7360.01

CHAPTER 14 RELOCATION/TENANT ASSISTANCE

14-1 INTRODUCTION. This Chapter explains the requirements

governing the treatment of persons (families, individuals,

businesses and nonprofit organizations) occupying the site

of a Rental Rehabilitation project\--both persons who will

be permitted to remain in occupancy and persons who will

be displaced. This Chapter also describes the protections

for these persons under the Uniform Relocation Assistance

and Real Property Acquisition Policies Act of 1970 (URA),

the program regulations at 24 CFR 511.14, and implementing

policies in HUD Handbook 1378, Tenant Assistance,

Relocation and Real Property Acquisition. Additionally,

under 24 CFR 511.14(d), if CDBG funds are used to pay any

part of the cost of the rehabilitation activities as

described in 24 CFR 570.202(b), the project is subject to

the requirements of Section 104(d) of the Housing and

Community Development Act of 1974, as amended (see

Paragraph 14-6 of this Handbook for additional

information). Exhibit 14-1 of this Handbook provides a

useful chart showing the relationships among the various

relocation requirements for the RRP.

The grantee is responsible for ensuring that tenants

receive timely notices of proposed and actual

rehabilitation activities and otherwise complying with

this Chapter. If the grantee chooses to delegate this

responsibility to the owner, nothing in that delegation

will relieve the grantee of its responsibilities.

Similarly, for such notices as well as for other program

obligations, if the grantee chooses to operate through

other entities, such as State recipients, county

recipients, designated public agencies or contract agents,

nothing in those arrangements shall relieve the grantee of

its responsibility. For simplicity of reference in this

Chapter, the term \"grantee\" will be used for all entities

collectively performing any function for which the grantee

is responsible.

14-2 TIMELY NOTICES TO TENANTS.

A. Privately Owned Projects.

1\. General information notice at time of

application. As soon as feasible after the

owner\'s submission of the application to the

grantee, the grantee shall issue a general

information notice to all occupants of the

property, or ensure that the owner issues such a

notice. The notice shall meet the requirements

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of Paragraph 2-3.a. of HUD Handbook, 1378. The

notice shall include a copy of the Tenant

Assistance Policy (TAP) and caution the tenant

not to move prematurely because the tenant

either: (1) will not be displaced by the

project, or (2) if displaced, will not be

eligible for relocation assistance if a

premature move is made.

2\. Notice at Time of Execution of Agreement.

Promptly after the execution of the agreement

with the owner, the grantee shall issue to each

person residing in the property either a:

a\. Notice of Nondisplacement. This notice

shall explain the reasonable terms and

conditions under which the tenant may lease

and occupy the real property upon

completion of the rehabilitation, the rent

after rehabilitation, and the steps to be

taken to obtain Section 8 assistance. (See

Paragraph 2.3.b(l) of HUD Handbook No.

1378.) NOTE: If this notice is not

provided on a timely basis, the tenant may

move and qualify as a displaced person (see

Paragraph 14-4 for information on who is

eligible for relocation assistance); or

b\. Notice of Eligibility for Relocation

Assistance. This notice shall indicate the

tenant\'s eligibility for relocation

assistance and must conform to Paragraph

2-3.b(2) of HUD Handbook 1378. If

applicable, the notice shall indicate the

steps to be taken to obtain Section 8

assistance as described in Chapter 13 of

this Handbook.

B. Publicly-Owned Projects. To ensure that tenants do

not move unnecessarily or prematurely, the grantee

shall keep tenants informed about the project, as

appropriate, and caution them not to move.

Immediately after the project has been committed (as

defined in 24 CFR 511.2), or earlier, the grantee

shall issue each tenant the appropriate notice as

described in Subparagraph A.2 above. Grantees shall

follow the instructions in Subparagraph C below as to

the manner of notices.

