83i

Paperwork Reduction Act Submission

Please read the instruction before completing this form. For additional forms or assistance in completing this form, 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 Public and Indian Housing		2. OMB Control Number: a. 2577-0272	b. x 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 form approval date b. Other (specify)  

7. Title:

Public Housing Agency Executive Compensation Information

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

HUD 52725, Compensation Collection Form

9. Keywords:

Housing, public housing, executive compensation

10. Abstract:

HUD will collect and make transparent information on top management official, top financial, and highest compensated employee at public housing agencies (PHAs).

11. Affected public: (mark primary with “P” and all others that apply with “X”) a. X Individuals or households e.   Farms b.   Business or other for-profit f.  X 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.  x Voluntary b. P Required to obtain or retain benefits c.   Mandatory
13. Annual reporting and recordkeeping hour burden: a. Number of respondents 4000 b. Total annual responses 4000 Percentage of these responses collected electronically 100% c. Total annual hours requested 2000 d. Current OMB inventory 2744 e. Difference (+,-) -744 f. Explanation of difference: 1. Program change: 744 2. Adjustment:		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) $0.00 c. Total annualized cost requested $0.00 d. Total annual cost requested $0.00 e. Current OMB inventory 0 f. Explanation of difference: 1. Program change: 0 2. Adjustment: 0
15. Purpose of Information collection: (mark primary with “P” and all others that apply with “X”) a. X Application for benefits e. P Program planning or management b.  X Program evaluation f.   Research c.   General purpose statistics g. X Regulatory or compliance d.  X Audit		16. Frequency of recordkeeping or reporting: (check all that apply) a. Recordkeeping b. Third party disclosure b. 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: Claudia J. Yarus Phone: 202–475-8830

19. Certification for Paperwork Reduction Act Submissions

On behalf of this Federal Agency, 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 Donald J. La Voy, Deputy Assistant Secretary Real Estate Assessment Center	Date:
Signature of Senior Officer or Designee: X Colette Pollard, Departmental Reports Management Officer Office of the Chief Information Officer	Date:

Supporting Statement for Paperwork Reduction Act Submissions

1. Justification

1. What information is being collected, from whom, and why is it needed? Explain what the information is and why it’s necessary.

Identify any legal or administrative requirements that necessitate the collection.

Under current law, non-profit organizations receiving federal tax exemptions are required to report to the IRS annually the names and compensation of their highest compensated employees. Public housing agencies (PHAs) receive significant direct federal funds, and to promote similar public transparency and to enhance oversight by HUD and by state and local authorities, the same information should be collected and made available as to PHAs. After collecting this compensation information and deleting individual names, HUD plans to make it available on a publicly accessible website. Information will be retained for approximately one year, until it is replaced by more current information.

The collection is authorized pursuant to HUD’s specific oversight of the public housing operating fund that is found in the U.S. Housing Act of 1937, as amended, 42 U.S.C. 1437 et seq., particularly 42 U.S.C. 1437c(a)(1) and (f) and 42 U.S.C. 1437f(b)(1). Authority also is found in the Department of Housing and Urban Development Act (42 U.S.C. 3531 et.seq.) (Department of HUD Act). Under the Department of HUD Act, HUD is provided general oversight and monetary authority over its funded programs. In particular, section 7(r)(1) of the Department of HUD Act (42 USC 3535(r)(1)) authorizes the Secretary to expend funds “for evaluating and monitoring” housing programs, including public housing and all other programs authorized under the U.S. Housing Act of 1937 and other HUD statutes, and for “collecting and maintaining data for such purposes.”

Additionally, the governmentwide regulations governing grants and cooperative agreements to state, local, and federally recognized Indian tribal governments, which for HUD are found in 24 CFR part 85, provide in 24 CFR 85.42(e) as follows:

“(e) Access to records —(1) Records of grantees and subgrantees. The awarding agency and the Comptroller General of the United States, or any of their authorized representatives, shall have the right of access to any pertinent books, documents, papers, or other records of grantees and subgrantees which are pertinent to the grant, in order to make audits, examinations, excerpts, and transcripts.”

These statutory and regulatory authorities together form the basis for the information collection proposed by HUD. As explained in the 83i and elsewhere, the executive compensation collection is designed to help HUD monitor and conduct oversight of public housing, section 8 vouchers, and other housing programs operated by PHAs.

2. What’s it for; and for whom? What information is collected and how is it collected. Explain how the information is to be used;

for what purpose and by whom.

The information is similar to that required by the IRS from all non-profit organizations receiving federal tax exemptions. The collection includes the PHA name, identifying PHA code, and the following information for three of the PHA’s highest compensated employees: name, title, and compensation (including reportable compensation from the PHA and related organizations). In addition, PHAs will submit a salary breakdown for all employees and report source of funds

The information will be used for several purposes. HUD officials will use the information as part of their oversight and review of PHAs. One of the factors HUD officials consider for PHAs is how they handle administrative and related expenses. Having data available on three of the highest compensated employees for each PHA will allow HUD officials to review this aspect of PHA administrative expenses and compare these expenses across the range of all PHAs. This will be particularly useful in evaluating PHAs designated troubled because of administrative or other problems. It is anticipated the state and local authorities that also oversee PHAs, and often appoint their boards of directors, will find this information useful for oversight purposes.

In addition, the information will be used to promote transparency. HUD intends to publish on its website the job title and compensation of the employees covered by the collection, just as this information is available for tax-exempt organizations, federal employees, and many private corporations.

