U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of Public and Indian Housing
Office of Housing

Special Attention of:
Public Housing Agencies
Public Housing Hub Office Directors
Public Housing Program Center Directors
Multifamily HUB Directors
Multifamily Program Center Directors
Regional and Field Office Directors
Regional Administrators
Performance Based Contract Administrators
RAD Transaction Managers
Regional Relocation Specialists

Notice

H 2016-17
PIH 2016-17 (HA)

Issued:

November 10, 2016

Effective: November 10, 2016
Expires:

This Notice remains in effect until
amended, superseded, or rescinded

Supplements:
PIH Notice 2012-32 (HA) REV-2
Supersedes:
H 2014-09/PIH 2014-17

SUBJECT: Rental Assistance Demonstration (RAD) Notice Regarding Fair Housing and Civil
Rights Requirements and Relocation Requirements Applicable to RAD First Component –
Public Housing Conversions.1
SECTION 1. Purpose, Applicability and Major Provisions of this Notice
1.1.

Purpose

This notice (Notice) provides PHAs,2 Project Owners, and their RAD development partners with
guidance regarding key fair housing and civil rights statutory and regulatory requirements,
explains the situations in which HUD is requiring front-end fair housing and civil rights reviews,
and provides information regarding the types of information that must be submitted to facilitate
HUD’s review of certain fair housing and civil rights requirements in connection with public
housing conversions under the First Component of RAD. This Notice also includes guidance

1

While this Notice addresses fair housing and civil rights requirements and relocation requirements, the fair housing
and civil rights requirements are not limited to relocation issues.
2
Consistent with PIH Notice 2012-32 (HA) REV-2 (PIH 2012-32 (HA) REV-2) (the “RAD Notice”), this Notice
uses the term “PHA” to refer to the owner of the project prior to the RAD conversion and “Project Owner” to refer
to the owner of the project after the RAD conversion.

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 regarding key relocation statutory and regulatory requirements, and details relocation
requirements under RAD. This Notice only applies to projects converting under the First
Component of RAD; it does not apply to the Second Component of RAD.3
The RAD program was established as a tool for preserving and improving low-income housing
stock. RAD is intended to facilitate reinvestment in or redevelopment of the long-termaffordable stock of HUD-assisted housing properties. RAD also provides mobility benefits for
assisted residents of converted properties through the choice mobility option, allowing these
households to access tenant-based Housing Choice Vouchers. In some cases, RAD can be a tool
for transfer of rental assistance from distressed or poorly selected sites to new sites in high
opportunity areas. In all cases, the objective is to better serve low-income residents and the
broader community in complying with fair housing, other civil rights, and relocation laws.
This Notice provides PHAs and Project Owners with guidance relating to planning and
implementing public housing (First Component) RAD conversions in a manner consistent with
existing fair housing and other civil rights requirements, including, but not limited to, those
associated with the Fair Housing Act, Title VI of the Civil Rights Act of 1964, Executive Order
11063, Section 504 of the Rehabilitation Act of 1973, Titles II and III of the Americans with
Disabilities Act, the Architectural Barriers Act of 1968, and their implementing regulations.
Section 4 of this Notice summarizes key provisions of existing law applicable to RAD
transactions.
To further compliance with these existing requirements, PIH 2012-32 (HA) REV-2, issued June
15, 2015 (the “RAD Notice”) established that specific PHA decisions and activities planned to
be part of a First Component RAD conversion must be reviewed by HUD prior to
implementation (the “front-end” fair housing and civil rights reviews). Through a front-end
review of the enumerated PHA decisions, HUD seeks to assist PHAs and Project Owners in
meeting their fair housing, other civil rights, and relocation obligations. Section 5 of this Notice
explains the situations in which HUD is requiring front-end fair housing, other civil rights, and
relocation reviews, details the procedures for HUD’s front-end review and the type of
information that must be submitted for these reviews, and the timeframes for these reviews.
Finally, in Sections 6 and 7 this Notice provides PHAs and Project Owners with guidance
regarding RAD program and other statutory and regulatory relocation assistance requirements
when planning for or implementing resident moves as a result of a conversion of a public
housing project under RAD. This guidance includes reiterated and new requirements, the
corresponding required reviews, and explanation of the interaction between RAD relocation
procedures and certain existing public housing requirements. PHAs and Project Owners
implementing RAD transactions may be subject to (a) the requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, (URA),

3

Important fair housing, other civil rights, and relocation considerations apply also to the Second Component of
RAD as provided in the RAD Notice. Participants in the Second Component of RAD must continue to comply with
applicable fair housing, civil rights, and relocation statutes and regulations, and HUD may, at any time, initiate
compliance or enforcement actions in connection with such requirements. The RAD Notice will continue as the
primary source of information on fair housing and other civil rights requirements covering the Second Component
of RAD without any change until further notice.

2

 (b) the requirements of Section 104(d) of the Housing and Community Development Act of 1974
(Section 104(d)) if CDBG or HOME funds are included as part of the project, (c) fair housing
and other civil rights considerations implicated by relocation activities, and (d) requirements for
relocating residents under the RAD Notice.
1.2.

PHA and Project Owner Responsibilities

This Notice explains RAD’s front-end fair housing and other civil rights review requirements in
greater detail than was provided in the RAD Notice and this Notice restates and revises RAD’s
relocation requirements. However, the fair housing, other civil rights, and relocation
requirements that apply to RAD conversions are neither limited to those discussed in this Notice,
nor to those specifically reviewed by HUD in the front-end review.
MEETING HUD’S PROCESS AND REVIEW REQUIREMENTS NEVER
CONSTITUTES COMPLIANCE WITH SUCH LAWS. THE OBLIGATION TO
COMPLY WITH APPLICABLE FAIR HOUSING, OTHER CIVIL RIGHTS, AND
RELOCATION LAWS REMAINS WITH THE PHA AND PROJECT OWNER.
The fair housing and civil rights requirements that apply to RAD conversions are not limited to
those discussed in this Notice. PHAs and Project Owners are responsible at all times for
ensuring that their RAD activities (including those activities implemented by their agents,
consultants, contractors, or other RAD team members) comply with all applicable fair housing
and civil rights requirements. PHAs and Project Owners shall be accountable for all fair housing
and civil rights compliance issues with respect to their RAD activities, whether those activities
are undertaken directly or through agents, consultants, contractors, or other RAD team members.
While HUD provides this non-exhaustive guidance to assist PHAs and Project Owners during
transactions, complying with the requirements set forth in this Notice does not necessarily mean
that they, or their agents or consultants, are in compliance with fair housing and civil rights
requirements.4
This Notice is not intended to, and shall not be construed to, reduce or in any way limit the
application of fair housing, other civil rights, and relocation laws and regulations to RAD
transactions. For example, HUD’s reliance on a PHA’s certification that a site meets the site and
neighborhood standards required by the RAD Notice is not a determination of compliance with
the duty to affirmatively further fair housing or other fair housing and civil rights requirements.
As another example, HUD’s approval of a site for new construction does not, by itself, constitute
a determination of the PHA’s compliance with all provisions of Title VI and its duty to
affirmatively further fair housing found in the Fair Housing Act and other fair housing and civil
rights requirements, nor indicate HUD’s approval of the PHA’s or locality’s overall housing
strategy. HUD’s approval of a RAD conversion after front-end review reflects only that the
project may proceed through the RAD conversion process; it does not constitute a determination

The PHA’s or Project Owner’s agents, consultants, contractors, and other RAD team members may also have fair
housing and other civil rights obligations (whether under this Notice or otherwise) and the forgoing does not, in any
way, limit the independent obligation of any such parties to ensure their own compliance with applicable fair
housing and other civil rights laws.
4

3

 that the project is in compliance with applicable fair housing, civil rights, and relocation
requirements.
HUD’s approval of a front-end review submission is based on limited information and is
intended to assist the PHA or Project Owner in meeting their fair housing, civil rights, and
relocation obligations.5 The PHA is responsible for ensuring that its RAD conversion is
consistent with its certification to affirmatively further fair housing and complies with applicable
civil rights laws.6 The front-end reviews described in this Notice shall not be construed to limit
other fair housing and civil rights investigations that HUD may conduct. HUD retains all
compliance and enforcement authority.
HUD’s determination that the PHA or Project Owner has failed to meet submission, certification,
or approval requirements with respect to fair housing, other civil rights, or relocation
requirements is grounds for terminating a Commitment to enter into a Housing Assistance
Payments Contract (CHAP), denying the issuance of a RAD Conversion Commitment (RCC), or
denying authority to convert under RAD.
1.3.

Applicability

The content of this Notice should not be relied upon in carrying out any other activities funded
under any other HUD program, except where specifically directed by HUD.
This Notice supplements the RAD Notice with respect to fair housing and civil rights
requirements applicable to public housing properties converting under RAD and with respect to
all matters related to the relocation of residents as a result of RAD public housing conversions.
To the extent that there is a conflict between this Notice and the RAD Notice, this Notice shall
govern. This Notice replaces and supersedes Notice H 2014-09/PIH 2014-17 (issued July 14,
2014).
Upon issuance, the terms of this Notice will apply to all projects that have applied for conversion
of assistance under the First Component of RAD but have not yet converted. As this Notice
provides guidance, clarification, and explanation regarding fair housing and civil rights
requirements that are already applicable to RAD conversions, this Notice shall not affect any
front-end civil rights approvals provided by HUD prior to the effective date of this Notice and
otherwise shall be effective with respect to front-end civil rights approvals without exception.
However, with respect to relocation activities for Converting Projects under the First Component
where a PHA has already submitted a Financing Plan pursuant to the RAD Notice at the time of
issuance of this Notice, and provided that the Financing Plan has been accepted for full review
after initial screening for completeness, the PHA may, within sixty (60) days after issuance of
this Notice, request (in writing uploaded to the RAD Resource Desk) to be governed by H 2014-

5

For example, the front-end review is specific to an individual site. A PHA that does not promote fair housing
choice outside areas of minority concentration and continues to site affordable housing in minority concentrated
areas may be in noncompliance with the duty to affirmatively further fair housing and other fair housing and civil
rights obligations, even if the specific site is approved based on the information provided and pursuant to the frontend review of the PHA’s site and neighborhood standards submission.
6
See 24 C.F.R. § 5.105 and, as applicable, 24 C.F.R. § 983.57(b)(2) or Appendix III of the RAD Notice.

4

 09/PIH 2014-17. For such projects and where otherwise appropriate in cases of hardship as
determined by HUD, HUD may apply the terms of H 2014-09/PIH 2014-17 with respect to
relocation activities, but not with respect to fair housing and civil rights requirements.
RAD projects which have been awarded Choice Neighborhoods Implementation (CNI) grants
are subject to the provisions of the applicable Choice Neighborhoods Notice of Funding
Availability (NOFA) and grant agreement regarding site and neighborhood standards and are not
subject to the RAD front-end civil rights transaction reviews described in this Notice. For
properties being redeveloped with funding under a CNI grant, the relocation requirements set
forth in this Notice are superseded by guidance regarding relocation included in the CNI NOFA.
Permanent involuntary displacement of public housing or Section 8 assisted residents may not
occur as a result of a Choice Neighborhood project’s conversion of assistance.
1.4.

Explanation of Major Provisions

This Notice adds to and revises pre-existing guidance related to fair housing, civil rights, and
relocation (as contained in the RAD Notice and H 2014-09/PIH 2014-17) with respect to RAD
transactions. Among the key provisions and changes are the following:
Fair Housing & Civil Rights
 Reaffirms the applicability of fair housing and civil rights requirements to all RADrelated activities (see, e.g., Section 3.3 and Section 4);
 Reiterates when HUD front-end civil rights review (originally outlined in the RAD
Notice) is required in addition to the PHA’s analysis and certification of compliance, to
assist the PHA and Project Owner to comply with fair housing and civil rights
requirements (see Section 5.3);
 Outlines certain conditions under which HUD will conduct a front-end review to
determine whether the site is in an area of minority concentration relative to the site’s
housing market area (see Section 5.4(A));
 Provides guidance, for purposes of the RAD front-end civil rights review, on the concepts
of “area of minority concentration” and “housing market area” that are reviewed when
determining whether a site is in an area of minority concentration (see Section 5.4(B));
 Elaborates on specific information that HUD will consider, and that PHAs should provide
evidence of, in order for a proposed site to meet the existing exceptions to permit new
construction in an area of minority concentration, identifies presumptions for meeting the
sufficient comparable opportunities exception and describes factors that HUD may
consider in evaluating the overriding housing needs exception (see Section 5.4(C) and
Section 5.4(D));
 Articulates issues that HUD will consider in completing the front-end civil rights review
for transfers of assistance, including, for example, accessibility and minority
concentration (see Section 5.5);
 Outlines the information to be submitted for HUD’s front-end civil rights review of
transactions where unit reductions, unit reconfigurations, or changes in occupancy are
proposed (see Section 5.6);
 Identifies the situations where front-end civil rights reviews are required when changes in
the accessibility features of a site are made (see Section 5.7(B)); and

5

 

Prohibits the Project Owner of a Converted Project with a PBRA HAP contract from
initiating any new leasing or marketing activities (other than leasing and outreach to
households holding a right to return to the Covered Project), including the solicitation,
distribution or acceptance of applications or development of a waiting list, until HUD has
approved the Affirmative Fair Housing Marketing Plan (“AFHMP”) (see Section 5.8).

Relocation
 Requires PHAs or Project Owners to prepare a written relocation plan for all transactions
that involve permanent relocation or temporary relocation anticipated to exceed 12
months (see Section 6.1);
 Requires PHAs to provide residents with a RAD Information Notice (RIN) in order to
ensure that residents are informed of potential project plans and of their rights in
connection with RAD prior to submission of the RAD application (see Section 6.6(A));
 Clarifies that the General Information Notice (GIN), when applicable, should be provided
as soon as feasible and no later than 30 days following the issuance of the CHAP (see
Section 6.6(B));
 Requires Project Owners to provide a notification of Return to the Covered Project, when
applicable (see Section 6.6(F));
 Moves the date before which PHAs are prohibited from beginning any physical
relocation earlier in the conversion process (specifically, from the date of Closing to the
later of the effective date of the RCC and the expiration of the 30- or 90-day RAD Notice
of Relocation period, as applicable) (see Section 6.8);
 Clarifies the specific requirements applicable to different types of relocation (e.g., moves
within a property, temporary relocation of less than 12 months, etc.) (see, e.g., Section
6.4);
 Provides enhanced guidance on the right to return requirements, any offers of alternative
housing options and the documentation that must be retained when tenants choose an
alternative housing option and decline their right to return (see, e.g., Section 6.2 and
Section 6.10);
 Describes how HUD has administratively implemented URA requirements and URA
relocation assistance and payments for displaced persons, when applicable, to residents
who choose to decline the right of return and, instead, choose voluntary permanent
relocation (see, e.g., Section 6.4(C) through (F) and Section 6.10);
 Requires PHAs to maintain detailed data regarding each household that will be relocated,
with key dates of notices and moves (see Section 6.9); and
 Identifies key fair housing and civil rights requirements applicable during relocation (see,
e.g., Section 4).
1.5.

Request for Public Comment

HUD acknowledges the complexity of the issues addressed in this Notice. This Notice is
effective immediately upon issuance, but HUD also seeks comment from the public regarding
the clarity and organization of the Notice and regarding areas where the policies and procedures
described are unclear or ambiguous. HUD will consider whether changes in response to
comments are justified and will implement any appropriate changes in a revision of this Notice.
Please submit all comments to RAD@hud.gov within 30 days of the issuance of this Notice.

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 1.6.

Paperwork Reduction Act

In accordance with the Paperwork Reduction Act (PRA), HUD may not conduct or sponsor, and
a person is not required to respond to, a collection of information unless the collection displays a
currently valid OMB control number. OMB approved information collection forms will be
posted on the RAD website and the Federal Register.

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 SECTION 2. Table of Contents
The contents of this Notice are divided into the following parts:
SECTION 1. Purpose, Applicability and Major Provisions of this Notice .................................. 1
1.1. Purpose............................................................................................................................. 1
1.2. PHA and Project Owner Responsibilities ........................................................................ 3
1.3. Applicability .................................................................................................................... 4
1.4. Explanation of Major Provisions ..................................................................................... 5
1.5. Request for Public Comment ........................................................................................... 6
1.6. Paperwork Reduction Act ................................................................................................ 7
SECTION 2. Table of Contents .................................................................................................... 8
SECTION 3. Background ........................................................................................................... 10
3.1. RAD Authority............................................................................................................... 10
3.2. Definitions...................................................................................................................... 10
3.3. Applicable Legal Authorities ......................................................................................... 10
3.4. Further Information ........................................................................................................ 11
SECTION 4. Generally Applicable Fair Housing and Civil Rights Requirements Relevant
Throughout the RAD Conversion Process ............................................................ 11
SECTION 5. Application of Key Fair Housing and Civil Rights Requirements to RAD
Transactions .......................................................................................................... 17
5.1. RAD Eligibility Review ................................................................................................. 17
5.2. PHA’s Proposed Site Selection and Certification .......................................................... 18
5.3. RAD Front-End Civil Rights Transaction Review ........................................................ 20
A) Activities Subject to Front-End Civil Rights Review ............................................ 20
B) Fair Housing, Civil Rights, and Relocation Checklist ........................................... 22
C) Timing of Front-End Review Submissions ............................................................ 23
D) Completion of HUD’s Front-End Review.............................................................. 23
5.4. Front-End Civil Rights Review for RAD Transactions Involving New Construction .. 24
A) Conditions Triggering Review ............................................................................... 24
B) Analysis of Areas of Minority Concentration ........................................................ 25
C) The Sufficient Comparable Opportunities Exception ............................................ 26
D) The Overriding Housing Needs Exception ............................................................ 30
5.5. Front-End Civil Rights Review for RAD Transactions Involving Transfer of
Assistance ...................................................................................................................... 32
A) Applicable Standards .............................................................................................. 32
B) Analysis of Transfers of Assistance ....................................................................... 33
5.6. Front-End Civil Rights Review for RAD Transactions Involving Reduction in
Number of Units, Changes in Bedroom Distribution of Units and Changes in
Occupancy Requirements .............................................................................................. 34
A) Review of Reductions in the Number of Units, Reductions or Increases in the
Number of UFAS Accessible Units or Changes in Bedroom Distribution ............ 34
B) Review of Changes in Occupancy Type ................................................................ 36
5.7. Other Front-End Civil Rights Review for RAD Transactions ....................................... 36
A) Conversions of Assistance in Which the Construction Schedule Indicates that
Relocation is Likely to Exceed 12 Months. ........................................................... 36

8

 B) Conversions of Assistance Involving New Construction or Substantial
Alteration, as those terms are defined by Section 504. .......................................... 36
C) Remedial Agreements and Orders. ......................................................................... 37
5.8. Affirmative Fair Housing Marketing Plan (AFHMP) Requirements for Projects
Converting to PBRA Assistance .................................................................................... 37
SECTION 6. RELOCATION REQUIREMENTS ..................................................................... 38
6.1. Planning ......................................................................................................................... 39
6.2. Resident Right to Return ................................................................................................ 41
6.3. Admissions and Continued Occupancy Requirements .................................................. 43
6.4. Types of Moves and Relocation .................................................................................... 43
A) Moves within the same building or complex of buildings ..................................... 43
B) Temporary relocation lasting one year or less ........................................................ 44
C) Temporary relocation initially expected to last one year or less, but which
extends beyond one year ........................................................................................ 44
D) Temporary relocation anticipated to last more than one year ................................ 44
E) Permanent moves in connection with a transfer of assistance ............................... 45
F) Voluntary permanent relocation ............................................................................. 46
6.5. Initiation of Negotiations (ION) Date ............................................................................ 46
6.6. Resident Relocation Notification (Notices) ................................................................... 46
A) RAD Information Notice ........................................................................................ 47
B) General Information Notice (49 C.F.R. § 24.203(a)) ............................................. 48
C) Notice of Intent to Acquire (49 C.F.R. § 24.203(d)) .............................................. 49
D) RAD Notice of Relocation ..................................................................................... 49
E) URA Notice of Relocation Eligibility – for residents whose temporary
relocation exceeds one year (49 C.F.R. § 24.203(b)) ............................................. 52
F) Notification of Return to the Covered Project ........................................................ 53
6.7. Relocation Advisory Services ........................................................................................ 53
6.8. Initiation of Relocation .................................................................................................. 54
6.9. Records and Documentation; Resident Log .................................................................. 54
6.10. Alternative Housing Options ......................................................................................... 56
A) Requirements for Any Offer of Alternative Housing Options ............................... 56
B) Assisted Housing Options as Alternatives ............................................................. 57
C) Monetary Elements Associated With Alternative Housing Options ...................... 58
D) Disclosure and Agreement to Alternative Housing Options .................................. 58
6.11. Lump Sum Payments ..................................................................................................... 60
SECTION 7. APPLICABILITY OF HCV AND PUBLIC HOUSING REQUIREMENTS ..... 60
7.1. HCV Waiting List Administration Unrelated to the RAD Transaction ......................... 60
7.2. HCV Waiting List Administration Related to the RAD Transaction ............................ 61
7.3. Public Housing Transfers Unrelated to the RAD Transaction ....................................... 61
7.4. Resident Initiated Public Housing Transfers Related to the RAD Transaction ............. 62
7.5. Public Housing as a Temporary Relocation Resource ................................................... 62
7.6. Terminations (Including Evictions) and End of Participation Unrelated to the
RAD Transaction ........................................................................................................... 63
7.7. Right-Sizing ................................................................................................................... 63

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 Appendix I – Applicable Legal Authorities
Appendix II – Recommended Relocation Plan Contents
SECTION 3. Background
3.1.

RAD Authority

RAD is authorized by the Consolidated and Further Continuing Appropriations Act of 2012
(Pub. L. No. 112-55, enacted November 18, 2011), as amended by the Consolidated
Appropriations Act, 2014 (Public Law 113-76, enacted January 17, 2014), the Consolidated and
Further Continuing Appropriations Act, 2015 (Public Law 113-235, enacted December 6, 2014),
and the Division L, Title II, Section 237 of the Consolidated Appropriations Act (Public Law
114-113, enacted December 18, 2016), collectively and as it may be further amended from time
to time, the “RAD Statute.” RAD allows certain eligible properties to convert assistance to longterm project-based Section 8 contracts and has two separate components. The First Component
allows projects funded under the public housing program to convert their assistance to long-term,
project-based Section 8 rental assistance contracts. Under this component of RAD, public
housing agencies (PHAs) may choose between two different Section 8 housing assistance
programs: project based vouchers (PBVs) or project-based rental assistance (PBRA). The
“Second Component” of RAD allows owners of projects funded under the Rent Supplement
(Rent Supp), Rental Assistance Payment (RAP), and Moderate Rehabilitation programs to
convert certain units to PBV or PBRA Section 8 units following certain contract expirations or
terminations. The RAD Statute is implemented by the RAD Notice.
3.2.

Definitions

All capitalized terms defined in the RAD Notice, as amended, shall have the definitions ascribed
to them therein unless otherwise specifically noted in this Notice.7 Pre-conversion projects
whose assistance is converting from public housing to Section 8 under RAD are referred to in the
RAD Notice and in this Notice as “Converting Projects.” Post-conversion projects are referred to
in the RAD Notice and this Notice as “Covered Projects.”
3.3.

Applicable Legal Authorities

Appendix I to this Notice identifies key legal authorities with respect to fair housing, civil rights,
and resident relocation. Part 2 of Appendix I provides greater detail regarding federal
accessibility requirements set forth in three of the legal authorities described in Appendix I,

7

Many of the fair housing and civil rights concepts used throughout this Notice are terms of art that are defined in
applicable statutes and regulations identified in Appendix I of this Notice, while others have been developed through
judicial interpretation. PHAs and Project Owners should familiarize themselves with these terms of art and should
consult 42 U.S.C. § 3602 (Fair Housing Act); 24 C.F.R. §§ 5.152-100.20 (Fair Housing Act); 42 U.S.C. §§ 2000d2000d-4a (Title VI of the Civil Rights Act of 1964); 24 C.F.R. § 1.2 (Title VI); 29 U.S.C. § 705 (Rehabilitation
Act); 24 C.F.R. § 8.3 (Section 504); 42 U.S.C. §§ 12102, 12132, 12181 (Americans with Disabilities Act (ADA));
28 C.F.R. § 35.104 (Title II of the ADA); and 28 C.F.R. § 36.104 (Title III of the ADA). In addition, many of the
relocation concepts are terms of art that are defined in 42 U.S.C. § 4601 et seq. (Uniform Relocation Act (URA)),
Section 104(d) of the Housing and Community Development Act of 1974 codified at 42 U.S.C. § 5304(d), and their
implementing regulations at 49 C.F.R Part 24 and 24 C.F.R. Part 42 subpart C.

