RAD Phase II Part A - 11-14-2017)

Evaluation of the Rental Assistance Demonstration (RAD) Program, Phase 2

Supporting Statement for Paperwork Reduction Act Submission, Part A

U.S. Department of Housing & Urban Development (HUD)

Office of Policy Development & Research (PD&R)

February 28, 2017

Supporting Statement for Paperwork Reduction Act Submission, Part A

Evaluation of the Rental Assistance Demonstration (RAD) Program, Phase 2

SUMMARY

The U.S. Department of Housing and Urban Development’s (HUD) Rental Assistance Demonstration (RAD) Program, authorized by the Consolidated and Further Continuing Appropriations Act of 2012 (Public Law 112-55, approved November 18, 2011), is designed to provide affordable rental opportunities, preserve and improve the quality of the affordable housing stock, and expand families’ choices of affordable rental homes located in a broad range of communities. This evaluation concentrates on the conversion of Public Housing Authority (PHA) public housing projects to long-term Section 8 rental assistance contracts under RAD.

The RAD program is expected to demonstrate that project-based Section 8 HAP contracts will provide a stable, long-term form of public support for affordable housing; that converting public housing to Section 8 HAP contracts will enable affordable housing properties to gain additional access to private capital; and that the combination of stable public funding and flexible private capital will cover the long-term capital needs of the converted properties. In addition, the program’s results are expected to show that the converted public housing properties will remain affordable, meeting the needs of low-income residents and ensuring that public ownership or control is maintained through long-term, renewable contracts and coterminous use agreements.

The evaluation contract was executed by HUD on December 20, 2013 with Econometrica, Inc., a small business located in Bethesda, MD, that has conducted evaluation research for various federal government agencies. Econometrica’s evaluation team included the Urban Institute, principally charged with handling the component of the evaluation pertaining to the impact of RAD conversion on existing tenants. The results of this evaluation will allow HUD to determine whether the program objectives were met.

This evaluation is taking place in two phases.¹ During the first phase of the study, Econometrica assessed the implementation of the RAD program from PHA participation and project selection to closing. Econometrica also assessed the sources and uses of capital as determined at closing, the degree of leverage that projects had achieved at closing, and the plans of PHAs to use these funds to meet the capital needs of converted projects. This first phase of the evaluation included selecting a sample of 24 RAD and 48 non-RAD projects for the implementation portion of the study. The data used in the first phase of the study consisted of primary data collected through Web surveys and interviews for the sample of PHAs participating and not participating in RAD, as well as secondary administrative and program data that are routinely collected by HUD. The surveys and interviews used in phase one were previously approved by OMB. See OMB # 2528-0304, Evaluation of the Rental Assistance Demonstration (RAD) Program, Phase 1. The results of the phase one evaluation were provided in the Interim Report, which was released in September 2016. Data collection associated with enrollment and tracking of residents for the resident survey also occurred during the first phase of the evaluation.

The Interim Report describes: (1) program outputs to date, such as number and types of projects that have converted, total funding leveraged by source, and use of leverage; (2) the types of PHAs participating in RAD; (3) the types of properties PHAs propose for conversion under RAD; (4) preliminary analysis of factors that influence whether a RAD project will successfully complete closing or whether it will be withdrawn; (5) insights from PHAs about their experience with RAD and their reasons for participating or not participating in RAD; and (6) pro forma financial statements (i.e., forward-looking projections) that illustrate in detail how RAD projects are financed. The report finds that RAD properties have raised a substantial amount of upfront capital and are likely to be in stronger financial position for years into the future.

These findings provide important insights into program participation, project selection, and use of financing options up to the point of closing. However, they do not provide insights into the impact of RAD after a project has closed and converted, in particular, the effects on tenants, improvements in projects’ physical condition and the impact on projects’ financial strength. During phase one, tenants were contacted and enrolled into a survey, being conducted in phase two. This second phase of the study and the basis for this additional data collection is to address these post-closing and post-conversion issues, and to satisfy the Congressional requirement that HUD evaluate RAD’s impacts on tenants.

From the inception of the program in November, 2011 through the fall of 2015, 185 public housing projects reached closing and essentially completed the conversion process. They raised a total of $2.5 billion in funding. Of the $2.5 billion, only about $250 million came from internal PHA resources while $2.25 billion came from sources external to the PHA, for a leverage ratio of 8.9:1 ($2.25 billion / $250 million). The largest source of financing was LIHTC at $977 million. The second largest source of financing was grants and similar “soft money”, at $686 million.

HUD has exercised a contractual option for the second phase of the evaluation which is now underway. The second phase of the evaluation will assess:

1. The preservation and improvement of former public housing units, based on changes in projects’ capital needs after completion of rehabilitation or construction.

2. The financial stability of projects after conversion under RAD.

3. The effect of RAD conversion on current residents.

This Paperwork Reduction Act (PRA) submission includes the instrumentation required for the second phase of the RAD evaluation for follow-up interviews with the sample of participating RAD PHAs and the survey of current residents enrolled during phase one.

1. JUSTIFICATION

1. Circumstances that make the collection of information necessary.

The RAD program was established under the Consolidated and Further Continuing Appropriations Act of 2012 to stem the potential loss of public housing and other subsidized housing due to the large and growing backlog of unmet capital needs. The RAD program enables PHAs to convert public housing properties from annual capital and operating subsidies to long-term project-based Section 8 Housing Assistance Payments (HAP) contracts—either project-based voucher (PBV) or project-based rental assistance (PBRA) contracts. The goal of the RAD program is to demonstrate if PHAs can use the long-term Section 8 funding stream to obtain financing from outside sources, such as project debt, to preserve their public housing.

RAD has been implemented through a voluntary and competitive application process in which up to 185,000 public housing and Section 8 Moderate Rehabilitation units have been selected.² The conversion process entails several steps that must be met by successful PHAs in a competitive application process.³ The authorizing statute requires that HUD assess three particular aspects of the RAD program:

1. The preservation and improvement of former public housing units.

2. The amount of private capital leveraged as a result of such conversions.

3. The effect of conversion on residents.

The first phase of the evaluation addressed items one and two from the list above. They are described in detail in the Interim Report and will continue to be explored in the second phase, particularly evaluation of the program’s results. The evaluation is expected to determine whether converted properties are in better condition; remain affordable; more effectively meet the needs of low-income residents; and continue public ownership or control through long-term, renewable HAP contracts and coterminous use agreements. The second phase will also address item three above, the effect of conversion on residents. We will evaluate how the RAD program has affected tenants, especially when relocation is required because of rehabilitation. We will gather information about communications with tenants, direct assistance with required tenant relocation, and provision for tenants to return to their projects or opt for Housing Choice Vouchers (HCVs). It should be noted that during the first phase residents were administered informed consent and enrolled into the outcomes study in order to enable the research team to begin tracking the study households.

This Information Collection Request (ICR) includes two data collection instruments: (1) a RAD post-conversion telephone interview to be administered to the PHAs that are part of the sample of 24 RAD projects (instrument included as Appendix A); and (2) a tenant survey of a representative sample of affected residents to determine their experiences with property rehabilitation, communication from the PHA, and any relocation (instrument included as Appendix B). We will supplement this information with administrative and program data and brief interviews with HUD officials.

This ICR also includes two other communications to respondents, including: Proposed Email Invitation for PHA Interview, and Proposed Tenant Survey Cover Letter. See Appendix C. These communications introduce the evaluation to the respondents and/or request their participation in the study.

The information sought through these data collection instruments supports HUD’s Congressional mandate.

2. Purpose of the Information Collection.

HUD is seeking onetime approval for the administration of the two instruments within this ICR: (1) a Post-conversion Implementation Telephone Interview, and (2) a Resident Survey. The information collected through these instruments will be used to: (1) assess PHA’s experience with rehabilitation and new construction under RAD; (2) evaluate changes in PHA administration, asset management and performance, and the financial condition of RAD study sites after completion of conversion; and (3) measure the impact of conversion to RAD on tenants’ perceived satisfaction, housing quality and costs, employment, health, and neighborhood.

The PHA interview questions used in the second phase of the evaluation are divided into the following sections:

1. Rehabilitation or New Construction: Ability to complete rehabilitation or new construction as planned; delays with implementation; causes of any delays.

2. Administrative, Management and Financial Performance: Impact on PHA administration; changes in property management practices and performance; changes in financial condition of projects.

3. General: Overall opinions of RAD and recommendations for the future of the program.

The tenant survey questions used in the second phase of the evaluation will explore the following areas:

1. Resident Awareness of RAD conversion

2. Resident Satisfaction

3. Housing quality and problems

4. Housing Costs

5. Employment

6. Health

7. Neighborhood Conditions and Safety

8. Resident Characteristics and Household Composition

Although the Resident Survey will be administered under this phase of the evaluation, data collection associated with enrollment and tracking of residents occurred during the first phase of the evaluation. Because a successful analysis of resident outcomes requires inclusion of former residents who do not return to converted units, enrollment and tracking of residents needed to begin as early as possible after properties began the RAD process in order to ensure residents’ contact information was obtained before they left the RAD property.

The findings resulting from this second phase of the evaluation will be presented in a Final Report to the Office of Policy Development and Research (PD&R). PD&R disseminates studies and publications through their Web site at www.huduser.gov. HUD publication policies and procedures comply with all applicable Information Quality Guidelines.⁴

Econometrica, as the prime contractor, will administer the Post-Conversion Telephone Interview to the PHAs included in the sample of 24 RAD projects, which was selected during the first phase of the evaluation. The Urban Institute and its subcontractor, SSRS, will be responsible for administering the Resident Survey.

3. Use of information technology.

This collection of information includes the following information technologies: (1) telephone interviews for PHAs in our study sample, (2) telephone interviews for PHAs in the resident survey sample, and (3) telephone surveys of residents.

The telephone interviews will be conducted by trained Econometrica team members, most of whom have experience interviewing PHA staff about the RAD program during phase one of the evaluation. The interviews will be conducted by a team of two researchers (a senior and a junior member) with the possibility of recording the interview, if the respondent agrees to be recorded. The recording will be shared with Econometrica staff only. The nature of the interview, which includes primarily open-ended discussion questions, does not lend itself to automated data collection techniques; therefore, there will be no portion of the telephone interview that will be automated.

The team has contracted with a professional firm, SSRS, under subcontract to the Urban Institute to administer the Tenant Survey. Previously, the team contracted with the same professional survey firm, SSRS under subcontract to the Urban Institute, to enroll residents in the study and implement a formal tracking system for residents who were enrolled in the study. Tracking began when a RAD site neared closing but before it had completed closing. Resident enrollment and tracking began during phase one and will continue into phase two so that we can locate an adequate sample of residents to be surveyed during the option period.