C. Manner of Notices. Each notice shall be personally

served or sent by certified or registered first-class

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mail, return receipt requested, and documented in the

grantee\'s files. Each notice shall be written in

plain, understandable language. Persons who are

unable to read and understand the notice (e.g.,

illiterate, foreign language or impaired vision) must

be provided with appropriate communication and

counseling. Each notice shall indicate the name and

telephone number (including the TDD number, if

applicable) of a person who may be contacted for

answers to questions or other needed help. Grantees

should refer to Paragraph 2-3.d. of HUD Handbook 1378

for detailed instructions.

14-3 RELOCATION ASSISTANCE TO DISPLACED PERSONS.

A. Advisory Services. In addition to the timely

information notices described in Paragraph 14-2

above, the grantee shall provide counseling and

referrals to comparable replacement dwellings (CRDs)

and other advisory services as described in

Paragraphs 2-5 and 2-6 of HUD Handbook 1378. (When

providing a Section 8 certificate or housing voucher,

the PHA will assist the displaced family by providing

a list of replacement dwellings whose owners are

willing to participate in the housing voucher or

certificate program. Grantees, however, must ensure

that CRDs are made available to all displaced persons

whether or not they receive Section 8 assistance.)

Persons displaced from a dwelling shall be advised of

their rights under the Fair Housing Act (42 U.S.C.

3601-20) and of replacement housing opportunities

that, whenever feasible, provide a choice between

relocating within their neighborhoods and other

neighborhoods consistent with the grantee\'s

responsibility to affirmatively further fair

housing.

B. Payment for Moving Expenses.

1\. A family or individual displaced from a dwelling

may, at their discretion, choose either a

Payment for Actual Moving and Related Expenses

or the Fixed Moving Expense and Dislocation

Allowance indicated in the current Federal

Highway Administration schedule. (Copies are

available from HUD Field Offices.) These two

payments are explained in Paragraph 3-2 of HUD

Handbook 1378.

2\. A business or nonprofit organization is eligible

for a Payment for Actual Moving and Related

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Expenses, as described in Paragraph 4-2 of HUD

Handbook 1378, and, in some cases, a Payment for

Reestablishment Expenses as described in

Paragraph 4-3 of HUD Handbook 1378. Certain

businesses/nonprofit organizations may qualify

to choose a Fixed Payment as an alternative to

the payments for moving, reestablishment and

related expenses. Fixed Payments are described

in Paragraphs 4-5 and 4-6 of HUD Handbook 1378.

C. Replacement Housing Assistance. It is expected that

most displaced tenants who are eligible for and

offered a Section 8 certificate or housing voucher

will find that resource most advantageous. However,

a tenant may, at his or her discretion, elect to

obtain cash replacement housing assistance sufficient

to enable the person to rent a CRD for a 42-month

period, whether or not a certificate or housing

voucher is offered. A rental assistance payment may,

at the discretion of the grantee, be provided in

installments (e.g., monthly or quarterly). If the

tenant elects to buy a replacement dwelling, the

payment must be in a lump sum amount. The

requirements governing rental assistance and down

payments to displaced tenants are described in

Paragraphs 3-4 through 3-7 of HUD Handbook 1378.

1\. For purposes of computing a replacement housing

payment, the \"initiation of negotiations\"

means:

a\. For a privately-owned project, execution of

the legally binding agreement between the

grantee or State recipient and the project

owner under which the grantee or State

recipient agrees to provide rental

rehabilitation grant amounts for the

project.

b\. For a publicly-owned project, the

commitment as defined in 24 CFR 511.2 or

such earlier notice as the grantee or State

recipient determines to be appropriate.

2\. If the tenant is provided Section 8 assistance

at the replacement dwelling and the tenant\'s

monthly rent and estimated utility costs at the

displacement dwelling were less than his or her

\"contribution\" for a replacement dwelling

(actual or CRD, whichever is less costly), the

tenant may qualify for a cash supplement

(replacement housing payment) to cover the gap.

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14-4 DISPLACED PERSON.