10

 Part 1. PHAs and Project Owners must be familiar with these legal authorities and must
evaluate, based on the facts of their situation, which legal authorities are applicable in which
situations. Failure to comply with any legal authority as applicable to the PHA’s or Project
Owner’s actions or inactions may result in liability under such authority. Appendix I does
not attempt to provide a complete and exhaustive explanation of the legal authorities, nor to fully
inventory the situations in which each legal authority is applicable. Instead, Appendix I is an
overview intended to serve as a general introduction or reminder for PHAs and Project Owners
of these fair housing, other civil rights, and relocation authorities and to facilitate their
identification of appropriate topics for further research or expert counsel. The recitation of these
legal authorities neither expands nor diminishes their applicability to the PHA’s and Project
Owner’s activities in connection with their RAD conversion.
The RAD Statute authorizes the Secretary of HUD to waive or specify alternative requirements
for certain provisions of law, except for requirements related to, among others, fair housing and
nondiscrimination.8 In addition to the general application of various federal statutes and their
implementing regulations as discussed in Appendix I, below, HUD regulations at 24 C.F.R. §
5.105 apply such authorities to all HUD programs, including RAD.
3.4.

Further Information

Because each RAD proposal varies in its scope, this Notice may not address each PHA’s or
Project Owner’s specific circumstances. PHAs and Project Owners should carefully review the
laws, regulations, notices, and guidance material referenced in this Notice. Any questions related
to the administration of the RAD program should be referred to the appropriate RAD Transaction
Manager (TM) or may be emailed to rad@hud.gov.
SECTION 4. Generally Applicable Fair Housing and Civil Rights Requirements Relevant
Throughout the RAD Conversion Process
This Section provides a summary overview of key principles regarding program implementation
and an overview of generally applicable fair housing and civil rights requirements. Appendix I
identifies the key legal authorities from which these principles are derived. These key principals,
together and with the legal authorities identified in Appendix I, frame the PHA’s efforts to
implement a RAD conversion. In some cases, these requirements are particularly relevant to the
process of planning the RAD conversion, while in others they have particular relevance for the
structure of the RAD transaction itself, and in yet other cases, both. Elements of RAD
transactions that have civil rights implications include, but are not limited to, transfers of
assistance, temporary and permanent relocation, demolition, site selection, new construction,
occupancy policies, changes in unit configuration, increases or reductions in units, waiting list
administration policies, policies regarding return of temporarily relocated tenants, substantial
rehabilitation or alteration, program accessibility, tenant selection policies and priority transfers,
providing information to and communicating with persons with Limited English Proficiency
(LEP) and persons with disabilities, reasonable accommodation policies, and Affirmative Fair

8

See Pub. L. No. 112-55, as amended.

11

 Housing Marketing Plans (AFHMPs). All PHAs must consider civil rights when structuring
these and other elements of their RAD transaction.
RAD transactions are governed by the same civil rights authorities that govern HUD-assisted
activities generally.9 Converting Projects are subject to civil rights and equal opportunity
requirements under the public housing regulations, and Covered Projects are subject to civil
rights and equal opportunity requirements under the PBV regulations or the PBRA regulations,
as applicable.10 As described further below, the Fair Housing Act prohibits discrimination in
housing11 and requires all federal executive departments and agencies to “administer their
programs and activities relating to housing and urban development … in a manner affirmatively
to further” fair housing.12 In addition, all programs or activities receiving Federal financial
assistance are subject to Title VI of the Civil Rights Act of 1964 forbidding discrimination on the
basis of race, color, and national origin13 and Section 504 of the Rehabilitation Act of 1973,
which forbids discrimination on the basis of disability and requires that programs or activities
receiving Federal financial assistance make such programs or activities “when viewed in its
entirety” readily accessible to persons with disabilities and make reasonable accommodation to
the needs of persons with disabilities.14 RAD transactions are also subject, as applicable, to the
requirements of Titles II and III of the Americans with Disabilities Act, Executive Order 11063,
and HUD regulations at 24 C.F.R. part 107. Thus, as with the administration of all HUD
programs and all HUD-assisted activities, fair housing and civil rights issues must be considered
in the administration of the RAD program. PHAs must not implement actions and policies that
may have a discriminatory effect on the basis of race, color, sex, national origin, religion,
disability, or familial status or that may impede, obstruct, prevent, or undermine efforts to
affirmatively further fair housing.15 Note, in particular, the following requirements:


Affirmatively Furthering Fair Housing (AFFH): The Fair Housing Act requires that
HUD administer its programs and activities in a manner that affirmatively furthers the
purposes of the Fair Housing Act. The Fair Housing Act not only prohibits
discrimination but, in conjunction with other statutes, directs HUD’s recipients, including
PHAs, to take significant actions to overcome historic patterns of segregation, achieve
truly balanced and integrated living patterns, promote fair housing choice, and foster
inclusive communities that are free from discrimination. Through various statutes,
regulations, and executive orders, PHAs must take various actions in accordance and in
conjunction with their Fair Housing Act obligation to affirmatively further fair housing.
For example, under regulations implementing the United States Housing Act of 1937 (the
Act), HUD recipients must, among other requirements, certify that they will affirmatively
further fair housing. In addition, under HUD’s Affirmatively Furthering Fair Housing
(AFFH) rule promulgated July 16, 2015, PHAs must periodically conduct an Assessment

9

See 24 C.F.R. § 5.105.
See, e.g., 24 C.F.R. §§ 880.601, 881.601 and 983.8 for civil rights related regulations applicable to PBV and
PBRA transactions.
11
See 42 U.S.C. §§ 3601 et seq., and HUD regulations in 24 C.F.R. part 100
12
42 U.S.C. § 3608(d) and (e).
13
See 42 U.S.C. §§ 2000d et. seq., and HUD regulations in 24 C.F.R. part 1.
14
See 29 U.S.C. §§ 701 et seq., and HUD regulations in 24 C.F.R. part 8.
15
See 24 C.F.R. part 1 and part 100 subpart G.
10

12

 of Fair Housing (AFH) as set out by the rule, either individually or in collaboration with
other program participants.16 Under the AFFH rule, in order to develop a successful
affirmatively furthering fair housing strategy, the PHA must assess the elements and
factors that cause, increase, contribute to, maintain, or perpetuate segregation, racially or
ethnically concentrated areas of poverty, significant disparities in access to opportunity,
and disproportionate housing needs. PHAs must ensure that their activities in connection
with a RAD conversion are consistent with their AFH, including any applicable joint or
regional AFH in which they are a joint participant, and with any applicable Analysis of
Impediments to Fair Housing Choice (AI), Fair Housing Equity Assessment, PHA 5-Year
Plan, PHA Annual Plan, Moving to Work (MTW) Plan, or related planning documents
and other regulatory and programmatic requirements implementing the obligation to
affirmatively further fair housing to which they are a party.17


Nondiscriminatory Site Selection: HUD’s site and neighborhood standards require that
the proposed site is suitable from the standpoint of facilitating and furthering full
compliance with the applicable provision of Title VI of the Civil Rights Act, the Fair
Housing Act, Executive Order 11063, and Department regulations implementing these
authorities. The site must meet the Section 504 site selection requirements in 24 C.F.R.
§ 8.4(b)(5). Additional provisions appear in 24 C.F.R. § 983.57(b) of the PBV rules and,
for PBRA, in Appendix III of the RAD Notice. HUD’s Title VI regulation specifically
prohibits site selection that has the “purpose or effect of excluding individuals from,
denying them the benefits of, or subjecting them to discrimination” on the basis of race,
color, or national origin.18 The Title VI regulations also impose an obligation on the part
of an applicant or recipient of HUD financial assistance to take actions to overcome the
effect of prior discrimination or conditions that limit participation by persons of a
particular race, color, or national origin.19 In addition, HUD’s Section 504 regulation
prohibits recipients from selecting sites the purpose or effect of which would (1) exclude
qualified individuals with disabilities from or deny them the benefit of a program or
activity, or otherwise subject them to discrimination; or (2) defeat or substantially impair
the accomplishment of the objectives of the program or activity with respect to qualified
individuals with disabilities.20 ADA regulations likewise prohibit site selections that
have the purpose or effect of excluding individuals with disabilities (including members
of the public with disabilities), denying them benefits, or subjecting them to
discrimination.21 Finally, the Fair Housing Act prohibits discriminatory site selection,
including perpetuation of segregation in transfers of assistance and new construction.



Meaningful Access for Persons with Limited English Proficiency (LEP): The PHA or
Project Owner is required to take reasonable steps to ensure (a) they provide meaningful
access to programs and activities for persons who have a limited ability to read, speak, or
understand English; (b) any person with LEP who will be temporarily relocated or

16

24 C.F.R. § 5.150 et seq.
See 24 C.F.R. § 5.150 et seq. and 24 C.F.R. §§ 91.225, 91.325, or 91.425.
18
See 24 C.F.R. § 1.4(b)(3).
19
See 24 C.F.R. § 1.4(b)(6).
20
See 24 C.F.R. § 8.4(b)(5).
21
See 28 C.F.R. § 35.130(b)(4); 28 C.F.R. § 36.301.
17

13

 permanently displaced has meaningful access to any public meetings regarding the
project; and (c) they provide meaningful access to LEP persons to any information
provided to residents including, but not limited to, any relocation notices. Generally, the
PHA or Project Owner will be responsible for providing oral interpreters at meetings,
including ensuring their competence, and covering any associated translation and
interpretation costs.22


Effective Communication for Persons with Disabilities: Communications and
materials must be provided in a manner that is effective for persons with hearing, visual,
and other communication-related disabilities consistent with Section 504 of the
Rehabilitation Act of 1973 (24 C.F.R. § 8.6) and with 49 C.F.R. § 24.5, and as applicable,
the Americans with Disabilities Act. This includes ensuring that, unless such actions
would result in undue financial and administrative burdens or fundamental alterations,
notices and resident meetings are provided in appropriate alternative formats as needed,
e.g., Braille, audio, large type, accessible electronic communications, assistive listening
devices, and sign language interpreters. Even in cases where the proposed actions may
result in undue financial and administrative burdens or fundamental alterations, certain
actions must still be taken. Specifically, appropriate auxiliary aids and services that
would not result in such undue burdens or fundamental alterations must still be provided
to ensure effective communication.



Accessible Meeting Facilities for Persons with Disabilities: Pursuant to regulations
implementing Section 504 of the Rehabilitation Act of 1973 and the Americans with
Disabilities Act of 1990, as applicable, all programs and activities must be held in
accessible locations unless doing so would result in an undue financial and administrative
burden on the PHA and/or Project Owner, in which case the PHA or Project Owner must
take any action that would not result in such undue burden but would nevertheless ensure
that individuals with disabilities receive the benefits and services of the program or
activity, e.g., briefings at an alternate accessible site or in-home briefing.23 Individuals
with disabilities must receive services in the most integrated setting appropriate to their
needs. The most integrated setting appropriate to the needs of qualified individuals with
disabilities is a setting that enables individuals with disabilities to interact with persons
without disabilities to the fullest extent possible.24

For more information about LEP obligations, see HUD’s Limited English Proficiency (LEP) Frequently Asked
Questions guidance at
http://portal.hud.gov/hudportal/HUD?src=/program_offices/fair_housing_equal_opp/promotingfh/lep-faq#q26.
23
In selecting locations for consultation with residents, the PHA and/or Project Owner shall be guided by the goal of
maximizing participation in an integrated setting so that residents with disabilities and residents without disabilities
may hear and consider each other’s views. Priority shall be given to using on-site accessible locations (including,
e.g., TV rooms or informal gathering places), even if doing so may require multiple sessions with smaller groups of
residents. In addition, Title III of the Americans with Disabilities Act requires private entities that operate places of
public accommodation, including social service establishments, leasing offices of private housing developments, and
certain private housing providers, to comply with certain physical accessibility requirements which are similar to the
requirements under Section 504 and Title II.
24
See 28 C.F.R. part 35, Appendix B.
22

14

 

Accessibility for Persons with Disabilities Throughout the Planning and
Implementation Process: A number of accessibility requirements, including but not
limited to site selection, apply to all RAD conversions, as they do to the PHA’s activities
regardless of the PHA’s participation in RAD.25 PHAs and Project Owners should also
be aware that state or local laws, regulations, and codes may contain greater accessibility
requirements. This Notice provides, in Appendix I, Part 2, an overview of accessibility
requirements under existing law. The information in Appendix I, Part 2 is intended to
assist with the PHA’s or Project Owner’s compliance with accessibility requirements.
PHAs and Project Owners must review Appendix I, Part 2 early-on in planning for the
RAD transaction. PHAs and Project Owners may determine that it is most efficient to
address accessibility matters early in the project planning. In addition, PHAs and Project
Owners must evaluate, throughout the transaction and based on the facts of their
situation, which requirements are applicable in which situations to ensure they
appropriately address accessibility requirements. PHAs and Project Owners are
responsible for ensuring that the architectural drawings and construction comply with the
PHA’s and Project Owner’s obligations and all Federal civil rights requirements,
including accessibility requirements under the Fair Housing Act, Section 504, and the
ADA.
Accessibility requirements also apply during all stages of a RAD transaction, including
during relocation. Existing information (e.g., resident characteristics forms, including
identification of the need for accessible unit features; records of approved reasonable
accommodations; and records of the presence of accessible unit features) and the
residents themselves should be consulted throughout the process of developing and
implementing a RAD conversion. Related activities include, but are not limited to:
o Identifying and maintaining existing and pending reasonable accommodations,
including the need for larger units to accommodate live-in aides or special
equipment;
o Determining what direct services may be needed as a reasonable accommodation
(e.g., packing, moving, identification of temporary housing);
o Identifying accessible unit features and assuring that temporary or permanent
replacement housing contains comparable features;
o Budgeting appropriately to ensure that reasonable accommodations are addressed.
For more information about compliance with accessibility requirements, the PHA or
Project Owner should refer to appropriate notices concerning civil rights requirements
and may contact HUD’s Office of Fair Housing and Equal Opportunity in either the
Washington, D.C. or applicable field offices for more specific guidance. For additional,
non-exhaustive guidance on providing relocation assistance to persons with disabilities,
see Exhibit 3-1 in HUD Handbook 1378.

25

For more detailed information on these laws and their requirements, see PIH Notice 2010-26, issued July 26, 2010
(available at http://www.hud.gov/offices/pih/publications/notices/10/pih2010-26.pdf). While this notice has an
expiration date in 2011, because the notice summarizes and discusses regulatory requirements, the information in the
notice provides helpful guidance.

15

 

Reasonable Accommodations in Rules, Policies, Practices and Services: Under the
Fair Housing Act, the PHA or Project Owner must make reasonable accommodations in
rules, policies, practices, and services when such accommodations may be necessary to
afford a person with a disability an equal opportunity to use and enjoy a dwelling.26
Under Section 504, the PHA or Project Owner must also make reasonable
accommodations to residents with disabilities, which may include providing and paying
for structural modifications to dwelling units and public or common use areas. Titles II
and III of the ADA provide similar requirements. Common examples of reasonable
accommodations that may occur during relocation are permitting an individual with a
disability to relocate near public transportation, providing a unit larger than otherwise
permitted for a live-in aide, and making exceptions to no-animal rules for assistance and
service animals. Accommodations generally need not be made where providing such an
accommodation would be an undue financial and administrative burden or a fundamental
alteration of the nature of the service. However, reasonable accommodations must be
made to the extent the accommodation does not impose an undue financial and
administrative burden or a fundamental alteration of the nature of the service.
Reasonable accommodations must follow the individual with the disability throughout
the RAD process, including during relocation. Furthermore, PHAs and Project Owners
may be required to provide particular reasonable accommodations during relocation, such
as assistance moving household items.27



Physical Changes to Dwelling Units, Public and Common Use Areas and Other
Facilities for Accessibility: Under the Fair Housing Act, the PHA or Project Owner may
be required to permit reasonable modifications. A reasonable modification is a structural
change made to existing premises, occupied or to be occupied by a person with a
disability, in order to afford such person full enjoyment of the premises. Reasonable
modifications can include structural changes to interiors and exteriors of dwellings and to
common and public use areas. A request for a reasonable modification may be made at
any time during the tenancy. When relocating an individual with a disability who has
such modifications in their dwelling unit or public and common use areas because of the
individual’s disability, regardless of who made them, the PHA or Project Owner has an
obligation to provide and pay for such modification in the new dwelling. When
considering requests by individuals with disabilities for structural changes to units or
public and common use areas, PHAs and Project Owners should take particular note that
they may be required to make and pay for such structural modifications as reasonable

26

For additional information regarding reasonable accommodations under the Fair Housing Act, see the Joint
Statement of the Department of Housing and Urban Development and the Department of Justice, Reasonable
Accommodations Under the Fair Housing Act (May 17, 2004), at
http://www.hud.gov/offices/fheo/library/huddojstatement.pdf.
27
See 49 C.F.R. part 24, Appendix A, § 24.2(a)(8)(vii), which states that under the URA, “Reasonable
accommodation of a displaced person with a disability at the replacement dwelling means the Agency is required to
address persons with a physical impairment that substantially limits one or more of the major life activities. In these
situations, reasonable accommodation should include the following at a minimum: Doors of adequate width; ramps
or other assistance devices to traverse stairs and access bathtubs, shower stalls, toilets and sinks; storage cabinets,
vanities, sink and mirrors at appropriate heights. Kitchen accommodations will include sinks and storage cabinets
built at appropriate heights for access. The Agency shall also consider other items that may be necessary, such as
physical modification to a unit, based on the displaced person’s needs.”

16

 accommodations under Section 504 and because of similar requirements under the ADA
even though the Fair Housing Act may only require the owner to allow such changes to
be made and paid for by the individual with a disability. Before determining that they are
not required to make or pay for structural changes, PHAs and Project Owners are
encouraged to consider carefully their obligations under each applicable statute.
SECTION 5. Application of Key Fair Housing and Civil Rights Requirements to RAD
Transactions
The generally applicable fair housing and other civil rights requirements described above, and in
Appendix I, apply throughout the planning and implementation of a RAD transaction and the
PHA is responsible for ensuring compliance with these requirements. As key requirements may
be misunderstood, the RAD program has established specific additional procedures to assist
RAD participants to ensure they comply with the applicable requirements. Specifically, the
RAD Notice established a civil rights eligibility review and criteria for front-end civil rights
reviews.
This Section elaborates on these requirements from the RAD Notice. The front-end review
procedures described below establish procedures and criteria for the supplemental front-end
review and technical assistance, criteria which are specific to the RAD program. Criteria for this
supplemental front-end review are informed by, but not the same as, fair housing or civil rights
rules and policies generally.
This Section is organized to loosely follow the stages of a RAD conversion transaction,
beginning with RAD eligibility and continuing through site selection, transfer of assistance, unit
design requirements and marketing. In addition, this Section describes the timing and
procedures for submitting data and documents to HUD so that HUD may complete its front-end
review. The submission procedures are also designed to serve as a tool for PHAs to identify
issues of potential concern at appropriate stages of the RAD conversion and as a tool for HUD to
identify potential needs for technical assistance.
5.1.

RAD Eligibility Review

To be eligible for RAD, the PHA must meet all eligibility requirements set forth in Section 1.3 of
the RAD Notice, including the civil rights threshold requirements found at Section 1.3.G of the
RAD Notice. A PHA must not have a charge, cause determination, lawsuit, or letter of findings,
referenced in Section 1.3.G of the RAD Notice, against the PHA itself, its transferees, proposed
development partners, or sub-recipients that has not been resolved, or is not in the process of
being resolved, to HUD’s satisfaction. This determination shall be made prior to issuance of the
CHAP.
The CHAP may be revoked by HUD if HUD determines that the terms of the conversion would
be inconsistent with fair housing and civil rights laws or a fair housing or civil rights court order,
settlement agreement, or voluntary compliance agreement. HUD may terminate a CHAP or
RCC if it determines that the terms of the conversion would be inconsistent with fair housing or
civil rights laws or is inconsistent with, would hinder, or would delay satisfaction of a fair
housing or civil rights court order, settlement agreement, or voluntary compliance agreement.

17

 HUD may terminate an approval to proceed with a RAD conversion if it determines that the
terms of the conversion would be inconsistent with fair housing or civil rights laws or a fair
housing or civil rights court order, settlement agreement, or voluntary compliance agreement.
5.2.

PHA’s Proposed Site Selection and Certification

For all RAD conversions, the PHA must comply with all applicable site selection requirements
as set forth in this Notice and the RAD Notice and in accordance with any additional applicable
published guidance provided by HUD. As set forth in the RAD Notice, conversions of
assistance to PBV involving new construction, whether on a new site or on a current site, are
subject to the site selection standards set forth in 24 C.F.R. § 983.57(a), (b), (c) and (e), but
excluding 24 C.F.R. § 983.57(b)(1) and (c)(2). All other conversions to PBV, including transfers
of assistance to an existing property other than the Converting Project, are subject to the
standards set forth in 24 C.F.R. § 983.57(a), (b), (c) and (d), but excluding 24 C.F.R. §
983.57(b)(1) and (c)(2).28 Site selection requirements set forth at Appendix III of the RAD
Notice apply to RAD conversions to PBRA assistance, as does the requirement not to place
housing in neighborhoods with highly concentrated poverty based on the criteria formulated for
transfers under Section 8(bb) of the United States Housing Act of 1937.29 PBV and PBRA site
selection must also be consistent with the requirements of the Fair Housing Act, Title VI, Section
504, the ADA and their implementing regulations.
It is the PHA’s responsibility to ensure that the site selection complies with all applicable site
selection requirements, including the requirements of this Notice and the RAD Notice. Pursuant
to the RAD Notice, the PHA must certify with the submission of its Annual Plan, Significant
Amendment to its Annual Plan, or MTW Plan that it complies with the applicable site selection
requirements and must maintain records of its analysis and the data relied upon in making its
determination of compliance. The PHA must also determine and subsequently state in the
certification that the site is “suitable from the standpoint of facilitating and furthering full
compliance with the applicable provisions of Title VI of the Civil Rights Act of 1964, Title VIII
of the Civil Rights Act of 1968, Executive Order 11063, and HUD regulations issued pursuant
thereto.”30 Although this Notice provides detail regarding certain civil rights-related site and
neighborhood standards, PHAs must certify compliance with all applicable site and
neighborhood standards.31
The PHA must also certify that, in conducting its review of site selection for the proposed
project, the PHA completed a review with respect to accessibility for persons with disabilities
and that the proposed site is consistent with applicable accessibility standards under the Fair
Housing Act, Section 504, and the ADA. The site and neighborhood standards for PBV and
PBRA require the site to be “suitable from the standpoint of facilitating and furthering full
compliance with” the Fair Housing Act and require the site to meet the Section 504 site selection

28

See the provisions of Section 1.6.A.4 of the RAD Notice.
42 U.S.C. § 1437f(bb).
30
For RAD conversions to PBRA, the RAD Notice uses the term “the site and neighborhood is suitable,” rather than
“the site is suitable.” See Appendix III of the RAD Notice, paragraph (a).
31
See 24 C.F.R. § 983.57 and the RAD Notice at Section 1.4(A)(7)
29

18

 requirements described in 24 C.F.R. § 8.4(b)(5).32 The Fair Housing Act, as implemented at 24
C.F.R. § 100.205, requires “covered multifamily dwellings” built for first occupancy after March
13, 1991, to contain accessible design features. HUD’s Section 504 regulations at 24 C.F.R. §
8.4(b)(5) require that, in determining the site or location of a federally assisted facility, an
applicant for assistance or recipient may not make selections the purpose or effect of which
would: (i) exclude qualified individuals with disabilities from, deny them the benefits of, or
otherwise subject them to discrimination under, any program or activity that receives Federal
financial assistance from HUD, or (ii) defeat or substantially impair the accomplishment of the
objectives of the program or activity with respect to qualified individuals with disabilities. Title
II of the ADA contains a similar requirement that a public entity, such as the PHA, may not, in
determining the site or location of a facility, make selections (i) that have the effect of excluding
individuals with disabilities from, denying them the benefits of, or otherwise subjecting them to
discrimination; or (ii) that have the purpose or effect of defeating or substantially impairing the
accomplishment of the objectives of the service, program, or activity with respect to individuals
with disabilities.33 Factors relevant to a site review under these standards may include, among
others:






Site features, such as inaccessible slopes in routes, lack of accessible sidewalks, curb
ramps, accessible parking spaces, and placement of dumpsters or other physical
features that would impede access to and movement within the site;
Building features, such as inaccessible building entrances, other methods of ingress
and egress, public and common use areas (e.g., the rental office, parking areas, mail
areas, trash areas, community rooms, shared use toilet rooms, laundry facilities and
walkways inside and outside that connect these public and common use areas to
units), and barriers to access by members of the public; and
Lack of accessible transit or para-transit and accessible public sidewalks and
accessible transportation stops.

When such conditions are present at the site and would exclude individuals with disabilities
from, deny them the benefits of, or otherwise subject them to discrimination, or would defeat or
substantially impair the accomplishment of the objectives of the program or activity with respect
to individuals with disabilities, the site must not be selected unless the proposal includes
remediation of the barriers to achieve compliance with accessibility requirements (including
identification and remediation of any nonconforming design and construction conditions in
“covered multifamily dwellings” under the Fair Housing Act). Remediation of the barriers may
include, for example, physical accessibility improvements to the site, arrangements for access to
accessible supportive services, or reasonable accommodations for current or prospective
residents with disabilities, including members of the public. The Financing Plan submitted to
HUD must describe and document resources sufficient to pay for the remediation of accessibility
barriers.34

32

See 24 C.F.R. § 983.57(b)(2) (PBV conversions); see also, Appendix III (a) of the RAD Notice (PBRA
conversions).
33
See 28 C.F.R. § 35.130(b)(4).
34
In conducting its review prior to certification, and in preparing for the certification, PHAs and Project Owners
may find it useful to consult with their local or regional FHEO office, the United States Access Board, local or state

19

 While all PHAs must certify their compliance with applicable site selection requirements as
described in this Section, some RAD transactions will also be subject to a front-end review of the
site selection. For transactions involving activities that present site selection issues of greater
complexity, as described in Sections 5.3 through 5.5 below, front-end review will allow HUD’s
Office of Fair Housing and Equal Opportunity (FHEO) to assist the PHA to consider relevant
laws and regulations while completing its site selection review and certification.
5.3.

