[Federal Register Volume 84, Number 80 (Thursday, April 25, 2019)]
[Notices]
[Pages 17416-17419]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-08366]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-7014-N-12]


60-Day Notice of Proposed Information Collection: Pay for Success 
Pilot Application Requirements

AGENCY: Office of the Assistant Secretary for Housing--Federal Housing 
Commissioner, HUD.

ACTION: Notice.

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SUMMARY: HUD is seeking approval from the Office of Management and 
Budget (OMB) for the information collection described below. In 
accordance with the Paperwork Reduction Act, HUD is requesting comment 
from all interested parties on the proposed collection of

[[Page 17417]]

information. The purpose of this notice is to allow for 60 days of 
public comment.

DATES: Comments Due Date: June 24, 2019.

ADDRESSES: Interested persons are invited to submit comments regarding 
this proposal. Comments should refer to the proposal by name and/or OMB 
Control Number and should be sent to: Colette Pollard, Reports 
Management Officer, QDAM, Department of Housing and Urban Development, 
451 7th Street SW, Room 4176, Washington, DC 20410-5000; telephone 202-
402-3400 (this is not a toll-free number) or email at 
[email protected] for a copy of the proposed forms or other 
available information. Persons with hearing or speech impairments may 
access this number through TTY by calling the toll-free Federal Relay 
Service at (800) 877-8339.

FOR FURTHER INFORMATION CONTACT: Josh Geyer, Office of Environment and 
Energy, Department of Housing and Urban Development, 451 7th Street SW, 
Washington, DC 20410; email [email protected] or telephone (415) 
489-6418. This is not a toll-free number. Persons with hearing or 
speech impairments may access this number through TTY by calling the 
toll-free Federal Relay Service at (800) 877-8339.
    Copies of available documents submitted to OMB may be obtained from 
Ms. Pollard.

SUPPLEMENTARY INFORMATION: This notice informs the public that HUD is 
seeking approval from OMB for the information collection described in 
Section A.