A. Basic Definition. The term \"displaced person\" means

any person (family, individual, business, nonprofit

organization or farm) that moves from the real

property, or moves his or her personal property from

the real property, permanently, as a direct result of

the acquisition, rehabilitation or demolition of such

real property, in whole or in part, for an RRP

project. (See 24 CFR 511.14(g) and Paragraph 1-8 of

HUD Handbook 1378.)

B. Additional Guidance. Any permanent, involuntary move

of an occupant of the project that occurs as a direct

result of rehabilitation, demolition or acquisition

for the project is a displacement that results in

eligibility for relocation assistance.

1\. Notice to Move Permanently. A permanent move

from the project results in eligibility as a

displaced person if the move is made:

a\. After notice by the property owner,

grantee, or State recipient to move

permanently from the property, if the move

occurs on or after the following date:

\(1\) If the project is privately-owned, the

date that the owner (or person in

control of the site) submits a request

for RRP assistance that is later

approved and funded.

\(2\) If the project is publicly-owned, the

date of the commitment to a specific

local project.

b\. A move before the date described in

Subparagraph B.1.a. above is assumed to

disqualify the person, unless either HUD or

the grantee determines that the

displacement resulted directly from

rehabilitation, acquisition or demolition

for the project.

2\. Involuntary Moves. Involuntary moves include

moves resulting from a notice to vacate the

premises or the refusal to renew an expiring

lease.

3\. Failure to Inform Tenant in a Timely Manner.

Each tenant (residential and non-residential) is

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entitled to a timely notice explaining whether

or not he/she will be displaced. A tenant who

will be displaced must be informed of his/her

eligibility for relocation assistance and the

nature of that assistance; a tenant who will not

be displaced must be informed of the terms and

conditions under which the tenant may occupy the

property upon completion of the project. This

information should be provided as soon as

feasible, and at some point further delay places

an unacceptable burden on the tenant. The date

by which this information should be provided

is:

a\. For privately-owned projects, the execution

of the rehabilitation agreement between the

grantee and the person owning the property;

and

b\. For publicly-owned projects, the commitment

to a specific local project.

If the tenant-occupant of a dwelling moves

permanently from the property after this date

and the grantee has not provided the necessary

written notice (see Paragraph 14-2 of this

Handbook), the tenant will qualify as a

\"displaced person.\" In other words, even if the

grantee did not plan to displace the tenant, it

is assumed that the tenant\'s move was

involuntary because the tenant was not given

timely information essential to making an

informed judgement.

4\. Economic Displacement, Temporary Relocation and

Permanent Move Within Building/Complex. The URA

and the regulations at 49 CFR Part 24 do not

directly create eligibility for relocation

assistance for a tenant who moves from the

property rather than pay an \"excessive\" rent

upon completion of a project (economic

displacement), or who is required to relocate

temporarily (but not permanently) while the

project is underway, or who moves permanently to

other space within the same building/complex.

a\. Residential Tenants. The RRP regulations

at 24 CFR 511.14(g) provide that in

instances of economic displacement,

unreasonable temporary relocation, or

unreasonable permanent moves within the

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building/complex, a residential tenant that

moves permanently will qualify as a

\"displaced person\" who is entitled to

relocation assistance at levels identical

to those required by the URA.

b\. Nonresidential Tenants. The RRP

regulations o not provide additional

guidance with respect to non-residential

tenants that are permitted to continue in

occupancy upon completion of the project.

Such terms and conditions should be

negotiated with the nonresidential tenant.