RAD Front-End Civil Rights Transaction Review

Fair Housing Act and other civil rights issues may arise throughout a RAD transaction. Under
the Fair Housing Act, an assessment of site suitability includes an analysis of the impact that the
siting of the project would have on patterns of segregation for protected classes. The Fair
Housing Act is of particular importance when a RAD proposal concerns site selection for new
construction or reconfiguration of housing on the original public housing site – for example, the
unit size distribution (e.g., conversion of larger bedroom size units to one-bedroom units, which
may have an adverse impact on housing opportunities for families with children) or a reduction
in the number or distribution of accessible units (which may have an adverse impact on housing
opportunities for persons with disabilities). RAD conversions involving new construction must
also comply with the Fair Housing Act’s accessibility requirements.
Compliance with all applicable fair housing and civil rights requirements is the responsibility of
both the PHA and the Project Owner. However, to assist with compliance, HUD’s Office of Fair
Housing and Equal Opportunity (FHEO) will conduct a front-end civil rights review of project
proposals containing activities identified as particularly at risk of violating applicable fair
housing and civil rights laws. The activities that must be submitted for front-end civil rights
review are listed in Section 5.3(A), below.
A)

Activities Subject to Front-End Civil Rights Review

All RAD conversions that include one or more of the activities listed below (Sections 5.3(A)(1)
through 5.3(A)(9)) are subject to a front-end review for compliance with certain civil rights and
fair housing requirements. The specific items that HUD will review in the front-end review will
depend on which activities are involved in the specific transaction. A RAD conversion may not
include one of the activities below without prior written approval from HUD. All Financing
Plans must include evidence that the PHA has secured written approval from HUD for any of the
following activities that are included in its RAD conversion:
(1) Conversions of assistance involving new construction, whether on a new site or
on a current site, in an area of minority concentration. Front-end review of this
activity shall be pursuant to Section 5.4(B), below and, in addition, the PHA shall

architectural access board or other accessibility authority for information on accessibility standards. Other sources
of information on accessibility requirements may include protection and advocacy organizations or independent
living centers. In addition, the non-HUD resources may provide advice on how to assess accessibility needs and
formulate physical accessibility strategies.

20

 certify in its Annual Plan compliance with site and neighborhood standards
applicable to new construction as described in Section 5.2.
(2) Transfers of assistance where all or a portion of the Converting Project’s
assistance is transferred to a new site(s) (either new construction or to an existing
project) as part of the subject transaction. Front-end review of this activity shall
be pursuant to Section 5.5(B), below and, in addition, the PHA shall certify in its
Annual Plan compliance with site and neighborhood standards applicable to
existing housing as described in Section 5.2.
(3) Conversions of assistance where the total number of units in the Covered Project
is less than the original number of units in the Converting Project (this includes de
minimis reductions). Front-end review of this activity shall be pursuant to
Section 5.6.
(4) Conversions of assistance where the Covered Project’s unit configuration is
different from the unit configuration of the Converting Project. Front-end review
of this activity shall be pursuant to Section 5.6.
(5) Conversions involving a change in occupancy, where the Covered Project serves a
different population from the one served by the Converting Project (e.g., when a
Converting Project serves families but the Covered Project is subject to an elderly
preference or introduction of restrictions or preferences based on age or disability
that will change the occupancy of the property). Front-end review of this activity
shall be pursuant to Section 5.6.
(6) Conversions of assistance in which the construction schedule indicates that
relocation is likely to exceed 12 months. Front-end review of this activity shall be
pursuant to Section 5.7(A).
(7) Conversions of assistance involving new construction or substantial alteration,35
as those terms are defined in Section 504 of the Rehabilitation Act of 1973.
Front-end review of this activity shall be pursuant to Section 5.7(B).
(8) Conversions of assistance involving a Converting Project subject to a Voluntary
Compliance Agreement or Conciliation Agreement with HUD or a Consent
Decree or Settlement Agreement with the U.S. Department of Justice or HUD, or
where the PHA is subject to such an agreement affecting its entire housing
portfolio or otherwise related to the Converting Project. Front-end review of this
activity shall be pursuant to Section 5.7(C).

35

Section 504 defines substantial alteration of a housing project as alterations where a housing project has 15 or
more units, and the rehabilitation costs will be 75% or more of the replacement cost of the completed facility. See
24 C.F.R. § 8.23 (a).

21

 (9) Conversions of assistance where HUD has identified potential fair housing and
civil rights concerns or a history of such concerns. Front-end review of this
activity shall be pursuant to Section 5.7(C).
PHAs should note that a proposed RAD conversion may trigger front-end review regarding more
than one of the activities listed in subsections (1) through (9) of this Section. For example,
depending on the details of the proposal, a new construction on-site project could require review
under subsections (1), (3), (4), (5), (6), and (7), or could require review under only subsections
(1) and (7).
As part of HUD’s review of these elements of the RAD conversion plans, HUD may require that
PHAs that are carrying out portfolio or multi-phased conversions provide information on their
conversion plans for other projects or subsequent phases to ensure that the overall plans for RAD
conversion are consistent with civil rights and fair housing.
B)

Fair Housing, Civil Rights, and Relocation Checklist

In connection with HUD’s front-end fair housing and civil rights and relocation reviews
described in this Section 5 and in Section 6, HUD is requiring submission of a Fair Housing,
Civil Rights, and Relocation Checklist (the “Checklist”). The Checklist will facilitate the PHAs’
and Project Owners’ submission of necessary information to complete these reviews.36 HUD
anticipates that a revised Checklist, when available following Paperwork Reduction Act
approval, will be separated into parts which can be submitted incrementally as the PHA and
Project Owner develop the RAD transaction plans, with different elements of the Checklist
applicable at different stages of the transaction planning process. For example, submissions
regarding site selection for a RAD transaction involving new construction may occur well before
submissions regarding a proposal to change the unit configuration.
The Checklist will outline the minimum information or documentation which HUD will need in
order to review each part of the Checklist. After HUD’s initial review of any portion of the
Checklist, HUD may determine that the data provided in the Checklist is insufficient for HUD to
complete its review, in which case HUD may require the PHA or Project Owner to provide
supplemental information. The PHA should submit each part as early as possible once the
information covered in the applicable part is known. All information specified in the applicable

36

The Checklist is available at www.hud.gov/rad. As of the publication of this Notice, references to the Checklist
refer to the existing FHEO Accessibility and Relocation Plan Checklist under OMB Approval 2577-0276. The PHA
shall use the existing Checklist to provide information related to demonstrating compliance with fair housing, other
civil rights, and relocation requirements (including accessibility requirements) and, as necessary, may require
additional materials for HUD to complete its review, which the PHA may provide in such form as the PHA
determines appropriate. Also at www.hud.gov/rad, HUD has provided a listing of information that, depending on
the circumstances, HUD may require to complete different components of its front-end review. The Checklist is
being revised to fully capture the submission requirements described in this Notice. The revised Checklist will be
subject to Paperwork Reduction Act approval and will be posted at the website listed above when available for use.

22

 part of the Checklist must be submitted to HUD for HUD to begin its civil rights review – partial
submissions of any applicable part of the Checklist will not be accepted.37
C)

Timing of Front-End Review Submissions

PHAs and Project Owners are encouraged to submit applicable portions of the Checklist and
information associated with a particular activity subject to front-end review as early as possible
in the development of their plans. The PHA must ensure that HUD has approved all applicable
parts of the Checklist prior to submission of the Financing Plan. Upon request from the PHA,
HUD may, at HUD’s sole discretion, permit submission of the Financing Plan prior to receipt of
approval of the applicable parts of the Checklist and conditioned upon subsequent receipt of such
approvals, in which event the PHA and Project Owner may proceed at their own risk.
Early approval of the site of the Covered Project is critical for RAD transaction proposals subject
to front-end civil rights review involving site selection standards, specifically new construction
in areas of minority concentration (see Section 5.3(A)(1)) and transfers of assistance (see Section
5.3(A)(2)). The PHA must conduct its own assessment of the site during the early stages of
planning its RAD transaction. The guidance in this Notice and the Checklist are tools intended to
assist the PHA in conducting its own assessment of the site.
The PHA must provide HUD with the Checklist and backup information sufficient for HUD to
review the site with respect to the applicable standards. The site selection information should be
provided to HUD no later than ninety (90) days following the issuance of the CHAP or, if the
CHAP has already been issued as of the publication of this Notice, within ninety (90) days
following publication of this Notice. In the event of a change in plans for the Converting Project
that would require a front-end review of the site selection standards, the PHA must provide the
Checklist and backup documentation within sixty (60) days of the change in plans. PHAs are
strongly encouraged to provide front-end review submissions and secure HUD approval prior to
applying for LIHTCs or taking action the reversal of which (in the event of non-approval of the
site) would be detrimental to the PHA or the Project Owner. PHAs are also encouraged to
contact FHEO for technical assistance prior to submission of these materials.
All PHAs shall submit a certification consistent with the requirements of Section 5.2, above.
This certification may be prepared specifically in connection with the Checklist or as part of the
PHA Annual Plan or Significant Amendment. However, HUD will not consider a submission
complete for front-end civil rights review without this certification. All RAD conversions must
submit the PHA certification described in Section 5.2 no later than at the time of submission of
the Financing Plan.
D)

Completion of HUD’s Front-End Review

HUD will not approve a RAD conversion if HUD determines that the conversion would operate
to discriminate in violation of applicable fair housing and civil rights laws. HUD will not
approve proposals that have the purpose, intent, or effect of discriminating on the basis of

37

The Checklist refers to the existing FHEO Accessibility and Relocation Checklist until a revised Checklist is
approved for use pursuant to the Paperwork Reduction Act.

23

 protected class (i.e., race, color, national origin, religion, sex, disability, and familial status). If
HUD does not approve a proposed activity based on a front-end review, then it will provide a
written description of concerns or deficiencies. The PHA may resubmit the front-end review
materials with a changed proposal and/or with additional information addressing HUD’s
concerns and any deficiencies in the proposal or the submission.
In some circumstances, a special condition to the transaction’s RCC will be necessary to ensure
that a RAD transaction conforms to fair housing and civil rights requirements. Special
conditions to the RCC reflect the conditions necessary in order to complete the RAD conversion.
For example, if there is an outstanding remedial agreement or order requiring particular
development activities or operating policies to correct a violation of a fair housing or other civil
rights requirement, the RCC generally will condition participation in RAD upon agreement by
the PHA or the Project Owner, as applicable, to comply with the provisions of such agreements
or orders after conversion.
5.4.

Front-End Civil Rights Review for RAD Transactions Involving New Construction
A)

Conditions Triggering Review

If the proposed project is located in an area of minority concentration, the new site may be
approved only if it falls under a permitted exception and meets the other site selection
requirements described in Section 5.2. Under the PBV and PBRA site and neighborhood
standards, HUD may approve new construction in an area of minority concentration, consistent
with the regulatory requirements cited above, only if:
a. Sufficient, comparable housing opportunities for minority families in the income
range to be served by the proposed project exist outside areas of minority
concentration; or
b. The project is necessary to meet overriding housing needs that cannot be met in that
housing market area.38
As described in the RAD Notice and in Section 5.3(A) of this Notice, above, HUD will conduct a
front-end civil rights review of the PHA’s proposed site in certain circumstances. This Notice
specifies that for conversions of assistance involving new construction where there are
indications that the site may be located in an area of minority concentration per the criteria in
subsections (i), (ii), or (iii), below (whether the construction is located on the existing public
housing site or on a new site), HUD will conduct a front-end civil rights review of the site to
determine whether the site is in an area of minority concentration and, if so, whether it meets one
of the exceptions that would allow for new construction in an area of minority concentration.
The PHA shall submit for HUD front-end review the PHA’s findings, together with backup
documentation, regarding site selection when the site meets any of the following criteria:
i. The PHA self-identifies the area of the site as an area of minority concentration,

38

24 C.F.R. § 983.57(e)(3) and Appendix III of the RAD Notice, paragraph (e).

24

 ii. The census tract of the site meets the extent of minority concentration described in
Section 5.4(B)(1), below, or
iii. An area comprised of the census tract of the site together with all adjacent census
tracts, analyzed as a whole, meets the extent of minority concentration described in
Section 5.4(B)(1), below.
If any of these three criteria is applicable, HUD will conduct a review to determine whether the
site is in an area of minority concentration and, if applicable, whether the proposed site fits one
of the exceptions permitting new construction in an area of minority concentration described in
this Section 5.4. A proposed RAD transaction which does not meet one of these triggers must
still be evaluated by the PHA and the PHA must certify compliance with the site selection
requirements as described in Section 5.2, above.
A PHA seeking to undertake new construction must receive written approval from HUD of any
site selection subject to front-end review prior to entering into any construction contract for that
new construction.
B)

Analysis of Areas of Minority Concentration

This Section sets forth the methodology that HUD will use in the analysis of the extent of
minority concentration, the area of the site, and the housing market area for purposes of the RAD
front-end civil rights review. As noted below, this analysis is fact specific and PHAs may submit
documentation to inform HUD’s analysis in cases where there is strong evidence that an
alternative methodology would be more appropriate.
(1) For purposes of RAD, a site is considered to be in an area of minority
concentration when either (i) the percentage of persons of a particular racial or
ethnic minority within the area of the site is at least 20 percentage points higher
than the percentage of that minority group in the housing market area as a whole
or (ii) the total percentage of minority persons within the area of the site is at least
20 points higher than the total percentage of minorities in the housing market area
as a whole.39
(2) For purposes of RAD, the analysis of an area of minority concentration will use
census tracts to approximate the “area” of the site but the analysis may consider
alternate proposed geographies instead of the census tract in instances where there
is strong evidence that such geography is more appropriate. Strong evidence that
an alternative geography is more appropriate includes: (i) that the site is close to
the edge of the census tract, (ii) that the population of the census tract is heavily
influenced by the size of the Converting Project, or (iii) that the local community

39

The percentage of minorities shall be calculated by subtracting the percentage of White Non-Hispanic persons in
the relevant area from 100%. The analysis shall be based on the most recently available decennial census data found
at http://factfinder.census.gov/faces/tableservices/jsf/pages/productview.xhtml?pid=DEC_10_DP_DPDP1&src=pt.
However, if such data is more than five years old, and if either the PHA or HUD requests the use of more recent data
based on such party’s awareness of significant and material shifts in the demographics of the relevant area in the
intervening years, the analysis shall be based on the most recent American Communities Survey data.

25

 understanding of the immediate neighborhood dictates a different boundary.
Local community understanding of the immediate neighborhood is often informed
by factors such as patterns of housing stock (such as different residential densities
in different areas or differential housing prices for similar properties), community
facilities and amenities (such as schools and commercial areas) or major
geographic barriers (such as rivers or interstate highways), among other factors.40
HUD will determine the site’s “area” using the best available evidence and
following the legal standards set forth in applicable case law.
(3) For purposes of the RAD analysis under this Section 5.4, a “housing market area”
is the geographic region from which it is likely that residents of housing at the
proposed site would be drawn for a given multifamily housing project. A housing
market area generally corresponds to, as applicable: (i) the Metropolitan
Statistical Area (MetroSA); (ii) the Micropolitan Statistical Area (MicroSA); or
(iii) if the site is in neither a MetroSA nor a MicroSA, either (x) the county or
statistically equivalent area, or (y) the PHA’s service area, whichever is larger.41
The analysis may consider a larger or smaller housing market area in instances
where there is strong evidence that such housing market area is more appropriate.
Strong evidence that an alternative housing market area is more appropriate may
include factors such as regional employment centers and commuting patterns
serving such employment centers. A PHA seeking to use an alternative housing
market area must consult with HUD and establish to HUD’s satisfaction that the
methodology for identifying and documenting the alternative housing market area
is warranted and sound.
C)

The Sufficient Comparable Opportunities Exception

As required by the RAD Notice and noted in Section 5.4(A), one of the exceptions under which
the site and neighborhood standards permit new construction in areas of minority concentration
is if sufficient, comparable housing opportunities for low-income minority families exist outside
areas of minority concentration. This section clarifies HUD’s procedures for assessing
comparable housing opportunities and evaluating how the proposed new construction will impact
the balance of housing choices within and outside areas of minority concentration. It also
includes a list of the information PHAs should submit to inform HUD’s assessment of relevant
factors, and key considerations guiding HUD’s analysis of each factor.
Under the governing PBV and PBRA requirements, units are considered comparable
opportunities if they are the same household type (e.g., elderly, disabled, family, large family),
tenure type (owner, renter), require approximately the same total tenant payment toward rent,

40

For further explanation, see, e.g., King v. Harris, 464 F.Supp.827, 839-41 (E.D.N.Y. 1979).
Items (i) and (ii) are consistent with a Core Based Statistical Area as defined by the Office of Management and
Budget. For reference, a Core Based Statistical Area consists of the county or counties or equivalent entities
associated with at least one core (urbanized area or urban cluster) of at least 10,000 population, plus adjacent
counties having a high degree of social and economic integration with the core as measured through commuting ties
with the counties associated with the core.
41

26

 serve the same income group, are located in the same housing market area, and are in standard
condition.42
It is important to note that the sufficient comparable housing opportunities exception “does not
require that in every locality there be an equal number of assisted units within and outside of
areas of minority concentration. Rather, application of this standard should produce a reasonable
distribution of assisted units each year, that, over a period of several years, will approach an
appropriate balance of housing choices within and outside areas of minority concentration. An
appropriate balance in any jurisdiction must be determined in light of local conditions affecting
the range of housing choices available for low-income minority families and in relation to the
racial mix of the locality’s population.”43
HUD will assess “the overall impact of HUD-assisted housing on the availability of housing
choices for low-income minority families in and outside areas of minority concentration, and
must take into account the extent to which the following factors are present, along with other
factors relevant to housing choice.”44 Under this exception, it is not sufficient for one factor to
be present, nor is it required that all factors be present, as the analysis must consider all relevant
facts and evaluate the totality of the circumstances.






“A significant number of assisted housing units are available outside areas of
minority concentration.”45 While HUD must consider all factors relevant to housing
choice, 30% or more of deeply subsidized housing units for very low-income persons
would be a significant number. To facilitate HUD’s consideration of this factor, a
PHA should provide the number, occupancy type, and location of all comparable
assisted units.46
“There is significant integration of assisted housing projects constructed or
rehabilitated in the past 10 years, relative to the racial mix of the eligible
population.”47 To facilitate HUD’s consideration of this factor, a PHA should
provide the name and location of assisted housing projects constructed or
rehabilitated in the PHA’s jurisdiction in the past 10 years and the demographic
characteristics of the residents of each of these projects;
“There are racially integrated neighborhoods in the locality.”48 To facilitate HUD’s
consideration of this factor, a PHA should provide the name and census tracts where
these racially integrated neighborhoods are located. In general, HUD will consider a
neighborhood racially integrated if the neighborhood does not have a high
concentration of persons of a particular race or ethnicity when compared to the
housing market area in which the neighborhood is located.

42

See 24 C.F.R. § 983.57(e)(3)(iv) and Appendix III of the RAD Notice, paragraph (e)(1)(A).
24 C.F.R. § 983.57(e)(3)(iii); see also Appendix III of the RAD Notice, paragraph (e)(1).
44
24 C.F.R. § 983.57(e)(3)(v); see also Appendix III of the RAD Notice, paragraph (e)(1)(B).
45
24 C.F.R. § 983.57(e)(3)(v)(A) and Appendix III of the RAD Notice, paragraph (e)(1)(B)(i).
46
Note that this factor is in reference to comparable assisted units that may or may not be in the PHA’s portfolio.
The presumption stated at the end of this Section (i.e., that sufficient comparable opportunities exist if at least 50%
of the comparable hard units in the PHA’s portfolio, including PBV developments using the PHA’s subsidy, are
outside areas of minority concentration) is focused on units within the PHA’s portfolio.
47
24 C.F.R. § 983.57(e)(3)(v)(B) and Appendix III of the RAD Notice, paragraph (e)(1)(B)(ii).
48
24 C.F.R. § 983.57(e)(3)(v)(C) and Appendix III of the RAD Notice, paragraph (e)(1)(B)(iii).
43

27

 







“Programs are operated by the locality to assist minority families that wish to find
housing outside areas of minority concentration.”49 Such programs may include
measures such as increasing payment standards in excess of 110% of FMR or the use
of Small Area FMRs, including in setting exception rents, or reservation of a
percentage of HCVs dedicated to support choice mobility selections or
implementation of proven mobility counseling and supports for residents, provided
the PHA provides sufficient evidence that it will continue such measures. To
facilitate HUD’s consideration of this factor, a PHA should provide the names of the
applicable program(s); the entity responsible for implementing the program(s) (e.g.,
city, county, state government); and any information demonstrating that the
program(s) has been successful or predictably will achieve success in assisting
persons who wish to move to non-concentrated areas.
“Minority families have benefited from local activities (e.g., acquisition and writedown of sites, tax relief programs for homeowners, acquisitions of units for use as
assisted housing units) undertaken to expand choice for minority families outside of
areas of minority concentration.”50 To facilitate HUD’s consideration of this factor, a
PHA should provide the names of the applicable activity(s); the entity responsible for
implementing the activity(s) (e.g., city, county, state government); and any
information demonstrating that the activity(s) has been successful in expanding
choice for minority families outside of areas of minority concentration;
“A significant proportion of minority households has been successful in finding units
in non-minority areas under the tenant-based assistance programs” (e.g., the Housing
Choice Voucher programs).51 To facilitate HUD’s consideration of this factor, a PHA
should provide the number of minority households receiving Housing Choice
Vouchers; the number of minority households using HCVs in non-minority areas; and
the non-minority census tracts where the HCVs are being used. While each local
situation is distinct and HUD must consider all factors relevant to housing choice,
30% or more of new leases signed by minority heads of household using HCVs
located in non-minority areas over a period greater than three years prior to the date
of HUD’s analysis would be a significant proportion.
“Comparable housing opportunities have been made available outside areas of
minority concentration through other programs.”52 To facilitate HUD’s consideration
of this factor, a PHA should describe the opportunities that have been made available,
the location of those opportunities, and the number of minority families that have
benefitted from the program in recent years. Such programs could include choice
mobility strategies, acquisition strategies to acquire and add to the PHA’s portfolio
existing apartments in high opportunity areas and transfers of assistance to high
opportunity areas.

HUD may consider evidence based on a reliable housing market analysis in evaluating the
foregoing factors, along with other factors relevant to housing choice. In the event HUD

49

24 C.F.R. § 983.57(e)(3)(v)(D); see also Appendix III of the RAD Notice, paragraph (e)(1)(B)(iv).
24 C.F.R. § 983.57(e)(3)(v)(E); see also Appendix III of the RAD Notice, paragraph (e)(1)(B)(v).
51
24 C.F.R. § 983.57(e)(3)(v)(F); see also Appendix III of the RAD Notice, paragraph (e)(1)(B)(vi).
52
24 C.F.R. § 983.57(e)(3)(v)(G) and Appendix III of the RAD Notice, paragraph (e)(1)(B)(vii).
50

28

 determines such an analysis would assist in this evaluation, HUD will consult with appropriate
parties to establish or accept an appropriate methodology for such an analysis to address HUD’s
civil rights concerns and to ensure appropriate independence between the analyst and the PHA or
Project Owner commissioning and paying for the study.
Absent information to the contrary, for purposes of HUD’s front-end review of the PHA’s
analysis, HUD will apply a presumption that sufficient comparable opportunities exist if at least
50% of the comparable hard units in the PHA’s portfolio, including PBV developments using the
PHA’s subsidy, are outside areas of minority concentration.53 The PHA’s portfolio includes all
public housing, PBV and PBRA hard units (including those developed under HOPE VI or
Choice Neighborhoods) controlled by the PHA and its instrumentalities or funded using PHAcontrolled subsidy. Upon adequate documentation of this presumption, the PHA need not
provide additional documentation for HUD’s front-end review of the sufficient comparable
opportunities exception. This presumption may be rebutted by information to the contrary,
including information regarding the preceding factors. In assessing whether sufficient
comparable opportunities exist when the presumption does not apply, HUD will consider the
factors listed above.
Absent information to the contrary, for purposes of HUD’s front-end review of the PHA’s
analysis, HUD will apply a presumption that sufficient comparable opportunities exist if a set of
RAD conversions from a single public housing property, individually or in a combination of
transactions, will result in the creation of as many similarly-affordable housing units outside
areas of minority concentration as are constructed on the original public housing site. To
evaluate the creation of similarly-affordable units, HUD will compare (i) the number of
affordable units that will be redeveloped on site, to (ii) the number of similarly-affordable
housing units that will be created through new construction, imposition of new long-term
affordability restrictions or transfer of RAD assistance to one or more sites outside areas of
minority concentration.54 Similarly-affordable shall mean RAD units compared to RAD units
and LIHTC/non-RAD units compared to LIHTC/non-RAD units. The newly created similarlyaffordable units must be owned, controlled, sponsored, under common ownership, control or
sponsorship, or financially supported by the PHA or by an entity with a managing ownership
interest in the Project Owner. When a PHA seeks to claim this exception, HUD prefers that the
transaction creating the similarly-affordable units on the site outside areas of minority
concentration close (with an immediate or delayed HAP effective date, if applicable) prior to the
closing of the RAD conversion in the area of minority concentration. However, if the PHA
determines that such a sequence is not reasonably possible, unless otherwise approved by HUD
the PHA must provide evidence to HUD that the transfer of assistance to a site outside areas of

53

When determining the percentage of units outside of areas of minority concentration, the PHA must include the
number of units planned at the proposed site in its calculations. While not required, PHAs or Project Owners may
assist HUD in consideration of this presumption by submitting to HUD a map produced by the Affirmatively
Furthering Fair Housing Data and Mapping Tool (“AFFH-T”), as may be available on the HUD website from time
to time, showing the location of publicly assisted housing.
54
For example, if the PHA proposes to build 25 RAD units, 20 non-RAD LIHTC units and 15 unrestricted units onsite, such a plan could be acceptable if paired with creation of 15 RAD units at one site and 10 RAD units plus 20
non-RAD LIHTC units at a second site. The 15 unrestricted units in the minority concentrated area are not part of
the analysis as they are not affordable units.

