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8 600.120 Summary of substate planning

comment on the State policies shall be and management assistance proce.

designated by the State in consultadures.

tion with its advisory group.

(e) OPD section copies. States shall The following describes procedures which States shal employ for manag.

provide each substate applicant eligiing substate planning and manage

ble to apply directly to HUD a copy of ment assistance;

the section of the State OPD applica

ble to it. (Substate applicants required (a) Intent. It is HUD's intent to give

by law to apply to the State shall be States major responsibility and discre

provided copies at the time they make tion, in consultation with substate applicants, for administering a program

inquiry for assistance.) of planning and management assist

(f) Consultation records. The State ance and services for substate appli

shall maintain a record of all its accants required under $ 600.25, or elect

tions taken pursuant to the consultaing to apply to the State under para

tion requirement and of the comments graph (j) of this section. HUD's main

received from elected officials. concern will be with the State's admin- (g) Application submission. After istration of substate assistance and

the HUD Office has identified bench services according to this part and the mark grant figures, the State may State's OPD.

submit an application, based upon (b) Consultation process. States

which lump sum amour.ts of assistance shall develop policies, strategies, ad

for substate categories will be negoti. ministrative procedures and require

ated with HUD. ments to be employed in administering (h) Annual grant budget. The grant substate assistance, in carrying out amounts for substate categories will be State responsibilities under the A-95 included in the State annual grant and procedure and in providing overall will appear as sub-totals in the annual guidance to all substate applicants. grant budget (Form HUD 7026.3). These policies shall be developed in Funds budgeted for assistance and serconsultation with an advisory group vices to localities may not be utilized representative of substate applicant by States or area wide planning organicategories. The State shall undertake zations to provide services through consultations annually, prior to the their own staff exclusively. Reasonsubmission of its application.

able opportunities shall be provided to (c) Advisory group composition. The localities to use local staff or to obtain advisory group shall be composed of the professional services of public or persons designated by the State and private consultants. shall include appropriate representa- (i) Substate timing. Eligible substate tion from each of the following:

applicants for which the State has re(i) Localities;

sponsibility shall request comprehen(ii) Large cities and urban counties; sive planning and management assist

(iii) Metropolitan areawide planning ance from the State at times and in organizations; and

the manner established by the State. (iv) Nonmetropolitan areawide plan- (j) Voluntary agreements. Substate ning organizations.

applicants who are eligible to apply di(d) Elected officials review. Elected rectly to HUD may decide voluntarily officials representative of the catego- to enter into agreements with States ries identified in paragraph (c) of this providing for State administration of section shall be afforded an opportuni- 701 grant funds. The Substate applity for review and comment on the poli- cant's decision must be communicated cies and strategies developed by the to the State in writing and be enState in consultation with its advisory dorsed by the Chief Executive Officer, group. These comments shall be con- or in the case of an areawide planning sidered by the State prior to the inclu- organization, the highest policy offision of these policies in the applicable cer. Once a substate applicant has sections of the State Overall Program committed itself in the manner indiDesign. The elected officials to be pro- cated above, it may not change its devided an opportunity to review and cision during the Federal fiscal year in

within which the subgrantee is located and, for areawide planning organizations, the counties of jurisdiction, and the population of the jurisdiction or organization being assisted.

8 600.128 (Reserved)

8 600.130 Negotiations with HUD.

Negotiations with HUD will focus on:

(a) Relevance of the proposed program to the requirements of this part and to specific statewide objectives and critical problems of substate applicants;

(b) Past State performance in managing the prograrı, and achieving objectives;

(c) Substate applicant performance and progress; and

(d) State capability for providing a variety of planning assistance and services.

question. The State shall accept or reject substate requests for State administration and notify HUD by the date annually established by HUD. The State notification to HUD must identify the appucants to be assisted by the State and include copies of the substate applicant requests.

(1) Interstate voluntary agreements. Interstate recipients may voluntarily agree to administration by a single State provided that all affected States also agree to such an arrangement. Letters from the Governors of the af. fected States must accompany the administering State's notification to HUD along with the interstate's request for State administration.

(2) Agreement duration. State administration shall be on an annual basis and substate applicants must reaffirm their intentions to the State annually.

(k) Expenditure of funds. The grant will be available to the State only for the duration of the project period.

(1) Commitment of funds. After receiving from HUD the formal notification of grant approval, the State agency may commit and/or expend funds effective with the beginning of the project period and without further HUD concurrence. However, in the case of grants to counties having a population of 50,000 or more located within metropolitan areas, prior HUD concurrence is required.

(m) State notification. Each State shall notify its State central information reception agency of each subgrant that it awards within (7) days of the award, using Standard Form 240 (Notification of Grant-in-Aid Action), copies of which can be obtained from HUD. Three copies of the notification shall be submitted to HUD along with a copy of the annual work program summary and the organizational characteristics statement for areawide planning organizations, urban counties, and large cities, and a copy of the description of work or scope of services for localities. The Standard Form 240 (line 3) should indicate the Federal grantor (HUD) and the State grantor. Lines 13, 14 and 15 need not be completed. The State shall also indicate in line 16 (Remarks) the county

8 600.135 State review and evaluation.