Of course, a tenant who is dissatisfied

with the terms and conditions of continued

occupancy may relocate and file an appeal

seeking assistance as a \"displaced

person.\"

C. Tenant-Occupants of a Dwelling Considered \"Displaced

Persons\" Under RRP. The RRP regulations at 24 CFR

511.14 incorporate the guidance discussed in

Paragraph B above by providing that a tenant-occupant

of a dwelling that moves permanently will qualify as

a displaced person if any one of the following three

situations occurs:

1\. The tenant moves permanently after the execution

of the agreement (or, for a publicly owned

project after the commitment is made) without

prior written notice offering the tenant the

opportunity to occupy a suitable, decent, safe,

and sanitary dwelling unit in the same

building/complex upon completion of the project

under reasonable terms and conditions.

Reasonable terms and conditions include:

a\. No unreasonable change in the character or

use of the property;

b\. A monthly rent and estimated average

monthly utility costs that do not exceed

the greater of:

\(1\) The tenant\'s old rent and average

monthly utility costs; or

\(2\) (a) The Total Tenant Payment, if the

tenant is lower income (see

Paragraph 7-20 of HUD Handbook

1378); or

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\(b\) 30 percent of the tenant\'s gross

household income, if the tenant

is not lower income.

2\. The tenant was required to relocate temporarily

for the project but:

a\. The tenant was not offered payment for all

reasonable out-of-pocket expenses incurred

in connection with the temporary

relocation, including the cost of moving to

and from the temporarily occupied housing

and any increased housing costs; or

b\. Other conditions of the temporary

relocation were not reasonable.

(If the tenant returns to the building/complex,

he or she is not a displaced person. But this

does not relieve the grantee of the obligation

to reimburse the tenant for out-of-pocket

expenses.)

3\. The tenant is required to move to another unit

in the same building/complex, but is not offered

reimbursement for all reasonable out-of-pocket

expenses incurred in connection with the move,

or other conditions of the move are not

reasonable.

D. Persons Not Displaced. Notwithstanding the

provisions in Subparagraphs A through C above, a

person does not qualify as a displaced person, if:

1\. The person has been evicted for cause based upon

a serious or repeated violation of material

terms of the lease or occupancy agreement and

the grantee determines that the eviction was not

undertaken for the purpose of evading the

obligation to provide relocation assistance.

The grantee/recipient must document this in its

files (e.g., a court order); or

2\. The person has no legal right to occupy the

property under State and local law (e.g.,

squatter); or

3\. The grantee/recipient determines that the person

occupied the property for the purpose of

obtaining relocation assistance and the HUD

Field Office serving the grantee concurs in that

determination; or

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7360.01

4\. The person is a tenant-occupant that moved into

the property after the submission of the

application, if the project is privately-owned

(or the commitment, if the project is

publicly-owned) but, before leasing and occupying

the property, received written notice of the

application for assistance and the possibility

of displacement for the project or an increase

in rent; or

5\. Certain owner-occupants as described in

Paragraph 1-8 of HUD Handbook 1378; or

6\. A person who, after receiving a notice of

eligibility for relocation assistance, is

notified in writing that he or she will not be

displaced from the project. Such notice shall

not be issued unless the person has not moved

and the grantee agrees to reimburse the person

for any expenses incurred to satisfy any binding

contractual relocation obligations entered into

after the effective date of the notice of

eligibility for relocation assistance; or

7\. The grantee/recipient determines that the person

was not displaced as a direct result of

acquisition, rehabilitation or demolition for

the project, and the HUD Field Office concurs in

that determination.

8\. A person who is offered a Section 8 certificate

or housing voucher to enable them to remain in

the project at an affordable rent and chooses

not to apply for or accept such assistance.

(NOTE: If the person is found ineligible for

Section 8 assistance and moves from the project

then he or she would be considered displaced).

E. When in Doubt. The grantee/recipient may, at any

time, ask HUD to determine whether a specific

displacement is or would be covered by these rules.

(See also Paragraph 1-8 of HUD Handbook 1378.)

14-5 REAL PROPERTY ACQUISITION FOR A RRP PROJECT. The

acquisition of real property for a RRP project is subject

to the URA and the requirements of Chapter 5 of HUD

Handbook 1378. Although the RRP does not fund the

acquisition of real property, any acquisition for a

project (e.g., occurring after the submission of a RRP

application that is later approved) is subject to the URA

even if no Federal funds were used. (See especially

Paragraph 5-1 of HUD Handbook 1378.)