29

 minority concentration is highly likely to occur and the PHA must contractually agree with HUD
to create such units. Evidence that the transfer is highly likely to occur must include:







D)

The project name and property address of the site of the similarly-affordable units to
be created,
The census tract and data to confirm that it is not in an area of minority concentration,
Evidence of site control,
Evidence of zoning to permit construction of the similarly-affordable units if the
affordable units are to be created through new construction,
A reasonable and feasible sources and uses statement for the transaction, and
Evidence of financing commitments exceeding 90% of the necessary sources to
complete the transaction. Evidence of financing commitments must include an
LIHTC allocation if the use of LIHTCs is projected.
The Overriding Housing Needs Exception

As noted in Section 5.4(A), the second exception under which the site and neighborhood
standards permit new construction in areas of minority concentration is if the project is necessary
to meet overriding housing needs that cannot be met in that housing market area. The new
construction site selection standards under RAD55 outline two examples of circumstances,
consistent with fair housing and other civil rights objectives, that would permit the application of
the overriding housing needs exception: (1) when the site is “an integral part of an overall local
strategy for the preservation or restoration of the immediate neighborhood;” or (2) when the site
is “located in a neighborhood experiencing significant private investment that is demonstrably
improving the economic character of the area (a “revitalizing area”).”56
(1) Establishing that a Site is an Integral Part of an Overall Local Strategy for the
Preservation or Restoration of the Immediate Neighborhood
To establish that a site is an integral part of an overall local strategy for the preservation or
restoration of the immediate neighborhood, a PHA must document that the locality has a
demonstrated commitment to revitalization that includes or is in addition to the RAD conversion,
as demonstrated by the following:
i. The site is located in a defined geographic area that is the subject of an official,
currently operational and realistically achievable plan for the improvement or
revitalization of the immediate neighborhood (which plan may include areas beyond
the immediate neighborhood); and
ii. The Covered Project conforms to, and the site is integral to, the goals, strategies, and
objectives of the improvement or revitalization plan.

55

See 24 C.F.R. § 983.57(e)(2) for PBV transactions and paragraph (e) of Appendix III of the RAD Notice for
PBRA transactions.
56
24 C.F.R. § 983.57(e)(3)(vi); see also Appendix III of the RAD Notice, paragraph (e)(1)(B)(viii)(2). In
demonstrating an overriding housing need, the “neighborhood” is determined in each situation based on the overall
facts and circumstances and cannot be mechanically determined. The “immediate neighborhood” is generally a
smaller geographic area than the “neighborhood.”

30

 In determining whether such an official, currently operational and realistically achievable plan
for the improvement or revitalization of the area exists, HUD will consider relevant factors
including, for example, whether:














The strategy itself, or a plan supporting the strategy, has been enacted, adopted, or
ratified by a municipal, county, or state legislative body;
There has been progress to implement the plan, or the strategy as a whole.57
The plan or strategy as a whole, or the elements applicable to the Covered Project,
are consistent with the jurisdiction’s land use or zoning code, development
regulations, or other official body of laws or rules;
Strategies or activities under the plan are incorporated in current public, quasipublic agency or major institutional work plans;
The plan, or the strategy as a whole, includes objectives and initiatives related to
the preservation or restoration of a geography larger than the Converting Project
and any associated public housing site;
A jurisdiction has published solicitations or incentives for development projects in
the improvement or revitalization area;
The plan is incorporated in the applicable jurisdiction’s Consolidated Plan or
other comprehensive community development plan;
A jurisdiction has explicitly designated the geographic area for improvement or
revitalization (e.g., Business Improvement District; Enterprise Zone designation;
Promise Zone designation; Choice Neighborhoods designation);
An implementing agency has retained a construction firm to break ground on the
improvement or revitalization; and/or
An implementing agency has secured financing, such as the issuance of bonds or
final approval for tax increment financing.

(2) Establishing that the Site is Located in a “Revitalizing Area”
Evidence that the site is located in a revitalizing area experiencing significant private investment
that is demonstrably improving the economic character of the area is also an example of a site
which meets an overriding housing need. HUD will consider all relevant factors in making a
determination that the site is located in a “revitalizing area” but in particular will consider
whether:
i. The neighborhood has demonstrated signs of revitalization, through indicators such as
low or declining census tract poverty rates, low or declining violent crime rates or
evidence of high or increased educational opportunity, high or increasing median

57

Indicators of progress should be appropriate to the amount of time since the plan or strategy was developed and
there must be a reasonable, supportable expectation that the plan will continue to be implemented. For example, if a
plan was launched 3-4 years prior and the initial steps of the plan required implementation of an initiative (such as
real estate development) which has a long pre-development planning period, HUD may consider whether there has
been activity to seek land development approvals or to develop construction drawings or to secure funding
commitments or other activities providing evidence that one or more material elements of the plan or strategy are
actually being implemented.

31

 household income, high or increasing homeownership rates and/or high or increased
employment; and
ii. There is high private and public investment in retail, commercial, or housing
development that has occurred or will imminently occur in the area which may
include, among other considerations:
 Evidence of new or improved retail centers, grocery stores, pharmacies,
healthcare facilities, community centers, educational and recreational facilities,
municipal services, and transportation serving the neighborhood;
 Evidence of private and public investment or housing development that has
occurred or will imminently occur in the area;
 Evidence of economic conditions that are impacting the preservation of affordable
housing in the neighborhood, including indicators of gentrification such as
housing costs rising more sharply in the neighborhood than in the jurisdiction
overall, accelerated rates of homeownership in the neighborhood, and
disproportionate depletion of larger dwellings for families with children.
(3) Circumstances in Which an Overriding Housing Needs Exception Does Not
Apply
A PHA cannot establish that a site meets the overriding housing needs exception if the only
reason the need cannot otherwise be feasibly met is that discrimination on the basis of race,
color, religion, sex, national origin, age, familial status, or disability renders sites outside areas of
minority concentration unavailable or if the use of this standard in recent years has had the effect
of circumventing the obligation to provide housing choice.58 For example, the overriding
housing needs exception may not be applied if the reason that the project cannot be sited outside
of an area of minority concentration is due to community opposition to the project based on the
actual or perceived protected characteristics of the residents or prospective residents of the
project. In addition, a recipient may not exclusively rely on this exception as a means of siting
projects without creating housing opportunities outside of areas of minority concentration or
without preserving existing housing outside of areas of minority concentration.
5.5.

Front-End Civil Rights Review for RAD Transactions Involving Transfer of
Assistance
A)

Applicable Standards

Transfers of assistance are subject to the site selection standards for existing or rehabilitated
housing set forth in 24 C.F.R. § 983.57(a)-(d), with the exception of 24 C.F.R. § 983.57(b)(1)
and (c)(2), for PBV conversions and Appendix III of the RAD Notice for PBRA conversions.
All transfers of assistance to a new site(s) are subject to front-end review by HUD, as required by
the RAD Notice and noted in Section 5.3(A)(2) of this Notice. Conversions involving a transfer
of assistance may also involve one or more of the other activities which trigger front-end review
as described in Section 5.3(A). In transfers of assistance involving any of these activities, HUD
58

24 C.F.R. § 983.57(e)(3)(vi) and Appendix III of the RAD Notice, paragraph (e)(2). The PBRA site and
neighborhood standards use the phrase “on the basis of race, color, creed, sex or national origin.” See Appendix III
of the RAD Notice.

32

 will conduct a front-end review based on the requirements applicable to each activity. A PHA
must submit documentation for the front-end civil rights review of each specific activity as
required by the relevant sections of this Notice.
B)

Analysis of Transfers of Assistance

Through the front-end review of transfers of assistance by FHEO, HUD seeks to assist the PHA
in avoiding discrimination on the basis of race, color, national origin, religion, sex, disability or
familial status. The front-end review of transfers of assistance will apply the site selection
standards for existing/rehabilitated housing.59 This review shall consider:
(1) The accessibility of the proposed site for persons with disabilities;
(2) The ability of the RAD conversion to remediate accessibility concerns;
(3) Whether the transfer of assistance would result in assisted units being located in
an area where the total percentage of minority persons is significantly higher than
the total percentage of minority persons in the area of the original public housing
site or in an area where the percentage of persons of a particular racial or ethnic
minority is significantly higher than the percentage of that minority group in the
area of the original public housing site.60 For purposes of this analysis, HUD will
examine the minority concentration of:
(a) the census tract of the original public housing site compared to the census
tract of the proposed site; and
(b) an area comprised of the census tract of the original public housing site
together with all adjacent census tracts compared to an area comprised of the
census tract of the proposed site together with all adjacent census tracts.
(4) Whether the site selection has the purpose or effect of:
(a) Excluding individuals from, denying them the benefits of, or subjecting them
to discrimination under the RAD program or the applicable rental assistance
program;
(b) Excluding qualified individuals with disabilities from or denying them the
benefit of the RAD program or the applicable rental assistance program, or
otherwise subjecting them to discrimination;
(c) Defeating or substantially impairing the accomplishment of the objectives of
the RAD program or the applicable rental assistance program with respect to
qualified individuals with disabilities; and

59

24 C.F.R. § 983.57(d) and Appendix III of the RAD Notice, paragraphs (a) through (d). The site selection
standards for existing/rehabilitated housing do not apply the minority concentration test used for new construction
found at 24 C.F.R. § 983.57(e)(3) and Appendix III of the RAD Notice, paragraph (e).
60
While this review is not explicitly called out in 24 C.F.R. § 983.57(d) and Appendix III of the RAD Notice, it is
derived from HUD’s and the PHA’s obligations to comply with civil rights laws and regulations, including those
referenced in 24 C.F.R. § 983.57(b)(2) and Appendix III of the RAD Notice.

33

 (d) Excluding individuals with disabilities (including members of the public with
disabilities), denying them benefits or subjecting them to discrimination.
Under the RAD Notice, there are other standards for review of a transfer of assistance which are
not examined as part of the front-end civil rights review but are examined as part of the RAD
Financing Plan review (e.g., criteria formulated for transfers under Section 8(bb) of the United
States Housing Act of 1937 regarding neighborhoods with highly concentrated poverty).
Identification of considerations for the front-end review do not preclude review by HUD of all
standards referenced in the RAD Notice.
5.6.

Front-End Civil Rights Review for RAD Transactions Involving Reduction in
Number of Units, Changes in Bedroom Distribution of Units and Changes in
Occupancy Requirements

The RAD Notice allows PHAs to reduce the number of units, change the bedroom distribution of
units, or change the occupancy of projects as part of their RAD conversion.61 However, the
RAD Notice also provides that such changes (including de minimis changes) must undergo a
front-end civil rights review and receive approval from HUD prior to submission of the
Financing Plan. The Checklist will require data for review along with an explanation, backed by
sufficient evidence, of how the PHA determined that that the proposed change will not result in
discrimination on the basis of race, color, national origin, religion, sex, disability, familial status,
actual or perceived sexual orientation, gender identity or marital status.62
A)

Review of Reductions in the Number of Units, Reductions or Increases in the
Number of UFAS Accessible Units or Changes in Bedroom Distribution

This Section describes the considerations relevant to a front-end review of reductions in units,
changes in the number of UFAS accessible units or changes in bedroom distribution. Such
changes must not be the result of an intentional effort to discriminate against members of a
protected class. For example, reductions or changes, including reductions in UFAS accessible
units or which would impede residents with disabilities from having live-in aides, that intended
to exclude persons with disabilities would be unlawful discrimination because of a disability.

61

See Sections 1.4.A.4 and 1.4.A.10 of the RAD Notice.
Reductions in the number of units, changes in the bedroom distribution of units, or changes in occupancy violate
the Fair Housing Act (the Act) if they have a discriminatory effect on the basis of race, color, national origin,
religion, sex, disability, or familial status. Unlawful housing discrimination may be established by a policy’s or
practice’s discriminatory intent or by its discriminatory effect, even if not motivated by discriminatory intent,
consistent with the standards outlined in 24 C.F.R. § 100.500. A policy or practice can have an unjustified
discriminatory effect, even when the provider had no intent to discriminate. Under this standard, a facially-neutral
policy or practice that has a discriminatory effect violates the Act if it is not supported by a legally sufficient
justification. In addition, the policy or practice violates the Act if the housing developer or provider intentionally
discriminates, including for example, by reducing the number of bedrooms with the intent of limiting families with
children. Furthermore, the policy or practice may also violate the Act where it creates, increases, reinforces, or
perpetuates segregated housing patterns because of race, color, religion, sex, handicap, familial status, or national
origin. In addition, any changes must conform with the Equal Access rule requirement that determinations of
eligibility for housing that is assisted by HUD or subject to a mortgage insured by the FHA shall be made in
accordance with program eligibility requirements, and the housing must be made available, without regard to actual
or perceived sexual orientation, gender identity or marital status. 24 C.F.R. § 5.105(a)(2).
62

34

 Similarly, replacing larger units with smaller units so as to exclude families with children would
be unlawful discrimination because of familial status.
Additionally, reductions in units or changes in bedroom distribution must not have an unjustified
discriminatory effect on members of a protected class. For example, a reduction in units could
have a discriminatory impact if it excludes members of a particular race or religion. Reductions
or changes that have a disparate impact on a protected class are unlawful under the Fair Housing
Act if they are not necessary to achieve a substantial, legitimate, nondiscriminatory interest of
the developer or housing provider, or if such interest could be served by another practice that has
a less discriminatory effect.
The RAD Notice allows for a de minimis reduction in units at Converting Projects, which
includes both a small number of units as well as the reduction of certain units that have been
vacant for 24 months prior to application, that are being or will be used for social service
delivery, or efficiencies that will be reconfigured to one-bedroom units.63 In addition, a PHA
converting multiple properties can consolidate the de minimis reductions derived from multiple
properties at a small number of sites. The RAD Notice also allows for changes in bedroom
distribution. Such de minimis reductions are still subject to front end civil rights review and
applicable fair housing and civil rights laws.
HUD shall conduct a front-end civil rights review if the plan for a Converting Project results in:







A reduction in the number of dwelling units in any of the following categories: (i) units
with two bedrooms, (ii) units with three bedrooms or (iii) units with four or more
bedrooms.
A reduction in the number of UFAS accessible units;
An increase in the number of UFAS accessible units for persons with mobility
impairments beyond 10% of the units in the Covered Project or 1 unit, whichever is
greater.
An increase in the number of UFAS accessible units for persons with vision and hearing
impairments beyond 4% of the units in the Covered Project or 1 unit, whichever is
greater.

When a Converting Project is subject to a front-end civil rights review under this subsection, the
PHA shall submit to HUD the relevant part of the Checklist together with a justification which
must demonstrate that the changes are not the result of discriminatory intent and will not have a
discriminatory effect on members of protected classes, particularly families with children and
individuals with disabilities. Relevant data for this analysis of the proposed change at the project
may include the PHA’s overall affordable housing stock, the demand for affordable housing in
the market as evidenced by information such as the overall jurisdiction and regional
demographic data available from the AFFH Data and Mapping Tool (e.g., both basic
demographic and disproportionate housing needs data), the PHA’s waiting list or a reliable
market study of households seeking assisted housing, compared to the relative proportions of

63

See Section 1.4.A.4 of the RAD Notice.

35

 units serving any particular household type in the proposed project, the PHA’s total housing
stock or all assisted housing in the area.
For any increase in UFAS units subject to front-end review, HUD will assess indicators of local
need (see Section 5.7(B), below) and whether the change would operate to concentrate
individuals with disabilities in a particular property or to exclude individuals with certain types
of disabilities from a particular property.
B)

Review of Changes in Occupancy Type

RAD conversions that result in the implementation of an admissions preference (e.g., residency
preferences or restrictions) at the Covered Project that would alter the occupancy of the property
(e.g., family units converting to elderly units, elderly/disabled units converting to elderly only
units) are subject to a front-end civil rights review by HUD pursuant to the RAD Notice and
Section 5.3(A). A PHA must demonstrate that the proposed change in occupancy type is
consistent with the demand for affordable housing in its jurisdiction as demonstrated by factors
such as the demographics of its current occupancy, the demographics of its waiting list or a
market study. Such preferences, restrictions, or geographic residency preferences must be
reflected in a PBRA project’s Affirmative Fair Housing Marketing Plan (AFHMP) or, for a PBV
project, the PHA’s Administrative Plan.
5.7.

Other Front-End Civil Rights Review for RAD Transactions
A)

Conversions of Assistance in Which the Construction Schedule Indicates that
Relocation is Likely to Exceed 12 Months.

The front end civil rights review shall focus on whether the relocation will result in
discrimination on the basis of race, color, national origin, religion, sex, disability, and familial
status, based primarily, but not exclusively, on the data required in the Checklist.
B)

Conversions of Assistance Involving New Construction or Substantial Alteration,
as those terms are defined by Section 504.

While the PHA is responsible for compliance with all requirements described in Section 4, above
and in this subsection, the front-end review will be conducted based on a review of the Checklist
and shall include confirming the provision of any required accessible units and confirming the
PHA is applying the appropriate accessibility standards. HUD will require the PHA to provide
information regarding the provision of at least the minimum number of units accessible for
persons with mobility impairments and units accessible for persons with hearing and vision
impairments as required by applicable law (generally 5% of units accessible for persons with
mobility impairments and an additional 2% of units accessible for persons with hearing and
vision impairments). For purposes of establishing an upper threshold of accessible units below
which RAD front-end review will not be required, HUD will accept that up to 10% of units
accessible for persons with mobility impairments and up to 4% of units accessible for persons
with hearing and vision impairments is consistent with local need, without further review, absent
information to the contrary. HUD will consider a PHA’s request for higher percentages based, to
HUD’s satisfaction, on reliable indicators of local need, such as census data or other available
current data. HUD is available to assist PHAs in determining appropriate indicators of local
36

 need for units with accessible features. The RAD conversion scope of work submitted with the
Financing Plan must reflect the construction or retrofitting of residential units and public and
common use areas to comply with all applicable accessibility requirements.
C)

Remedial Agreements and Orders.

Front-end review in situations where the Converting Project or PHA is subject to enforcement
actions or binding voluntary compliance agreements, settlement agreements, conciliation
agreements, or consent decrees or orders of the nature described in Sections 5.3(A)(8) and
5.3(A)(9) shall be conducted on a case-by-case basis as appropriate to the specific situation.
5.8.

Affirmative Fair Housing Marketing Plan (AFHMP) Requirements for Projects
Converting to PBRA Assistance

For all projects converting to PBRA assistance, a PHA or Project Owner must complete form
HUD-935.2A, the Affirmative Fair Housing Marketing Plan (AFHMP) - Multifamily Housing,
and submit it to HUD for approval with the RAD Financing Plan.64 Affirmative Fair Housing
Marketing requirements are designed to achieve a condition in which individuals of similar
income levels in the same housing market area have similar housing choices available to them
regardless of their race, color, national origin, religion, sex, disability, or familial status.65 They
are also a means to carry out the mandate of Section 808(e)(5) of the Fair Housing Act that HUD
administer its programs and activities in a manner to affirmatively further fair housing. These
requirements mandate that PHAs or Project Owners identify groups that are least likely to apply
for upcoming housing opportunities and to implement special marketing and outreach activities
to ensure that these groups are aware of these opportunities.
The AFHMP must be submitted to HUD with the Financing Plan. A separate AFHMP is
required for each distinct PBRA HAP contract. The PHA must submit an AFHMP even if the
project has an existing waiting list and is not accepting new applicants. The PHA or Project
Owner should consult the instructions in the form HUD 935.2A and HUD’s Implementing
Affirmative Fair Housing Marketing Requirements Handbook (HUD Handbook 8025.1) for
guidance on completing the AFHMP and carrying out an affirmative marketing program. The
Handbook provides a detailed resource on the content of the AFHMP, which includes marketing
activities, residency preferences, and staff training.
When submitting an AFHMP for HUD approval, the PHA or Project Owner must ensure that the
occupancy designation and any residency preferences are consistent with the PHA Plan or
Significant Amendment to the PHA Plan, that such designation and preferences are consistent
with the Checklist submitted to HUD and that the AFHMP includes affirmative marketing

64

The most recent version of the AFHMP is HUD Form 935.2A, OMB Approval Number 2529-0013. See 24
C.F.R. § 880.601(a)(2) and 24 C.F.R. § 200.615; see also Section 10.8 of the Multifamily Accelerated Processing
(MAP) Guide. The PHA or its management agent should consult the instructions in the form HUD 935.2A and
HUD’s Implementing Affirmative Fair Housing Marketing Requirements Handbook (HUD Handbook 8025.1) for
guidance on completing the AFHMP and carrying out an affirmative marketing program. The Handbook provides a
detailed resource on the content of the AFHMP, which includes marketing activities, residency preferences, and
staff training.
65
See 24 C.F.R. § 200.610.

37

 activities that are consistent with its occupancy designation and the populations identified as
least likely to apply. Any subsequent changes to occupancy designation or residency preferences
shall be proposed, submitted and reviewed in accordance with standard PBRA requirements. If a
PHA or Project Owner plans to adopt any local or residency preferences, the Project Owner must
submit its Tenant Selection Plan along with the AFHMP (see HUD Handbook 4350.3, page 4-4).
The Multifamily Housing Office of Asset Management and Portfolio Oversight and the Office of
Fair Housing and Equal Opportunity (“FHEO”) review the AFHMP. FHEO issues HUD’s
official letter of approval or disapproval. Disapproval letters will specify the reason a plan was
rejected and the revisions required. The PHA or Project Owner must make the required changes
and resubmit a corrected plan to HUD for approval.
The PBRA contract becomes effective on the first day of a month, following closing. Approval
of the AFHMP is not a condition to closing of the RAD conversion. When the project is
preparing to accept applications, it must follow its approved AFHMP to ensure that groups least
likely to apply are aware of the housing opportunities. The Project Owner is responsible for
ensuring that the AFHMP is in place throughout the life of any FHA mortgage or PBRA
contract. The Project Owner may not market or lease any unit not occupied by a household
exercising its right to remain in or return to the Covered Project prior to approval of the AFHMP.
Marketing or leasing includes the solicitation, distribution or acceptance of applications or
development of a waiting list.
SECTION 6. RELOCATION REQUIREMENTS
In some cases, as explained in this Section, the activities associated with the RAD transaction
may require the relocation of residents. In the event of acquisition, demolition, construction or
rehabilitation activities performed in connection with a RAD conversion, the PHA and/or Project
Owner66 should plan such activities to reasonably minimize any disruption to residents’ lives, to
ensure that residents are not exposed to unsafe living conditions and to comply with applicable
relocation, fair housing and civil rights requirements. As discussed in Section 6.1, below, a
written relocation plan is required in some circumstances and strongly encouraged for any
conversion resulting in resident moves or relocation. Further, the obligations due to relocating
residents under RAD are broader than URA relocation assistance and payments and RAD
specifies requirements which are more protective of residents than standard URA requirements,
including additional notices (see Section 6.6) and a right to return (see Section 6.2). This Notice
requires that certain information be provided to all households, beginning prior to submission of
the RAD application.
Any resident who moves as a direct result of acquisition, rehabilitation or demolition for an
activity or series of activities associated with a RAD conversion may, depending on the
circumstances and length of time of the relocation, be eligible for relocation assistance and
payments under the URA. Additionally, Section 104(d) relocation and one-for-one replacement

Under the URA, the term “displacing agency” refers to the agency or person that carries out a program or project
which will cause a resident to become a displaced person. Projects vary and, for any specific task described in this
Notice, the displacing agency may be either the PHA or the Project Owner, as determined by the allocation of roles
and responsibilities between the PHA and Project Owner.
66

38

 housing requirements may also apply when CDBG- or HOME-funds are used in connection with
a RAD conversion. The applicability of the URA or Section 104(d) to RAD conversions is factspecific, which must be determined in accordance with the applicable URA and Section 104(d)
regulations.67
Eligibility for specific protections under this Notice applies to any person residing in a
Converting Project who is legally on the public housing lease, has submitted an application to be
added to an existing lease, or is otherwise in lawful occupancy at the time of the issuance of the
CHAP and at any time thereafter until conversion of assistance under RAD. All such residents
of a Converting Project have a right to return and are eligible for relocation protections and
assistance as provided by this Notice. The eligibility criteria set forth in this paragraph apply to
the protections under this Notice regardless of whether residents or household members meet the
statutory and regulatory requirements for eligibility under URA.68
6.1.