For the resident survey, enrollees will receive a letter inviting them to call a toll-free number to complete the survey. A live interviewer will administer the survey and record the responses using a CATI system. Non-respondents will be contacted by telephone, manually dialed. Up to five sites with low response rates will be targeted for in-person interviews to address non-response bias.

The resident sample was drawn from a secondary sample of 19 properties. This secondary sample was necessary to avoid the risk of trying to sample tenants in projects that had already closed and experienced tenants starting to relocate. Tenants’ participation in tracking and survey efforts will be strictly voluntary. Enrollment was initiated by mail, using records provided by HUD. First contact was usually made via a letter from HUD or the housing authority with a simple enrollment form and a number to call with questions. Enrollment requests were addressed to the head of household, according to HUD records. An enrollment incentive was offered to the tenants. Multiple mail contacts were made to improve response rates. The survey firm uses a variety of tracking methods throughout the study period to update potential respondents’ contact information to achieve the response-rate goals in the subsequent survey.

Prior to fielding the resident survey for a sampled property, Urban Institute staff will conduct a brief interview with PHA staff to confirm that physical work associated with RAD, if any, has been completed, and temporary displacement of residents has ended (interview protocol in Appendix C).

Because using in-person field staff to either administer the survey or facilitate completion of the tenant survey over the phone is prohibitively expensive, we are relying on the dial-in and direct contact phone modes, with a cash incentive, to achieve acceptable response rates at most selected properties. For a limited number of sites, if these efforts fall short, field staff will be sent to convert non-responses through in-person contact, equipped with cell phones to allow residents to call to complete the survey over the phone.

This design includes several strategies to overcome non-response, of particular importance given the extended period since enrollment for some respondents. First, the pre-incentives will foster increased confidence in the full incentive for completing the survey. Second, the incentive itself should boost response rates. Finally, the option of in-person surveys will allow us to address properties with low response rates. Because we will not know the response rates through the phone survey for all properties at the same time, we will make the decision to field the survey in person at a particular property based on being able to meet the minimum number of completes. We will wait to begin in-person fielding until response rates can be compared across several properties.

4. Describe efforts to identify duplication.

There is no existing data source that can readily be analyzed to document all of the program impacts as required under the program’s authorizing statute, namely (1) PHAs’ views on the preservation and improvement of former public housing units, and (2) tenant views of the effect of conversion on their living arrangements and quality of life. All available quantitative data from HUD administrative sources, RAD applications and physical condition assessments will be incorporated into the analysis file by the research team. The proposed PHA interview is specific to the experiences of a sample of PHAs after RAD conversion and completion of rehabilitation and new construction. This experiential data could not be obtained in the phase one survey and interview because at the time few PHAs had completed rehabilitation or new construction, and this type of information is not reliably available from other sources, including HUD, except on an ad hoc and anecdotal basis. The proposed Resident Survey is specific to RAD and affected residents and the residents have not been previously asked to complete this type of survey.

5. Impact on small businesses or other small entities.

Small businesses are not part of the target population of this information collection effort. The information collection is limited to a sample of PHA representatives and residents. Some of the PHAs in the study sample are small, by HUD’s definition, and the tenant households are small entities. In both cases, the impact entails a small commitment of time.

6. Consequences if the collection is not conducted or is conducted less frequently.

The RAD authorizing statute requires that HUD assess three aspects of the program: (1) the preservation and improvement of former public housing units, (2) the amount of private capital leveraged as a result of such conversions, and (3) the effect of conversion on residents. The evaluation described in this ICR represents HUD’s effort to be responsive to this Congressional mandate to document the impact of the program. This is a onetime data collection and an inability to collect this data will render HUD unable to meet the Congressional mandate in the RAD authorization.

7. Special circumstances.

The proposed data collection activities are consistent with the guidelines set forth in 5 CFR 1320.6 (Controlling Paperwork Burdens on the Public – General Information Collection Guidelines). There are no special circumstances that would require this information collection to be conducted in a manner that would be inconsistent with OMB guidelines. Under this ICR, HUD will not conduct any data collection:

• requiring respondents to report information to the agency more often than quarterly – Not Applicable;

• requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it – Not Applicable;

• requiring respondents to submit more than an original and two copies of any document – Not Applicable;

• requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years – Not Applicable;

• 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 – Not Applicable;

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

• 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 – Not Applicable; or

• 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 – Not Applicable.

8. Federal Register Notice/Consultation Outside the Agency.

In accordance with the Paperwork Reduction Act of 1995, HUD published a 60-Day Notice of Proposed Information Collection in the Federal Register on 9/8/2016. The docket number was FR-5915-N-09, and the notice appeared on pages 62167-62168. The notice provided a 60-day period for public comments, and comments were due by 11/7/2016. No public comments on the proposed information collection were received. A copy of the notice is included as Appendix D.

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

No payments or gifts will be provided to respondents of the PHA telephone interview. A $5 gift card will be included with initial letter sent to persons sampled for the Resident Survey, and a $25 gift card will be provided to tenants that complete the Resident Survey.

10. Assurance of confidentiality.

HUD’s contractor, Econometrica, and its subcontractor, the Urban Institute through its subcontractor, SSRS, will provide a written assurance of confidentiality to all interview or survey respondents. Both firms have established stringent procedures and safeguards for securing and protecting against inappropriate disclosure or release of confidential information that will be collected during this evaluation. Where opinions are elicited from individuals, the confidentiality agreement stands; the data that Econometrica and the Urban Institute will provide to HUD will be purged of information that would enable the Department or anyone else to identify a specific individual, such as a PHA official or public housing resident, offering personal and confidential opinions. This restriction will not apply to the bulk of information that is collected, but only to that information that is of a personal and confidential nature as indicated on the survey.

The information gathered during this research effort will be used only for the purposes of this evaluation and will not be used by HUD or anyone else for grantee, beneficiary or other monitoring. All Econometrica and Urban Institute team members, and second-tier consultants, that will have access to these data will sign an “Assurance of Confidentiality” pledge.

The statutory authority related to HUD’s ability to conduct research through a contract with Econometrica and its subcontractor, the Urban Institute, is summarized below:

1. Section 3(b) of the Department of Housing and Urban Development Act, as amended, 42 U.S.C. 3532, authorizes the Secretary to “conduct continuing comprehensive studies, and make available findings, with respect to the problems of housing and urban development.”

2. Section 7(r)(1) of the Department of Housing and Urban Development Act, as amended, 42 U.S.C. 3535, provides that appropriated funds “shall be available to the Secretary for evaluating and monitoring of all such programs . . . and collecting and maintaining data for such purposes.” Subsection (r)(4)(a) of the act further provides that the Secretary “may provide for evaluation and monitoring under this subsection and collecting and maintaining data for such purposes directly or by grants, contracts, or interagency agreements.”

3. Section 502(g) of title V of the Housing and Urban Development Act of 1970, as amended, 12 USC 1701z-2 (g), authorizes the Secretary “to request and receive such information or data as he deems appropriate from private individuals and organizations, and from public agencies.” It further provides that “any such information or data shall be used only for the purposes for which it is supplied, and no publication shall be made by the Secretary whereby the information or data furnished by any particular person or establishment can be identified, except with the consent of such person or establishment.”

Prior to beginning data collection, HUD will consider the applicability of completing a Privacy Impact Assessment (PIA) and/or a System of Records Notice (SORN). If either of these two steps is found to be necessary, HUD will file the PIA with the Department and publish the SORN in the Federal Register, as required, prior to data collection.

Some of the information essential for the research is information required by regulations governing the public housing or RAD programs. For example, every RAD applicant is required to provide information on the RAD application to HUD.⁵ The HUD program office or PD&R will supply those data to Econometrica. The two data collection instruments submitted for review with this ICR are needed to collect information that is not in the RAD application or public housing information system but is needed for the second phase of the evaluation.

Administration of the Post-Closing PHA Interview will be managed by Econometrica using staff who have prior interviewing experience during phase one with the PHAs included in this survey effort. Administration of the Resident Survey will be handled by SSRS under subcontract to the Urban Institute. Both Econometrica and the Urban Institute maintain an Institutional Review Board (IRB) to ensure that research practices and procedures effectively protect the rights and welfare of human subjects, consistent with the requirements set forth in Title 45, Part 46, of the Code of Federal Regulations (45 CFR 46).

Both Econometrica’s and the Urban Institute’s policy is that all research involving human subjects must adhere to the following principles, among others:

• Risks to human subjects from research must be reasonable in relation to anticipated benefits and must be minimized to the extent possible.

• Human subjects must be fully and accurately informed of the nature of the research in which they will be involved, whether their participation is mandatory or voluntary, any consequences of non-participation, any risks associated with their participation, and how the research will be used.

• Adequate provision must be made to protect the privacy of human subjects and to maintain the confidentiality of data that are collected, where promised and as appropriate.

In accordance with these policies, Econometrica, the Urban Institute and SSRS will maintain the following procedures:

• The PHA interview is solely for the purpose of assessing the RAD program as a whole. It is not for monitoring or evaluating the performance of individual PHAs. All responses will be confidential and will not be attributed to the PHA staff member or the PHA. Econometrica, Inc may use quotes, but will avoid doing so in situations that could allow HUD or others to identify the source of the quote. We will not share PHA staff responses directly with HUD, but because we are conducting a small number of interviews with a group of fairly unique organizations there is a possibility that HUD could tie the comments that are included in the evaluation report back to the PHA.

• Prior to collecting data from residents, informed consent will be administered to all research subjects (resident survey respondents). They will be given a clear overview of the study and its goals, the data security plan, the staff confidentiality agreement, and our methods for safeguarding anonymity in our reports and publications. We will stress the voluntary nature of participation and make clear that there are no negative consequences for those who choose not to participate. This information will be provided in a letter accompanying the survey and will be read to residents who are enrolled over the telephone.

• The Urban Institute and SSRS will safeguard the information gathered from participants. Data gathered from the survey will be analyzed and discussed exclusively in the aggregate; no published reports using the survey data will single out any particular residents. Information identifying particular respondents will be shared only with staff members who have signed Data Confidentiality Pledges and who need the information for research purposes. All such Urban Institute and SSRS staff members will sign this pledge. Hard-copy materials containing respondent identifying information will be locked up when not in use, and electronic materials with identifying information will be stored on a secure server in password-protected and/or encrypted files, where appropriate.

• Information collected from interviews with staff of PHAs managing properties selected for the resident survey will be stored as notes, will not be reported separately by contact name or PHA name, and will be used to inform the scheduling of resident surveys at the properties.

All information will be protected and held confidentially.

11. Questions of a sensitive nature.

The resident survey includes questions on household income, rent and utility payments, and employment. The survey also asks residents for a general assessment of their own health.

