Relocation and Expanding Opportunities for Public Housing Residents: Draft Recommendations on Relocation Guidance for the HOPE VI Program The following is general guidance for Public Housing Agencies (PHAs) that are HOPE VI grantees, or that are planning for a HOPE VI application, on administration of the relocation process and provision of expanded housing opportunities for residents of HOPE VI revitalization sites. This guidance provides:
All HOPE VI projects involve relocation of residents from their homes prior to demolition or renovation of the existing development. This disruptive and disorienting process must be conducted in compliance with the applicable relocation and civil rights laws and regulations including the URA. (See Attachment C for references to these laws and regulations.) The following guidance does not replace these laws and regulations, but is provided to supplement them. Merely meeting the requirements of the URA and mitigating the hardships of displacement will not achieve the goals of the HOPE VI program. Congress has charged HOPE VI with the goals of "improving the living environment for public housing residents," and "providing housing that will avoid or decrease the concentration of very low-income families." PHAs must strive to achieve these goals in every HOPE VI-funded project, and for every resident whether they will return to the site following revitalization, move permanently to other public housing, move to private market housing utilizing tenant-based Section 8 assistance, or purchase a home. The HOPE VI program provides PHA grantees with significant funding and technical assistance designed to help them plan for and achieve these goals. Success in the HOPE VI program ultimately will be judged, in large measure, by its effectiveness in helping residents take advantage of opportunities to improve their lives and their living environments before, during and after relocation. Local efforts toward meeting these goals must start with collaborative planning during the HOPE VI application stage, and continue with the provision of appropriate supportive services to the original residents of the development immediately following grant award. (See the HOPE VI guidance on "Community and Supportive Services for Original Residents.") It is critically important, therefore, that HOPE VI grantees meet and collaborate with public housing residents individually and as a group early in the process of planning for and implementing relocation efforts. This will assure that both individual needs and program goals are met. An important product of this collaboration with residents is a detailed Relocation Plan to be submitted by the PHA for HUD approval before relocation may begin. The Relocation Plan is submitted as part of the PHAs demolition application or the HOPE VI Revitalization Plan. The Relocation Plan describes the proposed relocation activities including specific relocation options, assistance to be provided to residents and criteria for re-occupancy of the site following renovation or new construction. HUD has developed a Relocation Plan Guideform for this purpose (see Attachment C--Reference Materials). Key Principles for HOPE VI Relocation Each HOPE VI grantee is responsible for providing relocating families with the information, services and resources they need to make meaningful and informed choices about where to live. While individual families retain the right to choose where to live, the range of available options must include the opportunity for each of the original residents of the HOPE VI development to reside in a better living environment following revitalization. This goal is automatically achieved for all original residents who return to the revitalized site. Grantees must ensure, however, that families who do not return to the revitalized site also have access to better living environments. To fulfill the statutory goal of providing families with "housing that will avoid or decrease the concentration of very low-income families," grantees must also take steps to ensure that relocating families have meaningful opportunities to live in areas outside of poverty and minority concentration. To address these goals, there are four key principles of the HOPE VI program regarding relocation: 1) resident involvement, 2) early planning, 3) maximizing opportunities, and 4) community and supportive service coordination. Each is described below. Each household to be relocated must be surveyed individually with respect to their relocation preferences. Many grantees have found that multiple surveys, individual counseling and group information sessions are needed to clearly explain all housing options, particularly where literacy and language barriers present obstacles. Where there is an existing Resident Association, issues of maintaining or reconfiguring the Association during and after revitalization should be addressed early and openly. There is no one acceptable model for this process, but formation of a resident advisory body that can work with the PHA on HOPE VI issues during and after relocation may be appropriate. HUD expects that solutions based on local needs and interests will be reached among the stakeholders. HOPE VI grantees are also encouraged to consult "Resident and Community Involvement: General Guidance for the HOPE VI Program" for a broader discussion of resident involvement in HOPE VI (see Attachment C--Reference Materials). 