Planning

If there is a possibility that residents will be relocated as a result of acquisition, demolition, or
rehabilitation for a Converting Project, PHAs must undertake a planning process in conformance
with the URA statutory and regulatory requirements in order to minimize the adverse impact of
relocation (see 49 § C.F.R. 24.205). PHAs must also ensure that their relocation planning is
conducted in compliance with applicable fair housing and civil rights requirements.
The PHA shall prepare a written relocation plan if the RAD conversion involves permanent
relocation (including, without limitation, a move in connection with a transfer of assistance) or
temporary relocation anticipated to last longer than one year. While a written relocation plan is
not required for temporary relocation lasting one year or less, HUD strongly encourages PHAs,
in consultation with any applicable Project Owners, to prepare a written relocation plan for all
RAD conversions to establish their relocation process clearly and in sufficient detail to permit
consistent implementation of the relocation process and accurate communication to the residents.
Appendix II contains recommended elements of a relocation plan.
During the planning stages of a RAD transaction and based on the results of this planning
process, a PHA must submit applicable portions of the Checklist described in Section 5.3(B) to
HUD, together with any required backup documentation, as early as possible once the
information covered in the applicable part is known.69 All parts of the Checklist must be
submitted to HUD prior to submission of the Financing Plan. The Checklist will allow HUD to
assist the PHA to comply, and to evaluate the PHA’s compliance, with relocation requirements,
including civil rights requirements related to relocation.

67

42 U.S.C. § 4601 et seq., 42 U.S.C. § 5304(d), and their implementing regulations at 49 C.F.R Part 24 and 24
C.F.R. Part 42 subpart C.
68
A nonexclusive listing of persons who do not qualify as displaced persons under URA is at 49 C.F.R.
24.2(a)(9)(ii). See also, Paragraph 1-4(J) of HUD Handbook 1378. See Section 6.5 of this Notice for discussion of
the date of “initiation of negotiations.”
69
The Checklist refers to the existing FHEO Accessibility and Relocation Checklist until a revised Checklist is
approved for use pursuant to the Paperwork Reduction Act.

39

 The following presents a general sequencing of relocation planning activities within the RAD
conversion process for informational and planning purposes only. Specific requirements are set
forth in the provisions of this Notice.
Stage
1. Prior to submission of
RAD application

2. After submission of
RAD application

3. Following issuance of
the CHAP, or earlier if
warranted
4. While preparing
Financing Plan

Activities
 Determine potential need for relocation in connection with
proposed conversion plans.
 Meet with residents to discuss proposed conversion plans,
communicate right to return, and solicit feedback.
 Provide the RAD Information Notice (RIN) to residents as
described in Section 6.6(A) of this Notice.
 Assess the need for relocation planning in connection with
proposed conversion plans. Determine if technical
assistance would be beneficial to ensuring compliance with
relocation requirements.
 Survey residents to inform relocation planning and
relocation process.
 Develop a relocation plan (see Appendix II for
recommended content).
 Prepare Significant Amendment to PHA Plan and engage
with the Resident Advisory Board, residents and the public
regarding Plan amendment.70
 Provide the General Information Notice (GIN) to residents
when the project involves acquisition, rehabilitation, or
demolition as described in Section 6.6(B) of this Notice and
relocation may be required.
 Discuss the outlines of the conversion plans and their
impact on relocation with the HUD transaction manager.
 Refine the plan for relocation and integrate the construction
schedule into the relocation strategy; seek to minimize offsite or disruptive relocation activities.
 Identify relocation housing options .
 Budget for relocation expenses and for compliance with
accessibility requirements.
 Submit the Checklist and, where applicable, the relocation
plan.
 If the conversion involves acquisition, at the discretion of
the Project Owner issue Notice of Intent to Acquire
(NOIA).
 If a NOIA is issued, at the discretion of the Project Owner
provide residents with appropriate relocation notices as

70

Alternatively, the PHA may submit a new PHA Five-Year or Annual Plan, especially if it is on schedule to do so.
Under any scenario, the PHA must consult with the Resident Advisory Board and undertake the community
participation process.

40

 Stage

5. From RAD Conversion
Commitment (RCC) to
Closing

6. Post-Closing

6.2.

Activities
described in Section 6.6(C) through 6.6(E) of this Notice at
this time.
 Meet with residents to describe approved conversion plans
and discuss required relocation.
 The effective date of the RCC marks the date of “Initiation
of Negotiations” (ION), as defined in the URA (49 § C.F.R.
24.2(a)(15)).
 If no NOIA was provided while preparing the Financing
Plan, provide residents with appropriate relocation notices
as described in Section 6.6(C) through 6.6(E) of this
Notice.
 Resident relocation may begin following the effective date
of the RCC, subject to applicable notice requirements.
 Ongoing implementation of relocation
 Notify the residents regarding return to the Covered Project
as described in Section 6.6(F) of this Notice
 Implementation of the residents’ right to return

Resident Right to Return

Any public housing or Section 8 assisted resident that may need to be relocated temporarily to
facilitate rehabilitation or construction has a right to return to an assisted unit at the Covered
Project once rehabilitation or construction is complete.71 Permanent involuntary displacement of
public housing or Section 8 assisted residents may not occur as a result of a project’s conversion
of assistance. The Project Owner satisfies the RAD right to return to a Covered Project if the
Project Owner offers the resident household either: a) a unit in the Covered Project in which the
household is not under-housed; or b) a unit in the Covered Project which provides the same
major features as the resident’s unit in the Converting Project prior to the implementation of the
RAD conversion. In the case of a transfer of assistance to a new site, residents of the Converting
Project have the right to reside in an assisted unit meeting the requirements set forth in this
paragraph at the Covered Project (the new site) once the Covered Project is ready for occupancy
in accordance with applicable PBV or PBRA requirements.
If proposed plans for a Converting Project would preclude a resident from returning to the
Covered Project, the resident must be given an opportunity to comment and/or object to such
plans. Examples of project plans that may preclude a resident from returning to the Covered
Project include, but are not limited to:


Changes in bedroom distribution which decrease the size of units such that the resident
would be under-housed;72

71

The right to return is not a right to any specific unit in the Covered Project. Tenancies other than public housing
or Section 8 assisted residents (such as commercial tenants) do not hold a right to return and are subject to standard
relocation requirements applicable to such tenants under the URA.
72
See the RAD Notice for a description of the procedures that must be undertaken if a resident is over-housed.

41

 




Where a) the PHA is reducing the number of assisted units at a property (if authorized to
do so under Section 1.5.B of the RAD Notice) and b) the resident cannot be
accommodated in the remaining assisted units;
The imposition of income eligibility requirements, such as those associated with LIHTC
or other program financing, under which the current resident may not be eligible;73 and
Failure to provide reasonable accommodation to an individual with disabilities, in
violation of applicable law, which reasonable accommodation may include installation of
accessibility features that are needed by the individual with disabilities.74

If the resident who would be precluded from returning to the Covered Project objects to such
plans, the PHA must alter the project plans to accommodate the resident’s right to return to the
Covered Project.
If the resident who would be precluded from returning to the Covered Project prefers to
voluntarily and permanently relocate rather than object to the project plans, the PHA must secure
informed, written consent to a voluntary permanent relocation in lieu of returning to the Covered
Project and must otherwise comply with all the provisions of Section 6.10, below, regarding
alternative housing options. The PHA cannot employ any tactics to pressure residents into
relinquishing their right to return or accepting alternative housing options. A PHA may not
terminate a resident’s lease if the PHA fails to obtain the resident’s consent and the resident
seeks to exercise the right to return.
In the case of a multi-phase transaction, the resident has a right to return to the Covered Project
or to other converted phases of the property which have converted and are available for
occupancy at the time the resident is eligible to exercise the right to return. A relocated resident
should get the benefit of improvements facilitated by the resident’s relocation and conversion
and completion of future phases cannot be assured. In most cases, this means that the resident’s
right to return must be accommodated within the Covered Project associated with resident’s
original unit. However, in those cases where improvements to multiple phases of a site are
occurring simultaneously, the PHA or Project Owner may treat multiple Covered Projects on the
same site as one for purposes of the right to return. If the PHA or Project Owner seeks to have
the resident exercise the right of return at a future phase, the PHA or Project Owner would need
to secure the resident’s consent to such plan as an alternative housing option pursuant to Section
6.10, below.
In implementing the right of return, the Project Owner shall comply with all applicable fair
housing laws and implementing regulations, including, but not limited to, the Fair Housing Act,

73

In these cases, a PHA may elect to exclude some units from the applicable financing program, for example,
claiming LIHTC for a subset of the units and not claiming tax credits in connection with the units occupied by
households over the LIHTC maximum eligibility of 60% of AMI.
74
Refer to the Joint Statement of the Department of Housing and Urban Development and the Department of
Justice, Reasonable Modifications Under the Fair Housing Act (March 5, 2008), at
http://www.hud.gov/offices/fheo/disabilities/reasonable_modifications_mar08.pdf for additional detail regarding
applicable standards for reasonable accommodations and accessibility features which must be provided. If the
resident has paid for installation of accessibility features in the resident’s prior unit, the PHA or Project Owner shall
pay for the installation of comparable features in the new unit. Violations of law may also result in other sanctions.

42

 Title VI of the Civil Rights Act, Section 504 of the Rehabilitation Act, and Titles II and III of the
Americans with Disabilities Act.
6.3.

Admissions and Continued Occupancy Requirements

Resident households may not be denied relocation housing or the right to return based on
rescreening, income eligibility, or income targeting. PHAs may only offer housing options with
screening, income eligibility or income targeting requirements if the impacted residents meet the
admission and occupancy policies applicable to such housing. However, whether or not in a
temporary relocation situation, the household remains subject to the applicable program policies
regarding continued occupancy of an assisted unit by an incumbent resident of the unit.
6.4.

Types of Moves and Relocation

Any time project plans require a resident to move from their current unit, the resident is eligible
for assistance as described in this Notice. Assistance may vary depending on the options
provided to residents, whether the relocation is temporary or permanent and, if applicable, the
length of time the resident is in temporary accommodations.75 In all circumstances, the move or
relocation must be in compliance with applicable requirements of this Notice and consistent with
applicable fair housing and civil rights requirements. Each type of move is discussed below.
A)

Moves within the same building or complex of buildings76

Temporary or permanent moves within the same building or complex of buildings may be
appropriate given the extent of work to be completed to permit phasing of rehabilitation or
construction. Moves within the same building or complex of buildings are not considered
relocation under RAD and a tenant generally does not become displaced under the URA.
Whether permanent (i.e., the tenant will move to and remain in an alternative unit) or temporary
(i.e., the tenant will move to another unit and return to their original unit), the PHA or Project
Owner must reimburse residents for all reasonable out-of-pocket expenses incurred in connection
with any move and all other terms and conditions of the move(s) must be reasonable.77 The final
move must be to a unit which satisfies the right to return requirements specified in Section 6.2 of
this Notice.

PHAs should note that the definitions of “permanent” vary between the URA and RAD. For example,
“permanent displacement” under the URA includes moves from the original building or complex of buildings lasting
more than one year. The RAD Notice, meanwhile, considers “permanent relocation” to be separation from the
RAD-assisted unit upon completion of the conversion and any associated rehabilitation and construction. The
duration of a temporary move may exceed one year. In the case of a transfer of assistance, it is not permanent
relocation under RAD when the resident must move from the original complex of buildings to the destination site in
order to retain occupancy of the RAD-assisted unit.
76
An example of relocation within the same building or complex of buildings would be if one floor of a multi-story
building is vacant, and the PHA is moving residents from another floor to the vacant units.
77
Failure to reimburse residents for moving or other out-of-pocket expenses and any other terms and conditions of
the move which may be unreasonable may result in the resident becoming a displaced person under the URA if the
resident subsequently moves from the property.
75

43

 B)

Temporary relocation lasting one year or less

If a resident is required to relocate temporarily, to a unit not in the same building or complex of
buildings, for a period not expected to exceed one year in connection with the RAD conversion,
the resident’s temporarily occupied housing must be decent, safe, and sanitary and the resident
must be reimbursed for all reasonable out-of-pocket expenses incurred in connection with the
temporary relocation. These expenses include, but are not limited to, moving expenses, increased
housing costs (e.g., rent and utilities), meals if the temporary housing lacks cooking facilities
(e.g., during a short hotel stay, whether or not on an emergency basis) and other applicable
expenses.78
C)

Temporary relocation initially expected to last one year or less, but which extends
beyond one year

In the event that a resident has been temporarily relocated, to a unit not in the same building or
complex of buildings, for a period which was anticipated to last one year or less but the
temporary relocation in fact exceeds one year, the resident qualifies as a “displaced person”
under the URA and as a result immediately becomes eligible for all permanent relocation
assistance and payments as a “displaced person” under the URA, including notice pursuant to
Section 6.6(E). This assistance would be in addition to any assistance the person has already
received for temporary relocation, and may not be reduced by the amount of any temporary
relocation assistance.
In such event, the PHA or Project Owner shall offer the resident the opportunity to choose to
voluntarily permanently relocate with the offered URA assistance or to choose to remain
temporarily relocated based on updated information from the PHA or Project Owner about when
they can return to the completed RAD unit. The PHA or Project Owner must present this
opportunity to the resident when the temporary relocation extends beyond one year and each
time thereafter that the temporary relocation extends beyond the previously anticipated duration.
In presenting such opportunity, the PHA or Project Owner must inform the resident in writing
that his or her acceptance of voluntary permanent relocation, with the associated assistance,
would terminate the resident’s right to return to the Covered Project. The PHA or Project Owner
must provide the resident with at least 30 days to decide whether to remain in temporary
relocation status or to voluntarily relocate permanently.
D)

Temporary relocation anticipated to last more than one year

When the PHA anticipates that the temporary relocation, to a unit not in the same building or
complex of buildings, will last more than one year, but the resident is retaining the resident’s
right to return to the Covered Project, the resident is considered temporarily relocated under
RAD and is eligible to receive applicable temporary relocation assistance and payments. Under
the URA, the resident becomes eligible to receive applicable relocation assistance and payments
as a “displaced person” when the temporary relocation period exceeds one year and each time
thereafter that the temporary relocation extends beyond the previously anticipated duration, at

78

HUD Handbook 1378, Chapter 2, Section 2-7 governs activities subject to URA requirements and informs, but is
not binding upon, any RAD activities not governed by the URA. PHAs may also refer to HUD Form 40030.

44

 which time the PHA or Project Owner shall offer the resident the opportunity to choose to
voluntarily permanently relocate or to remain temporarily relocated, as described in Section
6.4(C), above.
In order to allow residents to make the election earlier than required under the URA (thereby
avoiding a year in temporary relocation housing prior to electing voluntary permanent
relocation), if the PHA or Project Owner anticipates that temporary relocation will last more than
one year, the PHA or Project Owner shall provide the resident with an initial option to (a) be
temporarily relocated, retain the right to return to the Covered Project when a unit becomes
available and receive assistance, including temporary housing and reimbursement for all
reasonable out-of-pocket expenses associated with the temporary relocation, or (b) accept RAD
voluntary permanent relocation assistance and payments equivalent to what a “displaced person”
would receive under the URA. The PHA or Project Owner must inform the resident in writing
that his or her acceptance of voluntary permanent relocation, with the associated assistance,
would terminate the resident’s right to return to the Covered Project. The PHA or Project Owner
must provide the resident with at least 30 days to decide whether to remain in temporary
relocation status or to voluntarily relocate permanently.
E)

Permanent moves in connection with a transfer of assistance

In cases solely involving a transfer of assistance to a new site, resident relocation from the
Converting Project to the Covered Project is not, by itself, generally considered involuntary
permanent relocation under RAD. However, the URA and/or Section 104(d) is likely to apply in
most cases. In cases of a transfer of assistance to a new site where it has also been determined
that the URA and/or Section 104(d) apply to the transfer of assistance, residents may be eligible
for all permanent relocation assistance and payments for eligible displaced persons under the
URA and/or Section 104(d). If the URA applies to a move of this type, the PHA or Project
Owner must make available at least one, and when possible, three or more comparable
replacement dwellings pursuant to 49 C.F.R. § 24.204(a). However, provided the transfer of
assistance unit meets the URA definition of a comparable replacement dwelling pursuant to 49
C.F.R. § 24.2(a)(6), that unit could in fact represent the most comparable replacement dwelling
as determined by the agency for purposes of calculating a replacement housing payment, if any,
under 49 C.F.R. § 24.402.
Whether or not the URA and/or Section 104(d) apply, under RAD the residents are entitled to
relocation assistance and payments, including counseling in preparation for the relocation,
written notices of the relocation (including a 90-day RAD Notice of Relocation), and
reimbursement for all reasonable out-of-pocket expenses, including moving expenses, incurred
in connection with the move. It should be noted that the RAD relocation assistance and
payments provided to transferring residents in this paragraph differ from those required under the
URA and/or Section 104(d) as described above. Where both frameworks apply, the residents
must receive the more extensive protections offered under either framework.
If HUD determines that the distance from the Converting Project to the site of the Covered
Project is significant and the resident could not reasonably be required to move to the new site,
then HUD will require the PHA to adjust project plans to accommodate the resident in an
assisted unit (e.g., a public housing unit, some other project-based Section 8 unit or a market unit

45

 with a housing choice voucher) within a reasonable distance of the site of the Converting Project.
HUD will evaluate whether this requirement applies on a case by case basis, considering whether
the distance would impose a significant burden on residents’ access to existing employment,
transportation options, schooling or other critical services. Accommodating the resident may also
be satisfied by the resident’s consent to an alternative housing option pursuant to Section 6.10.
The requirement set forth in this paragraph is in addition to all protections, including, for
example, the offer of comparable replacement dwellings, which are required in all instances
where a transfer of assistance is subject to the URA and/or Section 104(d).
F)

Voluntary permanent relocation

A resident may elect to relinquish their right of return and consent to voluntary permanent
relocation pursuant to an alternative housing option offered and accepted according to the
procedures described in Section 6.10, which Section specifies protections to ensure the resident’s
decision is fully informed. By selecting voluntary permanent relocation, the resident is electing
to receive RAD permanent relocation assistance and payments which are equivalent to the
relocation payments and assistance required to be provided to a “displaced person” pursuant to
the regulations implementing the URA.
6.5.

Initiation of Negotiations (ION) Date

Eligibility for URA relocation assistance is effective on the date of initiation of negotiations
(ION) (49 C.F.R. § 24.2(a)(15)). For Converting Projects, the ION date is the effective date of
the RCC. The ION date is also typically the date when PHAs can begin to issue RAD Notices of
Relocation (except in the case of acquisitions when the PHA can issue a Notice of Intent to
Acquire and RAD Notices of Relocation prior to the ION date). Any person who is in lawful
occupancy on the ION date is presumed to be entitled to relocation payments and other
assistance.
PHAs and Project Owners should note that prior to the ION date, a resident may be eligible as a
displaced person for permanent relocation assistance and payments under the URA if HUD
determines, after analyzing the facts, that the resident’s move was a direct result of the project.
However, resident moves taken contrary to specific instructions from the PHA or Project Owner
(for example, contrary to instructions not to move if contained in a General Information Notice)
are generally not eligible as a displaced person under the URA.
6.6.

Resident Relocation Notification (Notices)

PHAs and Project Owners are encouraged to communicate regularly with the residents regarding
project plans and, if applicable, the resulting plans for relocation. When residents may be
relocated for any time period (including, without limitation, a move in connection with a transfer
of assistance), written notice must be provided to the resident heads of households, including the
notices listed below as applicable.79 PHAs and Project Owners are also encouraged to provide

79

The notices required under Sections 6.6(B) through 6.6(E) must be delivered in accordance with URA resident
notification requirements, including the requirement that the notice be personally served or delivered by certified or
registered first class mail return receipt requested. All notices must be delivered to each household (i.e., posting in

46

 additional relocation notices and updates for the residents’ benefit as appropriate for the specific
situation.
To ensure that all residents understand their rights and responsibilities and the assistance
available to them, consistent with URA requirements at 49 C.F.R. § 24.5 and civil rights
requirements, PHAs and Project Owners must ensure effective communication with individuals
with disabilities, including through the provision of appropriate auxiliary aids and services, such
as interpreters and alternative format materials. Similarly, PHAs and Project Owners are
required to take reasonable steps to ensure meaningful access for LEP persons in written and oral
materials. Each notice shall indicate the name and telephone number of a person to contact with
questions or for other needed help and shall include the number for the telecommunication
device for the deaf (TDD) or other appropriate communication device, if applicable, pursuant to
24 C.F.R. §8.6(a)(2).
The purpose of these notifications is to ensure that residents are informed of their potential rights
and, if they are to be relocated, of the relocation assistance available to them. Two initial notices
launch this effort and provide critical information regarding residents’ rights. The first, the RAD
Information Notice, is to be provided at the very beginning of the RAD conversion planning
process in order to ensure residents understand their rights, to provide basic program information
and to facilitate residents’ engagement with the PHA regarding project plans. The GIN,
meanwhile, provides information specifically related to protections the URA provides to
impacted residents. Subsequent notices provide more detailed information regarding relocation
activities specific to the household, including tailored information regarding eligibility and
timelines for relocation.
PHAs should note that a resident move undertaken as a direct result of the project may be
eligible to receive relocation assistance and payments under the URA even though the PHA has
not yet issued notices to them. Sample notices which may be used as-is or modified to fit the
peculiarities of each situation are provided on the RAD website at www.hud.gov/rad.
A)

RAD Information Notice

The RAD Information Notice is to be provided to residents at the very beginning of the RAD
conversion planning process in order to convey general written information on potential project
plans and residents’ basic rights under RAD, and to facilitate residents’ engagement with the
PHA regarding the proposed RAD conversion. The PHA shall provide a RAD Information
Notice to all residents of a Converting Project prior to the first of the two meetings with residents
required by the RAD Notice, Section 1.8.2, and before submitting a RAD Application. This
RAD Information Notice shall be provided without regard to whether the PHA anticipates any
relocation of residents in connection with the RAD conversion. The RAD Information Notice
must do the following:

common areas is insufficient) and methods of delivery (e.g., certified mail, U.S. mail, or hand delivery) must be
documented in the PHA’s or Project Owner’s files.

47

 














Provide a general description of the conversion transaction (e.g., the Converting Project,
whether the PHA anticipates any new construction or transfer of assistance, whether the
PHA anticipates partnering with a developer or other entity to implement the transaction);
Inform the resident that the early conceptual plans are likely to change as the PHA
gathers more information, including, among other items, resident opinions, analysis of
the capital needs of the property and financing options;
Inform the resident that the household has a right to remain in the unit or, if any
relocation is required, a right to return to an assisted unit in the Covered Project (which
may be at the new site in the case of a transfer of assistance);
Inform the resident that they will not be subject to any rescreening as a result of the
conversion;
Inform the resident that the household cannot be required to move permanently without
the resident’s consent, except in the case of a transfer of assistance when the resident may
be required to move a reasonable distance, as determined by HUD, in order to follow the
assisted unit;
Inform the resident that if any relocation is involved in the transaction, the resident is
entitled to relocation protections under the requirements of the RAD program and, in
some circumstances, the requirements of the URA, which protections may include
advance written notice of any move, advisory services, payment(s) and other assistance
as applicable to the situation;
Inform the resident that any resident-initiated move from the Converting Project could
put any future relocation payment(s) and assistance at risk and instruct the resident not to
move from the Converting Project; and
Inform the resident that the RAD transaction will be completed consistent with fair
housing and civil rights requirements, and provide contact information to process
reasonable accommodation requests for residents with disabilities during the relocation.
B)

General Information Notice (49 C.F.R. § 24.203(a))

The purpose of the General Information Notice (GIN) is to provide information about URA
protections to individuals who may be displaced as a result of federally-assisted projects
involving acquisition, rehabilitation or demolition. A GIN provides a general description of the
project, the activities planned, and the relocation assistance that may become available.
A GIN shall be provided to any person scheduled to be displaced as soon as feasible based on
the facts of the situation. In certain instances, such as when the PHA knows that a project will
involve acquisition, rehabilitation or demolition, “as soon as feasible” may be simultaneous with
issuance of the RAD Information Notice. For any RAD conversion involving acquisition,
rehabilitation or demolition, “as soon as feasible” shall be no later than 30 days following the
issuance of the CHAP. In instances where acquisition, rehabilitation or demolition is not
anticipated at the time of the CHAP but project plans change to include such activities, pursuant
to this Notice the PHA shall provide the GIN as soon as feasible following the change in project
plans.