12. Provide an estimate of the burden, in hours and cost, of the collection of information.

Burden Hours:

Tables 1, 2, and 3 demonstrate how the burden hours are calculated for the two data collection instruments included under this ICR: the post-conversion telephone interview, and the resident survey, and for other communications. The estimates below are based on information from the consultants familiar with the two instruments and the complexity of the topics they cover. The annual burden is expected to be a total of 281.2 (36+200+45.2) hours.

Table 1. Estimated Total Burden Hours for the Post-Closing PHA Interview

A. Respondent Category	B. Number of Respondents	C. Total Number of Responses Required	D. Burden per Interview	E. Total Burden Hours C*D
PHAs	23*	23	1.50 hours	36

* There are only 23 PHAs in our sample of 24 RAD projects. The total burden takes into account 24 Interviews

Table 2. Estimated Total Burden Hours for the Resident Survey

A. Respondent Category	B. Number of Respondents	C. Total Number of Responses Required	D. Burden per Survey	E. Total Burden Hours C*D
Residents willing to participate	400	400	0.50 hours	200

Table 3. Estimated Total Burden Hours for Other Communications to PHA Interview and Resident Survey Respondents

A. Communication	B. Respondent Category	C. Number of Respondents	D. Burden per Communication	E. Total Burden Hours C*D
Email to PHAs for Telephone Interview	PHAs in sample of RAD projects	23	5minutes	1.9
Resident Survey Cover Letter	Residents willing to participate	500	5 minutes	41.7
Phone call to PHA staff of projects for Resident Survey	PHAs in sample of Resident Survey projects	19	5 minutes	1.6
Total		523	5 minutes	45.2

Annualized Cost of Burden Hours:

Tables 4, 5, 6, and 7 demonstrate the annualized cost of the projected burden hours for the two instruments and other communications. Table 4 provides the annualized cost of the projected burden hours for the Post-Closing PHA interviews. Based on information from published sources, we estimate that the contact person—typically a project manager—in charge of answering questions about a project, on average, makes approximately $54 per hour, including overhead.⁶ For 23 respondents taking 1.5 hours to complete the interview, the total cost would be $1,871.

Table 4. Estimated Total Annualized Cost for Completing the Post-Closing PHA Interviews

A. Respondent Category	B. Number of Respondents	C. Hourly Wage, Including Benefits	D. Burden Hours	E. Total Annualized Cost (C*D)
PHAs	23	$54.24*	36	$1952.64

* PHA staff are not federal employees and therefore are not on the GS pay scale. See footnote 6 for explanation of how this rate was estimated.

To calculate the total annual cost burden to respondents for completing the Tenant Survey, we used occupational employment statistics from the U.S. Department of Labor’s Bureau of Labor Statistics to identify mean hourly wages (as classified by Standard Occupational Classification (SOC) codes) for potentially relevant occupations for resident heads of household, as shown in Table 5. The average for these three occupations (Food Preparation and Serving Workers, Laborer, Office Clerk) is $12.11 per hour. Using this average hourly rate, Table 6 illustrates the estimated cost of $2,546 to the 400 residents that complete the half-hour survey.

Table 5. Estimated Median Wages of Resident Survey Respondents

Occupation	SOC Code	Hourly Mean Wage (May 2015)
Food Preparation and Serving Workers	35-3021	$ 9.47
Laborer	53-7062	$13.39
Office Clerk	43-9061	$15.33
Average across occupations		$12.73

Source: Occupational Employment Statistics, Data Tables for the Overview of 2015 Occupational Employment and Wages. Accessed online on November 1, 2016, at http://www.bls.gov/oes/current/oes_nat.htm.

Table 6. Estimated Total Annualized Cost for Completing the Resident Surveys

A. Respondent Category	B. Number of Respondents	C. Hourly Wage, Including Benefits	D. Burden Hours per respondent	E. Total Annualized Cost (B*C*D)
Residents	400	$12.73	0.5	$2, 546.00

Table 7 provides the annualized cost of the projected burden hours for the other communications. The estimated rates used to calculate the burden cost of the other communications with PHAs and Resident respondents is the same as is used in tables 3 and 5.

Table 7. Estimated Total Annualized Cost for Other Communications

A. Communication	B. Respondent Category	C. Number of Respondents	D. Hourly Wage, Including Benefits	E. Burden per Communication	E. Total Annualized Cost (C*D*E/60)
Email to PHAs for Telephone Interview	PHAs	23	$54.24	5minutes	$103.96
Resident Survey Cover Letter	Residents	500	$12.73	5 minutes	$530.42
Phone call to PHA staff of projects for Resident Survey	PHAs	19	$54.24	5 minutes	$85.88

The total annual cost burden to the PHA interview respondents, resident survey respondents, and other communications is estimated to be $5,218.90 ($1952.64 + $2,546.00 + 103.96 + 530.42 + 85.88).

13. Capital costs.

This data collection effort involves no recordkeeping or reporting costs for respondents other than the time burden to respond to questions on the data collection instruments as described in item 12 above. There is no known capital cost burden to the respondents.

14. Provide estimate of annualized cost to the federal government.

The following Table 8 provides estimates of the annualized cost to the federal government for data collection performed by Econometrica and its subcontractor, the Urban Institute. There are no estimated recurring costs. This cost is calculated as the average contractor hourly cost for each data collection modality, multiplied by the number of hours per interview or survey and the number of interviews or surveys.

Table 8. Estimated Annualized Cost to the Federal Government

A. Information Collection	B. Number of Respondents	C. Frequency of Response	D. Responses Per Annum	E. Burden Hour Per Response	F. Annual Burden Hours	G. Hourly Cost Per Response*	H. Annual Cost
Post-Conversion Interview	24	1 time only	24 responses total	1.5	36	$154.86	$5,574.96
Resident Survey	400	1 time only	400 responses total	0.5	200	$207.83	$41,566.00
Total Estimated Annualized Cost to the Government							$47,140.96

* Hourly Cost Per Response is estimated based on contractually agreed upon labor rates and hours for different labor categories from different firms.

15. Explain the reasons for any program changes or adjustments.

This ICR is related to the second phase of the study, as it was originally conceived, and as such, this collection will be a revision and it reflects changes. It does not result from any program changes or adjustments.

16. For collections whose results will be published, outline the plans for tabulation and publication.

The results of the evaluation covered by this ICR will be documented in a report to HUD, which is currently scheduled to be delivered in November 2018. In this report, Econometrica and its team will summarize the report, outline the research questions, describe the study methodology, present the results, and draw appropriate conclusions. HUD plans to publish this report on their Web site, located at www.huduser.gov.

Data collection using the Post-Closing telephone interviews and the Resident Surveys will be administered after receiving OMB approval. Table 9 provides a timeline for the phase two data collection for both data collection instruments.

Table 9. Phase 2 Data Collection and Fieldwork Timeline

Study Component	Beginning Date	End date
Conduct interviews with PHAs for RAD study sample for the Post-Closing Study	After receipt of OMB Approval. Estimated for May 2017.	The Interviews will conclude no later than January 2018
Resident Survey	After receipt of OMB Approval. Estimated for May 2017.	Expected to be completed no later than January 2018

Data will be collected and stored in Microsoft Excel files, Microsoft Work files, a Microsoft Access database, and recordings (if approved by the entity being interviewed during the Post-Closing telephone interviews). Data analysis will be primarily conducted using SAS and will be tabulated using Microsoft Excel and Word tables. Table 10 provides a timeline for the data analysis activities related to the two study components.

Table 10. Data Analysis Timeline⁵

Study Component	Beginning Date	End date
Analyze the results of the interviews with PHAs for RAD study sample for the Post-Closing Study	Immediately after the interviews are completed (see Table 9 above)	No later than May 2018
Analyze the resident surveys	Immediately after the surveys are completed (see Table 9 above)	No later than May 2018

17. Expiration date

All data collection instruments created for phase two of the RAD evaluation will prominently display the expiration date for OMB approval.

18. Certification statement

This submission describing data collection requests no exceptions to the Certificate for Paperwork Reduction Act (5 CFR 1320.9).

Appendix A: RAD PHA Survey/Interview Questions

I. Identifying Information

PHA Name and Code:

POC Name and Title:

Project Name and Code:

Interview Date and Time:

POC Contact Information:

II. Introduction

Hello. Thank you for agreeing to a follow-up interview as part of the U.S. Department of Housing and Urban Development’s, or HUD’s Rental Assistance Demonstration, or RAD, program evaluation. My name is [name], and I am joined by my colleague(s), [name(s)]; we work for Econometrica, Inc., a management and research firm selected by HUD to carry out this RAD program evaluation. Some of you may have been interviewed before about the RAD program. As was explained to you at the time of the first interview, your public housing authority, or PHA, [name of PHA], was randomly selected to be part of HUD’s evaluation of the RAD program. Can you confirm who is taking part in this interview from your PHA?

Our main goal with this interview is to explore your experiences with [project name] after it has been converted through RAD. We are asking you, as a key member of the PHA, to answer these questions to provide us with an accurate understanding of the implementation of RAD post-conversion. We will focus on several categories, including construction and/or rehabilitation if applicable, administration, financial performance, property management, overall HUD implementation, and some general questions. These questions will explore how your project and your PHA has changed post-conversion and allow us to report to the HUD and Congress on your experience with RAD, and ultimately on the successes and limitations of RAD.

This interview is solely for assessing the RAD program as a whole. It is not for monitoring or evaluating the performance of individual PHAs. All responses will be confidential and will not be attributed to you or your organization. We may use quotes, but will avoid doing so in situations that could allow HUD or others to identify the source of the quote.

As part of our interview process, we would like your consent to record the conversation. This recording is to ensure we are accurately capturing your response and comments. It will not be shared with HUD and will be erased after the report is completed. Do we have your permission to record the conversation? [Wait for the response. If the respondent(s) does not consent, inform the respondent(s) that at the end of the interview we may need to review some answers in order to ensure we have accurately captured responses.]

III. RAD Conversion Type

1. To get started, did you use RAD for your project, [project name], for (1) rehabilitation, (2) new construction, or (3) neither (in other words, nonfinancial conversion)?

[Interviewer: The next section is applicable to rehabilitation or new construction projects. Nonfinancial projects should skip to the following section. Please make sure to address the PHA’s project as either a rehabilitation or a new construction project.]

IV. Rehabilitation or New Construction Questions

2. The following questions are related to [rehabilitation] or [new construction] of properties. These questions will allow us to understand how RAD influenced your initiatives. Would this project have been undertaken without RAD? Why or why not?

3. Were you able to complete the rehabilitation/new construction activities proposed in your RAD application? [Interviewer: If “yes,” go to Question 6; if “no,” go to Question 4.]

4. If you were not able to complete the rehabilitation/new construction activities proposed in your RAD application, is your project ongoing or was it canceled? [Interviewer: If the project is ongoing, ask Questions a, b, and c below; if it was cancelled, skip to Question 5.]