A. Overview of Information Collection

    Title of Information Collection: Pay for Success Pilot Application 
Requirements.
    OMB Approval Number: 2502-0613.
    OMB Expiration Date: 1/31/2020.
    Type of Request: This is a revision of a currently approved 
collection.
    ***Form Numbers: HUD-2530, SF 424 family of forms, HUD-2880, HUD-
424-CBW, HUD-9250, Certification of Owner Eligibility, Cooperative 
Agreement, Site-Specific Environmental Review (Part 1 of 2), and Office 
of Multifamily Housing Pay for Success Program Narrative Template. 
[OGC-FH/Concurrence: When an SF is part of a HUD information collection 
request, it must be noted in the documentation because use of the SF 
will place a burden upon the respondents. Failure to include a required 
form in a new PRA package with the attended burden hours is legally 
insufficient. Recipients of federal financial assistance are required 
to submit assurances, including assurances that they will comply with 
federal civil rights requirements, as a condition of receiving an award 
of federal financial assistance. See e.g., 24 CFR 1.5, 3.115, and 8.50. 
When OMB promulgated its government-wide grant making regulation, 
Uniform Administrative Requirements, Cost Principles, and Audit 
Requirements for Federal Awards at 2 CFR part 200, it incorporated the 
assurances that were once contained in OMB Circular A-102 and the 
assurances contained in HUD's regulations into a standard form for 
agencies to use when obtaining such assurances. OMB's regulation 
specifically states that ``the Federal awarding agency must manage and 
administer the Federal award in a manner so as to ensure that Federal 
funding is expended and associated programs are implemented in full 
accordance with U.S. statutory and public policy requirements, 
including, but not limited to, those protecting public welfare, the 
environment, and prohibiting discrimination. The Federal awarding 
agency must communicate to the non-federal entity all relevant public 
policy requirements, including those in general appropriations 
provisions, and incorporate them either directly or in the terms and 
conditions of the Federal award.'' 2 CFR 200.200. Based on this 
requirement, HUD must ensure that that recipients are put on notice 
that the entire SF-424 Family, available at: https://www.grants.gov/web/grants/forms/sf-424-individual-family.html, including the SF-424B, 
and the SF-424D, as applicable, must be submitted. To ensure the PRA 
package is accurate, the reference to the SF-424 Family should be added 
to the PRA 60-day notice and supplemental information.]***
     Form HUD-2530, Previous Participation Certification, is 
completed by the Intermediary. The Intermediary submits the form to HUD 
via grants.gov as part of the application package for the PFS pilot. 
The type of information collected includes the Intermediary's 
(principals) Name, Address, Social Number/IRS Employee Number, 
Signature, etc. The form is required to provide HUD with a certified 
report of all previous participation in HUD multifamily housing 
projects by those parties making application and is used by HUD to 
determine eligibility to participate in Multifamily programs.
     ***SF-424 family of forms (SF-424A-D, as applicable), 
Application for Federal Assistance and Assurances, is completed by the 
Intermediary. The Intermediary submits this family of forms to HUD via 
grants.gov as part of the application for the PFS pilot. The type of 
information collected includes the Intermediary's Name, EIN/TIN, 
Address, Email address, etc. This family of forms is required for use 
as a cover sheet for submission of preapplications and applications and 
related information under discretionary programs. Applicants are 
required to submit this family of forms to HUD as part of the 
application package for the PFS pilot. [OGC-FH/Concurrence: As 
explained more fully in our comment above, all applicable forms in the 
SF-424 family are required to be submitted, including appropriate 
assurances. We have edited this paragraph to reflect this 
requirement.]***
     Form HUD-2880, Applicant/Recipient Disclosure/Update 
Report, is completed by the Intermediary. The Intermediary submits the 
from to HUD via the grants.gov as part of the application package for 
the PFS pilot. The type of information collected includes the 
Intermediary's Name, address, phone number, social security number and 
EIN, etc. The Intermediary is required to submit this form in order to 
provide accountability and integrity in the provision of assistance 
that is administered by HUD.
     Form HUD 424-CBW (excel spreadsheet), Detailed Budget 
Worksheet, is completed by the Intermediary. The Intermediary submits 
this form to HUD via email or U.S. mail for approval. The type of 
information collected includes a detailed description of budget as it 
pertains to each participating property. The Intermediary submits this 
form to HUD in program phases for completion of the retrofits in all 
participating properties in the PFS program.
     Form HUD-9250, Funds Authorization, is completed by the 
Owner. The Owner submits this form by email or by U.S. mail to HUD for 
approval. The type of information collected includes Owner's name, 
address, mortgagee, etc. Owners are required to submit this form to HUD 
to request withdrawal from the Reserve for Replacements or Residual 
Receipts Funds.
     Certification of Owner Eligibility, Owner must complete 
this form to be eligible to participate in the Pay for Success pilot. 
Owner submits certification to HUD for approval via email or by U.S. 
mail. The type of information collected includes Owner's name, iREMS 
number, address, signature, etc. Owners must provide a certification to 
HUD that they and the property meet HUD eligibility requirements in 
order to be able to participate in the Pilot.

[[Page 17418]]