48

 For RAD, the GIN must do at least the following:













Inform the resident that he or she may be displaced for the project and generally describe
the relocation payment(s) for which the resident may be eligible, the basic conditions of
eligibility, and the procedures for obtaining the payment(s);
Inform the resident that, if he or she qualifies for relocation assistance as a displaced
person under the URA, he or she will be given reasonable relocation advisory services,
including referrals to replacement properties, help in filing payment claims, and other
necessary assistance to help the displaced resident successfully relocate;
Inform the resident that, if he or she qualifies for relocation assistance as a displaced
person under the URA, he or she will not be required to move without 90 days advance
written notice;
Inform the resident that, if he or she qualifies for relocation assistance as a displaced
person under the URA, he or she cannot be required to move permanently unless at least
one comparable replacement dwelling has been made available;
Inform the resident that any person who is an alien not lawfully present in the United
States is ineligible for relocation advisory services and relocation payments, unless such
ineligibility would result in exceptional and extremely unusual hardship to a qualifying
spouse, parent, or child (see 49 C.F.R. § 24.208(h) for additional information);
Describe the resident’s right to appeal the PHA’s determination as to a resident’s
eligibility for URA assistance; and
Inform the resident that the RAD transaction will be completed consistent with fair
housing and civil rights requirements, and provide contact information to process
reasonable accommodation requests for residents with disabilities during the relocation.

Because of the potential confusion caused by evolving policy directions in the RAD program
regarding delivery of the GIN, for actions taken prior to the issuance of this Notice, HUD will
consider the facts and circumstances of each conversion, with emphasis on the underlying URA
requirements, in monitoring and enforcing a PHA’s compliance with this requirement.
C)

Notice of Intent to Acquire (49 C.F.R. § 24.203(d))

For conversions involving acquisition, the Project Owner (the “acquiring agency”) may provide
to residents of the Converting Project a Notice of Intent to Acquire (NOIA).80 The NOIA may
be provided no earlier than 90 days prior to the PHA’s reasonable estimate of the date of
submission of a complete Financing Plan. While eligibility for URA relocation assistance is
generally effective on the effective date of the RCC (the ION date), a prior issuance of a NOIA
establishes a resident’s eligibility for relocation assistance and payments on the date of issuance
of the NOIA and prior to the ION date.
D)

RAD Notice of Relocation

If a resident will be relocated to facilitate the RAD conversion, the PHA shall provide written
notice of such relocation by means of a RAD Notice of Relocation. The RAD Notice of

80

Acquisition includes a new ownership entity’s purchase of the Covered Project from the PHA, such as a purchase
by a single purpose entity, an affiliate or a low-income housing tax credit ownership entity.

49

 Relocation may not be issued until: 1) the effective date of the RCC (the ION date) if the
conversion does not involve acquisition; or 2) the earlier of the issuance of the Notice of Intent to
Acquire (see Section 6.6(C)) or the effective date of the RCC (the ION date) if the conversion
involves acquisition. Prior to issuance of the RAD Notice of Relocation, PHAs and Project
Owners should meet with each resident household to provide preliminary relocation advisory
services and to determine their needs and preferences.81
A RAD Notice of Relocation is not required for residents who will not be relocated. As a best
practice, PHAs or Project Owners should notify residents that they are not being relocated once
that determination has been made if they were previously informed by the GIN and/or by other
methods that relocation was a possibility.82
A RAD Notice of Relocation shall provide either: 1) 30-days’ notice to residents who will be
relocated for twelve months or less; or 2) 90-days’ notice to residents who will be relocated for
more than twelve months.83 The RAD Notice of Relocation must conform to the following
requirements:
(1) The notice must state the anticipated duration of the resident’s relocation.
(2) The notice must specify which entity (the PHA or the Project Owner) is primarily
responsible for management of the resident’s relocation and for compliance with
the relocation obligations during different periods of time (i.e., before vs. after
Closing).
(3) For residents who will be relocated for twelve months or less:


The PHA or Project Owner must provide this notice a minimum of 30 days
prior to relocation.84 PHAs or Project Owners may deem it appropriate to
provide longer notice periods for persons who will be temporarily relocated

81

PHAs and Project Owners should note the URA relocation advisory services requirement for personal interviews.
See Section 6.7 of this Notice. In sequencing the RAD Notice of Relocation, PHAs and Project Owners wishing to
offer alternative housing options pursuant to Section 6.10 should also note the additional complexity in the timeline
of notices. Pursuant to Section 6.10(D), the resident can consent to an alternative housing option only after issuance
of the NOIA or the effective date of the RCC and 30 days after presentation of the alternative housing options. In
some cases, for example, when the resident would not otherwise be relocated for over twelve months, the RAD
Notice of Relocation must include both the information described in Section 6.6(D)(3) and the information in
Section 6.6(D)(4). The PHA or Project Owner should consider discussing the alternative housing options prior to
issuing the RAD Notice of Relocation so that the RAD Notice of Relocation can be tailored to the resident’s
situation.
82
The RAD program does not require a “notice of non-displacement,” which HUD relocation policy generally uses
for this purpose.
83
The 90-day notice is required for residents relocated for more than twelve months, whether or not they intend to
return to the Covered Project and whether or not they are eligible for assistance and payments as a displaced person
under URA. Recipients of the 90-day notice would include those residents who have voluntarily accepted a
permanent relocation option as well as those residents who are relocated within the same building or complex of
buildings.
84
Note that residents may elect to move to the relocation housing before the 30 days have elapsed. However, a PHA
may not require a resident to move prior to this time.

50

 



for an extended period of time (over 6 months), or if necessary due to personal
needs or circumstances.
The notice must explain that the PHA or Project Owner will reimburse the
resident for all reasonable out-of-pocket expenses incurred in connection with
any temporary move (including, but not limited to, increased housing costs
and moving costs).
The notice must explain the reasonable terms and conditions under which the
resident may exercise the right to return to lease and occupy a unit in the
Covered Project.

(4) For residents who will be relocated for more than twelve months, including for
residents who may wish to voluntarily accept a permanent relocation option:









The PHA or Project Owner must provide this notice a minimum of 90 days
prior to relocation of residents.85
The notice must offer the choice to be temporarily relocated, thereby
preserving the resident’s right to return, or the choice to be voluntarily
permanently relocated pursuant to the procedures set forth in Section 6.10,
together with guidance that the resident has at least thirty (30) days to
consider the choice.
For residents who voluntarily elect to be permanently relocated, the 90-day
notice period may only begin once the PHA or Project Owner has made
available at least one comparable replacement dwelling consistent with
49 C.F.R. § 24.204(a).86
The notice must describe the available relocation assistance, the estimated
amount of assistance based on the individual circumstances and needs, and the
procedures for obtaining the assistance. The notice must be specific to the
resident and his or her situation so that the resident will have a clear
understanding of the type and amount of payments and/or other assistance the
resident household may be entitled to claim.
The notice must comply with all requirements for a URA Notice of Relocation
Eligibility as described in 49 C.F.R. § 24.203(b).

(5) The notice must inform the resident that the relocation will be completed
consistent with fair housing and civil rights requirements, and it must provide
contact information to process reasonable accommodation requests for residents
with disabilities during the relocation.
For short-term relocations, the RAD Notice of Relocation may also contain the information
required in the Notice of Return to the Covered Project (see Section 6.6(F)).

85

Note that residents may elect to move to the relocation housing before the 90 days have elapsed. However, a PHA
may not compel a resident to move prior to this time.
86
PHAs should note that URA regulations also require, where possible, that three or more comparable replacement
dwellings be made available before a resident is required to move from his or her unit.

51

 E)

URA Notice of Relocation Eligibility – for residents whose temporary relocation
exceeds one year (49 C.F.R. § 24.203(b))

After a resident has been temporarily relocated for one year, notwithstanding a prior issuance of
a RAD Notice of Relocation, the PHA or Project Owner must provide an additional notice: the
notice of relocation eligibility in accordance with URA requirements (“URA Notice of
Relocation Eligibility”). The URA Notice of Relocation Eligibility is not required if the resident
has already accepted permanent relocation assistance.87
The URA Notice of Relocation Eligibility must conform to URA requirements as set forth in 49
C.F.R. part 24 and shall:



Provide current information as to when it is anticipated that the resident will be able to
return to the Covered Project.
Give the resident the choice to remain temporarily relocated based upon the updated
information or to accept permanent URA relocation assistance at that time instead of
exercising the right to return at a later time.

If the resident chooses to accept permanent URA relocation assistance and this choice requires
the resident to move out of their temporary relocation housing, the URA requires that the PHA or
Project Owner make available at least one, and when possible, three or more comparable
replacement dwellings pursuant to 49 C.F.R. § 24.204(a), which comparability analysis is in
reference to the resident’s original unit. The URA further requires that the resident receive 90
days’ advance written notice of the earliest date they will be required to move pursuant to 49
C.F.R. § 24.203(c).

87

To illustrate, consider the following examples.
 Example 1: The household is expected to be relocated for 11 months. The resident would receive a RAD
Notice of Relocation offering only temporary relocation. Construction delays result in the extension of the
relocation such that, in fact, it exceeds 12 months. When the temporary relocation exceeds 12 months, the
resident must receive a URA Notice of Relocation Eligibility offering a choice between continuation in
temporary relocation status and permanent relocation.
 Example 2: The household is expected to be relocated for 14 months. The resident would receive a RAD
Notice of Relocation offering a choice between temporary relocation status and permanent relocation. If
the household elects temporary relocation, the URA Notice of Relocation Eligibility is required as an
additional notice following twelve months in temporary relocation status.
 Example 3: The household is expected to be relocated for 14 months. The resident would receive a RAD
Notice of Relocation offering a choice between temporary relocation status and permanent relocation. If
the household elects permanent relocation, the URA Notice of Relocation Eligibility is not required.
 Example 4: The household can be accommodated with temporary relocation of 3 months, but has been
offered and seeks to accept permanent relocation pursuant to an alternative housing option. This resident
would receive a RAD Notice of Relocation under Section 6.6(D)(4) offering a choice between temporary
relocation status (the default option) and permanent relocation (the alternative housing option), instead of
the RAD Notice of Relocation under Section 6.6(D)(3) which would be expected absent a permanent
relocation option. The URA Notice of Relocation Eligibility is not required in either case because a
temporary relocation exceeding 12 months was never anticipated nor experienced.

52

 F)

Notification of Return to the Covered Project

With respect to all temporary relocations, the PHA or Project Owner must notify the resident in
writing reasonably in advance of the resident’s expected return to the Covered Project, informing
the resident of:







The entity (the PHA or the Project Owner) with primary responsibility for managing the
resident’s relocation;
The address of the resident’s assigned unit in the Covered Project and, if different from
the resident’s original unit, information regarding the size and amenities of the unit;
The date of the resident’s return to the Covered Project or, if the precise date is not
available, a reasonable estimate of the date which shall be supplemented with reasonable
additional notice providing the precise date;
That the PHA or Project Owner will reimburse the resident for all reasonable out-ofpocket expenses incurred in connection with the return relocation; and
The resident’s options and the implications of those options if the resident determines
that he or she does not want to return to the Covered Project and wants to decline the
right of return.88

Reasonable advance notice shall be 15% of the duration of the resident’s temporary relocation or
90 days, whichever is less. For short-term relocations, the PHA or Project Owner may include
this information within the RAD Notice of Relocation.
6.7.

Relocation Advisory Services

Throughout the relocation planning process, the PHA and Project Owner should be in
communication with the residents regarding the evolving plans for relocation. Notwithstanding
this best practice, certain relocation advisory services, described below, are required by the
URA.
The URA regulations require the PHA or Project Owner to carry out a relocation assistance
advisory program that includes specific services determined to be appropriate to residential or
nonresidential displacements. The specific advisory services to be provided, as determined to be
appropriate, are outlined at 49 C.F.R. § 24.205(c). For residential displacement under the URA, a
personal interview is required for each displaced resident household to determine the relocation
needs and preferences of each resident to be displaced. The resident household shall be provided
an explanation of the relocation payments and other assistance for which the resident may be
eligible, the related eligibility requirements, and the procedures for obtaining such assistance.
Advisory counseling must also inform residents of their fair housing rights and be carried out in

88

If the resident declines to return to the Covered Project upon completion of the period of temporary relocation, the
resident shall be considered to have voluntarily moved out of the property, without the benefit of further relocation
assistance. For example, a PHA or Project Owner may have rented a market-rate apartment as a temporary
relocation resource for a six-month period. In such a situation, the resident may decline to return to the Covered
Project and choose to remain in the market-rate apartment at the expiration of the six-month period, but shall not be
eligible for any further relocation assistance and payments (including rent differential payments) under this Notice,
the URA or Section 104(d), if applicable, in connection with the resident’s decision to remain in the temporary
housing and not return to the Covered Project.

53

 a manner that satisfies the requirements of Title VI of the Civil Rights Act of 1964, the Fair
Housing Act, and Executive Order 11063 (49 C.F.R. § 24.205(c)(1)).89 Such advisory services
under the URA may include counseling to ensure that residents affected by the project
understand their rights and responsibilities and the assistance available to them (49 C.F.R.
§ 24.205(c)). In addition, the PHA or Project Owner should inform residents that if they believe
they have experienced unlawful discrimination, they may contact HUD at 1-800-669-9777
(Voice) or 1-800-927-9275 (TDD) or at http://www.hud.gov.
6.8.

Initiation of Relocation

PHAs and Project Owners may not initiate any involuntary physical relocation until both the
RCC is in effect and the applicable RAD Notice of Relocation period has expired (i.e., after
either 30 or 90 days’ notice as applicable depending on nature of the relocation, as described
above). This prohibition applies to all types of RAD transactions, regardless of whether the
RAD Notice of Relocation is provided after issuance of a NOIA (for conversions involving
acquisition) or following the effective date of the RCC (for all other conversions). PHAs are
advised to account for the required 30-day or 90-day written notice periods in their planning
process, to ensure that notices which satisfy all applicable requirements are issued prior to taking
any action to initiate relocation.
Neither involuntary nor voluntary relocation for the project shall take place prior to the
effective date of the RCC, unless moves are authorized under Section 7, below (“Applicability
of HCV and Public Housing Requirements”) or unless HUD provides explicit approval which
will only be provided in extraordinary circumstances. The PHA must wait until the RAD Notice
of Relocation period has expired before it may initiate any involuntary relocation. However, a
resident may request to move voluntarily, and the PHA may honor a resident’s request to move,
before the applicable 30-day or 90-day period has elapsed, provided that the PHA may not take
any action to encourage or coerce a resident to make such a request. If a resident has elected an
alternative housing option, PHAs are advised to ensure that any consent to voluntary permanent
relocation does not expire prior to the date of the relocation, as described in Section 6.10.
HUD may use administrative data to identify and investigate projects where relocation may be
occurring prior to RCC.
6.9.

Records and Documentation; Resident Log

HUD may request from the PHA or Project Owner written records and documentation in order to
evidence the PHA’s and/or Project Owner’s compliance, as applicable, with this Notice and the
URA.90 HUD may request to review some or all of such records in the event of compliance

89

For example, under fair housing and civil rights laws, the PHA and Project Owner may be required to inform
residents about and provide reasonable accommodations for individuals with disabilities, such as search assistance;
take appropriate steps to ensure effective communication with individuals with disabilities, such as through the
provision of auxiliary aids and services, such as interpreters and alternate format documents; provide advisory
counseling services in accessible locations and in an accessible manner for individuals with disabilities; and take
reasonable steps to ensure meaningful access for LEP persons. See Section 4 of this Notice for more information on
these requirements.
90
Chapter 6 of HUD Handbook 1378 includes guidance on URA recordkeeping requirements.

54

 concerns, in the event a project is identified for additional review based on administrative data,
in the event of audits for purposes of monitoring the RAD program as a whole, upon selection of
a random sample of projects and/or at other times at HUD’s sole discretion. The records shall
include resident files for all households relocated in connection with RAD and a resident log as
described in this Section.
As part of such written record, the PHA or Project Owner must maintain data sufficient to
deliver to HUD a resident log of every household that resides at the Converting Project at the
time of the first required resident meeting on the proposed conversion pursuant to Section 1.8 of
the RAD Notice (the “First Resident Meeting”) and of every household that moves into the
Converting Project after the First Resident Meeting and before the conversion of assistance
under RAD. If any relocation is required, the log shall track resident status through completion
of rehabilitation and construction, including re-occupancy after relocation. The resident log must
include, but need not be limited to, the following information:














Name of head of household
PHA’s resident identification number and/or the last four digits of the head-ofhousehold’s Social Security Number
The head of household’s race and ethnicity as reported on the HUD Form 50058 or the
HUD Form 50058 MTW (the “Form 50058”). For purposes of the resident log, all
references to the Form 50058 shall be to the form most recently prepared at the time of
the First Resident Meeting or, for residents who moved in after the First Resident
Meeting, the form most prepared at the time of the resident’s initial occupancy.
A Yes/No indication if there is any household member reported as having a disability on
the Form 50058.
A Yes/No indication if there is any household member reported as under the age of 18 on
the effective date of action of the Form 50058;
The household’s relevant unit address, unit size and household size at the following
times:
o The time of the First Resident Meeting or the time of a resident’s initial
occupancy if after the First Resident Meeting
o The time of the issuance of the CHAP or the time of a resident’s initial occupancy
if after the issuance of the CHAP
o Proximate and prior to the PHA or Project Owner having authority to initiate
involuntary relocation activities (i.e., at the time of issuance of the RCC unless
otherwise approved by HUD upon extraordinary circumstances)
o Completion of the relocation process following construction or rehabilitation and
with return of all households exercising the right of return
The household’s residence status at the time of issuance of the RCC (e.g., in residence at
the Converting Project, transferred to other public housing, moved out, evicted or other
with explanation)
The household’s residence status upon completion of re-occupancy (e.g., in residence at
the Covered Project/never relocated, in residence at the Covered Project/temporarily
relocated and returned, transferred to other public housing, moved out, evicted,
permanently relocated or other with explanation)
The following dates for each resident household, as applicable:
o Date of the RAD Information Notice
55

 o
o
o
o
o
o
o
o
o



Date of the GIN
Date of the CHAP
Date of NOIA
Date of RAD Notice of Relocation
Date of URA Notice of Relocation Eligibility
Date of most recent consent to voluntary permanent relocation91
Date of relocation away from the Converting Project or Covered Project
Dates of any intermediate relocation moves
Date of return to the Covered Project or to the household’s post-closing
permanent address.92
The following information for each resident household, as applicable:
o The type of move (e.g., the types identified in Section 6.4, above)
o The form of any temporary relocation housing (e.g., hotel, assisted housing,
market-rate housing)
o The address and unit size of any temporary relocation housing
o Whether alternative housing options were offered consistent with Section 6.10,
below
o Any material terms of any selected alternative housing options
o The type and amount of any payments for
 Moving expenses to residents and to third parties
 Residents’ out-of-pocket expenses
 Rent differential payments or other payments for temporary or permanent
rental assistance, together with the rent and utilities (if applicable) that were
the basis for the calculations
 Any other relocation-related compensation or assistance

6.10. Alternative Housing Options
Under the RAD Notice, “involuntary permanent relocation” is prohibited and each resident must
be able to exercise his or her right of return to the Covered Project. A PHA or Project Owner is
permitted to offer a resident alternative housing options when a resident is considering his or her
future housing plans, provided that at all times prior to the resident’s decision, the PHA and
Project Owner preserve the resident’s ability to exercise his or her right of return to the Covered
Project.
A)

Requirements for Any Offer of Alternative Housing Options

All residents who are similarly situated must be given the same offer of alternative housing
options. If the PHA or Project Owner seeks to limit the number of households that accept the

91

The most recent consent must be within 180 days of the actual relocation date, as discussed in Section 6.10(D).
In the case of voluntary permanent relocation, the date of “return” may be the same as the date of relocation away
from the Converting Project.
92

56

 offer of alternative housing options, the PHA or Project Owner shall determine a fair and
reasonable method for selection among similarly situated residents.93
In connection with any offer and acceptance of alternative housing options, the PHA or Project
Owner must ensure that the residents’ decisions are: 1) fully informed; 2) voluntary; and 3)
carefully documented. Any alternative housing option must include, at a minimum, all
relocation assistance and payments required under this Notice, the URA and Section 104(d), as
applicable, and may include other elements. Funds administered by HUD may not be used to
pay any monetary elements not required under this Notice, the URA or Section 104(d).
Acceptance of an alternative housing option is considered voluntary permanent relocation and
the accompanying RAD relocation assistance and payments for which the resident may be
eligible must be administered in accordance with all requirements for an eligible displaced
person under the URA and its implementing regulations and, where applicable, Section 104(d)
and its implementing regulations.
PHAs may not propose or request that a displaced person waive rights or entitlements to
relocation assistance under the URA or Section 104(d). The PHA must provide a written notice
of URA or Section 104(d) relocation assistance and payments for which the resident may be
eligible so that the resident may make an informed housing choice. The resident must be
provided at least thirty (30) days to consider the offer of voluntary permanent relocation and the
resident’s acceptance of the PHA’s offer of voluntary permanent relocation must be in writing
signed by the head of the household for that unit.
B)

Assisted Housing Options as Alternatives

Alternative housing option packages may include a variety of housing options and PHAs and
Project Owners shall take particular care to ensure program compliance with the regulations
applicable to the alternative housing options. Examples of alternative housing options may
include:




Transfers to public housing
Admission to other affordable housing properties subject to the program rules applicable
to such properties
Housing Choice Vouchers (HCVs) subject to standard HCV program administration
requirements. PHAs must operate their HCV programs, including any HCVs offered as
an alternative housing option, in accordance with their approved policies as documented
in their Section 8 Administrative Plan and HUD regulations at 24 C.F.R. part 982. Any
offer of an HCV as an alternative housing option must be made consistent with the

93

For example, if the RAD conversion is financed by LIHTC and a few residents would not meet LIHTC program
requirements, the PHA and Project Owner may want to offer these household alternative voluntary permanent
relocation options. However, they must offer the same alternative housing options to all such households. As a
second example, if the PHA and Project Owner seek to create two on-site vacancies of a particular unit size in order
to facilitate temporary relocation on-site, the PHA may offer an alternative housing option of a housing choice
voucher to all residents of applicably sized units (assuming that to do so is consistent with the PHA’s voucher
administration policies), and conduct a lottery to select the two households which will receive the vouchers.

57

 


PHA’s admission preferences and other applicable policies and procedures set forth in the
Section 8 Administrative Plan.
Homeownership programs subject to the applicable program rules
Other options as may be identified by the PHA and/or Project Owner
C)

Monetary Elements Associated With Alternative Housing Options

A PHA or a Project Owner may include a monetary element in an alternative housing option
package, provided that:







Any monetary element associated with the alternative housing option shall be completely
distinct from and in addition to any required RAD, URA or Section 104(d) relocation
payments and benefits for which the resident is eligible (“Required Relocation
Payments”).
No funds administered by HUD may be used to pay for any monetary element associated
with the alternative housing option other than Required Relocation Payments.
Any monetary element associated with the alternative housing option other than Required
Relocation Payments must be the same amount offered to all similarly situated
households.94
Any alternative housing option package must comply fully with the disclosure and
agreement provisions of this Notice.
D)

Disclosure and Agreement to Alternative Housing Options

In providing an offer of alternative housing options to a resident, the PHA or Project Owner must
inform the resident in writing of: a) his or her right to return;95 b) his or her right to comment on
and/or object to plans which would preclude the resident from returning to the Covered Project;
c) the requirement that if the resident objects to such plans, the PHA or Project Owner must alter
the project plans to accommodate the resident in the Covered Project; and d) a description of
both the housing option(s) and benefits associated with the right of return and the alternative
housing options and benefits being offered. In the description of the available housing options
and benefits, the PHA or Project Owner shall include a description of any temporary housing
options associated exercising the right of return and a description of any permanent alternative
housing options as well as a reasonable estimate of the financial implications of all temporary
and permanent options on the resident long-term.

