Supporting Statement Thriving Communities

^{Supporting Statement for Paperwork Reduction Act Submissions}

Thriving Communities Technical Assistance Program

(OMB Control Number: XXX-NEW)

A. Justification

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

The 2022 Consolidated Appropriations Act (Public Law 117-103), Div. L, Title II - HUD, directed HUD that of the amount provided for technical assistance, $5 million was to be used to work with the U.S. Department of Transportation (DOT) to ensure housing and infrastructure development is taken into consideration as part of the thriving communities program, a new DOT initiative that received $25 million in funding under the 2022 Consolidated Appropriations Act. HUD and DOT are working closely to align the two separate NOFOs to ensure the intentions evidence in the report language are satisfied.

The collection of information in association with the Notice of Funding Opportunity (NOFO) will be used by the Office of Policy Development and Research to evaluate the NOFO applicant and determine eligibility to receive award funds.

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

The collection of information in association with the NOFO will be used by the Office of Policy Development and Research to determine that the grant applicant meets the requirements of the NOFO. Information collected is also used to assign points for awarding grant funds on a competitive basis. This is a new grant program and therefore a new collection.

Failure to collect the information described in this submission would prevent HUD from ensuring applicants meet eligibility criteria and possess the capability to deliver effective and efficient technical assistance. If the collection is not conducted HUD would not be able to award any grants under the program required by Congressional appropriations.

Jurisdictions are receiving a historical infusion of infrastructure investment funding under the Bipartisan Infrastructure Law. HUD’s Thriving Communities Technical Assistance program is designed to help jurisdictions that have been under-resourced or are experiencing economic distress to leverage the investments to revitalize communities, create economic opportunities for residents and businesses, and improve housing availability and affordability. Providing these technical assistance and capacity building services to local jurisdictions is critical to ensure they can address housing needs, at a time when housing rents and prices have soared in the last year and housing supply is woefully inadequate to meet demand.

Data Collection

Grant Application

HUD anticipates 10 grant applicants for the Thriving Communities Technical Assistance Program. Applicants must be non-profit or governmental entities. Each applicant will submit a detailed proposal, subject to a 35-page limit, to reduce the administrative burden on grant applicants and HUD staff. The grant package includes the Application for Federal Assistance, SF424, Disclosure of Lobbying Activities, SFLL, and Disclosure/Update Report Form, HUD-2880.

The applicant is required to address three factors in a narrative format, that is part of the application.

Rating Factor 1 – Capacity of Applicant

Rating Factor 2 – Understanding of the Context

Rating Factor 3 – Soundness of Approach

Post Award Submission

HUD anticipates awarding between 2 and 5 grants under this program. The grantee will enter into a grant agreement.

Grant Management

Grantees must submit quarterly grant activity reports and a final report.

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

The grants management system requires applicants to submit their applications electronically through Grants.gov. Electronic submission eliminates the burden on applicants to print, organize and ship multiple copies of their application. Additionally, Grants.gov automatically populates common elements of many forms, so that standard information about the applicant that appears on several forms only needs to be entered once.

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

This is a new grant program; no similar information is available that can be used rather than conducting a new information collection.

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

The information collection is the same for all entities, regardless of size, but is considered to be the minimal information needed for HUD to effectively administer this program. The electronic grant application process eliminates the burden on all applicants to print, organize, and mail multiple copies of their application. Grants.gov automatically populates common elements of many forms, so that standard information about the applicant that appears on several forms only needs to be entered once.

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

The narratives and forms requested through the NOFO is the means through which HUD ranks and rates applicants, to competitively distribute awards. Failure to collect this information would prevent HUD from distributing the $5 million in technical support.

A delay in issuing the NOFO will make it more difficult to coordinate between HUD and DOT, as directed by Congress, as DOT is preparing to publish its NOFO in September, 2022.

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

*requiring respondents to report information to the agency more than quarterly; N/A

*requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it; N/A

*requiring respondents to submit more than an original and two copies of any document; N/A

*requiring respondents to retain records other than health, medical, government contract, grant-in-aid, or tax records for more than three years; N/A

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

*requiring the use of a statistical data classification that has not been reviewed and approved by OMB; N/A

*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 N/A

*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. N/A

There are no special circumstances that would cause this information collection to be conducted in a manner that would impose one or more of the additional requirements identified under this item

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

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

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

Not applicable. This is a new program, no prior information collections have been conducted related to the program, and no notices have been published at this time.