   1. Where in the process are you?

   2. What are the main reasons that the project is still ongoing and not complete?

   3. Do you have any other comments on the status of the project that would be relevant?

5. If the project was canceled, please explain the circumstances for its being canceled. [Interviewer: Only ask this question if the answer to Question 4 is that the project was canceled.]

6. [Interviewer: Please ask either Question (a) or (b) depending on whether new construction/rehabilitation has been completed (a) or not completed (b). If the answer to Question 3 was “yes,” then you will ask Question a. If the answer to Question 3 was “no” and to Question 4 was “project is ongoing,” then you will ask Question b.]

   1. If you completed rehabilitation/new construction, were you able to follow your rehabilitation/new construction plan, or did you have to make significant changes to your plan? If you did make significant changes, what was changed? Please describe and explain the reasons for making the changes. [Interviewer: Skip to Question 7.]

   2. If you did not complete rehabilitation/new construction, have you been able to follow your rehabilitation/new construction plan, or have you had to make significant changes to your plan? If you had to make significant changes, what was changed? Please describe and explain the reasons for making the changes. [Interviewer: Skip to Question 8.]

7. If you completed rehabilitation or new construction, which, if any, issues has the RAD conversion addressed?

   1. All pre-conversion issues. Please elaborate on some of the issues.

   2. Accessibility requirements (Section 504).

   3. Lead-based hazards.

   4. Small units.

   5. Vandalism.

   6. Other. Please elaborate on what other issues you addressed.

8. Do you think that the RAD conversion has improved the physical condition of your property? Please describe the most significant improvements. Do you think the RAD project will be able to sustain the physical improvements over the long run out of future project income and reserves?

9. Have you been able to follow your planned schedule for completion or have you experienced significant delays? If you have encountered significant delays, what factors have caused those delays? Note all that apply. Explain in detail delays that were unusual or were unique to the RAD program and the length of the delay (for example, a few weeks, a few months, or several months).

   1. Financing delays (for example, delays in lender approvals or release of funds).

   2. Planning and design delays (for example, delays due to changes in project scope).

   3. Construction delays (for example, delays due to ordering materials, labor shortages, and bad weather).

   4. Site development delays (for example, discovery of underground storage tanks, asbestos, or lead paint).

   5. Regulatory/permitting delays (for example, historic preservation, environmental).

   6. Inspection and Certificate of Occupancy delays (for example, delays due to difficulties with scheduling inspections).

   7. Administrative delays (for example, HUD-related delays such as slow approvals and responses to program questions).

   8. Other significant delays. Please explain and indicate if they were related to RAD.

10. If your project experienced significant delays, what would you have done differently to avoid schedule delays?

[Interviewer: The next question addresses efforts made by HUD or other sources of assistance.]

11. If your project experienced significant delays, what efforts did HUD or other sources make to prevent or correct schedule delays? In your opinion, are there additional efforts that HUD or other sources could have undertaken?

V. Administration, Management, and Financial Performance Questions

[Interviewer: Except for the PHA administrative questions, the other questions in this section do not apply if the respondent(s) answered “no” to Question 3 (i.e., did not complete rehabilitation or new construction or project was canceled).]

Thank you for your responses to questions about new construction and or rehabilitation. We are now going to move to questions related to how conversion through RAD has affected your PHA in terms of administration, property management, and financial performance of the property.

PHA Administration Questions

I am going to ask a couple questions about the administration of your PHA.

12. Has RAD conversion affected the administration of your PHA? If so, describe these effects (for example, organizational structure, policies and procedures, reporting requirements, operations).

13. [Interviewer: Only ask this question if the answer to Question 12 is “yes.”] If there have been any administrative changes as just discussed due to RAD conversion, have they been beneficial, a burden, or neutral to the PHA? Please give specific examples.

14. What have you done to communicate to residents their Choice Mobility Option and the Right to Return? Have you gotten any questions from tenants about either?

Property Management Questions

[Interviewer: Only ask property management questions if the PHA answered “yes” to Question 3 and is therefore done with conversion. If the PHA answered “no” to Question 3, skip to Question 28.]

15. We are now going to move to questions related to property management. Property management is the operation, control, and oversight of real estate. This does not refer to ownership. It includes activities such as onsite property management, leasing, maintenance, and/or administration. Does the PHA manage the property, or does a new entity manage the property?

16. Have property management policies and procedures changed since converting your property through RAD? Please explain how they have changed, why they have not changed, or if you are uncertain about any changes.

17. Do you have any concerns about how the property is being managed after conversion under RAD? Please explain why or why not.

18. Have you noticed any changes in the following measures—rental delinquency, occupancy/vacancy, turnover, or time on market—since conversion through RAD? Have they increased, decreased, stayed the same, or is it too soon to tell?

    1. If you experienced a change in the measures, which of the measures (delinquency, occupancy/vacancy, turnover, or time on market) have changed the most?

    2. Do you have details about that change? For instance, how much did it change?

19. Do you have properties that have not converted through RAD? If so, has RAD had any positive or negative effect on those properties in your portfolio that have remained as public housing?

Property Financial Performance Questions

[Interviewer: Only ask property financial performance questions if the PHA answered “yes” to Question 3 and is therefore done with conversion. If the PHA answered “no” to Question 3, skip to Question 28.]

We are now going to move on to property financial performance questions.

20. In your opinion, has the property reached stabilized occupancy since conversion? [Interviewer: If yes, ask Question a; if no, ask Question b.]

    1. If yes, how long did it take from the completion of conversion or rehabilitation/new construction to reach stabilized occupancy?

       1. Is the stabilized occupancy rate sufficient to meet rent revenue targets?

    2. If not, how long has it been since completion of conversion or rehabilitation/new construction, and how much more time do you expect to need to achieve stabilized occupancy?

       1. Once you achieve stabilized occupancy, will it be sufficient to meet revenue targets?

21. Is your property currently earning more, as much, or less revenue (such as Housing Assistance Payments contract payment, tenant payment, and other revenues) than it received before conversion?

[Interviewer: The next three questions relate to operating expenses. To clarify, the definition of an operating expense is an expense incurred in carrying out a real estate project’s day-to-day activities, including utilities, maintenance expenses, security, insurance, asset management, and other short-term costs.]

22. Is your property currently incurring greater, the same, or lower operating expenses than it was paying before conversion? Have there been any changes in expenditures for maintenance, utilities, security, or other property management items?

    1. [Interviewer: If the respondent answers “I don’t know,” please ask the following question.] What limitations are you experiencing that cause you to be uncertain of the answer (for example, lack of data or staffing)?

23. Is your property currently earning enough revenue to meet all of its operating expenses? Its scheduled reserves for replacement payment? Its mortgage debt payment? Is it generating positive cash flow after meeting all of its scheduled obligations?

    1. [Interviewer: If the respondent answers “I don’t know,” please ask the following question.] What limitations are you experiencing that cause you to be uncertain of the answer (for example, lack of data or staffing)?

24. In the next 5 to 10 years, how do you expect this project to perform financially?

    1. Generate positive cash flow (in other words, revenues exceed expenses).

    2. Just break-even.

    3. Generate negative cash flow (in other words, revenues insufficient to cover operating expenses, debt service, and reserves).

    4. Unsure or do not know.

25. If your project generates positive cash flow over the next 5 to 10 years, how do you think you would use that cash flow?

    1. Invest in the project. How?

    2. Invest in other projects. How?

    3. Spend on other affordable housing activities. Which ones?

    4. Not sure.

26. Has your project faced any of the following financial challenges? Note all that apply. Please provide specific examples for each challenge identified.

    1. Late payments on debt.

    2. Insufficient cash flow to fully fund reserves for replacement.

    3. Unexpected expenditures.

    4. Unexpected declines in revenue.

    5. Other challenges (please describe).

       1. [Interviewer: If the respondent answered yes to any of the above examples, including other, please ask the following question.] How did you manage these challenges, and what steps did you take to resolve the situation?

27. Have there been many households for which rent changed after RAD conversion? Are the rent increases being phased in over some time period?

28. In your opinion, why do you think rents did or did not change? Was it due to an increase in unit size? Differences in income eligibility requirements? Some other factors?

VI. General Questions

We are now going to move on to the last section of the interview, which covers general questions. These questions were asked during the initial interview. Now that the conversion process is (mostly) complete, we would like to know your opinions on these same topics.

29. On a scale of 1 to 10 (1 being worst, 10 being best), how would you rate the conversion process under RAD?

30. What changes would you recommend HUD make to the RAD program?

31. Would you recommend RAD to other PHAs?

32. If you had the chance to do it again, would you still apply for RAD?

33. Are there any lessons learned that would be helpful for other projects preparing to go through a RAD conversion?

34. Did you build any new common areas in your project? If so, please describe them.

35. Is there anything else you would like to share that would help our understanding of the effect of RAD on public housing?

Appendix B: Rental Assistance Demonstration

Version I: Resident Impact Survey (for residents in same development as pre-RAD)

Introduction.

Hello, I’m xxxx from SSRS, a research company. You may remember we contacted you some time ago and asked you to help us understand some changes planned for your housing. Around [RAD closing month and year] your development became part of a HUD program called the Rental Assistance Demonstration or RAD program. Two research companies, the Urban Institute and SSRS, have been hired by HUD to conduct a survey to find out how residents feel about the RAD program. You may remember that someone from SSRS enrolled you in this study of RAD around [month & year of enrollment], and you also should have received a letter from HUD about this survey. We are now asking for your help by taking part in this very important survey.

We would like to ask some questions about your housing experience since [RAD closing month and year], to understand whether this program has helped you. This survey will help HUD, your housing authority, and Congress to understand what is working well and what may need to be improved, so your input may also help others. We are offering a $25 gift card as a thank you for completing the survey. The survey will take about 30 minutes.

Your participation is completely voluntary, that is you can choose to take part in it or not, and you can skip questions you do not wish to answer or stop taking the survey after you begin. Your choice about participating will NOT affect your housing or any housing assistance or help you might be receiving in any way. Neither HUD nor your housing authority will know you participated in the survey or will see your responses to the questions.

Any information you give me will be confidential and your name will not be kept with your responses. All of your responses to the questions will be combined with responses from other residents in your community and in other developments in the RAD program. These responses will only be used for research purposes and will not be published in any way that would identify you.

Do you have any questions before we begin?