The State shall review the planning activities of recipients on a continuing basis. The following specific items shall be reviewed:

(a) The quality of the planning work performed;

(b) The timeliness of the work performance;

(c) The recipient's coordination efforts;

(d) The quality of citizen involvement;

(e) The value of the planning work in improving the chief executive's management capability;

(f) The recipient's compliance with Equal Opportunity requirements; and

(g) The recipient's progress toward meeting the housing and land use elements required in 8 600.67.

Subpart E-Evaluation and Coordination Procedures

8 600.140 Purpose.

This Subpart sets forth the procedures for evaluation of programs and the coordination of assisted planning among agencies and governmental levels which may enhance or be affected by such planning.

8 600.145 Evaluation and review.

house of the intent to submit an appli

cation to HUD or to the State for comEvaluation and review procedures

prehensive planning assistance. Federare established as follows:

ally recognized Indian tribes may vol(a) Evaluation. Required monitoring

untarily participate in the A-95 Projand reporting ac vities are defined in

ect Notification and Review System chapter 4 of HUD Handbook 6042.1A

and are encouraged to do so. “Comprehensive Planning Assistance

(b) Interstate applications. InterHandbook II” (July 1973). With the

state Regional Commissions submitAnnus! Program Report described

ting applications for a HUD Compretherein and required to be submitted,

hensive Planning Assistance grant applicants shall include a brief evalua

shall notify the Governors of the af. tion statement endorsed by the Gover

fected States and/or the designated nor, chief executive officer, or highest

State clearinghouse(s) of their intent policy officer of an areawide planning

to apply to HUD. organization that relates the follow

(c) Clearinghouse notification. Aping: (1) Overall benefit of the program to

plicants must notify the appropriate

State, regional, and metropolitan the recipient government or areawide planning organization;

clearinghouses well in advance of the

HUD negotiations conference. In no (2) Anticipated or actual effects of

instance will applicatio: is be processed the major planning and management

without having fulfilled the A-95 reactivities undertaken by the applicant

quirements. in terms of dollar savings, improved ef

(d) Clearinghouse comments. State fectiveness, increased efficiency, etc.;

clearinghouses, in addition to comand

menting on the basis of the criteria (3) Progress of the recipient in im

contained in OMB Circular No. A-95, plementing 701 funded planning and

are encouraged to provide HUD with management recommendations.

comments on substate applications on (b) HUD review of recipient evalua

the basis of the policies contained in tion. HUD review of evaluations made

the applicable section of the State by recipients will be discussed at the

OPD pursuant to 8 600.115(d). time of negotiations on new applications. The HUD review will cover the 8 600.165 (Reserved) recipient's:

(1) Capability, performance and pro- $ 600.170 Overall Program Design review. gress pursuant to the criteria of

(a) In addition to the A-95 review, $ 600.10(d); and

referred to in $ 600.160, assisted agen(2) Performance in administering

cies should submit a draft copy of the grants to substate applicants, as appli

Overall Program Design to agencies cable.

likely to be asked to implement por

tions of the plans and programs or to 8 600.150 Coordination and intergovernmental review procedures.

agencies whose activities are likely to

be substantially affected by the plans The procedures required by $ 600.160 and programs; and to State, areawide, and 600.170 are established to assure local, and Federal agencies and private intergovernmental coordination and agencies expected to contribute cash ieview of planning and management or services to the planning effort. programs proposed for assistance.

(b) Each nonmetropolitan areawide

planning organization shall submit a 8 600.160 OMB Circular A-95 coordination

copy of its Overall Program Design to procedures.

the chairman of the State Rural De(a) General. In accordance with velopment Committee of the U.S. DeOffice of Management and Budget partment of Agriculture, in accordance Circular A-95, Part I, Project Notifica- with agreed upon procedures between tion and Review System, applicants the State Planning agency and the (except Federally recognized Indian State rural development committee. tribes) are required to notify the State (c) Each areawide planning organizaand regional or metropolitan clearing- tion designated as an economic development district (EDD) or adjacent to the central office of the Appalachian an EDD must submit a copy of its Regional Commission. Overall Program Design to the regiora- (e) Executive bodies of areawide al office of the Economic Development planning organizations and the chief Administration, ".S. Department of executive officials of cities and counCommerce.

ties over 50,000 population within the (d) Each areawide planning organi. areawide jurisdiction shall exchange zation designated as a local develop- draft Overall Program Designs or ment district (LDD) must submit a work programs for comment by the recopy of its Overall Program Design to ciprocating office.





Part 700


Page 242



Financing private new community development.....




Financing public and private new community de




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