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Subpart C-Procedural Requirements


600.85 Purpose. Subpart A-General Information

600.90 Steps for application submission, Sec.

negotiation and approval. 600.1 Purpose.

600.95 Applications by States. 600.5 [Reserved).

600.100 The application package. 600.7 Definitions.

600.105 Overall Program Design. 600.10 Financial support. 600.16 Staff and consultant services.

Subpart D-State Procedures for Substate Plan

ning and Management Assistance and Serv600.20 Inservice training.

ices 600.25 Who may be assisted.

600.110 Purpose. 600.30 Legal status and authority.

Assistance to States for statewide 600.35

600.115 State Overall Program Design. planning and for assistance and

600.120 Summary of substate planning and services to substate applicants.

management assistance proce

dures. 600.36 Eligible applicants to the State. 600.37 Provision of planning and manage

600.125 (Reserved] ment assistance and services to

600.128 Considerations in State assistance to

large cities, urban counties and
localities by areawide planning

600.180 Negotiations with HUD.

600.136 State agency rovlow and evaluation. 600.40 Grants for areawide planning and Subpart E--Evaluation and Coordination management assistance.

Procedures 600.45 Assistance to large cities.

600.140 Purposo. 600.47 Assistance to urban counties.

600.146 Evaluation and review. 600.48 Assistance to Indian Tribal groups

600.150 Coordination and intergovoromonor bodies.

tal review procedures. 600.50 Assistance to applicants having spe- 600.160 OMB Olrcular A-96 coordination cial needs.

procoduros. 600.55 Eligible activities: all applicants. 600.165 Governors' review and comment. 600.58 Ineligible activities: all applicants. 600.170 Overall Program Dosign rovlow. 600.59 Waivers.

AUTHORITY: Sec. 701, Housing Act of 1954, Subpart B-Special Requirements

68 Stat. 640; 40 U.S.C. 461; Secretary's dele600.60 Purpose.

gation of authority published at 36 FR 6004, 600.65 Environmental considerations.

effective Mar. 8, 1971. 600.66 Historic preservation considerations. SOURCE: 37 FR 6667, Apr. 1, 1972, unless 600.67 Comprehensive planning require- otherwise noted. ment.

Subpart A-General Information 600.70 Required housing element. 600.72 Required land use element.

$ 600.1 Purpose. 600.75 Equal opportunity requirements.

The purpose of this Subpart is to set 600.80 Citizen involvement.

forth provisions of general applicability 1 38 FR 8011, Mar. 27, 1973.

with respect to the regulations in this Part. Such provisions relate to assisting ures to achieve State and local goals and recipients as follows:

objectives. (a) To develop and improve overall (39 FR 43378, Dec. 12, 1974) governmental capability and the management and decision-making capability

$ 600.5 [Reserved). of Governors and Chief Executive Of- $ 600.7 Definitions. ficers to:

As used in this part, the following (1) Improve public service produc

terms shall have the meaning indicated. tivity by making governmental services

(a) “Applicant” means a State or unit more effective, efficient and less costly;

of general local government, or any com(2) Modernize state and local govern

bination thereof, or areawide planning ment institutions and areawide struc

organization which makes application tures to address community development

pursuant to the provisions of this part. issues and to provide more responsive

One or more public agencies may be service;

designated by the Governor or a Chief (3) Analyze, develop and evaluate

Executive Officer of a unit of general fiscal and administrative policies to re

local government to undertake the comduce the cost of governmental services

prehensive planning and management and facilities;

assistance program in whole or in part, (4) Maximize the use and conserva

but only the State, or unit of general tion of existing resources;

local government or any combination (5) Develop a policy-planning-evalu

thereof, or areawide planning organizaation capacity; and

tion may be the applicant under this (6) Implement a comprehensive plan

Part. or part thereof or related plans or plan

(b) “Areawide planning organizaning.