     Cooperative Agreement is administered by HUD's Office of 
Multifamily Housing Programs, which will have oversight of the 
Intermediaries, ensuring compliance with all included provisions and 
authorizing payments when and if required conditions are met. The type 
of information collected includes Date agreement was entered with 
Intermediary, total of units HUD awarded intermediary, signature and 
HUD official. The form is submitted to HUD/Intermediary via email or by 
U.S. mail.
     Site-Specific Environment Review (Part 1 of 2), this form 
should be used only to initiate site-specific reviews for individual 
HUD-assisted properties undertaking energy and water conservation 
retrofits under the Multifamily Energy and Water Conservation Pay for 
Success Pilot. Intermediary completes the form and any relevant 
documents for each site identified to participate in the PFS Pilot and 
submits it to HUD to upload in the HUD Environmental Review Online 
System (HEROS).
     Office of Multifamily Housing Pay for Success Program 
Narrative Template is completed by the Intermediary and is submitted to 
HUD via grants.gov. The type of information collected includes the 
Intermediary's name, EIN, organization name, etc. The narrative 
template is provided to Applicants under the Pay for Success Pilot 
program and will be evaluated by HUD.
    Description of the need for the information and proposed use: Title 
LXXXI of the Fixing America's Surface Transportation Act (Pub. L. 114-
94) authorizes the Department of Housing and Urban Development (HUD) to 
establish a demonstration program under which the Secretary may execute 
budget-neutral, performance-based agreements in fiscal years 2016 
through 2019 that result in a reduction in energy or water costs. The 
legislation authorizes HUD to implement this pilot in up to 20,000 
units of multifamily buildings participating in the project-based 
rental assistance (PBRA) program under section 8 of the United States 
Housing Act of 1937; supportive housing for the elderly program 
operating under section 202 of the Housing Act of 1959; and supportive 
housing for persons with disabilities under section 811(d)(2) of the 
Cranston-Gonzalez National Affordable Housing Act. The Statute 
authorizes HUD to execute performance-based agreements in fiscal years 
2016 through 2019 covering up to 20,000 units in eligible properties. 
HUD is responsible for submitting annual program evaluation reports to 
Congress for the duration of the Pilot.
    HUD is authorized under this legislation to establish a competitive 
process for selecting one or more qualified applicants to serve as 
Intermediaries who will, per agreements with HUD, be responsible for 
initiating and managing an energy and water conservation retrofit 
program at eligible properties. For the purpose of this program, 
applicants are defined as entities applying to participate. The 
documents that are the subject of this notice are those used by 
applicants applying to participate in this program. This information 
will allow applicants to submit their proposal and for the government 
to evaluate this information.
    I. ***Application. The applicants responding to the NOFA will need 
to submit before the prescribed deadline all standard forms including 
Previous Participation Certification (Form 2530), SF-424 family of 
forms, and Form HUD-2880; responses to the NOFA's rating factors 
describing the applicant's qualifications and proposed approach to all 
aspects of program implementation; and an Executive Summary of no more 
than four pages. [OGC-FH/Concurrence: As explained more fully in our 
comment above, all applicable forms in the SF-424 family are required 
to be submitted, including appropriate assurances. We have edited this 
paragraph to reflect this requirement.]***
    II. Project Initiation. Once selected, Intermediaries will enter 
into a Cooperative Agreement with HUD for each property they will be 
retrofitting under the program which will provide for performance-based 
payments by HUD based on the savings realized by HUD after the retrofit 
has been completed. Intermediaries will also be required to submit a 
copy of an executed PFS Contracts with each property owner that will be 
attached to the Cooperative and serve to identify the specific units 
being affected by the retrofit. Within 30 days of entering into each 
Cooperative Agreement, an Intermediary will submit to HUD a Work Plan 
consisting of a description of all documentary deliverables and due 
dates related to that Agreement and a proposed approach to periodic 
consultation with HUD for the purposes of oversight. The Intermediary 
will also submit a request for approval for the Independent Evaluator 
that will be validating key information submitted to HUD by the 
Intermediary over the course of the Cooperative Agreement. Each 
participating property owner will submit to HUD a Certification of 
Eligibility and a written agreement to replace equipment installed 
under the PFS Pilot only with equipment of like or better efficiency.
    III. Retrofit implementation. Before a retrofit is implemented, the 
Intermediary will develop and submit (with support from the property 
owner) a Site-specific Environmental Review form with the following 
information: High-level description of the project's scope of work; 
whether the property lies within a Coastal Barrier Resource unit; 
whether the property lies within a floodplain and proof of any required 
flood insurance policies; whether the project will destroy or modify a 
wetland; previous uses of the site and other evidence of contamination 
on or near the site; and whether any historic preservation policies 
apply to the site or the building(s). Intermediaries intending to use 
property-level reserve funds to pay for no more than half of the hard 
costs associated with the retrofit must submit a Scope of Work for the 
retrofit and a Reserve Analysis demonstrating that the retrofit will 
leave the property in as good or better financial shape as it would 
otherwise have been. The property owner must submit a Funds 
Authorization Form (HUD-9250) to request HUD's approval to use funds 
for this purpose.
    IV. Retrofit completion. When the retrofit is completed, the 
Intermediary will submit a Certification of Retrofit Completion with 
the following information: A list of installed measures with cost 
information; weather- and occupancy-normalized pre-retrofit consumption 
baselines for each affected tenant- and owner-paid utility, and all 
component data used to calculate those baselines, including utility 
consumption, rates, utility allowances, and climatic and occupancy 
data, and the calculation methodology used; weather- and occupancy-
normalized post-retrofit consumption projections for each affected 
tenant- and owner-paid utility, and all component data used to 
calculate those baselines, including utility consumption, rates, 
utility allowances, and climatic and occupancy data, and the 
calculation methodology used; recalculated pre-retrofit baseline 
utility allowances and post-retrofit utility allowances for each unit 
size/type; recalculated pre-retrofit baseline owner rental subsidy and 
post-retrofit owner renter for each unit size/type; and post-retrofit 
per-unit annual savings to HUD relative to pre-retrofit baseline.
    V. Performance payments. Intermediaries will submit Invoices for 
Performance Payments concurrent with each property's annual rent 
adjustment cycle for the remainder of the period of

