Page images

S 600.67 Comprehensive planning re- (2) Provide for the elimination of the quirement.

effects of discrimination in housing based (a) General. Each recipient of assist

on race, color, religion, sex or national ance shall carry out an ongoing com

origin and provide safeguards for the prehensive planning process which makes

future. provision for citizen involvement and

(3) Take into account the need to preinvolves the development and subsequent

serve existing housing and neighbormodifications of a comprehensive plan.

hoods through such measures as housing (b) Ongoing comprehensive planning

preservation, rehabilitation, improveprocess. Each recipient shall establish

ments in housing management and policies, procedures and/or institutional maintenance, and the provision of adearrangements to insure that planning

quate municipal services. carried out with comprehensive planning

(b) In fulfilling the housing element assistance is part of an ongoing process.

responsibility: (c) Comprehensive plan requirement.

(1) States. Shall develop policies, stratE Each recipient of assistance shall develop

egies, legislative and administrative proa comprehensive plan that, over time, ad- posals and evaluation techniques necesE dresses the elements of comprehensive

sary to accomplish State housing goals planning as described in $ 600.55(c), as and objectives and, where applicable, the recipient determines to be appro

develop a policy or plan for the geopriate to its needs and responsibilties. graphical allocation of State controlled Such plan shall include, as a minimum,

housing assistance. a housing element and a land use ele- (2) Areawide planning organizations ment, which elements shall be consistent shall: (i) Identify the housing needs of with each other and with stated na

the current and prospective population tional growth policy objectives.

by appropriate geographic sectors and 139 FR 43382, Dec. 12, 1974)

provide for the distribution of housing

resources (including assisted housing) to $ 600.70 Required housing element.

meet the needs of all citizens in order to (a) General. No grant will be made to provide a choice of housing types and

location. any applicant identified in $ 600.25(a) through (f) after August 22, 1977, unless (ii) Develop policies, strategies and the applicant has satisfied the require

legislative and administrative proposals ments of this section, except that this

necessary to accomplish areawide housprohibition shall not be applicable in the

ing goals and objectives. case of an applicant which has never

(3) Large cities, urban counties and been a prior recipient of a comprehensive

localities shall: (i) Identify the housing planning grant (other than a special

needs of the current and prospective popneeds grant pursuant to $ 600.50). The

ulation by appropriate geographic sectors housing element, pursuant to Title XVI

and identifiable segments of the popula

tion and provide for the distribution of of the Housing Act of 1968, as amended,

housing resources (including assisted shall promote the realization as soon as

housing) to meet the needs of all citizens feasible of the goals of a decent home and

in order to provide a choice of housing a suitable living environment for every

types and location. American family. The housing element

(ii) Develop public-private policies, shall also specify broad goals and annual

strategies and implementation activities objectives (in measurable terms wherever

necessary to accomplish housing goals possible); programs designed to accom- and objectives, including the provision plish these objectives; and procedures, of essential public facilities and services. including criteria set forth in advance, (c) Work programs or overall program for evaluating programs and activities to

designs submitted by applicants shall dedetermine whether the objectives are scribe the current status of all official being met. In developing these goals, ob

housing planning and implementation jectives, programs and evaluation proce

activities within the applicant's jurisdicdures recipients shall:

tion and the relationship of the proposed (1) Take into account all available

program to other planning and manageevidence of the assumptions and statisti- ment activities to be undertaken by the cal bases upon which the projection of applicant. Large cities, urban counties zoning, community facilities and popula- and localities shall take into account the tion growth is based.

housing planning activities and plans

S9 39-082-75--- -7

undertaken pursuant to Title I and II of land use policies among the various levels the Housing and Community Develop- of government. Recipients will have latiment Act of 1974 in developing their tude to develop the element required in housing element. Funds will not be made this part in a form which will allow them available for duplicative basic data col- to meet the requirements of other Fedlection and analysis.

eral programs requiring comparable land (d) Large cities, counties and localities use elements or components thereof. It may enter into agreements with county is the further intent of this section to or areawide planning organizations to permit recipient jurisdictions to address provide some or all of the required hous- other significant land use problems ing planning, provided that the combined which it determines to be of priority conhousing planning is of sufficient detail cern based on a consideration of those (pursuant to this section) and the large which are of principal relevance to the city, county, or locality develops public- area affected. In selecting its priorities private policies, strategies and imple- for action, each recipient should conmentation activities necessary to accom- sider: plish housing goals and objectives, in- (1) Identification of existing uses of cluding the provision of essential public land and land resources; facilities and services.