2. Early planning is essential to success in the relocation process. Planning for relocation must start during the HOPE VI grant application process and be intensified immediately upon grant award. As part of the application process, PHAs provide narrative information to HUD about anticipated relocation activities. They also complete an "Application Data" form that includes estimates of the number of families that will relocate within public housing, with Section 8 assistance, etc., and a budget for relocation. Preparation of the HOPE VI grant application, therefore, requires early relocation planning. HOPE VI grantees must develop and submit for prior HUD approval a detailed Relocation Plan well in advance of the time the first families are required to move. The Relocation Plan is submitted to HUD with either the PHA’s demolition application or the HOPE VI Revitalization Plan. Relocation Plan Guideform: Attachment C--Reference Materials, includes the internet web address of a guideform that may be used in developing a Relocation Plan. HOPE VI grantees may find the guideform useful as they conduct the relocation planning required by the URA and other laws and regulations. Attachment A--Best Practices, also includes internet web links to model HOPE VI relocation plans that are already being implemented successfully. HOPE VI Relocation Plans must reflect the particular circumstances of the grantee’s revitalization efforts and the local housing market. They must also be consistent with this guidance and comply with the URA. Among other things, a Relocation Plan must include:
As early as possible, PHAs will provide residents with information on their relocation options. This information may be more general during early stages of the planning process; eventually, specific housing units will be offered as the time for relocation approaches. Residents must be informed of the relocation services and benefits to which they are entitled and how to obtain them. It is strongly recommended that PHAs begin to provide this information to residents at least six months in advance in order to give families time to plan for changes in schools, day care providers, etc. Early Notices to Residents: Following the initial engagement of residents in the planning and information process, the PHA must provide various notices to residents as required by the Uniform Relocation Act (see the HUD Relocation Handbook 1378, referenced in Attachment C, for complete information on these requirements). Grantees must provide each household with a formal "General Information Notice" regarding the proposed project and related relocation matters. This provides residents with a general description of the project, the activities planned, and the relocation benefits for which they may become eligible. It will also urge residents not to move prematurely. Prior to requiring any tenants to relocate, the grantee must provide each household with additional formal notice--either a "Notice of Nondisplacement" (for those households to be temporarily relocated), or a "Notice of Eligibility for Relocation Assistance" (for residents to be permanently displaced). PHAs must also provide a "90-day Notice" prior to requiring tenants to relocate. This Notice is often combined with the Notice of Eligibility. Again, PHAs administering relocation must consult the Relocation Handbook 1378 for detailed notice requirements. Relocation with Section 8 Tenant-Based Assistance: In planning the timing of relocation using Section 8 tenant-based subsidies, grantees must ensure that a sufficient number of units are identified, and that families have adequate time to search for new housing prior to the time tenants begin vacating their units. Grantees should use all feasible strategies to maximize housing mobility opportunities. Landlord recruiting, tenant orientation activities, tenant counseling to overcome mobility obstacles, and housing search assistance should start at the earliest feasible date. Families should be issued their vouchers at the earliest possible date--ideally at least 120 days prior to required relocation. Grantees should also provide tenants with the maximum feasible extensions of housing search time. 3. Maximizing opportunities for original residents to improve the quality of their lives and achieve self-sufficiency is essential to the success of the HOPE VI program. Maximizing opportunities for the original residents involves:
Some mobility program strategies that may be used by a PHA are described in the PHA’s Section Eight Management Assessment Program (SEMAP) Certification, indicator #7, "Expanding Housing Opportunities." The certification form is referenced in Attachment C. Examples of mobility program "best practices" may also be found through the internet web links found in Attachment A. Housing Opportunities outside areas of poverty and minority concentration: Families should be given the broadest possible range of relocation choices, including options to move outside areas of poverty and minority concentration. To this end, housing opportunities outside such areas should be included among the housing choices offered to each relocating family. (Note also that poverty and minority concentration may be significantly reduced at the HOPE VI site itself following revitalization.) PHAs may adopt their own locally-appropriate definitions of "areas outside of poverty and minority concentration," if the jurisdiction is not already subject to court-mandated definitions. Opportunity for Re-occupancy: The first choice of many original residents of a HOPE VI site may be to return to the revitalized community. HOPE VI grantees are responsible for presenting this option to all relocating families during the tenant survey process prior to relocation. Typically, PHAs offer original residents who remain in good standing the first-priority right of re-occupancy of the revitalized development. Grantees must plan collaboratively with residents and other stakeholders to establish the re-occupancy terms and conditions for the revitalized community. Unless residents were previously relocated, relocation activities should not begin until re-occupancy standards and preferences are established, with resident consultation. Consistent with the goal of maximizing the opportunities for the original residents, grantees must also attempt to identify potential obstacles to re-occupancy and develop a program of counseling and services aimed at overcoming them. Where lawful and appropriate, the new, mixed-income project may have standards of admissions and occupancy that are more strict than the standards previously applied. However, any new standards applicable to the re-occupancy by original residents must be developed in collaboration with residents, and must be related to their future suitability as tenants. 