Resident Awareness

1. During this survey I’ll refer to the RAD program, and to any changes that might have been made to indoor and outdoor common spaces in your building or your housing unit that you lived in back in {DATE OF ENROLLMENT}. Have you heard of the RAD program before?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

2. Thinking about the information you got from your housing authority about the RAD program, how satisfied are you with how they communicated to you about the program and any changes made under program? Would you say that you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

3. Did you have to move to a different unit while the RAD changes were being made?

Yes 1

No 2 {Skip to Q5}

DON’T KNOW 8 {Skip to Q5}

REFUSED 9 [Skip to Q5}

4. Did you have to move to a different property while the RAD changes were being made?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

5. Are you living in the same unit as you were in {DATE OF ENROLLMENT}

Yes 1 {Skip to Q9}

No 2

DON’T KNOW 8

REFUSED 9

6. Are you living in the same property as you were in {DATE OF ENROLLMENT}?

Yes 1 {Skip to Q9}

No 2 {Use Instrument 2}

DON’T KNOW 8

REFUSED 9

7. Why didn’t you return to the property you lived in before RAD?

No longer receiving any rent assistance 1

Still receiving assistance, but chose to live elsewhere 2 {Skip to Q9}

Still receiving assistance, but PHA told me I couldn’t
return 3 {Skip to Q9}

Other (specify) 4 {Skip to Q9}

DON’T KNOW 8 {Skip to Q9}

REFUSED 9 {Skip to Q9}

8. People leave housing assistance/public housing for different reasons. What would you say was the main reason you left?

Income too high/over-income/no longer eligible 1

Rent or utilities got too high 2

PHA told me I couldn’t return 3

Had unpaid rent 4

Had to relocate and landlord wouldn’t take voucher 5

Had to relocate and didn’t like options PHA gave me 6

Other personal reasons 7

Other (specify) 8

DON’T KNOW 98

REFUSED 99

Resident Satisfaction

{If Q3=2, skip to Q12}

9. For about how long did you have to move out of the unit you lived in back in [DATE OF ENROLLMENT]? In other words, how many weeks or months was it before you were able to move into your current unit?

Less than one month 1

One to six months 2

Six to twelve months 3

More than twelve months 4

DON’T KNOW 8

REFUSED 9

10. Did you receive help with moving expenses or receive other help when you had to move?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

11. How satisfied are you with the help you received when you had to move? Would you say you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

12. Since your development became part of RAD in [date] have you noticed a different management company? For example, do you pay rent to a different organization, or call a different organization for maintenance requests?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

13. Part of RAD might have included changes to indoor or outdoor common spaces or changes in individual units or apartments. Have you noticed if…..

	Yes	No	Don’t know	Refused
….changes had been made to common indoor spaces in the building (elevators, hallways, stairwells, etc).?	1	2	8	9
….changes had been made to outdoor spaces in the building (playgrounds, parking areas, exterior walls, roof replacement, etc)?	1	2	8	9
….changes had been made to your housing unit?	1	2	8	9

[If respondent is not aware of changes to common indoor spaces, skip to Q16]

14. Thinking about the changes to the common indoor spaces, such as elevators, hallways or stairwells, and comparing to how things used to be, would you say that overall, common indoor spaces are:

Better than before, 1

Worse than before, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

15. What would you say were the most important changes to common indoor spaces that you noticed?

{INTERVIEWER: Do not read list; just check “yes” for those mentioned and record “other” items identified}

	Yes
….elevators
….stairwells
….flooring in halls or lobby
…doors or locks
…lighting in common areas
…community rooms
…other public areas like laundry rooms
…some other change?
Other (specify)
Don’t know
Refused

[If respondent is not aware of changes to common outdoor spaces, skip to Q18]

16. Thinking about the changes to the common outdoor spaces, such as playgrounds, parking areas, exterior walls, or sidewalks and comparing to how things used to be, would you say that overall, common outdoor spaces are:

Better than before, 1

Worse than before, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

17. What would you say were the most important changes to common outdoor spaces that you noticed?

{INTERVIEWER: Do not read list; just check “yes” for those mentioned and record “other” items identified }

	Yes
….painting
….sidewalks or outside stairways
….outdoor lighting or security cameras
…parking areas
…playgrounds, lawns or plantings
…some other change?
Other (specify)
Don’t know
Refused

[If respondent is not aware of changes to own housing unit, skip to Q20]

18. Thinking about the changes to your own housing unit, and comparing to how things used to be, would you say that overall, your unit is:

Better than before, 1

Worse than before, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

19. What would you say were the most important changes to your housing unit that you noticed?

{INTERVIEWER: Do not read list; just check “yes” for those mentioned and record “other” items identified }

	Yes
….new paint or wall repairs
….new flooring or floor repairs
….new or repaired electric wiring or outlets
…kitchen plumbing, appliances or cabinets
…bathroom plumbing or cabinets
…new or repaired doors or locks
…new or repaired windows
…new or repaired heating or air conditioning
…some other change?
Other (specify)
Don’t know
Refused

[If respondent is not aware of any changes to indoor or outdoor common areas, or housing unit, skip to Q21]

20. Thinking about all of the RAD changes made to the development and to your unit, would you say that overall things are:

Better than before, 1

Worse than before, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

21. How satisfied are you with the way the housing authority managed the RAD program, for example how long the work took or whether any of the work made it hard to get around the property, from the time the work started to when the work was completed?

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

22. Would you say that maintenance is better, worse, or about the same since the RAD program was completed? For example, when you have a problem that needs to be fixed, like a broken window or appliance, does it get fixed faster?

Better 1

Worse, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

23. Would you say that the property is being managed better, worse, or about the same since the RAD program ended? For example, do you think they’re doing a better job of enforcing rules fairly now?

Better 1

Worse, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

24. Have you been told by your property manager, property owner, or the PHA staff that after you live here for [1 YEAR/2 YEARS (depending on property)] you could use a Housing Choice Voucher, that is, to choose your own housing in the private rental market with a voucher from the housing authority?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

25. Do you think you would like to do that, that is, use a Housing Choice Voucher, rather than staying in your current housing?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

26. Overall, how satisfied are you with the housing unit where you live now? Would you say that you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

27. Overall, how satisfied are you with the development where you live now? Would you say that you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

Housing Conditions

Housing quality and problems

The next series of questions is about problems that some people have experienced with their homes. We are interested in knowing if you have experienced these types of problems in your current home since the RAD program was completed.

28. Since the RAD program was completed, for any reason, was your house or unit so cold during the winter for 24 hours or more that you or members of your household were uncomfortable?

Yes 1

No 2 {Skip to Q30}

Was not in current unit during last winter. 3 {Skip to Q30}

DON’T KNOW 8 {Skip to Q30}

REFUSED 9 {Skip to Q30}

29. What was the reason? Was it:

Utility interruption because you did not pay your utility bill 1

Utility interruption for some other reason 2

Inadequate heating capacity 3

Inadequate insulation 4

Cost of heating 5

Heating equipment breakdown 6

Other 7

DON’T KNOW 8

REFUSED 9

30. Was your unit ever COMPLETELY without running water in the past three months - - that is, since [Interview Month – 3]

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

31. In the past 3 months, was there any time when ALL of your toilets were broken, or stopped up, or otherwise not working, so you couldn’t use them?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

People sometimes have problems with cracks or holes in their floors, walls, or ceilings – not hairline cracks or nail holes, but OPEN cracks or holes.

32. In the inside walls or ceilings of your housing unit, are there any open holes or cracks wider than the edge of a dime?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

33. How about the floors in your housing unit -- are any holes in the floors big enough for someone to catch their foot on? (About 4 inches across -- About the height of a soup can)

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

34. Does the inside of your housing unit have any areas of peeling paint or broken plaster?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

35. Have you seen signs of mice or rats INSIDE your housing unit in the past three months - that is since [INTERVIEWER MONTH-3]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

36. Have you seen signs of live or dead cockroaches INSIDE your housing unit in the past three months - that is since [INTERVIEWER MONTH-3]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

37. Have you seen signs of mildew or mold INSIDE your housing unit, in the past three months- that is since [INTERVIEWER MONTH-3]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

38. Are any of the windows in your housing unit damaged or broken?

Yes /1

No 2

DON’T KNOW 8

REFUSED 9

39. Are any of the doors in your housing unit damaged or broken?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

40. Are locks missing from any of the doors in your housing unit?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Now we are interested in hearing about problems you may have had in your home before the RAD program, that is, before [RAD closing month and year]. We’ll ask you to try to remember problems in your housing unit back then.

41. Thinking back to before {RAD closing month and year], for any reason, was your housing unit so cold during the winter for 24 hours or more that you or members of your household were uncomfortable?

Yes 1

No 2 {Skip to Q43}

DON’T KNOW 8 {Skip to Q43}

REFUSED 9 {Skip to Q43}

42. What was the reason? Was it:

Utility interruption because you did not pay your utility bill 1

Utility interruption for some other reason 2

Inadequate heating capacity 3

Inadequate insulation 4

Cost of heating 5

Heating equipment breakdown 6

Other 7

DON’T KNOW 8

REFUSED 9

43. Thinking back to before [RAD closing month and year], was your housing unit ever COMPLETELY without running water in the previous three months - - that is, between [RAD closing month and year - 3] and [RAD closing date]

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

44. And again thinking back to before [RAD closing month and year], in the previous 3 months, that is, between [RAD closing date-3] and [RAD closing date], was there any time when ALL of your toilets were broken, or stopped up, or otherwise not working, so you couldn’t use them?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

45. In your home in[RAD closing month and year], in the inside walls or ceilings of your housing unit, were there any open holes or cracks wider than the edge of a dime?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

46. How about the floors in your housing unit in {RAD closing month and year] -- were any holes in the floors big enough for someone to catch their foot on? (About 4 inches across -- About the height of a soup can)

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

47. Did the inside of your housing unit have any areas of peeling paint or broken plaster in [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

48. In your home in [RAD closing month and year], did you see signs of mice or rats INSIDE your housing unit in the three months between [RAD closing month and year-3] and [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

49. In your home in [RAD closing month and year], did you see signs of live or dead cockroaches INSIDE your housing unit in the three months between [RAD closing month and year-3] and [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

50. Did you see signs of mildew or mold INSIDE your housing unit, in the three months between [RAD closing month and year – 3] and [RAD closing month and year-]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

51. Were any of the windows in your housing unit damaged or broken in [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

52. Were any of the doors in your housing unit in [RAD closing month and year] damaged or broken?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

53. Were locks missing from any of the doors in your housing unit in [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

54. Thinking about the condition of your housing unit now, and its condition before the RAD program (that is, before about {Date of closing}) Would you say the condition of your housing unit now is:

Much better 1

Somewhat better 2

About the same 3

Somewhat worse 4

Much worse 5

DON’T KNOW 8

REFUSED 9

55. Thinking about the condition of the property/building you live in now, and its condition before the RAD program (that is, before about {Date of closing}), would you say the condition of your current building is:

Much better 1

Somewhat better 2

About the same 3

Somewhat worse 4

Much worse 5

DON’T KNOW 8

REFUSED 9

Housing Costs

Now I have a few questions about housing costs.

56. In the month just passed, what did you pay in rent?

$_________amount

DON’T KNOW 9998

REFUSED 9999

57. Would you say you are now paying more rent, less rent, or the same amount than since the RAD program began (that is, from about {Date of closing})?