tion” means an organization authorized (b) Address special problems or op

by law or by interlocal agreement to portunities including:

undertake planning for a metropolitan (1) Planning for the recovery from

or nonmetropolitan area which meets and to lessen the impact of floods and

the areawide organizational and jurisother natural or man-caused incidents;

dictional requirements of this part; and (2) Planning for economic recovery of

Council of Governments. communities impacted by substantial

(c) “Chief Executive Officer" means changes in Federal activities, such as

the elected official, or the legally desigbase closing; and

nated official, who has the primary re(3) Developing energy conservation

sponsibility for the conduct of the govmeasures to reduce energy consumption

ernmental affairs of a unit of general and to assist communities facing sub

local government. Examples of the stantial impact due to exploitation of

“Chief Executive Officer” of a unit of energy resources situated within or ad

general local government may be: the jacent to the community.

elected mayor of a municipality; the (c) Develop coordination mechanisms which will facilitate planning on an inte

elected county executive of a county; the grated basis for States, metropolitan and

chairman of a county commission or non metropolitan areas, counties, mu- board in a county that has no elected nicipalities and Indian tribal groups or county executive; the official designated bodies and to link governmental plan- pursuant to law by the governing body of ning and capital improvement programs. the unit of general local government, or

(d) Develop and carry out a compre- the chairman, governor, chief, or presihensive plan as part of an on-going com- dent (as the case may be) of an Indian prehensive planning process including:

tribe or Alaskan native village. (1) The development of land use plans

(d) “Council of Governments" and to facilitate the efficient use of land for

“COG” each means an organization auconservation, production, development

thorized by law or by interlocal agreeand redevelopment;

ment to undertake planning for a metro(2) The development of housing plans to maximize the use and conservation of

politan or nonmetropolitan area and existing housing stock and to facilitate

whose voting membership is composed the production of new housing to meet

solely of elected officials or their reprecommunity needs; and

sentatives which meets the areawide (3) Public facility, utility, recreational organizational and jurisdictional requireand other plans and regulatory meas- ments of this Part.

(e) “Department" and "HUD” each towards meeting those goals and objecmean Department of Housing and Urban tives (e.g., studies to identify problems Development.

in one or more policy areas; strengthen(f) “Indian tribal group or body" ing budgeting systems; improving cameans any tribe, band or other orga- pability to gather, process and analyze nized group of Indians living as a com- data necessary for rational decisionmunity and owning contiguous lands for making; devising programs and reorwhich planning assistance is sought, has ganizing governmental structures; and an elected tribal council, and which has strengthening the capacity for analyzing authority to carry out housing and the impact of programs in meeting policy community development activities. The objectives). term shall include, but shall not be lim- (1) "Professionally competant person" ited to, those tribes, bands or groups means a person having relevant training terminated since 1940; those tribes, and/or experience that is necessary for bands or groups recognized by the State the tasks to be carried out. in which they reside; and any tribe, band (m) "Recipient” means an applicant or group of Eskimos, Aleuts or Alaskan whose application for a comprehensive natives.

planning assistance grant has been for(g) "Large city" means a city (includ- mally approved by HUD or the state. ing the District of Columbia) having a (n) "State” means any State, the Dispopulation of at least 50,000 according trict of Columbia, Puerto Rico, any terto the latest decennial census.

ritory or possession of the United States, (h) “Locality" means a city or other and the Trust Territory of the Pacific municipality having a population of less Islands. than 50,000 according to the latest de- (0) "State central information recepcennial census; a county without regard tion agency” means the State agency to population; or any group of adjacent which has been designated to serve as communities, either incorporated or un- the central reception point for Federal incorporated, having common or related grant-in-aid information furnished pururban planning problems and having a suant to Section 201 of the Intergoverntotal population of less than 50,000 ac- mental Cooperation Act of 1968. cording to the latest decennial census. (p) "Substate” means any governmen(i)

"Metropolitan Clearinghouse" tal jurisdiction which is smaller than the means an areawide planning organiza- State in which it is situated. The term tion designated as a clearinghouse, pur- includes inter- and intra-state areawide suant to Part I of OMB Circular No. planning organizations. A-95, for a metropolitan area.

