Paperwork Reduction Act Submission
Please read the instruction before completing this form. For additional forms or assistance in completing this form, contact your agency’s Paperwork Reduction Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 Seventeenth St. NW, Washington, DC 20503.
1. Agency/Subagency Originating Request:
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2. OMB Control Number: |
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U.S. Department of Housing and Urban Development Office of Public and Indian Housing |
a. 2577-0275
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b. None
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3. Type of Information Collection: (check one)
collection for which approval PHAs expired
for which approval PHAs expired
For b-f, note item A2 of Supporting Statement instructions. |
4. Type of review requested: (check one)
5. Small entities: Will this Information Collection have a significant economic impact on a substantial number of small entities? Yes No 6. Requested expiration date: a. Three years from NOA date b. Other (specify)
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7. Title:
Public/Private Partnerships for the Mixed-Finance Development of Public Housing Units
8. Agency form number(s): (if applicable)
HUD‑50156; HUD-50157, HUD-50158, HUD-50159, HUD-50160, HUD-50161
9. Keywords:
Housing, Public Housing, Contractor, ACC contract, TDC, development, modernization, rehabilitation
10. Abstract:
The 1998 Public Housing Reform Act allowed the mixed-finance development of public housing units. This meant that Public Housing Authorities (PHAs) could create public housing projects using public housing capital funds and outside sources of funds, subject to HUD's approval. This Information Collection pertains to the information that HUD collects in order to perform due diligence on and approve the mixed-finance development of public housing prior to a financial closing and the start of construction or rehabilitation activities. Applicants describe ownership, the type, size, and number of units, construction schedule, construction and permanent financing, property management, how public housing operating subsidy will be provided to the project and other operation plans.
11. Affected public: (mark primary with “P” and all others that apply with “X”) a. Individuals or households e. Farms b. Business or other for-profit f. Federal Government c. Not-for-profit institutions g. P State, Local or Tribal Government |
12. Obligation to respond: (mark primary with “P” and all others that apply with “X”) a. Voluntary b. P Required to obtain or retain benefits c. Mandatory |
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13. Annual reporting and recordkeeping hour burden: a. Number of respondents 920 b. Total annual responses 920 Percentage of these responses collected electronically 0 c. Total annual hours requested 16,980 d. Current OMB inventory 16,980 e. Difference (+,-) 0 f. Explanation of difference: 1. Program change: 0 2. Adjustment: 0 |
14. Annual reporting and recordkeeping cost burden: (in thousands of dollars) Do not include costs based on the hours in item 13. a. Total annualized capital/startup costs 0 b. Total annual costs (O&M) 0 c. Total annualized cost requested 0 d. Total annual cost requested 0 e. Current OMB inventory 0 f. Explanation of difference: 1. Program change: 2. Adjustment: |
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15. Purpose of Information Collection: (mark primary with “P” and all others that apply with “X”) a. Application for benefits e. X Program planning or management b. Program evaluation f. Research c. General purpose statistics g. P Regulatory or compliance d. Audit |
16. Frequency of recordkeeping or reporting: (check all that apply) a. Recordkeeping b. Third party disclosure c. Reporting: 1. On occasion 2. Weekly 3. Monthly 4. Quarterly 5. Semi-annually 6. Annually 7. Biennially 8. Other (describe) per financial closing/recordation of documents
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17. Statistical methods: Does this Information Collection employ statistical methods? Yes No
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18. Agency contact: (person who can best answer questions regarding the content of this submission) Name: Susan Wilson Phone: 202-402-4500 |
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19. Certification for Paperwork Reduction Act Submissions
On behalf of the U.S. Department of Housing and Urban Development, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9.
Note: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320/8(b)(3) appears at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.
The following is a summary of the topics, regarding the proposed collections of information that the certification covers:
It is necessary for the proper performance of agency functions;
It avoids unnecessary duplication;
It reduces burden on small entities;
It uses plain, coherent, and unambiguous terminology that is understandable to respondents;
Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
It indicates the retention periods for recordkeeping requirements;
It informs respondents of the information called for under 5 CFR 1320.8(b)(3):
Why the information is being collected;
Use of the information;
Burden estimate;
Nature of response (voluntary, required for a benefit, or mandatory);
Nature and extent of confidentiality; and
Need to display currently valid OMB control number;
It was developed by an office that PHAs planned and allocated resources for the efficient and effective management and use of the information to collected (see note in item 19 of the instructions);
It uses effective and efficient statistical survey methodology; and
It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in item 18 of the Supporting Statement.
Signature of Program Official:
X Bert E. Mulderig, Acting Assistant Secretary
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Date: |
Supporting Statement for Paperwork Reduction Act Submissions
A. Justification:
Why is this information necessary?