Monetary payments other than Required Relocation Payments are considered “temporary, nonrecurring or
sporadic income” pursuant to 24 C.F.R. § 5.609(c)(9) and consequently are excluded from income for purposes of
eligibility and assistance calculations under certain HUD programs. Residents should be reminded that monetary
payments other than URA relocation payments may be taxable under the Internal Revenue Code, that monetary
payments, including required relocation payments, may affect residents’ eligibility for other assistance programs and
that the resident should seek knowledgeable guidance on these matters, including guidance on the taxation of
monetary payments under state law.
95
In the case of a transfer of assistance to a new site a significant distance from the Converting Project as described
in Section 6.4(E), the resident shall be informed of the resident’s right to return to the Covered Project at the new
site and of the resident’s right to an assisted unit within a reasonable distance of the site of the Converting Project, as
described in Section 6.4(E).
94

58

 The written notification may request written consent from the resident to exercise the alternative
housing option and receive permanent relocation assistance and payments pursuant to RAD, the
URA and/or Section 104(d), as applicable, in addition to any benefits associated with the
alternative housing option. As part of any voluntary consent, the resident head of household
must acknowledge in writing that acceptance of such assistance terminates the resident’s right to
return to the Covered Project. In order to ensure that the resident has sufficient time to seek
advice and consider the alternative housing options, any consent to an alternative housing option
executed within 30 days of the written presentation of the options shall be invalid.
Any offer of alternative housing options must be made in writing and the acceptance of the
alternative must be voluntary and in writing. The offer of an alternative housing option must
contain the following elements:












The resident is informed of his or her right to return to the Covered Project and that
neither the PHA nor the Project Owner can compel the resident to relinquish his or her
right to return. The offer of alternative housing options must clearly state that acceptance
of any alternative would relinquish the resident’s right to return to the Covered Project.
The offer of an alternative housing option must be accompanied by identification of
comparable housing units which the resident may use to understand the nature of housing
options available to them and the rent and estimated utility costs associated with such
housing options. This information must also be accompanied by a reasonable estimate of
any replacement housing payment or “gap payment” for which the resident may be
eligible.
The offer of an alternative housing option must be accompanied by information regarding
moving payments and assistance that would be available if the resident exercises the right
of return and if the resident accepts the alternative housing option.
Residents must be offered advisory assistance to consider their options.
To be fully informed, the offer must outline the implications and benefits of each
alternative housing option being made available (i.e., of accepting each alternative
housing option as compared to exercising his or her right to return) as well as a
reasonable estimate of when the resident’s relocation might occur. Implications and
benefits include payment amounts, differences in rent calculations, differences in
program rules, housing location, and potential long-term implications such as household
housing expenses multiple years in the future.
To be fully voluntary, the resident must have at least thirty (30) days following delivery
of the written offer to consider their options. LEP persons must be provided a written
translation of the offer and oral interpretation of any meetings or counseling in the
appropriate language. In addition, PHAs must comply with their obligation to ensure
effective communication with persons with disabilities.
The resident cannot be asked to make a decision which will be implemented at a distant
future time. Consequently, the resident may not provide written consent to an alternative
housing option (and consequently, consent to voluntary permanent relocation) until after

59

 



the earlier of issuance of the NOIA or the effective date of the RCC.96 If a resident signs
a written consent to accept an alternative housing option, that written consent is valid for
180 days. If relocation (after the applicable notice periods) has not occurred within this
180 day period, then the PHA or Project Owner must secure a new consent to accept an
alternative housing option. New relocation notices are generally not required.
The acceptance must be in writing signed by the resident head of household, including a
certification of facts to document that the household is relinquishing its right to return and
that the decision and the acceptance of the alternative housing option was fully informed
and voluntary.
Residents accepting alternative housing options to relinquish their right to return will be
considered to have voluntarily and permanently relocated. Such residents are to be
provided applicable RAD, URA and/or Section 104(d) relocation assistance and
payments.

The information included with the offer of alternative housing options is to aid the resident in
making decisions regarding the desirability of the alternative housing options and neither
satisfies nor replaces the relocation notices and information required to be provided to residents
pursuant to this Notice, the URA or Section 104(d).
While HUD does not require PHAs to submit documentation of alternative housing options
offered to residents or the residents’ elections, PHAs must keep auditable written records of such
consultation and decisions. HUD may request this documentation at any time, including as part
of a review of the Checklist or if relocation concerns arise.
6.11. Lump Sum Payments
PHAs and Project Owners should note that certain relocation payments to displaced residential
tenants may be subject to 42 USC § 3537c (“Prohibition of Lump-Sum Payments”) and must be
disbursed in installments. The PHA or Project Owner may determine the frequency of the
disbursements which must be made in installments. Handbook 1378, Chapter 3-7(D) provides
guidance on the manner and frequency of disbursing payments subject to this requirement.
Any monetary element beyond Required Relocation Payments which may be associated with an
alternative housing option described in Section 6.10, above, is not relocation assistance and is
therefore not subject to the requirements regarding lump sum payments.
SECTION 7. APPLICABILITY OF HCV AND PUBLIC HOUSING REQUIREMENTS
7.1.

HCV Waiting List Administration Unrelated to the RAD Transaction

From time to time, a resident of a Converting Project may place themselves on the PHA’s
waiting list for HCVs independent of any planned RAD transaction. With respect to residents of
a Converting Project prior to the effective date of the HAP contract, PHAs should continue to

96

The PHA and Project Owner should note that securing resident consent to an alternative housing option may delay
the issuance of the RAD Notice of Relocation. The RAD Notice of Relocation must be specific to whether the
resident will be temporarily or permanently relocated.

60

 administer their HCV waiting list in accordance with their Section 8 Administrative Plans.
Residents who rise to the top of the HCV waiting list independent of any preference for
relocating RAD residents or other RAD provisions and accept an HCV are not considered to be
relocated as a result of the RAD conversion. Standard administration of the PHA’s HCV waiting
list is not considered relocation.
7.2.

HCV Waiting List Administration Related to the RAD Transaction

From time to time, a PHA may wish to use HCV resources as a relocation option in connection
with a RAD transaction. In order to do so, a PHA must modify its Section 8 Administrative Plan
to provide a preference for relocating RAD residents and the PHA is subject to Section 6.8 of
this Notice relating to initiation of relocation. Further, if a PHA provides a preference for
relocating RAD residents, the PHA must be explicit regarding the nature of the HCV as a
relocation resource. If the PHA anticipates using the HCV as a temporary relocation resource,
the PHA must recognize that it cannot rescind an HCV once issued to the resident (i.e., the
family would have to voluntarily relinquish their voucher and may choose to remain in the HCV
program indefinitely). The PHA must also provide a preference for admission to the Covered
Project in order to satisfy the right to return. Alternatively, if the PHA anticipates using the
HCV as a voluntary permanent relocation resources, the PHA must comply with the alternative
housing options provisions of Section 6.10.97
7.3.

Public Housing Transfers Unrelated to the RAD Transaction

From time to time, a resident of a Converting Project may request a transfer to another public
housing property independent of any planned RAD transaction. With respect to residents of a
Converting Project prior to the effective date of the HAP contract, PHAs must continue to
administer their admissions and occupancy procedures as adopted. Any prohibitions in this
Notice on implementing relocation do not apply to residents requesting public housing transfers,
moves pursuant to the Violence Against Women Act (VAWA)98 or reasonable accommodation
moves. Standard administration of the PHA’s admissions and occupancy policy is not
considered relocation.99 Transfers not undertaken for the RAD project are not subject to URA.
However, it is recommended that the PHA document the transfer carefully, including an
acknowledgement by the resident that the transfer is not undertaken for the RAD project, is not

97

PHAs and Project Owners should note that while in most cases, there is no rent differential between the tenant
paid rent in a public housing unit and in an HCV, there are some situations (such as flat rent households) where a
difference does exist. Rental assistance payments under the URA are required if there is a difference between these
two amounts.
98
Title IV, section 40001-40703.
99
Standard administration of the PHA’s admissions and occupancy policy is permitted. However, HUD is sensitive
to concerns that discussion of the planned RAD conversion and construction activities may cause residents to
perceive a pressure to transfer without the counseling and moving assistance which would be available were the
household to wait until relocation. If relocation at the Converting Project is planned, PHAs are strongly advised to
document any such transfers carefully and to provide any households moving under standard admissions and
occupancy policies with additional notices referencing the assistance and payments which would be available if the
household were to remain in place until the relocation plan is implemented.

61

 subject to URA requirements and that the resident is moving notwithstanding the guidance in the
GIN or other relocation guidance from the PHA.
7.4.

Resident Initiated Public Housing Transfers Related to the RAD Transaction

Pursuant to Section 1.8 of the RAD Notice, households in the Converting Project who do not
want to transition to the Section 8 program may be offered, if available, the opportunity to move
to other public housing owned by the PHA. Such move shall be implemented as a transfer and
shall be prioritized equivalent to a “demolition, disposition, revitalization or rehabilitation
transfer” as described in Section 11.2 of the applicable Public Housing Occupancy Guidebook.
Transfers for this purpose do not require any modification to the PHA’s admissions and
occupancy policy and may occur at any time pursuant to the PHA’s admissions and occupancy
policy. Transfers for this purpose, while initiated by the resident, are the result of the PHAinitiated RAD transaction and the PHA must bear the reasonable costs of transfer. The
reasonable cost of the transfer includes not just the cost of packing, moving, and unloading, but
also the cost of disconnecting and reconnecting any existing resident-paid services such as
telephone and cable television. The PHA must also document that the resident’s transfer request
is fully informed and fully voluntary, which documentation must include an acknowledgement
by the resident that the transfer is not undertaken at the request of the PHA or under pressure
from the PHA, that the resident is moving notwithstanding the guidance in the GIN or other
relocation guidance from the PHA and that the resident is withdrawing from participation in the
RAD program and consequently losing rights, including the right to return, which accrue to
residents participating in the RAD program. A public housing resident who voluntarily seeks a
public housing transfer is generally not considered to be displaced under the URA or Section
104(d), where applicable.
7.5.

Public Housing as a Temporary Relocation Resource

PHAs and Project Owners may wish to mitigate the relocation budget associated with the RAD
conversion by using units within the PHA’s portfolio as relocation resources. In light of its
mission to serve as many low-income households as possible, including its need to accommodate
emergency transfers (such as moves pursuant to VAWA), the PHA should minimize the use of
the public housing units not converting under RAD for temporary relocation of RAD impacted
residents. HUD has a strong preference that the PHA use the units within the PHA’s Converting
Projects as a temporary relocation resource prior to using units in the remainder of the PHA’s
public housing portfolio. PHAs may elect not to lease units within the Converting Projects or, if
necessary, the remainder of its portfolio, for this purpose only to the extent reasonably necessary
to facilitate construction or rehabilitation.
Upon the effective date of the HAP contract (usually also the effective date of the RAD
conversion), each resident of a Covered Project becomes a participant in the Section 8 program
and is no longer part of the public housing program. A PHA may use public housing as a
temporary relocation resource if approved by HUD, which approval shall depend on the
proposed structure. PHAs wishing to use public housing units as a temporary relocation resource
must consult with HUD’s Office of Public and Indian Housing (PIH) prior to the formal request
for HUD approval. It is unlikely that HUD would approve a request to use public housing units

62

 as a relocation resource for a period exceeding one year after the effective date of the HAP
contract.
If HUD grants approval, HUD shall provide alternative requirements regarding PIH Information
Center (PIC) documentation of the occupancy of these temporary relocation resources. PHAs
must follow any guidance or instructions regarding treatment of the public housing units in
HUD’s data systems as may be provided from time to time.
PHAs and Project Owners should note that, absent written approval, if a resident seeks to occupy
a public housing unit after the effective date of the HAP contract, the resident would need to be
readmitted to public housing in a manner consistent with the waitlist and admissions policies and
must exit the Section 8 program.
7.6.

Terminations (Including Evictions) and End of Participation Unrelated to the RAD
Transaction

Public housing program requirements related to continued occupancy and termination, including
rules on grievances and related hearings, remain in effect until the effective date of a new PBV
or PBRA HAP contract. If a resident is evicted in accordance with applicable state and local law
and the eviction is not undertaken for the purpose of evading the obligation to make available
RAD relocation and URA payments and other assistance, the resident is generally not entitled to
relocation assistance and payments under this Notice or the URA (49 C.F.R. § 24.206). If a
resident voluntarily ends his or her participation in the public housing program, in the absence of
evidence that the end of participation was induced by the PHA for the purpose of evading the
obligation to make available RAD relocation and URA payments and other assistance, the
resident is generally not entitled to relocation assistance and payments under this Notice or the
URA.
7.7.

Right-Sizing

Public housing, PBV and PBRA requirements mandate that, upon the availability of a unit which
is appropriate for the household size, the PHA or Project Owner must transfer a household that is
under- or over-housed into the unit appropriate to the household’s size. However,
accommodating all residents pursuant to the right of return has primacy over right-sizing
requirements and may, in some cases, require temporarily over-housing households. In such
circumstances, the PHA or Project Owner shall subsequently transfer the household to an
appropriate size unit when available, as is required by the applicable program regulation. Such
actions shall be governed by the applicable program regulation and shall not be considered
relocation under this Notice.

63

 Lourdes Castro-Ramirez
Principal Deputy Assistant Secretary for
Public and Indian Housing

Edward L. Golding
Principal Deputy Assistant Secretary for
Housing
APPENDIX I: Applicable Legal Authorities
APPENDIX II: Recommended Relocation Plan Contents

64

 APPENDIX I: Applicable Legal Authorities
Part 1
This Appendix to the Notice identifies key legal authorities with respect to fair housing, civil
rights, and resident relocation. This Appendix is not exhaustive of applicable legal authorities,
which authorities may also include other Federal statutes, regulations and Executive Orders, and
civil rights provisions related to other programs (including funding programs) associated with the
RAD transaction.
Fair Housing Act (Title VIII of the Civil Rights Act of 1968, as amended)
The Fair Housing Act, 42 U.S.C. § 3601 et seq., and its implementing regulations, 24 C.F.R. part
100, prohibit discrimination in the sale, rental, and financing of dwellings, and in other housingrelated transactions, based on race, color, national origin, religion, sex, disability, or familial
status. The Fair Housing Act applies to for-sale and rental housing, whether the housing is
privately or publicly funded, including housing supported by tax credits. Single family homes,
condominiums, apartment buildings, time-shares, dormitories, transitional housing, homeless
shelters that are used as a residence, student housing, assisted living housing, and other types of
housing are all covered by the Fair Housing Act.
Among its substantive provisions, the Fair Housing Act requires “covered multifamily
dwellings,” designed and constructed for first occupancy after March 13, 1991, to be readily
accessible to and usable by persons with disabilities. In buildings with four or more dwelling
units and at least one elevator, all dwelling units and all public and common use areas are subject
to the Act’s design and construction requirements. In buildings with four or more dwelling units
and no elevator, all ground floor units and public and common use areas are subject to the Act’s
design and construction requirements.100 In addition, the Fair Housing Act requires that housing
providers make reasonable accommodations in rules, policies, and services, when such
accommodations may be necessary to afford a person with a disability equal opportunity to use
and enjoy a dwelling unit, including public and common use areas, and that housing providers
permit reasonable modifications of existing premises for persons with disabilities.
The Fair Housing Act also requires HUD to administer HUD programs and activities in a manner
that affirmatively furthers fair housing (42 U.S.C. § 3608(e)(5). HUD’s affirmatively furthering
fair housing (“AFFH”) rule in 24 C.F.R. §§ 5.150-5.180 will apply to PHAs (except for qualified
PHAs) for the PHA’s fiscal year that begins on or after January 1, 2018 for which a new 5-year
plan is due, as provided in 24 C.F.R. § 903.5. The affirmatively furthering fair housing
regulations will apply to qualified PHAs, for the PHA’s fiscal year that begins on or after
January 1, 2019 for which a new 5-year plan is due, as provided in 24 C.F.R. § 903.5.101

100

See 42 U.S.C. § 3604(f)(3)(c) and 24 C.F.R. § 100.205.
For purposes of the AFFH rule, “[a]ffirmatively furthering fair housing means taking meaningful actions, in
addition to combating discrimination, that overcome patterns of segregation and foster inclusive communities free
from barriers that restrict access to opportunity based on protected characteristics. Specifically, affirmatively
furthering fair housing under the AFFH rule means taking meaningful actions that, taken together, address
101

65

 Additional detail and discussion of the interplay between the Fair Housing Act, Section 504, and
Titles II or III of the Americans with Disabilities Act as these authorities relate to accessibility
requirements is described in Part 2 of this Appendix.
United States Housing Act of 1937 (1937 Act)
The United States Housing Act of 1937 (1937 Act) (42 U.S.C. § 1437c-1(d)(15)) requires PHAs
to submit a 5-year plan and an Annual Plan. Pursuant to HUD regulations, the Annual Plan
includes a certification by the PHA that the PHA will affirmatively further fair housing.
Title VI of the Civil Rights Act of 1964
Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.) and HUD’s implementing
regulation (24 C.F.R. part 1) prohibit recipients of Federal financial assistance from
discriminating, excluding from participation, or denying benefits to, any person on the basis of
race, color, or national origin. In addition, Title VI regulations prohibit HUD recipients of
Federal financial assistance from utilizing criteria or methods of administration which have the
effect of subjecting individuals to discrimination because of their race, color, or national origin
(24 C.F.R. § 1.4(b)(2)(i)). When determining the site or location of housing, recipients may not
make selections with the purpose or effect of excluding individuals from, denying them the
benefits of, or subjecting them to discrimination on the ground of race, color, or national origin
(24 C.F.R. § 1.4(b)(3)). An applicant or recipient of HUD financial assistance also has an
obligation to take reasonable action to remove or overcome the consequences of prior
discriminatory practices regardless of whether the recipient engaged in discriminatory conduct
(24 C.F.R. § 1.4(b)(6)).
Recipients of Federal financial assistance are required to take reasonable steps to ensure
meaningful access to their programs and activities for persons who have limited ability to read,
speak, or understand English – i.e., individuals who have limited English proficiency (LEP).
This includes oral and written communications during relocation and throughout a RAD
transaction. Such language assistance may include, but is not limited to, providing written
translation of notices regarding the plans for the project and relocation and oral interpretation at
meetings. Otherwise, LEP persons may be denied participation in, and the benefit of, the
recipients’ program or activity. On January 22, 2007, HUD issued “Final Guidance to Federal
Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin
Discrimination Affecting Limited English Proficient Persons” (LEP Guidance), available at:
http://www.lep.gov/guidance/HUD_guidance_Jan07.pdf.102

significant disparities in housing needs and in access to opportunity, replacing segregated living patterns with truly
integrated and balanced living patterns, transforming racially and ethnically concentrated areas of poverty into areas
of opportunity, and fostering and maintaining compliance with civil rights and fair housing laws.” 24 C.F.R. §
5.150. Meaningful actions means significant actions that are designed and can be reasonably expected to achieve a
material positive change that affirmatively furthers fair housing by, for example, increasing fair housing choice or
decreasing disparities in access to opportunity. See 24 C.F.R. § 5.152.
102
See also Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency,
which requires recipients of Federal financial assistance to take reasonable steps to provide meaningful access to

66

 Section 504 of the Rehabilitation Act of 1973
Section 504 of the Rehabilitation Act of 1973 provides: “No otherwise qualified individual with
a disability in the United States … shall, solely by reason of her or his disability, be excluded
from participation in, be denied the benefits of, or be subjected to discrimination under any
program, service or activity receiving Federal financial assistance.”103
Among other things, HUD’s regulations implementing Section 504 (in 24 C.F.R. part 8) prohibit
recipients of Federal financial assistance, in determining the site or location of a facility
receiving such assistance, from making site selections the purpose or effect of which would (1)
exclude qualified individuals with disabilities from or deny them the benefits of a program or
activity, or otherwise subject them to discrimination; or (2) defeat or substantially impair the
accomplishment of the objectives of the program or activity with respect to qualified individuals
with disabilities.104 These prohibitions apply to both determining the site of permanent facilities
and a site for relocation of residents.
Furthermore, HUD’s implementing regulations prohibit discrimination, the denial of benefits, or
the exclusion of participation of individuals with disabilities from the programs or activities of
recipients of federal financial assistance because a recipient’s facilities are inaccessible. Such
recipients must provide qualified individuals with disabilities with program access, which may
require modification of architectural features of facilities in RAD transactions for individuals
with disabilities to have access to the program. Certain architectural specifications apply to
facilities that are altered or newly constructed with HUD financial assistance, such as facilities
where assistance is transferred and facilities used as temporary or permanent relocation sites for
residents of a project undergoing a RAD conversion. If alterations are made to a housing
facility, the alterations to dwelling units in the facility are required, to the maximum extent
feasible (i.e., if doing so would not impose undue financial and administrative burdens on the
operation of the project), to be made readily accessible to and usable by individuals with
disabilities. If alterations taken to a development that has 15 or more units and the cost of the
alterations is 75% or more of the replacement cost of the completed facility (except when it
requires removal of structural load-bearing members), or if the facility is newly constructed, then
a minimum of 5% of the total dwelling units, or at least one unit in a development, whichever is
greater, must be made accessible for persons with mobility impairments. An additional 2% of
the units, but not less than one unit, in a development must be accessible for persons with
hearing and vision impairments.
In addition, regulations implementing Section 504 require recipients to make reasonable
accommodations for persons with disabilities. A reasonable accommodation is a change,
adaptation, or modification to a policy, program, service, or workplace which will allow a
qualified person with a disability to participate fully in a program, take advantage of a service, or
perform a job. Section 504 also includes effective communication requirements, such as

their programs and activities for LEP persons. E.O. 13166 directs all Federal agencies, including HUD, to issue
guidance to help recipients of Federal financial assistance in providing such meaningful access to their programs.
103
29 U.S.C. § 794. HUD’s Section 504 regulation that applies to recipients of Federal financial assistance,
including PHAs and Project Owners, is located at 24 C.F.R. part 8.
104
24 C.F.R. § 8.4(b)(5).

67

 providing interpreters and alternate format documents (e.g., Braille, large print, accessible
electronic communications) for persons with disabilities.
Additional detail and discussion of the interplay between Section 504, the Fair Housing Act, and
Titles II or III of the Americans with Disabilities Act as these authorities relate to accessibility
requirements is described in Part 2 of this Appendix.
Titles II and III of the Americans with Disabilities Act
Title II of the Americans with Disabilities Act (ADA) prohibits discrimination on the basis of
disability in all services, programs, and activities provided or made available by public entities.
Title II of the ADA applies to housing developed or operated by state and local governments,
which includes a PHA. Title III of the ADA prohibits discrimination on the basis of disability by
public accommodations and requires places of public accommodation and commercial facilities
to be designed, constructed, and altered in compliance with established accessibility standards.
For example, Title III applies to rental offices, sales offices, homeless shelters, hotels and motels,
and commercial spaces associated with housing, such as daycare centers, social service offices,
and sales and retail establishments. Titles II or III also will generally apply to community spaces
and facilities, such as neighborhood networks, to computer centers (including the computers in
the centers), and to transportation services and conveyances provided by PHAs and Project
Owners.
Additional detail and discussion of the interplay between Titles II and III of the Americans with
Disabilities Act, the Fair Housing Act, and Section 504 of the Rehabilitation Act as these
authorities relate to accessibility requirements is described in Part 2 of this Appendix.
Section 109
Section 109 of the Housing and Community Development Act of 1974 (HCDA of 1974), Title I,
prohibits discrimination on the basis of race, color, national origin, disability, age, religion, and
sex in Community Development Block Grant (CDBG) programs and activities. Section 109
applies to RAD projects that receive CDBG or other assistance under Title I of the HCDA of
1974.
In addition to its responsibility for enforcing other Federal statutes prohibiting discrimination in
housing, HUD has a statutory obligation under Section 109 to ensure that individuals are not
subjected to discrimination on the basis of race, color, national origin, disability, age, religion, or
sex by recipients of CDBG funds. Section 109 charges HUD with enforcing the right of
individuals to live in CDBG-funded housing and participate covered programs and activities free
from such discrimination. However, this additional statutory authority only applies to programs
authorized under Title I of the HCDA of 1974, such as CDBG and programs, such as Section
108 loan guarantees and the Historically Black Colleges and Universities program.
Equal Access to HUD-assisted or HUD-insured Housing
HUD requires its housing programs to be open to all eligible individuals and families regardless
of sexual orientation, gender identity or marital status. HUD recipients and subrecipients must
comply with 24 C.F.R. § 5.105(a)(2) when determining eligibility for housing assisted with HUD
68

 funds or subject to an FHA-insured mortgage, and when making such housing available. This
includes making eligibility determinations and making housing available regardless of actual or
perceived sexual orientation, gender identity, or marital status, and prohibiting inquiries about
sexual orientation or gender identity for the purpose of making eligibility determinations or
making housing available. Applicants are encouraged to become familiar with these
requirements, HUD’s definitions of sexual orientation and gender identity at 24 C.F.R. § 5.100,
clarifications to HUD’s definition of family at 24 C.F.R. § 5.403, and other regulatory changes
made through HUD’s Equal Access Rule, published in the Federal Register at 77 FR 5662 (Feb.
3, 2012).
Section 3: Economic Opportunities for Low- and Very Low-income Persons.
Certain HUD programs require recipients of assistance to comply with Section 3 of the Housing
and Urban Development Act of 1968 (Section 3), 12 U.S.C. § 1701u (Economic Opportunities
for Low- and Very Low-Income Persons in Connection with Assisted Projects), and the HUD
regulations at 24 C.F.R. part 135. The regulations at 24 C.F.R. part 135 implementing Section 3
ensure, to the greatest extent feasible, that training, employment, contracting and other economic
opportunities be directed to low- and very low-income persons, especially recipients of
government assistance for housing, and to businesses that provide economic opportunities to
low-and very low-income persons where proposed project is located. Recipients of funds
covered by Section 3 must comply with 24 C.F.R. part 135, particularly subpart B-Economic
Opportunities for Section 3 residents and Section 3 Business Concerns, and Subpart E-Reporting
and Recordkeeping. HUD encourages recipients to search the national Section 3 Business
Registry to find local businesses that prioritize hiring Section 3 residents.
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as
amended, 42 USC § 4601 et seq. (URA) is a Federal law that establishes minimum standards for
programs or projects receiving Federal financial assistance that include the acquisition of real
property (real estate) and/or displace persons from their homes, businesses, or farms as a result
of acquisition, rehabilitation, or demolition.105 The URA implementing Federal regulations can
be found at 49 C.F.R. part 24. Project-Based Voucher (PBV) and Project-Based Rental
Assistance (PBRA) are considered Federal financial assistance for purposes of the URA. As a
result, the URA will apply to acquisitions of real property and relocation of persons from real
property that occur as a direct result of acquisition, rehabilitation or demolition for a project that
involves conversion of assistance to PBV or PBRA programs under RAD.