4. Community and Supportive Services (CSS) coordination that begins early and follows each relocating family with coordinated case management is critical to the success of HOPE VI revitalization efforts. During the relocation process residents face formidable challenges that may prevent them from achieving self-sufficiency and from taking advantage of the full range of relocation options available to them--challenges that can often be overcome with the support provided by appropriate and timely services and case management. PHAs are obligated to use their HOPE VI CSS funding to provide case management and a range of services designed to help those residents who need support to relocate successfully and make the transition to self sufficiency. Services must be offered to all residents, whether they intend to return to the site or not. Services for the original residents must be initiated at the earliest feasible date following grant award. When grantees submit their first predevelopment budget, they may request reimbursement for community and supportive services provided from the date of grant award. The CSS Workplan must describe how residents will be tracked as they relocate, and how services will follow displaced residents as well as those who return. Grantees should establish a policy regarding the appropriate point at which to terminate or hand-off services provision for those residents who do not return. HUD policy guidance in this area is covered fully in a separate document entitled "Community and Supportive Services for Original Residents: General Guidance for the HOPE VI Program." It serves as an introduction to the process of formulating the required Community and Supportive Services Workplan which is incorporated into each grantee’s HOPE VI Revitalization Plan. PHAs are responsible for providing informational sessions and training for residents regarding HOPE VI, particularly with regard to the relocation and Section 8 aspects of the program. Residents and PHAs are to work in close collaboration to identify specific information and training needs, and to develop ways of meeting those needs. HUD training and technical assistance, local and national non-profit agencies, local universities and others should also be considered as potential resources in this regard. Consult the "best practice" examples referenced in Attachment A for ideas and resources. Mobility programs in particular require specialized expertise that may not exist within the public housing agency. Local fair housing organizations, faith-based organizations, disability rights groups and others with experience in overcoming barriers to housing mobility should be considered as potential resources in pursuing mobility and deconcentration goals. HUD also encourages regional partnerships among housing and counseling agencies to foster regional mobility opportunities for relocating families. HUD is also an important source of assistance. For example, HUD’s Multifamily Tenant Characteristics System (MTCS) can now produce "Section 8 Deconcentration Analysis" reports that will identify areas where high concentrations of families currently receive Section 8 tenant-based assistance. The MTCS can also provide corresponding demographic data about the specific Census Tracts in which tenants currently receive Section 8 assistance. This information can be important in formulating a Section 8 mobility program that "de-concentrates" low-income housing during the HOPE VI relocation process. Finally, HUD encourages grantees to think creatively about their uses of HOPE VI funds in connection with relocation and supportive services. The program allows considerable flexibility. For example, HOPE VI funds may be used to make modifications to a Section 8 rental unit to make it accessible for persons with disabilities if the unit is to be occupied by a relocating resident of the HOPE VI site. Grantees should address questions about allowable uses of funds to their HOPE VI Grant Manager. Conclusion The HOPE VI program is designed to improve the living environment for public housing residents while avoiding or decreasing the concentration of very low-income families. Public Housing Authorities that pursue revitalization of their severely distressed developments through the HOPE VI program will create opportunities for residents to improve their lives while achieving these programmatic goals. Planning for and implementing relocation in the context of HOPE VI can be complex and challenging, but provides an excellent opportunity for a PHA to develop new, collaborative relationships with residents, other community stakeholders and service providers. The guidance in this document and the resources referred to in the attachments
will help HOPE VI applicants and grantees meet the goals of the HOPE VI
program. By following the key principles of resident involvement, early
planning, maximizing opportunities and service coordination, and by developing
appropriate partnerships, these goals will be realized by every HOPE VI
grantee.