The Quality Housing and Work Responsibility Act of 1998 (P.L. 195-276, approved October 21, 1998), also known as the Public Housing Reform Act, created Section 35 of the U.S. Housing Act of 1937, 42 U.S.C. 1437. Section 35 allows PHAs to own, operate, assist or otherwise participate in the development and operation of mixed-finance projects. Mixed-finance development refers to the development or rehabilitation of public housing, where the public housing units are owned in whole or in part by an entity other than a PHA. Prior to this, all public housing had to be developed and owned by a Public Housing Authority (PHA). However, Section 35 allowed PHAs to provide Section 9 capital and operating assistance to mixed-finance projects, which are also financially assisted by private and other resources. Private and other resources include tax credit equity, private mortgages and other federal, state or local funds. Section 35 also allows non-PHA owner entities to own and operate mixed-finance projects that contain both public housing and non-public housing units, or only public housing units. Along with public housing unit development, mixed-finance real estate development or rehabilitation transactions are used to extend public housing appropriations in housing development and to develop mixed-income housing, where public housing residents are anonymously mixed in with affordable and market rate housing residents.
In order to approve the development of mixed-finance projects, HUD collects certain information from each PHA/Ownership Entity. Under current regulations, HUD collects and reviews the essential documents included in this ICR in order to determine whether or not approval should be given. After approval is given and the documents are recorded by the associated county, HUD collects the recorded versions of the documents in this ICR, along with all financing and legal agreements that the PHA/owner entity has with HUD and with third-parties in connection with that mixed-finance project. This includes unique legal documents along with standardized forms and “Certifications and Assurances,” which are not exempted under PRA. Regulations for the processing of mixed-finance public housing projects are at 24 CFR part 905 subpart F (§905).
This information is collected to ensure that the mixed-finance development effort has sufficient funds to reach completion, remain financially viable, and follow HUD legal and programmatic guidelines for housing project development or rehabilitation, ownership and use restrictions, as well as preserving HUD’s rights to the project.
PHAs must provide information to HUD before a proposal can be approved for mixed-finance development. Information on HUD-prescribed forms and in HUD-prescribed contracts and agreements provides HUD with sufficient information to enable a determination that funds should or should not be reserved or a contractual commitment made. Regulations at 24 CFR part 905.606, “Development Proposal” states that a Mixed-finance Development Proposal (Proposal) must be submitted to HUD in order to facilitate approval of the development of public housing. The subpart also lists the documentation that is required to support the Proposal. The documentation is submitted using the collection documents (ICs) in this ICR.
This table lists the ICs that the Respondents submit under §905, with a description of changes to them, if any.
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Information Collection Form/Document |
Title |
Description |
1 |
HUD-50157 |
Mixed-Finance Development Proposal |
No change |
2 |
Supplementary Document:
Unique Legal Document |
Mixed-Finance Amendment to the Annual Contributions Contract |
No change |
3 |
Supplementary Document:
Unique Legal Document |
Mixed-Finance Declaration of Restrictive Covenants |
No change |
4 |
Supplementary Document:
Unique Legal Document |
Mixed-Finance Final Title Policy |
No change |
5 |
Supplementary Document:
Unique Legal Document |
Mixed-Finance Legal Opinion |
No change |
6 |
Supplementary Document:
Unique Legal Documents |
Mixed-Finance Evidentiaries |
No change |
7 |
Supplementary Document:
Unique Legal Document |
Regulatory and Operating Agreement (“R&O”) |
No change |
8 |
Supplementary Document:
Unique Legal Document |
Transition Plan |
No change |
9 |
HUD-50161 |
Mixed-Finance Development Certifications and Assurances |
No change |
10 |
Supplementary Document:
Unique Legal Document |
Site Acquisition Proposal |
No change |
11 |
Supplementary Document:
Unique Legal Document |
Development Proposal |
No change. |
12 |
HUD-50156 |
Mixed-Finance Development Proposal Calculator |
No change |
13 |
HUD-50159 |
Mixed-Finance Homeownership Term Sheet |
No change |
14 |
Supplementary Document:
Unique Legal Document |
Mixed-Finance Homeownership Addendum |
No change |
15 |
HUD-50158 |
Mixed-Finance Homeownership Certifications and Assurances |
No change |
16 |
HUD-50160 |
Mixed-Finance and Homeownership Pre-Funding Certifications and Assurances |
No change |
17 |
Supplementary Document:
Unique Legal Document |
Mixed-Finance Homeownership Declaration of Restrictive Covenants (HDRC) |
No change |
The collection is not automated for submission via Internet. However, the Mixed-Finance Amendment to the Annual Contributions Contract, the Mixed-Finance Homeownership Addendum, along with their respective Exhibits, and four formats for the Unique Legal Documents are posted at https://www.hud.gov/mixedfinance . The other HUD forms that are included in this ICR will be posted to this website as well. Models of the Unique Legal Documents are also available on the Mixed-finance website referenced above. HUD requires Respondents to submit all ICs in digital format to minimize paper use in printing.
4. Duplication of Information
There is no duplication.
Does the collection of information impact small businesses or other small entities?
This collection of information does not significantly impact small businesses or entities.
6. Describe the consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequently.
Without this information, HUD cannot determine whether public housing funds are being used for eligible activities and whether a project meets applicable public housing requirements. Without this information, HUD cannot provide assurance that appropriated funds are being used in accordance with current law and regulations. In addition, HUD will not be able to determine if a development is sufficiently financed to complete development and ensure financial feasibility in the long term.