More rent 1

Less rent 2 {SKIP to Q59}

Same amount 3 {SKIP to Q59}

DON’T KNOW 8 {SKIP to Q59}

REFUSED 9 {SKIP to Q59}

58. What would you say is the main reason your rent changed? Was it because

Your income changed 1

You are in a larger or smaller unit 2

Housing in the area has gotten more or less expensive 3

[For rent increases] You were paying a flat rent before, and now are paying

30% of your income 4

Other 5

DON’T KNOW 8

REFUSED 9

59. In the past 12 months were you ever more than 15 days late paying your rent?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Now I have some questions about your utilities.

60. Do you pay for your own electricity or is that included in the rent?

Pay own electricity 1

Included in rent 2

DON’T KNOW 8

REFUSED 9

61. Do you pay for your own gas or is that included in the rent?

Pay own gas 1

Included in rent 2

Do not use gas 3

DON’T KNOW 8

REFUSED 9

62. Do you pay for your own water or is that included in the rent?

[INTERVIEWER: SELECT ‘2’ IF R DOES NOT PAY WATER BILL]
Pay own water bill 1

Included in rent 2

DON’T KNOW 8

REFUSED 9

[If no to Q60, Q61 and Q62, skip to Q64]

63. Thinking about all your utility bills combined, that is, electric, gas and water, how much were your total utility bills last month?

$___________[Range: 0-9996]Amount

DON’T KNOW 8

REFUSED 9

64. Thinking about what you now pay for rent and utilities combined, has the amount that you pay for rent and utilities changed since before the RAD program began (that is, before about {Date of closing})? Would you say you are paying more now to cover rent and utilities, less, or the same amount?

More 1

Less 2

About the same 3

DON’T KNOW 8

REFUSED 9

[SKIP TO Q68 IF Q60 = 2, Q61 = 2 OR 3, AND Q62 = 2]

65. People sometimes have trouble paying their utility bills on time. How many times in the last 12 months were you more than 15 days late paying your electric, gas, or water bill?

________ Times [Range: 0-40] {If 0 Skip to Q68}

DON’T KNOW 9998

REFUSED 9999

66. Did you receive a notice that your gas, water, or electricity would be shut off if you did not pay your bill?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

67. In the past 12 months, was your gas, water, or electricity ever shut off for nonpayment?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Employment

Now, I have a few questions about work.

68. Do you currently work for pay?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

69. Did you work for pay while the RAD program was going on?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

{Ask if Q3 = 1 and Q69 = 1, otherwise skip to Q72}

70. After you moved because of the RAD changes to your building, was getting to work

More difficult 1

Less difficult 2 (Skip to Q72)

About the same 3 {Skip to Q72}

Did not keep that job 4 {Skip to Q72}

DON’T KNOW 8 {Skip to Q72}

REFUSED 9 {Skip to Q72}

71. Why was that?

Longer commute 1

No parking at that housing 2

Difficulty accessing public transit 3

Other (specify) 4

DON’T KNOW 8

REFUSED 9

70a. Other: _________________________________________________________

72. Could you please tell me which category best estimates your total household income for 2016? Income includes all money earned from jobs, public assistance, or social security by all members of your household. (You can just tell me the number of the category if you like.)

Less than $5,000 1

$5,000 to $9,999 2

$10,000 to $14,999 3

$15,000 to $19,999 4

$20,000 to $29,999 5

$30,000 to $39,999 6

$40,000 or more 7

DON’T KNOW 8

REFUSED 9

73. In the past 12 months, have you or anyone in your household received disability pay such as SSDI (Social Security Disability Insurance), a veteran’s disability benefit or workers compensation for a work-related injury?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Health

Next I have a few questions about your health.

74. In general, would you say your health is:

Excellent 1

Very good 2

Good 3

Fair 4

Poor 5

DON’T KNOW 8

REFUSED 9

75. Thinking back to before [RAD closing month and year], in general, would you say your health back then was:

Excellent 1

Very good 2

Good 3

Fair 4

Poor 5

DON’T KNOW 8

REFUSED 9

76. Thinking about the changes in your housing since {RAD closing month and year] do you think these changes have had any effect on your health?

Yes 1

No 2 {Skip to Q78}

DON’T KNOW 8

REFUSED 9

77. If yes, how did the changes affect your health now; would you say it is

A lot better 1

A little better 2

A little worse 3

A lot worse 4

DON’T KNOW 8

REFUSED 9

Neighborhood Conditions and Safety

The next set of questions asks about what it’s like to live in your current neighborhood.

Safety and Victimization

78. During the day, how safe do you feel or would you feel being out alone in the parking lots, the lawns, the street, or sidewalks right outside your building? Do you feel...

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

79. At night, how safe do you feel or would you feel being out alone in the parking lots, the lawns, the street, or sidewalks right outside your building? Do you feel...

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

80. During the day, how safe do you feel being alone inside your unit? Do you feel…

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

81. At night, how safe do you feel being alone inside your unit? Do you feel…

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

82. Overall, , do you feel safer, less safe, or about as safe now as you did before the RAD program (that is, before about {Date of closing})?

Safer 1

Less safe 2

About as safe as before 3

DON’T KNOW 8

REFUSED 9

83. Why is that?

_____________[Specify]

999998. DON’T KNOW

999999. REFUSED

Resident Characteristics and Household Composition

Please remember that the information you give me will not affect your housing status. In order to understand a little about your household, I would like to ask you about each of the people who are currently living in this household including people who are not on the lease. We are asking for name, initials, or nicknames just to help us keep track during our survey. As we said earlier, we will never connect your name with your answers.

84. How old are you?

_____________Years Old [RANGE=1-100]

999997. Greater than 100 years, elderly

999998. Don’t know

999999. Refused

85. Since you were 18 years old, how many years have you lived in public housing altogether?

_____ Years [Range = 1 – 96}

Less than one year 97

DON’T KNOW 98

REFUSED 99

86. How many people currently live in your household, including yourself?

_____ Number of People

DON’T KNOW 9998

REFUSED 9999

87. How many of the people currently living in your household are under the age of 18?

_____ Number of People

DON’T KNOW 9998

REFUSED 9999

88. How many of the people currently living in your household are over the age of 62?

_____ Number of People

DON’T KNOW 9998

REFUSED 9999

89. What is your marital status? Are you:

Now married 1

Not married, living with partner 2

Not married, not living with partner 3

Widowed 4

Divorced 5

Separated 6

DON’T KNOW 8

REFUSED 9

90. What is the highest grade or level of regular school you have ever completed?

[PROBE IF ANSWER IS H.S. DIPLOMA:] “Do you have a high school diploma or a GED?”

8^th grade or less 1

9^th grade to 11^th grade 2

12^th grade 3

GED 4

High school diploma 5

Some voc/tech/business courses 6

Voc/Tech/business certificate or diploma 7

Some college courses 8

Associate’s degree (AA,AS) 9

Bachelor’s degree (BA, BS) 10

Some graduate/professional school courses 11

Graduate/professional degree 12

DON’T KNOW 98

REFUSED 99

Thank you for helping us with the survey, we appreciate the time you’ve taken. We’ll be sending you the $25 gift card in the mail. The address we have for you is [confirm contact information]. Is that correct?

Yes 1

No 2

[Record new address if needed]

_____________________________________________________________

_____________________________________________________________

Version II: Resident Impact Survey (for residents in different development post-RAD)

Introduction.

Hello, I’m xxxx from SSRS, a research company. You may remember we contacted you some time ago and asked you to help us understand some changes planned for your housing. Around [RAD closing month and year] your development became part of a HUD program called the Rental Assistance Demonstration or RAD program. Two research companies, the Urban Institute and SSRS, have been hired by HUD to conduct a survey to find out how residents feel about the RAD program. You may remember that someone from SSRS enrolled you in this study of RAD around [month & year of enrollment], and you also should have received a letter from HUD about this survey. We are now asking for your help by taking part in this very important survey.

We would like to ask some questions about your housing experience since [RAD closing month and year], to understand whether this program has helped you. This survey will help HUD, your housing authority, and Congress to understand what is working well and what may need to be improved, so your input may also help others. We are offering a $25 gift card as a thank you for completing the survey. The survey will take about 30 minutes.

Your participation is completely voluntary, that is you can choose to take part in it or not, and you can skip questions you do not wish to answer or stop taking the survey after you begin. Your choice about participating will NOT affect your housing or any housing assistance or help you might be receiving in any way. Neither HUD nor your housing authority will know you participated in the survey or will see your responses to the questions.

Any information you give me will be confidential and your name will not be kept with your responses. All of your responses to the questions will be combined with responses from other residents in your community and in other developments in the RAD program. These responses will only be used for research purposes and will not be published in any way that would identify you.

Do you have any questions before we begin?

Resident Awareness

1. During this survey I’ll refer to the RAD program and to any changes that might have been made to indoor and outdoor common spaces in your building or your housing unit that you lived in back in {DATE OF ENROLLMENT}. Have you heard of the RAD program before?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

2. Thinking about the information you got from your housing authority about the RAD program, how satisfied are you with how they communicated to you about the program and any changes made under the program? Would you say that you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

3. Did you have to move to a different unit while the RAD changes were being made?

Yes 1

No 2 {Skip to Q5}

DON’T KNOW 8 {Skip to Q5}

REFUSED 9 [Skip to Q5}

4. Did you have to move to a different property while the RAD changes were being made?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

5. Are you living in the same unit as you were in {DATE OF ENROLLMENT}

Yes 1 {Use Instrument 1}{Skip to Q9}

No 2

DON’T KNOW 8

REFUSED 9

6. Are you living in the same property as you were in {DATE OF ENROLLMENT}?

Yes 1 {Use Instrument 1}{Skip to Q9}

No 2

DON’T KNOW 8

REFUSED 9

7. Why didn’t you return to the property you lived in before RAD?

No longer receiving any rent assistance 1 {Skip to Q8}

Still receiving assistance, but chose to live elsewhere 2 {Skip to Q9}

Still receiving assistance, but PHA told me I couldn’t
return 3

Other (specify) 4 {Skip to Q9}

DON’T KNOW 8 {Skip to Q9}

REFUSED 9 {Skip to Q9}

7a. Why did the PHA tell you that you couldn’t return to the property you lived in before RAD?

Property was demolished 1 {Skip to Q9}

Property had no units with the number of bedrooms

needed 2 {Skip to Q9}

Other (specify) 3 {Skip to Q9}

DON’T KNOW 8 {Skip to Q9}

REFUSED 9 {Skip to Q9}

8. People leave housing assistance/public housing for different reasons. What would you say was the main reason you left?

