) and Applicant responses; and

• Data demonstrating unmet recovery need and most impacted and distressed threshold requirements.

These elements of the Phase 1 application are needed for HUD to allocate funding according to greatest unmet need, as required by statute. Phase 1 applications will be due 180 days after NOFA publication. HUD will evaluate Phase 1 applications, and select qualifying applicants to submit a Phase 2 application. CDBG-NDR recipients will be required to administer awarded funds in the Disaster Recovery Grant Reporting (DRGR System), which will enable HUD staff to review budgets and accomplishments and allows grantees to draw grant funds from Treasury.

HUD has determined that to respond to the urgent recovery needs of communities affected by these eligible major disasters, a collection of information is needed prior to the expiration of time periods established under the PRA.  Not only will this information be used to accomplish HUD’s mission to create strong, sustainable, inclusive communities and quality affordable homes for all, the information collection is required by Public Law 113-2, which provides that the “Secretary shall allocate to grantees… based on the best available data,” which at this stage in recovery must be collected from applicants.   

The information collected in Form HUD-96011 is needed to ensure that any information faxed by the applicant in response to HUD requests during the application process to cure application inconsistencies is associated with the original applicant.

HUD collects the information in the SF-LLL as required by title 31 U.S.C. section 1352. This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing.

The SF-424 is a required form for any application for Federal Assistance.

3. Improved technology.

Requests submitted during the first 45 days after publication of this NOFA for HUD to review any potential Applicant’s “most impacted and distressed” and “unmet needs” threshold responses for one or more potential target area must be submitted to [email protected] and include the Applicant name; name, title, email address, telephone number, and agency of a contact person employed by the Applicant to which HUD shall respond.

Phase 1 Applications will be submitted at http://www.grants.gov/web/grants/home.html. Registration instructions for Grants.gov are found at http://www.grants.gov/web/grants/applicants/organization-registration.html. Information regarding HUD’s use of grants.gov for NOFAs and standard HUD forms is found in the HUD General Section, Section IV(A)(1) at: http://portal.hud.gov/hudportal/documents/huddoc?id=2014-gensec.pdf.

4. Efforts to identify duplication.

No similar information exists. Phase 1 Applications submitted pursuant to the CDBG-RDR NOFA are unique to Resilient Disaster Recovery projects or programs to be developed by each individual Applicant.

5. Burden to small business or small entities.

The only eligible applicants for this funding opportunity are HUD-identified local and State governments that experienced a presidentially-declared major disaster during 2011-2013. HUD-identified applicants include the District of Colombia and the Commonwealth of Puerto Rico, which are included in the definitions of “unit of general local government” and “State” in §102 of the Housing and Community Development Act of 1974, as amended (HCD Act). As such, HUD expects that such organizations should have the capacity to adhere to the NOFA requirements.

6. Consequences if information is collected less frequently.

HUD cannot acquire the best available data to assess “most impacted and distressed” and “unmet needs” of local and State governments that experienced a presidentially-declared major disaster during 2011-2013, which is needed to allocate funds in accordance with P. L. 113-2.

7. Special circumstances

None.

8. Public Notice.

HUD did not publish a notice describing the Paperwork Reduction Act Submission. HUD is seeking to have no comment period. This is an emergency collection.  The 60 day FR notice will follow after the NOFA is approved for comments.

9. Payment or gifts.

None.

10. Assurance of Confidentiality

Recipients of the assistance will collect and maintain records of information. Information on activities and expenditures of grant funds is public information and is generally available for disclosure. Recipients are responsible for ensuring confidentiality when public disclosure is not required.

11. Questions of a Sensitive Nature.

None.

12. Annual Reporting and Recordkeeping Burden

The following tables demonstrate the estimated paperwork burden for eligible applicants in Phase 1 of the CDBG-RDR NOFA, including both Phase 1 submissions due a period of time after publication to be specified in the CDBG-RDR NOFA and the optional single written request that any potential Applicant may provide to HUD within the first 45 days after this NOFA is published for HUD to review its “most impacted and distressed” and “unmet needs” threshold responses for one or more potential target areas (45-day threshold review). The total annualized burden hours requested are 11,509.

CDBG-RDR Phase 1 45-day Threshold Review
Description of Information Collection		Number of Respondents	Number of Responses	Total Number of Responses	Hours Per Response*	Total Hours	Cost Per Response**	Total Cost
45-day Request for HUD Review		67	1	67	15	1005	$522	$34,974
TOTAL PAPERWORK BURDEN		N/A	1	N/A	15	1,005	$522	$34,974
	Full CDBG-RDR Phase 1 Application
	Description of Information Collection	Number of Respondents	Number of Responses	Total Number of Responses	Hours Per Response	Total Hours	Cost Per Response	Total Cost
	Phase 1 Threshold Determination	67	1	67	35	2345	1218	81606
	Factor Narratives and Attachments	67	1	67	120	8040	4176	279792
	SF-424	67	1	67	0.75	50.25	26	1749
	SF-LLL	67	1	67	1	67	35	2332
	HUD-96011	67	1	67	0.03	2.01	1	70
	TOTAL PAPERWORK BURDEN	N/A	10	N/A	156.78	10504	$5,456	$365,548
	*Based number of hours per response at GS-13 salary of $34.80/hr.

13. Estimate of Total Costs to Respondents

There are no additional costs to the respondents (other than the cost shown in item 12 above).

14. Estimate of Annualized Cost to Federal Government

HUD estimates 45-day threshold review and subsequent Phase 1 Application review to take 8 and 15 hours respectively. The total annualized cost is estimated at $107,254. This amount is based on 3,082 hours of review at a GS-13 salary of $34.80/hr.

15. Explanation of Program Changes / Adjustments

This is a one-time solicitation that has not been undertaken before. As such, there are no changes/adjustments.

16. Publication of Results

HUD will publish the results of the Phase 1 solicitation 60 days after the Phase 1 application deadline, which will be 180 days after CDBG-RDR NOFA publication.

17. Display of the Expiration date for OMB Approval of the Information Collection

The Office of Community Planning and Development is not seeking to not display the expiration date for OMB approval of the information collection.

18. Explanation of Each Exception to the Certification Statement

No exceptions are made to the certification statement identified in item 19, “Certification for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

2. This collection does not employ statistical methods.

OMB 83-I 10/95