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performance of the Cooperative Agreement pertaining to that property. 
Invoices will include thorough documentation of all calculations 
contributing to the calculation of the amount being invoiced (as 
provided in the work plan) as well as a written certification by the 
Independent Evaluator that the performance payment has been calculated 
according to the methodology contained in the Cooperative Agreement; no 
adverse changes to the qualifications of the Independent Evaluator have 
occurred since the last submission from the Independent Evaluator; and 
no conflict of interest or apparent conflict of interest exists with 
the Intermediary or with respect to any property or Owner which would 
preclude the Independent Evaluator from performing its obligations in a 
truly independent manner. In the event of a change in the physical 
structure of a property during the period of performance which 
materially impacts utility usage, the Owner and the Intermediary will 
mutually agree upon an equitable modification of the pre-retrofit 
baseline for Owner-paid utility and/or of the pre-retrofit baseline of 
tenant utility allowances to reflect the impact of the change on 
utility usage and notify HUD of the change. In the event that the 
Intermediary wishes to assign performance payments to a third party, 
the Intermediary must submit to HUD a written request for approval.
    VI. Other program administration requirements. Beginning with the 
execution of their first cooperative agreement with HUD, Intermediaries 
will submit quarterly reports regarding the status of all properties 
for which work under the PFS Pilot is unfinished, including the work 
that has been completed, the work that remains the anticipated 
projected completion date. If at any point it becomes necessary to 
replace a partner entity performing one or more core functions program 
administration functions (project management, capital sources, 
oversight of SOW development and retrofit implementation, and/or 
invoicing HUD), the Intermediary must collect and submit evidence from 
the proposed replacement partner entity similar to the qualifications 
detailed for the original partner entity in the Intermediary's initial 
application. As this is pilot program and HUD is responsible for 
submitting annual program evaluation reports to Congress, 
Intermediaries may be required to work with a program evaluation team 
and provide relevant information, possibly including (but not limited 
to) information pertaining to retrofit implementation, program 
administration, post-retrofit behavioral interventions, and certain 
fees. Intermediaries may be asked to clarify or provide additional 
context for previously submitted information, including additional 
details on their sources and uses of funds.
    Respondents (i.e., affected public): Entities applying to be 
Intermediaries under this program, selected Intermediaries.
    Estimated Number of Respondents: 15.
    Estimated Number of Annual Responses: 1,000.
    Frequency of Response: Varies.
    Average Hours per Response: 10.8.
    Total Estimated Annual Burden: 4,401.

B. Solicitation of Public Comment

    This notice is soliciting comments from members of the public and 
affected parties concerning the collection of information described in 
Section A on the following:
    (1) Whether the proposed collection of information is necessary for 
the proper performance of the functions of the agency, including 
whether the information will have practical utility;
    (2) The accuracy of the agency's estimate of the burden of the 
proposed collection of information;
    (3) Ways to enhance the quality, utility, and clarity of the 
information to be collected; and
    (4) Ways to minimize the burden of the collection of information on 
those who are to respond; including through the use of appropriate 
automated collection techniques or other forms of information 
technology, e.g., permitting electronic submission of responses.
    HUD encourages interested parties to submit comment in response to 
these questions.

C. Authority

    Section 3507 of the Paperwork Reduction Act of 1995, 44 U.S.C. 
Chapter 35.

    Dated: April 16, 2019.
Vance T. Morris,
Special Assistant to the Assistant Secretary for Housing--Federal 
Housing Commissioner.
[FR Doc. 2019-08366 Filed 4-24-19; 8:45 am]
BILLING CODE 4210-67-P