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

There are no payments or gifts to respondents with respect to this collection.

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

HUD will secure and protect the electronic transfer of sensitive information by using firewall protection, encryptions, and restricted access security.

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

Some sensitive information may be submitted with the NOFO application, for example resumé type information. HUD and Grants.gov, which is administered by the Department of Health and Human Services, are taking the standard precautions regarding the electronic transfer of information, including firewall protection, encryptions, and access security. Additionally, the information provided is subject to the Privacy Act and may be made available only to the appropriate Federal, State, and local agencies.

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

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

• if this request covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I; and

• provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead this cost should be included in Item 13.

To collect sufficient information to meaningfully rate and rank applicants, a significant amount of information is requested through the NOFO. However, the NOFO has been designed to ask only for essential information and imposes strict page limits to reduce the burden. Based on similar information collections for grant programs, we believe that the 10 hours per factor estimated in the table below is conservative.

Information Collection	Number of Respondents	Frequency of Response	Responses Per Year	Average Burden Hours Per Response	Annual Burden Hours	Hourly Cost per Response (Hourly Wage Rate)	Total Annual Respondent Cost
Pre award
NOFO application narrative	10	1	10	40	400	$52.36	$20,944
Application for Federal Assistance, SF424	10	1	10	2	20	$52.36	$1,047
Disclosure of Lobbying Activities, SFLL	10	1	10	.5	5	$52.36	$262
Disclosure/Update Report (Form HUD-2880)	10	1	10	2	20	$52.36	$1,047
Total Pre award	10	1	10	44.5	445	$52.36	$23,300
Post award
Grant reporting	5	4	20	5	100	$52.36	$5,236
Total Post award	5	4	20	5	100	$52.36	$5,236
TOTALS	15	5	30	49.5	545	$52.36	$28,536

Note: The “Avg. Hourly Wage Rate” for each respondent reflects a wage of $35.87 for professional and business services and a 1.46 multiplier to reflect a fully-loaded wage rate.

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

• The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life); and (b) a total operation and maintenance purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s) and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities;

• If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10) utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

• generally, estimates should not include purchases of equipment or services, or portions thereof made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.

There are no additional costs to respondents for the bulleted items above.

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

Three members of PDR staff will review the NOFO applications. A single staff member will be responsible for all post award review. The number of hours and costs for staff to review are reflected in the following chart:

Information Collection	Number of Submissions	Frequency	Responses per year	Hours per Review	Total Hours (per person)	Average Pay per Hour	Total staff cost
Pre award review-
NOFO Narrative	10	1	10	3	30	$100.08	$3,002
Application for Federal Assistance (SF-424)	-0-	-0-	-0-	-0-	-0-	-0-	-0-
Disclosure of Lobbying Activities (SF-LLL)	-0-	-0-	-0-	-0-	-0-	-0-	-0-
Disclosure/Update Report (Form HUD-2880)	10	1	10	1	10	$100.08	$1,001
Total pre award	10	1	10	4	40	$100.08	$4,003
Post award review
Assistance Award/Amendment (HUD-1044)	5	1	5	1	5	$100.08	$500
Grant reporting	5	4	80	1	80	$100.08	$8,006
Total post award	5	5	85	2	85	$100.08	$8,507
TOTAL	15	6	95	6	125	$100.08	$12,150

Note: The “Avg. Hourly Wage Rate” for each respondent reflects a wage of $68.55 and a 1.46 multiplier to reflect a fully-loaded wage rate for GS 14, step 5 (2022)

There are no additional costs for contractor, facilities, computer hardware and software, equipment maintenance, travel, printing, or postage.

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

This is a new collection.

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

HUD will publish the names of the grantees. The plan is to publish the Thriving Communities Technical Assistance Grant Program NOFO in October. The approximate publication date is October 3, 2022, with applications collected through November 30, 2022 to ensure at least 45 days.

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

HUD is not seeking approval to avoid displaying the OMB expiration date.

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

There is no exception to Item #19 “Certification of Paperwork Reduction Act Submissions.”

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