Income too high/over-income/no longer eligible 1

Rent or utilities got too high 2

PHA told me I couldn’t return 3

Had unpaid rent 4

Had to relocate and landlord wouldn’t take voucher 5

Had to relocate and didn’t like options PHA gave me 6

Other personal reasons 7

Other (specify) 8

DON’T KNOW 98

REFUSED 99

Resident Satisfaction

{If Q3=2, skip to Q13}

9. For about how long did you have to move out of the unit you lived in back in {DATE OF ENROLLMENT]? In other words, how many weeks or months was it before you were able to move into your current unit?

Less than one month 1

One to six months 2

Six to twelve months 3

More than twelve months 4

Moved only once, to current unit 5

DON’T KNOW 8

REFUSED 9

10. Did you receive help with moving expenses or receive other help when you had to move?

Yes 1

No 2 {Skip to Q12}

DON’T KNOW 8

REFUSED 9

11. How satisfied are you with the help you received when you had to move? Would you say you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

[Skip to Q28 if Q7=1]

12. Since moving into your current unit—have you noticed a different management company? For example, do you pay rent to a different organization, or call a different organization for maintenance requests?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

13. The next set of questions will ask you about differences between the building where you live now, and the building you lived in before [RAD closing month and year].

14. Thinking about the differences in the common indoor spaces, such as elevators, hallways, and stairwells and comparing them to your old building, would you say that overall, common indoor spaces here are:

Better than your old building, 1

Worse than your old building or 2

About the same 3

DON’T KNOW 8

REFUSED 9

15. What would you say were the most important differences in common indoor spaces that you noticed ….?

{INTERVIEWER: Do not read list; just check “yes” for those mentioned and record “other” items identified}

	Yes
….elevators
….stairwells
….flooring in halls or lobby
…doors or locks
…lighting in common areas
…community rooms
…other public areas like laundry rooms
…some other difference?
Other (specify)
Don’t know
Refused

16. Thinking about the differences in the common outdoor spaces, such as playgrounds, parking areas, exterior walls, or sidewalks, and comparing to how things were in your old building, would you say that overall, common outdoor spaces here are:

Better than your old building, 1

Worse than your old building, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

17. What would you say were the most important differences in common outdoor spaces that you noticed ….?

{INTERVIEWER: Do not read list; just check “yes” for those mentioned and record “other” items identified}

	Yes
….painting
….sidewalks or outside stairways
….outdoor lighting or security cameras
…parking areas
…playgrounds, lawns or plantings
…some other difference?
Other (specify)
Don’t know
Refused

18. Thinking about the differences in your own housing unit, and comparing to how things were in your old unit, would you say that overall, your current unit is:

Better than before, 1

Worse than before, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

19. What would you say were the most important differences in your housing unit that you noticed?

{INTERVIEWER: Do not read list; just check “yes” for those mentioned and record “other” items identified}

	Yes
….paint or wall
…. flooring
….improved electric wiring or outlets
…kitchen plumbing, appliances or cabinets
…bathroom plumbing or cabinets
…improved doors or locks
…improved windows
…improved heating or air conditioning
…some other difference?
Other (specify)
Don’t know
Refused

20. Thinking about all of the differences between your old building and unit where you lived before [RAD closing month and year], and where you live now, would you say that overall things now are:

Better than before, 1

Worse than before, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

21. How satisfied are you with the way the housing authority managed the RAD program, for example how long the work took or whether any of the work made it hard to get around the property, from the time the work started to the time you left the property?

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

22. Compared to your old building, would you say that maintenance is better, worse, or about the same where you live now? For example, when you have a problem that needs to be fixed, like a broken window or appliance, does it get fixed faster?

Better 1

Worse, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

23. Would you say that the property where you live now is being managed better, worse, or about the same as the building you lived in before [RAD closing month and year]? For example, do you think they’re doing a better job of enforcing rules fairly?:

Better 1

Worse, or 2

About the same 3

DON’T KNOW 8

REFUSED 9

24. Have you been told by your property manager, property owner, or the PHA staff that after you live here for [1 YEAR/2 YEARS (depending on property)] you could use a Housing Choice Voucher, that is, to choose your own housing in the private rental market with a voucher from the housing authority?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

25. Do you think you would like to do that, that is, use a Housing Choice Voucher, rather than staying in your current housing?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

26. Overall, how satisfied are you with the housing unit where you live now? Would you say that you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

27. Overall, how satisfied are you with the development where you live now? Would you say that you are:

Very satisfied, 1

Somewhat satisfied, 2

Somewhat dissatisfied, or 3

Very dissatisfied? 4

NEITHER SATISFIED NOR DISSATISFIED 5

DON’T KNOW 8

REFUSED 9

Housing Conditions

Housing quality and problems

The next series of questions is about problems that some people have experienced with their homes. We are interested in knowing if you have experienced these types of problems in your current home since the RAD program was completed.

28. Since moving to your current building, for any reason, was your unit so cold during the winter for 24 hours or more that you or members of your household were uncomfortable?

Yes 1

No 2 {Skip to Q30}

Was not in current unit during last winter. 3 {Skip to Q30}

DON’T KNOW 8 {Skip to Q30}

REFUSED 9 {Skip to Q30}

29. What was the reason? Was it:

Utility interruption because you did not pay your utility bill 1

Utility interruption for some other reason 2

Inadequate heating capacity 3

Inadequate insulation 4

Cost of heating 5

Heating equipment breakdown 6

Other 7

DON’T KNOW 8

REFUSED 9

30. Was your unit ever COMPLETELY without running water in the past three months - - that is, since [Interview Month – 3]

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

31. In the past 3 months, was there any time when ALL of your toilets were broken, or stopped up, or otherwise not working, so you couldn’t use them?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

People sometimes have problems with cracks or holes in their floors, walls, or ceilings – not hairline cracks or nail holes, but OPEN cracks or holes.

32. In the inside walls or ceilings of your housing unit, are there any open holes or cracks wider than the edge of a dime?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

33. How about the floors in your housing unit -- are any holes in the floors big enough for someone to catch their foot on? (About 4 inches across -- About the height of a soup can)

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

34. Does the inside of your housing unit have any areas of peeling paint or broken plaster?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

35. Have you seen signs of mice or rats INSIDE your housing unit in the past three months - that is since [INTERVIEWER MONTH-3]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

36. Have you seen signs of live or dead cockroaches INSIDE your housing unit in the past three months - that is since [INTERVIEWER MONTH-3]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

37. Have you seen signs of mildew or mold INSIDE your housing unit, in the past three months- that is since [INTERVIEWER MONTH-3]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

38. Are any of the windows in your housing unit damaged or broken?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

39. Are any of the doors in your housing unit damaged or broken?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

40. Are locks missing from any of the doors in your housing unit?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Now we are interested in hearing about problems you may have had in your old building, that is, where you lived before [RAD closing month and year]. We’ll ask you to try to remember problems in your housing back then.

41. Thinking back to before {RAD closing month and year], for any reason, was your old unit so cold during the winter for 24 hours or more that you or members of your household were uncomfortable?

Yes 1

No 2 {Skip to Q43}

DON’T KNOW 8 {Skip to Q43}

REFUSED 9 {Skip to Q43}

42. What was the reason? Was it:

Utility interruption because you did not pay your utility bill 1

Utility interruption for some other reason 2

Inadequate heating capacity 3

Inadequate insulation 4

Cost of heating 5

Heating equipment breakdown 6

Other 7

DON’T KNOW 8

REFUSED 9

43. Thinking back to your unit in your old building, was your old unit ever COMPLETELY without running water in the three months between [RAD closing month and year -3] and [RAD closing month and year]

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

44. And again thinking back to your unit in your old building, in the 3 months between [RAD closing date-3] and [RAD closing month and year ], was there any time when ALL of your toilets were broken, or stopped up, or otherwise not working, so you couldn’t use them?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

45. Again thinking back to your unit in your old building, in [RAD closing month and year], in the inside walls or ceilings of your unit, were there any open holes or cracks wider than the edge of a dime?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

46. How about the floors in your unit in your old building in {RAD closing month and year] -- were any holes in the floors big enough for someone to catch their foot on? (About 4 inches across -- About the height of a soup can)

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

47. Did the inside of your unit in your building in {RAD closing month and year] have any areas of peeling paint or broken plaster?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

48. In your unit in your old building], did you see signs of mice or rats INSIDE your unit in the three months between [RAD closing month and year-3] and [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

49. In your unit in your old building], did you see signs of live or dead cockroaches INSIDE your unit in the three months between [RAD closing month and year-3] and [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

50. Did you see signs of mildew or mold INSIDE your old unit, in the three months- between [RAD closing month and year-3] and [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

51. Were any of the windows in your unit in your old building damaged or broken in [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

52. Were any of the doors in your unit in your old building damaged or broken in [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

53. Were locks missing from any of the doors in your unit in your old building in [RAD closing month and year]?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

54. Thinking about the condition of your housing unit now, and the unit you lived in before about [Date of closing], would you say the condition of your current unit is:

Much better 1

Somewhat better 2

About the same 3

Somewhat worse 4

Much worse 5

DON’T KNOW 8

REFUSED 9

55. Thinking about the condition of the property/building you live in now, and the building you lived in before about [Date of closing], would you say the condition of your current building is:

Much better 1

Somewhat better 2

About the same 3

Somewhat worse 4

Much worse 5

DON’T KNOW 8

REFUSED 9

Housing Costs

Now I have a few questions about housing costs.

56. In the month just passed, what did you pay in rent?

$_________amount

DON’T KNOW 9998

REFUSED 9999

57. Would you say you are now paying more rent, less rent, or the same amount as where you lived back in [DATE OF closing}?

More rent 1

Less rent 2 {SKIP to Q59}

Same amount 3 {SKIP to Q59}

DON’T KNOW 8 {SKIP to Q59}

REFUSED 9 {SKIP to Q59}

58. What would you say is the main reason your rent increased? Was it because

Your income increased 1

You are in a larger unit 2

Housing in the area has gotten more expensive 3

You were paying a flat rent before, and now are paying

30% of your income 4

Other 5

DON’T KNOW 8

REFUSED 9

59. In the past 12 months were you ever more than 15 days late paying your rent?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Now I have some questions about your utilities.

60. Do you pay for your own electricity or is that included in the rent?

Pay own electricity 1

Included in rent 2

DON’T KNOW 8

REFUSED 9

61. Do you pay for your own gas or is that included in the rent?

Pay own gas 1

Included in rent 2

Do not use gas 3

DON’T KNOW 8

REFUSED 9

62. Do you pay for your own water or is that included in the rent?

[INTERVIEWER: SELECT ‘2’ IF R DOES NOT PAY WATER BILL]
Pay own water bill 1

Included in rent 2

DON’T KNOW 8

REFUSED 9

[If no to Q60, Q61 and Q62, skip to Q64]

63. Thinking about all your utility bills combined, that is, electric, gas and water, how much were your total utility bills last month?