Attachment A: "Best Practices" Examples The Housing Research Foundation--a not-for-profit organization--has received funding from the Department of Housing and Urban Development to administer an internet web site devoted to providing HOPE VI program information and resources to the public. The internet address for the Housing Research Foundation’s HOPE VI home page is: The above web site includes a "Reference Library" of useful HOPE VI resources with dynamic web links to documents and other materials describing HOPE VI relocation "best practices" in the following general categories:
Attachment B: HOPE VI Relocation Timeline (typical) The timing and sequence of relocation activities at HOPE VI sites will vary due to local circumstances. For instance, some HOPE VI applicants will have previously applied for and received HUD approval to demolish a housing development, while others will apply for HUD demolition approval in the context of seeking HUD approval of their HOPE VI Revitalization Plan. Whatever the sequence of events and activities, early planning is the key to success. This timeline suggests one typical scenario. (For complete information on relocation requirements, and for another perspective on the sequence of relocation planning and implementation activities, see the HUD Relocation Handbook 1378--particularly the relocation planning and implementation timeline provided as Appendix 1 to that Handbook.) I. Planning: PHA develops a Relocation Plan while preparing its HOPE VI application. B. PHA invites residents and community stakeholders to participate in planning. C. PHA develops a draft Relocation Plan in collaboration with residents. The planning process involves the following types of activities: 2. Identify the full range of relocation options and makes projections about: b. the number of tenants who will relocate using Section 8 tenant-based assistance (the PHA should begin designing its deconcentration and mobility strategies at this early stage of the project), and c. number of residents who will relocate to other public housing, etc. 4. Establish draft relocation schedule to discuss with residents. 5. Conduct preliminary tenant relocation preferences survey. 6. Establish relocation budget and identify resources needed (Section 8, etc.). 7. Complete relocation plan (may use HUD Relocation Plan guideform template) 2. Proposal for an agency-wide (poverty and minority) deconcentration plan. 3. Proposal to utilize one or more site-based waiting list(s) at its developments. 4. Coordination with the locality’s Consolidated Plan, including its
"Analysis of Impediments to Fair Housing."
F. PHA Board approves, and submits to HUD, the HOPE VI grant application. G. PHA submits demolition application (including a refined Relocation
Plan), as either
2. As part of a HOPE VI application (which becomes part of the PHA’s HOPE VI "Revitalization Plan").
D. PHA formulates its HOPE VI Community and Supportive Services Workplan, and may initiate relocation program services and activities.
F. Grantee applies for HOPE VI predevelopment budget approval to pay for relocation and counseling expenses incurred from the time of grant award. G. Relocation may begin after:
I. Once the initial relocation is complete, the PHA should offer follow-up services to help ensure that families are successfully transitioning to their new housing and communities and have the services they need to obtain and retain employment. HOPE VI grantees should become familiar with the various reference tools that will guide them through the complexities of the relocation process. In addition to the Housing Research Foundation HOPE VI web site (see Attachment A), the following resources should be consulted:
Tenants required to relocate due to HOPE VI-funded project activities such as demolition and renovation construction work are entitled to receive certain benefits in the form of notices, advisory and counseling services, replacement housing, and housing assistance payments as appropriate. These notices, services and payments are required by the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (also known as the Uniform Relocation Act, or "URA"). The policies and procedural requirements of the URA as applied to HUD-funded programs are consolidated in HUD Handbook 1378, "Tenant Assistance, Relocation and Real Property Acquisition." Generally, the following notices, counseling and benefits will apply to most HOPE VI projects. However, HOPE VI grantee Public Housing Authorities (PHAs) must consult the applicable program regulations, and HUD Handbook 1378 to determine how the specific policy and procedural relocation requirements, including the URA, apply to their particular HOPE VI activities. The timing of notices and services, and the levels of benefits may vary depending on the nature and timing of specific HOPE VI projects and phasing activities, and the rules associated with various types of funding. Notices The following notices must be provided to residents in developments scheduled for demolition or rehabilitation under HOPE VI projects subject to the URA: Notice