105

For additional guidance, see HUD Handbook 1378 Tenant Assistance, Relocation, and Real Property
Acquisition), available at:
http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/library/relocation/policyandguidance/h
andbook1378.

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 Section 104(d) of the Housing and Community Development Act of 1974
Section 104(d) of the Housing and Community Development Act of 1974, as amended, 42 USC
§ 5304(d), (Section 104(d)), is a Federal law that applies when a lower-income dwelling is
demolished or converted (as conversion is defined in accordance with 24 C.F.R. § 42.305) to a
use other than lower-income housing in connection with a Community Development Block
Grant Program (CDBG) or HOME Investment Partnerships Program (HOME) funded activity.
Under Section 104(d), a lower-income person is considered displaced and, therefore eligible for
Section 104(d) relocation assistance if the person permanently moves from real property or
permanently moves personal property from real property as a direct result of the demolition or
conversion of a lower-income dwelling to a use other than lower-income dwelling unit in
connection with a CDBG or HOME funded activity. The Section 104(d) one-for-one
replacement housing requirements may apply with respect to occupied and vacant occupiable
lower-income dwelling units that are demolished or converted to a use other than lower-income
dwelling units in connection with CDBG or HOME funded activity. Section 104(d)
implementing regulations can be found at 24 C.F.R. part 42, Subpart C. Additional HUD policy
and guidance for Section 104(d) is available in HUD Handbook 1378, Chapter 7.
Part 2 – Accessibility Requirements
Federal accessibility requirements apply to all RAD projects – whether they include new
construction, alterations, or existing facilities. Applicable laws include, but are not limited to,
the Fair Housing Act, Section 504 of the Rehabilitation Act, and Titles II or III of the Americans
with Disabilities Act (ADA). A PHA or Project Owner must comply with each law that applies
to its project and with the requirement that provides the most accessibility when two or more
laws apply. All three laws include new construction requirements. Substantial alterations,
additions, rehabilitation and existing facilities must be in compliance with applicable
requirements of Section 504 and the ADA.106 All three laws may also require reasonable
accommodations or modifications.
Accessibility Requirements for New Construction
The Fair Housing Act requires all “covered multifamily dwellings” designed and constructed for
first occupancy after March 13, 1991, to be readily accessible to and usable by persons with
disabilities. In buildings with four or more dwelling units and at least one elevator, all dwelling
units and all public and common use areas must meet the Fair Housing Act’s design and
construction requirements. In buildings with four or more dwelling units and no elevator, all
ground floor units and public and common use areas must meet the Fair Housing Act’s design
and construction requirements. The Fair Housing Act requires that all covered multifamily
dwellings be designed and constructed so that public and common use areas are readily
accessible to and usable by persons with disabilities; all doors are sufficiently wide to allow
passage by persons using wheelchairs; all units contain accessible routes into and through the
dwelling unit; light switches, electrical outlets, thermostats, and other environmental controls are
in accessible locations; reinforcements are installed in bathroom walls to allow later installation
106

See 24 C.F.R. § 100.205 (Fair Housing Act) and 24 C.F.R. §§ 8.22 and 8.23 (Section 504). See also 28 C.F.R. §
35.151(b) and 28 C.F.R. part 36 (ADA Titles II and III regulations, respectively).

70

 of grab bars; and kitchens and bathrooms are usable such that a person in a wheelchair can
maneuver about the space.107 These design and construction requirements apply whether the
housing is privately or publicly funded, including housing supported by tax credits.108
New construction of a multifamily housing project containing five or more dwelling units is also
subject to physical accessibility requirements under Section 504. Under Section 504, a “project”
includes all residential and appurtenant structures, equipment, roads, walks, and parking lots
which are covered by a single contract or application for Federal financial assistance, or are
treated as a whole for processing purposes, whether or not they are located on a single site.109
The accessibility standards for new construction under Section 504 are the Uniform Federal
Accessibility Standards (UFAS).110 HUD recipients may also use the 2010 ADA Standards for
Accessible Design under title II of the ADA, except for certain specific identified provisions, as
detailed in HUD’s Notice on “Instructions for use of alternative accessibility standard,”
published in the Federal Register on May 23, 2014 (“Deeming Notice”). This option exists until
HUD formally revises its Section 504 regulation to adopt an updated accessibility standard.
Refer to HUD’s Deeming Notice for more information.
Section 504 also requires that a minimum of 5% of the total dwelling units or at least one unit,
whichever is greater, is required to be accessible for persons with mobility impairments. An
additional 2% of the total dwelling units or at least one unit, whichever is greater, is required to
be accessible for persons with vision and hearing impairments.111 HUD may prescribe a higher
percentage or number of units upon request by any affected recipient or by any State or local
government or agency based upon demonstration to the reasonable satisfaction of HUD of a need
for a higher percentage or number, based on census data or other available current data, or in
response to evidence of a need for a higher percentage or number received in any other manner.
In reviewing such request or otherwise assessing the existence of such needs, HUD shall take
into account the expected needs of eligible persons with and without disabilities.112
Title II of the ADA prohibits discrimination on the basis of disability in all services, programs,
and activities provided or made available by public entities. Title II of the ADA applies to
housing programs, including housing developed or operated by state and local governments,
which includes PHAs. Title III of the ADA prohibits discrimination on the basis of disability by
public accommodations, including rental offices, and requires places of public accommodation
and commercial facilities to be designed, constructed, and altered in compliance with established
accessibility standards. All newly constructed or altered facilities, including facilities altered to

107

See 24 C.F.R. § 100.205.
For more information about the design and construction provisions of the Fair Housing Act, see
www.fairhousingfirst.org. See also the Joint Statement of the Department of Housing and Urban Development and
the Department of Justice, Accessibility (Design and Construction) Requirements for Covered Multifamily
Dwellings Under the Fair Housing Act (April 30, 2013), available at:
www.hud.gov/offices/fheo/library/hudjointstatement.pdf.
109
See 24 C.F.R. § 8.3.
110
The UFAS are available at https://www.access-board.gov/guidelines-and-standards/buildings-and-sites/about-theaba-standards/ufas). See also 24 C.F.R. § 8.32.
111
See 24 C.F.R. § 8.22.
112
See HUD regulation at 24 C.F.R. § 8.22(c).
108

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 comply with program access and readily achievable barrier removal obligations that exist under
Titles II or III of the ADA, must comply with the U.S. Department of Justice’s ADA
architectural accessibility standards as described in the following U.S. Department of Justice
Technical Assistance document ADA Requirements, Effective Date/Compliance Date (Feb.
2011), http://www.ada.gov/revised_effective_dates-2010.htm.
Accessibility Requirements for Alterations
If a building was constructed for first occupancy after March 13, 1991, the building must be in
compliance with, and all alterations must maintain the building’s accessible features so that the
building continues to meet, the Fair Housing Act’s accessibility requirements. In addition,
without regard to the date of construction for first occupancy, certain alterations may be required
under the Fair Housing Act if requested by a resident as a reasonable accommodation or
modification or otherwise required to remediate accessibility deficiencies in the design and
construction of the building.
Under HUD’s Section 504 regulation, alterations include any structural change in a facility or a
change to its permanent fixtures or equipment. If alterations are undertaken to a project that has
fifteen or more units and the cost of the alterations is 75% or more of the replacement cost of the
completed facility, this qualifies as “substantial alterations,” in which the new construction
provisions of 24 C.F.R. § 8.22 apply.113
When alterations are made that do not qualify as substantial alterations, alterations to dwelling
units in a multifamily housing project shall, to the maximum extent feasible, be made to be
readily accessible to and usable by individuals with disabilities.114 If alterations of single
elements or spaces of a dwelling unit, when considered together, amount to an alteration of a
dwelling unit, the entire dwelling unit shall be made accessible. Once 5% of the dwelling units
in a housing project are readily accessible to and usable by individuals with mobility
impairments, no additional elements of dwelling units or entire dwelling units are required to be
accessible under this provision. However, alterations to meet ongoing accessibility needs are
always required, for example, in response to a reasonable accommodation request. Alterations to
common areas or parts of facilities that affect accessibility of existing housing facilities shall, to
the maximum extent feasible, be made to be accessible to and usable by individuals with
disabilities. For purposes of this paragraph, the phrase “to the maximum extent feasible” shall
not be interpreted as requiring that a recipient (including a PHA) make a dwelling unit, common
area, facility or element thereof accessible if doing so would impose undue financial and
administrative burdens on the operation of the multifamily housing project.115
All altered facilities covered by Titles II or III of the ADA must be altered in accordance with the
U.S. Department of Justice’s 2010 ADA Standards for Accessible Design and applicable ADA

113

See 24 C.F.R. § 8.23(a). The sole exception is that load bearing structural members are not required to be
removed or altered.
114
HUD may require a higher number or percentage of accessible units pursuant to 24 C.F.R. § 8.22(c) and 24
C.F.R. § 8.23(b)(2).
115
24 C.F.R. § 8.23(b).

72

 regulations, unless subject to certain safe harbors identified in the 2010 ADA revised regulations
for Titles II and III, as applicable.116
HUD will consider on a case-by-case basis a PHA’s request to undertake limited new
construction on the site of a Covered Project undergoing rehabilitation to comply with
accessibility requirements on the site.
Additional Accessibility Requirements for Both New Construction and Alterations
Accessible units must be distributed throughout projects and sites and be available in a sufficient
range of sizes and amenities so that a qualified individual with disabilities’ choice of living
arrangements is, as a whole, comparable to that of other persons eligible under the same
program.117 This provision shall not be construed to require provision of an elevator in any
multifamily housing project solely for the purpose of permitting location of accessible units
above or below the accessible grade.
PHAs are encouraged to use universal design principles, visitability principles and active design
guidelines in planning new construction or retrofit work, wherever feasible. However, adherence
to universal design principles does not replace compliance with the accessibility requirements of
Section 504, the ADA and the Fair Housing Act.
Program Accessibility Requirements
Under Section 504, recipients must operate each existing housing program or activity receiving
Federal financial assistance so that the program or activity, when viewed in its entirety, is
accessible to and usable by individuals with disabilities. Title II of the ADA also includes a
program access requirement, while Title III of the ADA requires readily achievable barrier
removal.118 Further, Section 504, the Fair Housing Act, and the ADA require that reasonable
accommodations/modifications be granted to address disability-related needs of individuals with
disabilities.119

116

See http://www.ada.gov/regs2010/2010ADAStandards/2010ADAstandards.htm.
See 24 C.F.R. §§ 8.26 and 8.27.
118
See 28 C.F.R. § 35.150; 28 C.F.R. § 36.304.
119
For more information on reasonable accommodations, see the HUD/DOJ Joint Statement on Reasonable
Accommodations Under the Fair Housing Act at
http://portal.hud.gov/hudportal/documents/huddoc?id=JOINTSTATEMENT.PDF. While this joint statement
focuses on the Fair Housing Act, the principles discussed in the statement generally apply to requests for reasonable
accommodation under Section 504, except, for purposes of Section 504, HUD recipients are required to provide and
pay for structural modifications as a reasonable accommodation.
117

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 APPENDIX II: Recommended Relocation Plan Contents
While RAD mandates written relocation plans only for projects which involve permanent
relocation (including, without limitation, a move in connection with a transfer of assistance) or
temporary relocation anticipated to last longer than one year, HUD strongly encourages PHAs to
document their relocation planning process and procedures in a written relocation plan. The
following provides suggested content for required and recommended relocation plans. In the
case of any discrepancy between this description of the recommended relocation plan contents
and the provisions of the Notice to which this Appendix is attached or any applicable laws or
regulations with respect to the URA or Section 104(d), the provisions of the Notice or applicable
laws and regulations shall govern.
The basic elements of the relocation plan include:










A general description of the project and project elements that may create relocation
needs;
Information on residents of the project and eligibility for relocation assistance and
payments;
Information regarding how the project will address the RAD right to return requirements
and the project’s re-occupancy policies;
A detailed discussion of plans for temporary relocation assistance;
A detailed discussion of any transfer of assistance;
A detailed discussion of any offers of alternative housing options and plans for voluntary
permanent relocation assistance;
A detailed discussion of compliance with fair housing and civil rights requirements,
including accessibility requirements;
The relocation budget; and
The appeals process.

The plan as a whole should discuss the specific steps to be taken to minimize the adverse impacts
of relocation on the residents.
I. Project Summary
The Relocation Plan should provide a general description of the property (e.g., year built,
location, number of units, configuration, resident population served). The project summary
should also identify the nature of the activities to be undertaken, including acquisition,
demolition, rehabilitation, and construction activities and additional detail regarding the project
scope (e.g., gut rehab, systems replacement, modest in-unit renovations, transfer of assistance).
The project summary should also discuss how any construction activities are to be implemented
(i.e., vacate the property entirely, vacate specific floors or buildings, rehabilitation with residents
in place). The summary should also discuss the overall theory of relocation, for example,
whether a few households will be relocated off-site and the vacant units will be used as
temporary housing before other households move back to their original units (a “hoteling”
approach), or whether the vacant units will be permanently occupied, with the residents vacating
other units to be renovated (a “domino” approach).

74

 The relocation plan should also identify the funding sources which may trigger relocation
requirements, with particular attention to the potential presence of HOME or CDBG funds which
may trigger Section 104(d) requirements.
II. Project Occupancy
The Relocation Plan should provide information on occupancy of the property including the
number of residents, their household type (family, elderly), any non-residential (commercial)
occupants, and should identify how any routine needs (such as continuation of utilities such as
telephone service) and civil rights compliance issues (for example, limited English proficiency,
disabilities, reasonable accommodations and unit modifications that have been or may be
necessary) shall be identified and addressed. The Relocation Plan may specify the community
meetings, interviews and/or other processes that will be undertaken to assess the residents’
needs.
The Relocation Plan should also address eligibility for relocation assistance and payments,
applying the rules of the Notice to the particularities of the project.
III. Resident Return and Re-occupancy Policies
The Plan should address how the project will honor the RAD right to return requirements and the
“no re-screening upon conversion” policy. With respect to residents who will be temporarily
relocated, the Plan should include the methodology that will be used to determine the sequence
in which residents will re-occupy units at the project after rehabilitation, demolition, and/or
construction is completed, and to determine how residents are matched with units if the residents
are not able to return to their original unit. For example, if units will come online in stages, the
plan should outline how the PHA or Project Owner will determine when each resident will return
to the property.
IV. Temporary Relocation Assistance
The plan should detail the temporary housing resources to be used, the anticipated duration of
temporary relocations, notices to be provided and the temporary relocation assistance the PHA or
Project Owner will provide for residents (Paragraph 2-7 of HUD Handbook 1378). Topics to be
addressed in the Plan include:






Temporary Housing Resources. The Plan should identify the nature and availability of
the temporary housing resources the PHA or Project Owner anticipates using. On-site
resources are generally preferred. However, in some cases, PHAs or Project Owners may
need to use hotel rooms for short-term relocations, or market-rate apartments. If the PHA
or Project Owner anticipates using other assisted housing resources (such as HCVs,
public housing or other properties with regulatory restrictions), the PHA or Project
Owner should take particular care to address regulatory issues.
Allocation of Temporary Relocation Resources. The Plan should describe a fair and
reasonable methodology for allocating temporary relocation housing to residents on a
nondiscriminatory basis.
Duration of Temporary Relocation. In the event that the Plan includes relocation which
is anticipated to exceed one year, it should detail the requirements which apply to those
75

 










120

residents (such as the issuance of a Notice of Relocation to the resident covering
eligibility for URA relocation assistance, the offer of permanent relocation assistance and
payments at URA levels and, if conditions warrant, the subsequent issuance of a Notice of
Eligibility) as distinct from requirements that apply to residents who are not relocated for
more than one year.
Packing and Moving Assistance. The Plan should address how the PHA or Project
Owner intends to provide or reimburse for packing and moving services and expenses.
Considerations the Plan may want to address include:
o Instructions and supplies (e.g., boxes, markers, tape) to be provided if residents
prefer to pack their own personal possessions and items of value;
o Assistance in packing to be provided if residents need assistance or prefer not to
pack their personal possessions;
o Guidance on how residents request to pack their own possessions or to receive
packing assistance; and
o How the PHA or Project Owner intends to provide or reimburse for moving
services and expenses. The PHA or Project Owner can choose to do one or more
of the following:
 Undertake the moves itself, using employees of the PHA or Project Owner
or “force account labor”120
 Use a contractor or moving company
 Reimburse residents for all actual, reasonable and necessary moving
expenses.
Storage. The Plan should address whether storage of the resident’s personal property is
necessary and the arrangements for such storage.
Damage or Loss. The Plan should address Insurance for the replacement value of the
property in connection with the move and necessary storage and/or the replacement value
of property lost, stolen, or damaged in the process of moving (not through the fault or
negligence of the displaced person, his or her agent, or employee) where insurance
covering such loss, theft, or damage is not reasonably available.
Out-of-Pocket Expenses. The nature of out of pocket expenses vary based on the nature
of the temporary relocation moves. For example, hotel stays or in-place renovation may
trigger the need for reimbursement of meals while a kitchen is unavailable. The Plan
should outline the anticipated out-of-pocket expenses and the PHA’s or Project Owner’s
plans and budget with respect to these expenses.
Leasing Arrangements. The Plan should address whether the resident will have a direct
lease or other contractual relationship with the owner of the temporary relocation
resource or whether the PHA or Project Owner will hold the lease and the resident will
maintain a contractual relationship with the PHA or Project Owner.
Utility Costs. The Plan should address whether residents will need to disconnect and
reconnect necessary utilities and, if so, how the PHA or Project Owner anticipates
managing this process and any associated expenses. Necessary utilities may include
telephone, cable service, Internet access or other items. The Plan should address payment
of utility deposits, if required at the temporary relocation housing (HUD Handbook 1378,
paragraph 2-7(A)(3)).

Defined at 24 C.F.R. 905.108.

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 

Reasonable Accommodations. The plan should address whether residents with
disabilities will require reasonable accommodations during temporary relocation and, if
so, how the PHA or Project Owner anticipates ensuring the provision of reasonable
accommodations and any associated expenses. Reasonable accommodations may
include, among other items, the provision of transportation assistance, relocation to
locations which are physically accessible and located near public transportation, and
modifications to policies to allow individuals with disabilities to reside with a live-in
aide.

V. Transfer of Assistance
Relocation planning in the context of transfer of assistance is particularly complex. The PHA
should address how RAD, URA and Section 104(d) requirements each apply, as the same
activity may be treated differently under each regulatory framework. The Plan should
specifically outline the PHA’s procedures to ensure that the applicable requirements are applied
to each situation appropriately. The Plan should also address whether relocation is required for
any businesses or residents at the destination site. Finally, the Plan should address whether two
moves – from the public housing site to an intermediate site and then to the transfer of assistance
site – are necessary while the Covered Project is being constructed or rehabilitated.
VI. Alternative Housing Options and Voluntary Permanent Relocation Assistance
If the PHA or Project Owner seeks to offer alternative housing options, the Plan should identify
those options and the manner in which they are presented to residents for decision. The plan
should also outline the counseling the PHA or Project Owner will provide to assist the residents
in determining what options may be available and the financial implications of those options, for
example,
1. Discussion of whether units available in the market (either in the affordable market or the
unrestricted market) will meet the financial and dwelling requirements of relocated
residents;
2. The general area or location of unit(s);
3. Where applicable, the accessibility of such units for individuals with disabilities;
4. Criteria for receiving relocation assistance; and
5. Any other information that might benefit residents in their consideration of housing
choices.
The Plan should identify how the PHA or Project Owner will work with any residents who have
elected voluntary permanent relocation. The Plan should further include a description of the
permanent relocation assistance the PHA or Project Owner will provide to such residents. Topics
to be addressed in the Plan include:


Replacement Housing. The Plan should address the availability of comparable
replacement housing, the notices to be provided and the provisions to ensure that
appropriate accessibility features are available in compliance with applicable laws and
regulations.

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 












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Fair housing considerations. The Plan should address referrals to housing not located in
areas of minority concentration and compliance with requirements regarding accessible
housing for persons with disabilities. The Plan should address how the PHA or Project
Owner will determine if residents have paid for the acquisition and/or installation of
accessible features in the housing from which they are being relocated and how the PHA
or Project Owner will ensure that the replacement housing contains required and
comparable accessible features or that the resident is appropriately compensated for the
cost of acquiring and/or installing required and comparable accessible features.
Packing and Moving Assistance. The Plan should address how the PHA or Project
Owner intends to provide or reimburse for packing and moving services and expenses.
Considerations the Plan may want to address include:
o Instructions and supplies (e.g., boxes, markers, tape) to be provided if residents
prefer to pack their own personal possessions and items of value;
o Assistance in packing to be provided if residents need assistance or prefer not to
pack their personal possessions;
o Guidance on how residents request to pack their own possessions or to receive
packing assistance; and
o How the PHA or Project Owner intends to provide or reimburse for moving
services and expenses consistent with 49 C.F.R. § 24.301 or, at the resident’s
option, 49 C.F.R. § 24.302.
Storage. The Plan should address whether storage of the resident’s personal property is
necessary and the arrangements for such storage. See 49 C.F.R. § 24.301(g)(4).
Damage or Loss. The Plan should address Insurance for the replacement value of the
property in connection with the move and necessary storage and/or the replacement value
of property lost, stolen, or damaged in the process of moving (not through the fault or
negligence of the displaced person, his or her agent, or employee) where insurance
covering such loss, theft, or damage is not reasonably available.
Dislocation Allowance. The Plan should address when the resident is entitled to a
dislocation allowance and the amount of such dislocation allowance, consistent with the
URA Fixed Residential Moving Cost Schedule available at:
www.fhwa.dot.gov/real_estate/uniform_act/relocation/moving_cost_schedule.cfm.
Appliances. The Plan should address disconnecting, dismantling, removing,
reassembling, and reinstalling relocated household appliances and other personal
property.
Security Deposits and Utility Costs. The Plan should address how the PHA or Project
Owner anticipates managing transfer of utility arrangements, security deposits and any
associated expenses. Utilities may include telephone, cable service, Internet access or
other items that may have been in place in the resident’s original home. See 49 C.F.R.
§ 24.301(h)(12).
Replacement Housing Payment. The Plan should address the circumstances in which
displaced residents may be entitled to a replacement housing payment (RHP) to cover the

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 increase, if any, in monthly housing costs for a 42-month period pursuant to URA
requirements or a 60-month period pursuant to Section 104(d).121
VII. Relocation Budget
Based on the results of the planning process, the PHA or Project Owner should create a
relocation budget that includes the following six components:
1) The cost of administering the plan and providing assistance and counseling.
2) Reasonable moving expenses for a person with disabilities, which may include the cost of
moving assistive equipment that is the personal property of the residents, the furnishings
and personal belonging of a live-in aide, and/or other reasonable accommodations (HUD
Handbook 1378, Paragraph 3-2).
3) The cost of the physical move of the residents’ belongings. (It is suggested that the move
costs be broken down by average cost per move type multiplied by the number of
moves.) This physical move cost total should be based on the move scenarios anticipated
or projected by the resident survey. The move costs should consider:
For temporary relocation moves:
 Number and cost of two-way moves (i.e., a move to another unit and then a return
move) within the same building/complex.
 Number and cost of two-way moves to a unit not in the same building/complex
For permanent moves:
 Number and cost of one-time moves into another unit in the same
building/complex.
 Number and cost of one permanent move to a unit not within the same
building/complex
 Any required dislocation allowance
4) The estimated cost of projected increases in monthly housing costs and other expenses
for temporary relocation (if applicable).
5) The estimated cost of projected replacement housing payments (RHP) (42-month period
for URA or 60-month period if Section 104(d) applies).
6) Contingency costs estimated for carrying out the relocation process necessary to
complete the proposed project.

See also, CPD Notice 2014-09 “Effective Date of Moving Ahead for Progress in the 21st Century Act (MAP-21)
Changes to Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (URA)
Payment Limits and Replacement Housing Payment Eligibility Criteria.”
121

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 VIII. Written and Oral Communications with Individuals with Disabilities and LEP
Persons and Use of Accessible Meeting Locations
The Plan should identify how the PHA or Project Owner will take appropriate steps to ensure
effective communication with residents and other individuals with disabilities involved in the
relocation, such as through the provision of sign language and other interpreters and large print,
Braille, accessible electronic, and other alternate format written communications. The Plan
should identify the measures to be taken to ensure the most integrated meeting settings
appropriate to individuals with disabilities. The Plan should identify how the PHA or Project
Owner will ensure meaningful access for LEP persons, such as through written materials and
oral communications provided in languages other than English.
IX. Appeal Process
The Plan should specify the procedures to be followed if a resident disagrees with the PHA’s or
Project Owner’s decision as to the resident’s eligibility to receive relocation assistance, the
amount of a relocation payment, or the adequacy of a comparable replacement dwelling offered
to a resident. These procedures should include the process for filing a written appeal to the
displacing agency and the specific appeal procedures to be followed consistent with 49 C.F.R.
24.10 (and 24 C.F.R. § 42.390 if Section 104(d) is involved).
X. Certification
The Plan should contain a certification of compliance with this Notice (or H 2014-09/PIH 201417, if applicable), the URA, fair housing and civil rights requirements and, if applicable, Section
104(d).
Technical Assistance
For detailed technical assistance regarding the contents or provisions of a written relocation plan,
the PHA or Project Owner should direct questions to their RAD Transaction Manager or email
rad@hud.gov.

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