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7360.01

14-6 APPLICATION OF CDBG REQUIREMENTS.

A. General Policy. If Community Development Block Grant

(CDBG) funds are used to pay any part of the cost of

the \"rehabilitation activities\" as defined in 24 CFR

570.202(b) or similar eligible activities funded

under 24 CFR 570.206 (See Subparagraphs B and C

below), the project is subject to the requirements of

Section 104(d) of the Housing and Community

Development Act of 1974, as amended, and implementing

regulations at 24 CFR 570.606(b) (Entitlement Program

and HUD-administered Small Cities Program) and 24 CFR

570.496a(b) (State CDBG Program).

1\. Relocation Assistance. Section 104(d) requires

grantees to offer certain alternative relocation

assistance sufficient to rent a Comparable

Replacement Dwelling (CRD) for a 60-month

period) to any low/moderate income tenant

displaced by the demolition of any housing unit

or by the conversion of a low/moderate-income

unit. (This assistance is described in Chapter

7 of HUD Handbook 1378.) NOTE: The term

\"low/moderate-income dwelling unit\" means a

dwelling unit with a market rent (including

utility costs) that does not exceed the

applicable Fair Market Rent (FMR) for Section 8

existing housing established under 24 CFR Part

888\.

2\. Replacement of Low/Moderate-Income Housing.

Section 104(d) also requires the replacement of

any occupied or vacant occupiable

low/moderate-income dwelling unit that is

demolished or converted to a use other than

low/moderate-income housing. If the

pre-rehabilitation market rent does not exceed the

applicable FMR but the post-rehabilitation market

rent does exceed the FMR, a \"conversion\" has

taken place and the unit must be replaced.

On the other hand, certain vacant dwelling units

rehabilitated with RRP funds may, assuming

compliance with the conditions set forth in the

CDBG rules, qualify as replacement units for

Section 104(d) purposes.

B. CDBG \"Rehabilitation Activities\" Triggering CDBG

Requirements. CDBG requirements, such as Section

104(d) requirements, are triggered by the use of CDBG

funds to pay any of the costs of \"rehabilitation

activities\" as described in 24 CFR 570.202(b). NOTE:

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In addition to the actual repair work, alterations

and additions to structures, this term includes

rehabilitation services, such as rehabilitation

counseling, energy auditing, preparation of work

specifications, loan processing, and property

inspections.

C. CDBG Activities Not Triggering Section 104(d)

Requirements. Section 104(d) requirements are not

triggered by the use of CDBG funds solely to pay the

costs of general program administration as described

in 24 CFR 570.206 or to pay for relocation assistance

for tenants under 24 CFR 570.201(i).

14-7 APPEALS. If a person disagrees with the grantee or State

recipient\'s determination concerning the person\'s

eligibility for, or the amount of, relocation assistance,

the person may file a written appeal of that determination

with the grantee or State recipient. The appeal

procedures to be followed are described in Paragraph 1-33

of HUD Handbook 1378 and at 49 CFR 24.10. A lower income

person that has been displaced from a dwelling may submit

a written request for review of the grantee\'s or State

recipient\'s decision to the appropriate HUD Field Office

or the State grantee, respectively.

14-8 RECORDKEEPING REQUIREMENTS. In accordance with 24 CFR

511.73 and Chapter 6 of HUD Handbook 1378, the grantee or

State recipient must maintain records in sufficient detail

to demonstrate compliance with applicable tenant

assistance/relocation requirements. These records shall

be readily available and retained for at least 3 years

after the later of: (a) the date the person has received

all of the assistance to which the person is entitled, or

\(b\) the date the project is completed. The records shall

include the following:

A. Project Occupancy Lists. For each project, the

grantee/recipient should have a list or lists

identifying the name and address of:

1\. All persons occupying the real property at the

beginning of the project. Generally, for

privately-owned projects this is the date of the

submission of the application for assistance by

the property owner to the grantee or State

recipient. For publicly-owned projects this is

the date of commitment.