of Nondisplacement, or Notice of Eligibility for Relocation Assistance. As soon as feasible following HUD approval of the PHA’s demolition application or HOPE VI Revitalization Plan, whichever comes first, the PHA must provide residents with a more specific notice of their rights. Residents who will move temporarily will receive a Notice of Nondisplacement. This could include those who express a preference to return to on-site replacement units, and have a reasonable expectation of doing so based on established re-occupancy terms and conditions. Residents who will move permanently from the development will be issued a Notice of Eligibility for Relocation Assistance. This document should inform residents of the specific relocation services and benefits to which they are entitled, when they will receive those services and benefits, and any procedures that must be followed to obtain them. This notice should again advise residents not to move. Ninety Day Notice. No resident to be displaced can be required to move unless the household has first received at least 90 days written notice of the earliest date the family will be required to move. The 90 Day Notice must either state a specific date the family must move, or state the earliest possible date for a move and indicate that the family will receive another notice providing the specific move date at least 30 days before they are required to move. (Thirty Day Notice. Where a family is issued a 90 Day Notice that does not specify the exact date of displacement, the PHA must provide a final notice that states the exact date at least 30 days before the move.) Advisory Services and Counseling Relocation advisory services must include one or more personal interviews with each household. Typically, the PHA would survey residents early in the process to determine each household’s general relocation preferences, then provide additional counseling, services and information as specific replacement housing options are identified. The PHA must develop plans to communicate with families who are not proficient in English, and with people with disabilities. At minimum, advisory services and counseling must:
In general, residents who face permanent displacement should be offered three specific comparable replacement dwelling units. If three units are not available, the PHA must identify at least one replacement dwelling. Replacement housing should be provided on a non-discriminatory basis, in compliance with fair housing and other civil rights laws. The offers of comparable replacement housing should be made in writing at least 90 days prior to the time the family is required to relocate. Comparable Replacement Dwelling. To be "comparable," a replacement dwelling must:
Whenever possible, minority residents shall be given reasonable opportunities to relocate to replacement dwellings not located in an area of minority concentration. PHA may utilize several kinds of replacement housing resources: > Other public housing
Rental Assistance Payment: If the move to replacement housing causes a family’s costs for rent and utilities to increase relative to their costs in public housing, the PHA must provide supplemental payments to (or on behalf of) the family to cover the increased costs. In general, the supplemental payments must be provided for a period of 42 months. In projects that are also funded with federal Community Development Block Grant (CDBG), HOME or §108 funds, supplemental payments may be necessary for a period of 60 months. For more detail on supplemental payments, see HUD Handbook 1378 paragraphs 3-4 and 3-7. Moving Expenses: Relocating residents are entitled to payment for their actual moving and related relocation expenses, so long as those expenses are reasonable. The payment must include expenses for:
Where a household is moved by the PHA to another public housing development, and incurs no other relocation costs, they are to receive a fixed moving allowance of $50.. Note: When necessary, assistance with downpayments required for initial occupancy of replacement housing, such as security deposits and last month’s rent, may also be considered by the PHA. However, since such costs are generally recoverable, they should be considered an advance or loan. As such, PHA’s should make reasonable arrangements with the tenant or landlord to attempt repayment of these advances. Appeals The PHA’s relocation plan must include an opportunity for an appeal
through the PHA’s usual grievance procedure, except that the time limit
for requesting an appeal may not be less than 60 days after the family
receives written notice of the disputed decision. Households dissatisfied
with the outcome of a grievance must be advised in writing of the right
to seek further review at the local HUD Field Office. Disputes subject
to appeal must include the PHA’s determination of eligibility for assistance,
including denial of eligibility and determinations of family status as
displaced persons, and PHA decisions about the nature, scope and amount
of relocation assistance.
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