7. Explain any special circumstances
requiring respondents to report information to the agency more than quarterly;
Two of the ICs (10 and 11) also relate to the development of projects that are 100% Public Housing but use a due diligence methodology that is similar to Mixed-Finance.
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 than can be generalized to the universe of the study;
Not Applicable
requiring the use of 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; or
Not Applicable
requiring respondents to submit proprietary trade secret, 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. Identify the date and page number of the Federal Register notice soliciting comments on the information.
The 60-day Notice of Proposed Information Collection for Public Comment; Public/Private Partnerships for the Mixed-Finance Development of Public Housing Units was published in the Federal Register, Volume 83, No. x244, Page 65358, on December 20, 2018. The public was given until February 19, 2019, to submit comments. No comments were received.
9. Explain any payments or gifts to respondents, other than remuneration of contractors or grantees.
No payments or gifts to respondents are provided.
10. Describe any assurance of confidentiality provided to respondents.
The information provided is not of a confidential nature.
11. Justify any questions of a sensitive nature, such as sexual, religious beliefs, and other matters that are commonly considered private.
The information collected does not contain questions of a sensitive nature.
12. Annual Reporting Burden
Respondents are PHAs. The number of respondents is based upon historical records kept by HUD on the annual number of financial closings. The hours per response is based upon HUD staff experience working with the respondents. The cost per hour is based upon the average salary of HUD staff that process the submissions made by PHA staff, and upon the hourly rate of mixed-finance attorneys, where the IC is prepared by an attorney.
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Form/Document |
No. of Respondents |
Frequency |
Total Responses |
Hours per Response |
Total Hours |
Cost per hour |
Total Cost |
1 |
HUD-50157 |
60 |
1 |
60 |
16 |
960 |
$50 |
$48,000 |
2 |
Supplementary
Document: |
60 |
1 |
60 |
24 |
1,440 |
$50 |
$72,000 |
3 |
Supplementary
Document: |
60 |
1 |
60 |
0.25 |
15 |
$225 |
$3,375 |
4 |
Supplementary
Document: |
60 |
1 |
60 |
16 |
960 |
$225 |
$216,000 |
5 |
Supplementary
Document: |
60 |
1 |
60 |
1 |
60 |
$225 |
$13,500 |
6 |
Supplementary
Document: |
60 |
1 |
60 |
116 |
6,960 |
$225 |
$1,566,000 |
7 |
Supplementary
Document: |
60 |
1 |
60 |
8 |
480 |
$225 |
$108,000 |
8 |
Supplementary
Document: Unique Legal Document |
60 |
1 |
60 |
8 |
480 |
$225 |
$108,000 |
9 |
HUD-50161 |
60 |
1 |
60 |
0.25 |
15 |
$50 |
$750 |
10 |
Supplementary
Document: |
110 |
1 |
110 |
8 |
880 |
$50 |
$44,000 |
11 |
Supplementary
Document: |
50 |
1 |
50 |
80 |
4,000 |
$50 |
$200,000 |
12 |
HUD-50156 |
60 |
1 |
60 |
1 |
60 |
$50 |
$3,000 |
13 |
HUD-50159 |
20 |
1 |
20 |
16 |
320 |
$50 |
$16,000 |
14 |
Supplementary
Document: |
20 |
1 |
20 |
16 |
320 |
$225 |
$72,000 |
15 |
HUD-50158 |
20 |
1 |
20 |
0.25 |
5 |
$50 |
$250 |
16 |
HUD-50160 |
80 |
1 |
80 |
0.25 |
20 |
$50 |
$1,000 |
17 |
Supplementary
Document: |
20 |
1 |
20 |
0.25 |
5 |
$50 |
$250 |
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TOTALS |
920 |
|
920 |
|
16,980 |
|
$2,472,125 |
13. Additional Cost to Respondents
The hourly burden of this ICR and its cost to both the Respondents and Government has not changed.
14. Annualized cost to the Federal Government
The amount of $50 per hour represents the staff of HUD’s Office of Public Housing Investments (OPHI), who process the typical mixed-finance transaction. Although there has been a slight increase in annual wages of staff in the last three years, the average grade level of staff has decreased due to retirements of some GS-14 employees. There are approximately 40 employees that work on Mixed-Finance transactions approximately one-half of their time, including support and Management staff. 40 x ½ x $107,325 equals $2,146,100 of salary per year.
15. Explain any program changes or adjustments.
There are no changes in the hourly burden of this collection.
16. If the information will be published, outline plans for tabulation and publication.
The results of this Information Collection will not be published.
17. OMB Expiration Date
HUD is not seeking approval to avoid displaying the OMB expiration date.
18. Certification of Paperwork Reduction Act Submission
There is no exception to "Certification of Paperwork Reduction Act Submission.”
B. Collections of Information Employing Statistical Methods.
This collection of information does not employ statistical methods.
OMB-83-I 10/95
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | Paperwork Reduction Act Submission |
| Author | WAYNE EDDINS |
| File Modified | 0000-00-00 |
| File Created | 2021-01-15 |