2\. All persons moving into the property after the

beginning of the project, e.g., the submission

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of the application by the owner but before

completion of the project; and

3\. All persons occupying the property upon

completion of the project.

The documentation on persons who occupied the

property before project completion (i.e., those

identified in Subparagraphs 1 and 2 above) but did

not occupy the property after project completion

(i.e. identified in subparagraph 3 above), must

indicate that the person either received appropriate

relocation assistance as a \"displaced person\" (see

Subparagraph C below), or elected to move permanently

for his or her own reasons but does not qualify as a

displaced person (see Subparagraph B below).

B. Tenants Not Displaced. Documentation on tenants not

displaced shall include:

1\. Evidence that the tenant received timely written

notice that he/she would not be displaced by the

project.

2\. For a tenant-occupant of a dwelling, evidence

that the tenant received a timely written offer

of:

a\. a reasonable opportunity to lease and

occupy a suitable, affordable, decent,

safe, and sanitary dwelling unit in the

building/complex upon completion of the

project under reasonable terms and

conditions; and

b\. reimbursement of any out-of-pocket expenses

incurred in connection with any temporary

relocation or a move to another unit in the

building/complex.

3\. For each tenant that is not displaced but elects

to relocate permanently, an indication of the

reason for the move and any personal contact to

explain available alternatives and that the

tenant will not qualify for relocation payments

as a displaced person. For example, if a tenant

refuses Section 8 assistance and moves, there

should be evidence that the assistance was

offered and that the tenant was counseled about

the results of refusing the assistance.

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4\. A copy of any appeal or complaint filed and the

grantee/recipient response.

C. Displaced Tenants. For tenants displaced, there

shall be separate case files that include:

1\. Identification of the tenant\'s name, address,

racial/ethnic group classification and date of

initial occupancy. For residential

tenant-occupants, include age, sex and income

of all members of the household and the monthly

rent and average monthly utility costs for the

displacement dwelling. For nonresidential

occupants, include the type of enterprise;

2\. Evidence that the tenant received timely written

notice of possible displacement and a general

description of the relocation payments and

advisory services for which the tenant may be

eligible. Such evidence includes basic

eligibility conditions and the procedures for

obtaining payments;

3\. Evidence that the tenant received timely written

notice of eligibility for relocation assistance

and, for tenants displaced from a dwelling, the

specific CRD and the related cost to be used to

establish the upper limit of the replacement

housing payment;

4\. Identification of relocation needs and

preferences, dates of personal contacts and

services provided;

5\. Identification of referrals to replacement

properties, date of referral, rent/utility costs

or sale price (if dwelling), date of

availability, and reason(s) person declined

referral;

6\. Copy of 90-day notice and vacate notice, if

issued;

7\. The address of the replacement property and date

of relocation. If dwelling, identify

rent/utility costs or sale price and date of

relocation;

8\. Copy of replacement dwelling inspection report

showing condition of unit and date of

inspection;

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9\. Copy of each approved claim form and related

documentation; evidence that the tenant received

the payment and, if applicable, Section 8

certificate or housing voucher; and

10\. Copy of any appeal or complaint filed and

grantee/recipient response.

14-9 ANNUAL PERFORMANCE REPORT. Grantees will be required to

provide data on relocation activities on the Annual

Performance Report (Exhibit 8-1). The data shall identify

the number of units rehabilitated, the number of tenants

in place prior to rehabilitation, the number of tenants

remaining in the project after rehabilitation, the number

of tenants displaced and the number of tenants that

elected to relocate permanently, even though they were not

displaced. (See Chapter 8 of this Handbook for additional

information on the APR.)

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