(g) "Urban county" means any county (j) "Ongoing comprehensive planning within a metropolitan area which (1) process" means a process, which includes is authorized under State law to underchief executive leadership, coordination take essential community development and citizen participation where major and housing assistance activities in its plans, policies, priorities, or objectives unincorporated areas, if any, which are are being determined, that involves the not units of general local government, development and subsequent modifica- and (2) has a combined population of tion of a comprehensive plan and pro- 200,000 or more (excluding the populavides for biennial review of the elements tion of metropolitan cities therein) in thereof for necessary or desirable amend- such unincorporated areas and in its ments. For the purposes of this part, the

included units of general local governcomprehensive plan shall include, as a ment; (i) in which it has authority to minimum, the housing and land use

undertake essential community developelements described in $$ 600.70 and ment and housing assistance activities 600.72.

and which do not elect to have their (k) "Policy-planning-evaluation ca- population excluded; or (ii) with which pacity" means the development on the it has entered into cooperation agreepart of a recipient of the analytical abil- ments to undertake or to assist in the ity to identify its problems and needs undertaking of essential community demore rationally, set long-term policy velopment and housing assistance activigoals and short-term policy objectives ties. For the purposes of this part a for meeting its needs, devise programs county will be considered an urban and activities to meet those policy goals county upon approval as such by HUD and objectives, and evaluate its progress pursuant to the regulations issued under Title I of the Housing and Community and retention of personnel consonant Development Act of 1974.

with or superior to State or local merit (39 FR 43379, Dec. 12, 1974)

or civil service standards. In the event no

State or local standards exist or they are $ 600.10 Financial support.

not used when available, the standards (a) Comprehensive planning assist- adopted will be subject to HUD approval. ance grants shall not exceed two-thirds (d) Provision of consulting services. of the total cost of eligible activities. Staff capability may be supplemented

(b) Non-Federal share: The non- through consulting services by other pubFederal share of the total cost of assisted lic agencies (State, areawide, local), by activities may be provided in the form instrumentalities of State and local goyof cash and/or services from the appli- ernments (such as universities, municicant, or from other non-Federal sources. pal leagues, and county officer associa

(c) Grant assistance will ordinarily tions), and by private contractors and cover a 12-month work period but may consulting firms. cover a different period in appropriate (39 FR 43380, Dec. 12, 1974) cases. (d) Although grants equal to not more

$ 600.20 Inservice training. than four-fifths of the total costs of Applicants may engage in inservico eligible activities may be made pursuant training to increase the level of knowlto Section 701(n) of the Housing Act of edge and skills of their staff. 1954, as amended, HUD, pursuant to the (a) Eligible trainees. Eligible trainees discretion permitted in the Act, will not are limited to members of staffs of elifund grants in excess of two-thirds of gible applicants. eligible costs.

(b) Maximum costs. Except for work(e) The amount of assistance provided study programs, the total cost of an inby HUD shall be based upon the follow- service training program shall not exing:

ceed 5 percent of the agency's total grant (1) The applicant's performance in under the Comprehensive Planning administering its program in accordance

Assistance Program for any 1 year. with all HUD requirements, including

$ 600.25 Who may be assisted. these regulations; (2) The applicant's past performance

Grants may be made by HUD to the in completing its activities in a timely

following: fashion;

(a) States for State, interstate, metro(3) The applicant's progress toward

politan, district or regional activities; the achievement of its identified objec

(b) States for the provision of plantives; and

ning and management assistance to lo(4) The applicant's capability to un

calities, large cities, urban counties, dertake the activities for which as

Indian tribal groups or bodies, and metsistance is requested.

ropolitan and nonmetropolitan areawide (37 FR. 8687, Apr. 1, 1972, as amended at

planning organizations; 37 FR 24345, Nov. 16, 1972; 39 FR 43379,

(c) Large cities; Dec. 12, 1974]

(d) Urban counties; $ 600.15 Staff and consultant services.

(e) Metropolitan clearinghouses;

(f) Councils of Governments; (a) Professionally competent persons.