3. Is the information submitted electronically? Will it ultimately reside in an automated system? Describe whether, and to what extent, the collection of information is automated (item 13b1 of OMB form 83-i). Under the Government Paperwork Elimination Act (GEPA), the public must be provided with the option of responding electronically. If that is not feasible, explain why. This must be addressed.

Yes. The form will be distributed electronically for completion and the completed form will be uploaded and returned to HUD. HUD will then compile, analyze and make the data available.

4. Is this information collected elsewhere? Also, review current information collection packages for potential consolidation.

Similar information is collected by the Internal Revenue Service from all entities required to file Form 990s, which may include some PHAs or their affiliates. Similar information is or will be collected by the General Services Administration from many federal grantees, including many PHAs, under the American Recovery and Reinvestment Act of 2009 and the Federal Funding Accountability and Transparency Act of 2006.

5. Does the collection of information impact small business or small entities (item 5 of OMB form 83-I)? Describe any methods used to minimize burden.

Some small entities (i.e., small PHAs) will be impacted by this collection requirement.. However, the reporting burden has been minimized because the revised form uses compensation data from the employee Internal Revenue Service Form W-2 Wage and Tax Statement rather than requiring the PHA to generate a number based on the PHA’s analysis of rules published for various IRS forms. There is no significant economic impact on a substantial number of entities within the meaning of the Regulatory Flexibility Act.

6. Why can’t the information be collected less frequently – or not at all?

The information is collected only once per year. Because compensation information often changes on an annual basis, collecting the information less frequently would diminish usefulness of this information. Not collecting the information at all would obviate the intended purposes of providing increased oversight and transparency concerning the administrative functions and expenses of PHAs that receive significant direct federal funding.

7. Explain any special circumstance requiring:

• respondents to report information more than quarterly;

• a written response in fewer than 30 days;

• more than an original and two copies of any document;

• respondents to retain records other than health, medical government contract, grant-in-aid, or tax records for more than three years.

• a statistical survey not designed to produce results than can be generalized to the universe of study;

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

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

• respondents to submit proprietary trade secret, or other confidential information.

There are no special circumstances that would cause information collection to be conducted in a manner as described above.

8. Identify the date and page number of the Federal Register notice (and provide a copy) soliciting comments on the information.

Summarize public comments and describe actions taken by the agency in response to these comments. Describe all efforts to

consult with persons outside the agency to obtain their input.

HUD published a Notice of Proposed Information Collection for public comment in the Federal Register, at Volume 80, Page 15241, on March 23, 2015. The public was given until May 22, 2015 to comment. HUD received no comments on the notice.

9. Explain any payments or gifts to respondents, other than remuneration of contractors or grantees.

Not applicable to this information collection requirement.

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

Not applicable to this information collection requirement.

11. Justify any questions of a sensitive nature, such as sexual, religious beliefs, and other matters that are commonly considered private.

No such sensitive information is sought through this information collection.

12. Estimate public burden: number of respondents, frequency of responses, annual hour burden. Read the complete instruction form 83i. Explain how the burden was estimated. Generally estimates should not include burden hours for customary and usual business practices.

• If this collection uses more than one form, provide separate estimates for each form and aggregate the hour burdens in item 13 of OMB Form 83i; and

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories.

• The cost of contracting out and paying outside parties for information collection activities should not be included here. Instead this cost should be included in Item 13.

The estimated burden hours is based on each of the approximately 4000 PHA responding annually.

Number of Respondents	X	Frequency of Response	=	Total Responses	X	Estimated Hours	=	Total Annual Burden Hours
4000		1		4000		.50		2000

The estimated annual cost to respondents assumes a financial analyst’s salary of $46,691 per year at a GS-10/1 level rate (Salary Table 2015-GS), or an hourly rate of $22.37.

Total Burden Hours	X	Hourly Rate	=	Annualized Cost
2000		$22.37		$44,740

12. Estimate of the annual cost to respondents or recordkeepers (do not include the cost of hour burden shown in Item 12 and 14). Read the complete instructions on the form 83i.

There are no additional costs to respondents or recordkeepers.

12. Estimate annualized costs to the Federal government.

The estimated annualized cost to the federal government is based on the FY 2015 general pay schedule for a GS-14, Step 8 at an annual rate of $106,559, or an hourly rate of $51.06. On a per submission basis, it is estimated to take approximately 30 minutes to review the submission, extract the data, and compile the analysis.

Number of Responses	X	Estimated Hours per Response	=	Total Annual Burden Hours	X	Hourly Rate	=	Total Annual Cost
4000		.5		2000		$51.06		$102,120

12. Explain any program changes or adjustments reported in items 13 and 14 of the OMB Form 83i.

The adjustment on the 83i is due to:

1. The change in the number of PHA respondents. The decrease in the number of PHA respondents reflects the number of PHAs in HUD’s system as of the end of January 2015.

2. The change in the burden hours (and costs) for respondents. The burden hours (and costs) have decreased because the compensation data/salary breakdown collected will be copied from the employees’ W-2. Previously PHAs were required to calculate the employee compensation data based on analysis of rules published for various IRS forms.

12. If the information will be published, outline plans for tabulation and publication.

HUD will consolidate all responses and publish the information on its website. For publication purposes, information will be tabulated into three categories: PHA name/code, title, and total compensation and benefits. HUD does not intend to publish the names of those holding the reported positions.

12. Explain any request to not display the expiration date.

Not applicable to this request.

12. Explain each exception to the certification statement identified in item 19.

There is no exception to the “Certification for Paperwork Act Submissions” for this request.