$___________[Range: 0-9996]Amount

DON’T KNOW 8

REFUSED 9

64. Thinking about what you now pay for rent and utilities combined, has the amount that you pay for rent and utilities changed from what it was where you lived back in [DATE OF ENROLLMENT}? Would you say you are paying more to cover rent and utilities, less, or the same amount?

More 1

Less 2

About the same 3

DON’T KNOW 8

REFUSED 9

[SKIP TO Q68 IF Q60 = 2, Q61 = 2 OR 3, AND Q62 = 2]

65. People sometimes have trouble paying their utility bills on time. How many times in the last 12 months were you more than 15 days late paying your electric, gas, or water bill?

________ Times [Range: 0-40] {If 0 Skip to Q68}

DON’T KNOW 9998

REFUSED 9999

66. Did you receive a notice that your gas, water, or electricity would be shut off if you did not pay your bill?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

67. In the past 12 months, was your gas, water, or electricity ever shut off for nonpayment?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Employment

Now, I have a few questions about work.

68. Do you currently work for pay?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

69. Did you work for pay back in [DATE OF ENROLLMENT}

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

{Ask if Q69 = 1, otherwise skip to Q72}

70. After you moved from your old building, was getting to work

More difficult 1

Less difficult 2 (Skip to Q72)

About the same 3 {Skip to Q72}

Did not keep that job 4 {Skip to Q72}

DON’T KNOW 8 {Skip to Q72}

REFUSED 9 {Skip to Q72}

71. Why was that?

Longer commute 1

No parking at that housing 2

Difficulty accessing public transit 3

Other 4

DON’T KNOW 8

REFUSED 9

70a. Other: _________________________________________________________

72. Could you please tell me which category best estimates your total household income for 2016? Income includes all money earned from jobs, public assistance, or social security by all members of your household. (You can just tell me the number of the category if you like.)

Less than $5,000 1

$5,000 to $9,999 2

$10,000 to $14,999 3

$15,000 to $19,999 4

$20,000 to $29,999 5

$30,000 to $39,999 6

$40,000 or more 7

DON’T KNOW 8

REFUSED 9

73. In the past 12 months, have you or anyone in your household received disability pay such as SSDI (Social Security Disability Insurance), a veteran’s disability benefit or workers compensation for a work-related injury?

Yes 1

No 2

DON’T KNOW 8

REFUSED 9

Health

Next I have a few questions about your health.

74. In general, would you say your health is:

Excellent 1

Very good 2

Good 3

Fair 4

Poor 5

DON’T KNOW 8

REFUSED 9

75. Thinking back to before [RAD closing month and year], in general, would you say your health back then was:

Excellent 1

Very good 2

Good 3

Fair 4

Poor 5

DON’T KNOW 8

REFUSED 9

76. Thinking about the changes in your housing since {RAD closing month and year], do you think these changes have had any effect on your health?

Yes 1

No 2 Skip to Q78

DON’T KNOW 8

REFUSED 9

77. If yes, how did the differences affect your health now; would you say it is

A lot better 1

A little better 2

A little worse 3

A lot worse 4

DON’T KNOW 8

REFUSED 9

Neighborhood Conditions and Safety

The next set of questions asks about what it’s like to live in your current neighborhood.

Safety and Victimization

78. During the day, how safe do you feel or would you feel being out alone in the parking lots, the lawns, the street, or sidewalks right outside your building? Do you feel...

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

79. At night, how safe do you feel or would you feel being out alone in the parking lots, the lawns, the street, or sidewalks right outside your building? Do you feel...

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

80. During the day, how safe do you feel being alone inside your unit? Do you feel…

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

81. At night, how safe do you feel being alone inside your unit? Do you feel…

Very safe 1

Somewhat safe 2

Somewhat unsafe 3

Very unsafe 4

DON’T KNOW 8

REFUSED 9

82. Overall, since moving to your current unit, do you feel safer, less safe, or about as safe as you did before?

Safer 1

Less safe 2

About as safe as before 3

DON’T KNOW 8

REFUSED 9

83. Why is that?

_____________[Specify]

999998. DON’T KNOW

999999. REFUSED

Resident Characteristics and Household Composition

Please remember that the information you give me will not affect your housing status. In order to understand a little about your household, I would like to ask you about each of the people who are currently living in this household including people who are not on the lease. We are asking for name, initials, or nicknames just to help us keep track during our survey. As we said earlier, we will never connect your name with your answers.

84. How old are you?

_____________Years Old [RANGE=1-100]

999997. Greater than 100 years, elderly

999998. Don’t know

999999. Refused

85. Since you were 18 years old, how many years have you lived in public housing altogether?

_____ Years [Range = 1 – 96}

Less than one year 97

DON’T KNOW 98

REFUSED 99

86. How many people currently live in your household, including yourself?

_____ Number of People

DON’T KNOW 9998

REFUSED 9999

87. How many of the people currently living in your household are under the age of 18?

_____ Number of People

DON’T KNOW 9998

REFUSED 9999

88. How many of the people currently living in your household are over the age of 62?

_____ Number of People

DON’T KNOW 9998

REFUSED 9999

89. What is your marital status? Are you:

Now married 1

Not married, living with partner 2

Not married, not living with partner 3

Widowed 4

Divorced 5

Separated 6

DON’T KNOW 8

REFUSED 9

90. What is the highest grade or level of regular school you have ever completed?

[PROBE IF ANSWER IS H.S. DIPLOMA:] “Do you have a high school diploma or a GED?”

8^th grade or less 1

9^th grade to 11^th grade 2

12^th grade 3

GED 4

High school diploma 5

Some voc/tech/business courses 6

Voc/Tech/business certificate or diploma 7

Some college courses 8

Associate’s degree (AA,AS) 9

Bachelor’s degree (BA, BS) 10

Some graduate/professional school courses 11

Graduate/professional degree 12

DON’T KNOW 98

REFUSED 99

Thank you for helping us with the survey, we appreciate the time you’ve taken. We’ll be sending you the $25 gift card in the mail. The address we have for you is [confirm contact information]. Is that correct?

Yes 1

No 2

[Record new address if needed]

_____________________________________________________________

_____________________________________________________________

Appendix C: RAD PHA Contact Interview Guide for Resident Survey

My name is xxxxxx, and I’m calling from the Urban Institute. The Urban Institute, in partnership with Econometrica, are conducting an evaluation of the RAD program for the Department of Housing and Urban Development. A property managed by your housing authority was selected for a survey of residents to help HUD understand the impact of RAD on the residents, and I’d like to ask you a few questions about [Sampled Property]. This should only take a few minutes. Is now a good time?

1. Confirm contact person’s name and title, and repeat that we are looking for general information about the specific RAD development.

2. Thank the contact for agreeing to speak with you.

3. Did the RAD conversion for that specific property included any physical work at the site? If yes:

   1. Could you give me a general description of the work done?

   2. When did the work start, and when was it completed?

   3. Were any residents moved out of their units as a consequence of the work, either temporarily or permanently? If yes:

      1. Were residents relocated within the same development, to a different development, or something else?

      2. Were residents to be returned to the development after the work was done, or, in the case of major work or new development, were they to be permanently relocated elsewhere?

      3. And have residents now either been returned to the development, or permanently relocated to a new development if that was the plan?

4. Ask them if they have any questions. We cannot give them specific information about residents being surveyed.

5. Thank them for their time.

Appendix D: Other Communications

Proposed Email Invitation to PHA for Follow-up Interview

To be sent after OMB approval

Dear [name of RAD PHA or Lender project contact will be inserted here]:

As contractor to the U.S. Department of Housing and Urban Development, Econometrica is seeking your cooperation to complete HUD’s evaluation of the Rental Assistance Demonstration (RAD). You were previously selected to be a part of this study and were contacted in the past for your views about this important program. We are requesting your assistance with a second round of telephone interviews regarding the impact of RAD on your PHA after RAD conversion.

While your continued participation in this evaluation is voluntary, what you tell us will help in completing the evaluation of RAD and improving how the RAD program works. Your answers will be kept confidential and will not be shared with HUD in any way that is attributable to you.

This interview should take you about 60 minutes to complete. The attached PDF shows the questions that you will be asked.

We will be contacting you in a few days to set up this interview.

Thank you in advance for your assistance.

Sincerely,

Econometrica, Inc.

Cover Letter for Resident Survey

On following page.

Dear <FNAME> <LNAME>,

As you know, the housing where you live or lived in before was part of the Rental Assistance Demonstration Program (RAD). RAD is meant to make housing better for residents, for example by making needed physical improvements in the buildings, and this work may have affected your unit.

Before the work began, you were contacted and asked for your participation in a survey to see how you felt about the work that was done and the process that you went through. We are writing to you now because we are now inviting you to take the survey, and we wanted to let you know how much your participation means to HUD. We hope to learn from your experience how to make the program better, what has worked well, and what we may need to work harder at to be more successful. Your feedback will help us, and it may help others who come after you and are also served through this program.

We hope you will help by taking part in this important survey. The survey will ask questions about what you may have experienced while the work was being done in your building. Two research organizations, the Urban Institute and SSRS, were hired by HUD to conduct the survey. A $5 gift card is enclosed as a thank you in advance for your participation. Once you have completed the survey, SSRS will send you a gift card for an additional $25.

The survey is voluntary. That is, you can choose to take part in it or not. Your choice will NOT affect your housing. I also want you to know that all of your responses to the questions will be completely confidential and used only for research purposes. Your answers will not be published in any way that would identify you. No one at HUD or your housing authority will see your responses to the questions or even know that you are part of the study.

If you would like to call in to take the survey at a time that is convenient to you, please contact SSRS at 844-920-9590 and someone will help you. Someone will be available to take your call from between 9 am and 11 pm Monday through Friday, between 10 am and 6 pm on Saturdays, and between 12 pm and 8 pm on Sundays. The survey will take about 30 minutes.

If you have any questions or concerns about this study, please do not hesitate to contact a member of my staff, Nathan Bossie, who is the government’s technical representative on this study, at (202)402-2046.

Sincerely,

Calvin C. Johnson

Deputy Assistant Secretary for

Research, Evaluation and Monitoring

Appendix E: Federal Register Notice

1 This is a 5-year study with two overlapping 3-year phases: phase one runs from December 30, 2013, to December 29, 2016, and phase two runs from December 30, 2015, to December 29, 2018.

2 This evaluation of RAD is limited to public housing.

3 See description in Interim Report.

4 HUD Information Quality Guidelines were published November 18, 2002. See: http://www.hud.gov/offices/adm/grants/qualityinfo/fr4769n02-final.pdf.

5 The application is at http://portal.hud.gov/hudportal/HUD?src=/RAD/application-materials.

6 The average hourly salary for a public housing manager is $36.16. If we apply 50 percent overhead, the total hourly salary including overhead be $54.24 ($36.16*1.50). For hourly salary, see http://www.salaryexpert.com/index.cfm?fuseaction=browse.salary-data-by-hourly&positionid=252301

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