(g) Indian tribal groups or bodies; and Each applicant must be able to demon

(h) Other governmental applicants strate that it has available the services

having special planning needs related to of professionally competent persons to

the purpose of section 701 of the Housing carry out the program for which as

Act of 1954, as amended, to the extent sistance is sought.

that these needs cannot otherwise be (b) Staff. Each State, areawide plan

adequately met. ning organization, large city and urban

(39 FR 43380, Dec. 12, 1974) county must also be able to demonstrate that it has professionally competent staff

$ 600.30 Legal status and authority. to carry out the program for which as- Applicants must: sistance is sought.

(a) Be authorized by State law or (c) Employment standards. Each interstate compact or other agreement to areawide planning organization must es- perform the comprehensive planning tablish standards for the recruitment work for which the grant is requested;

(b) Have authority to receive and ex- than 50,000 according to the latest depend Federal and other funds, and to cennial census and having common or contract with Federal and other units of related planning problems. The group's government, private concerns, or indi- planning jurisdiction must be the entire viduals for performance of planning area having such problems. Insofar as work and services; and

feasible, the boundaries of the planning (c) Assure HUD that the non-Federal area must conform to the jurisdictional share of the program cost will be boundaries of the general local governprovided.

ments comprising the group.

(d) $ 600.35 Assistance to States for state

Other governmental applicants wide planning and for assistance and

having special needs as described in services to substate applicants.

$ 600.50.

(e) Metropolitan and nonmetropolitan The eligible applicant is the State. One

areawide planning organizations. or more State agencies may be desig

(f) Indian tribal groups or bodies. nated by the Governor of a State to

(g) Large cities. The planning area undertake the comprehensive planning

shall include at a minimum the entire and management assistance program in

geographic area of the city, plus any whole or in part. Notwithstanding such

contiguous territory over which the city designations, the State shall be the ap

has authority for planning purposes. plicant, and, in the absence of special

(39 FR 43380, Dec. 12, 1974) circumstances in which there is a legal incapacity on the part of the applicant $ 600.37 Provision of planning and to accept funds for eligible activities, the management assistance and services grant agreement shall be between HUD to large cities, urban counties and loand the State. Such designations do not

calities by areawide planning organirelieve the State of its responsibilities in

zations. assuring the administration of the pro- Metropolitan and nonmetropolitan gram in accordance with all HUD re- areawide planning organizations, with quirements, including these regulations. the approval of the State, may provide [39 FR 43380, Dec. 12, 1974)

planning and management assistance $ 600.36 Eligible applicants to the State.

and services to any applicant within

their respective areawide planning jurisThe units of general local government dictions. and areawide planning organizations eli- [39 FR 43380, Dec. 12, 1974) gible to apply to the State for comprehensive planning assistance are:

$ 600.40 Grants for areawide planning (a) Cities and other municipalities

and management assistance. having populations of less than 50,000 (a) Eligible applicants: Metropolitan according to the latest decennial census. Clearinghouses, Councils of Governments The planning area must include, at the and States authorized by State law to minimum, the entire geographic area of perform areawide planning may apply the general local government, plus any directly to the appropriate HUD office contiguous territory over which the local for comprehensive planning and mangovernment has authority for planning agement assistance. All other areawide purposes.

planning organizations eligible to receive (b) Counties of any population size. assistance shall apply to the State. In this case, the minimum planning area (b) Assistance will be provided to only must include the unincorporated areas one areawide planning organization in over which the county government has each metropolitan and nonmetropolitan statutory or other authority for planning planning jurisdiction. An exception may purposes. Assistance to a county having be made when State enabling legislation a population of over 50,000 within a met- does not permit the formation of a sinropolitan area, will be made only if plan- gle areawide planning organization for ning for such a county is coordinated a multistate planning area. with planning for the metropolitan area (c) Areawide planning requirements: of which it is a part and with prior HUD (1) Planning area jurisdiction is deapproval.

termined by consideration of the follow(c) Any group of adjacent communi- ing factors: ties, either incorporated or unincorpo- (i) The planning area jurisdiction for rated, having a total population of less a metropolitan area should include the

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