(2) Projections of land use needs and (39 FR 43382, Dec. 12, 1974)

land resource development;

(3) Identification of public facilities, $ 600.72 Required land use element.

utilities, open space needs, transportation (a) General. No grant will be made to needs and other services required to supany applicant identified in $ 600.25 (a) port projected uses of land; through (f) after August 22, 1977, unless (4) The impact of the recipient's prothe applicant has satisfied the require- posed policies (including tax policies) on ments of this section, except that this air and water quality, coastal zone manprohibition shall not be applicable in the agement, waste disposal, areas of critical case of an applicant which has never concern, natural resources including probeen a prior recipient of a comprehensive ductive soils, availability of land and planning grant (other than a special need for conserving land, the conservaneeds grant pursuant to $ 600.50). The tion of energy, and disaster mitigation land use element shall specify broad activities; goals and annual objectives (in measur- (5) Distribution of growth including able terms wherever possible); programs possible locations for new communities, designed to accomplish the objectives large scale projects and key facilities; and procedures, including criteria set and forth in advance, for evaluating pro- (6) The conservation of energy grams and activities to determine through land use strategies designed whether the objectives are being met. to reduce energy consumption and the

(b) Intent. It is the intent of this sec- development of policies designed to faciltion to enable States, units of general itiate the recovery of energy resources in local government and area wide planning a manner compatible with environmenorganizations to integrate all existing tal protection and future reuse of lands. land use policies and functional planning (c) States and Areawide Planning Oractivities impacting land use and, when ganizations. (1) Each State and areadetermined necessary by the recipient, wide planning organization, in accordto address additional elements consid

with the policies established ered important to its total land use plan

through the consultation process in ning effort. The unified land use policies

$ 600.120 and included in the State overand plans of a State, unit of general local

all program design, shall include the fol

lowing in its land use element: government and areawide planning or

(i) Long and short term policies, and ganization should be such that they serve

where appropriate administrative proas a guide for governmental decision

cedures and legislative proposals, with making on all matters related to the use

regard to where growth should and of land, including, for example, air and

should not take place; water quality concerns, waste disposal,

(ii) The type, intensity and timing of transportation, protection of coastal growth; areas, open space, environmental conser- (iii) Studies, criteria, standards and vation, development and housing. A fur- implementing procedures necessary for ther objective is to facilitate coordinated effectively guiding and controlling major


decisions as to where growth shall and sufficient detail, pursuant to this section, shall not take place; and

in lieu of undertaking land use planning (iv) Policies, procedures, and mech- individually, provided that: anisms necessary for coordinating local, (1) The large city, urban county or areawide, and State land use policies locality land use element includes studies, with functional planning and capital in- criteria, standards and implementing vestment strategies, when available, and procedures necessary for effectively guidimprovements in governmental struc- ing and controlling major decisions as to tures, systems and procedures that will where growth shall and shall not take facilitate the achievement of land use place; and objectives.

(2) The land use planning and imple(2) Each applicant's Overall Program mentation efforts are coordinated with Design shall describe the current status other municipal or county functional of land use related planning (e.g., coastal programs and policies. zone management, air and water quality, [39 FR 43383, Dec. 12, 1974) transportation and solid waste planning)

$ 600.75 Equal opportunity require and related implementation activities

ments. within the State or area and the relationship of the proposed program to such (a) All planning assisted under the planning and implementation efforts. Comprehensive Assistance Program is

(d) Large cities, urban counties and subject to the provisions of: localities. (1) Each large city, urban (1) Title VI of the Civil Rights Act of county and locality in accordance with 1964, which provides that no person on the policies established through the con- the grounds of race, color or national sultation process in $ 600.120 and in- origin shall be excluded from participacluded in the State overall program tion in, be denied the benefits of, or be design, shall include the following in its subjected to discrimination under any land use element:

program or activity receiving Federal (i) Long and short term policies and financial assistance. plans with respect to the physical (2) Title VIII of the Civil Rights Act development of the large city, urban of 1968, which provides that it is the county or locality, considering the social, policy of the United States to provide, economic and environmental impacts; within constitutional limitations, fair

(ii) Studies, criteria, standards and housing throughout the United States, implementing procedures necessary for

and requires the Secretary of HUD to effectively guiding and controlling major administer the Department's programs decisions as to where growth shall and

and activities in a manner affirmatively shall not take place;

to further the policies of Title VIII. (iii) The pattern, intensity and timing

(3) The equal opportunity clause inof land use for residential, commercial, cluded in Part IV of the Grant Docuindustrial and other uses; and

ment, Terms and Conditions Governing (iv) Policies, procedures and mech- Grants for Comprehensive Planning anisms necessary for coordination of Assistance. land use planning with community

(4) Section 3 of the Housing and Urdevelopment strategies; capital improve

ban Development Act of 1968 and the ment programs, transportation, open

regulations and requirements issued by space, public utilities and facilities plan

HUD pursuant thereto (24 CFR Part ning; State and areawide land use plans.

135). For purposes of this section the

Section 3 project area is defined as (2) Each applicant's work program or

follows: overall program design shall describe the

(i) For State agencies where work current status of land use planning and

programs will be accomplished by the implementation activities within the ap

State, the location of the project area plicant's planning jurisdiction and the shall be the smallest political jurisdicrelationship of the proposed program to tion within which the agency maintains past and current local and areawide its office. If the anticipated work proplanning and implementation efforts. gram will generate employment relative

(e) Agreements for land use planning. to the grant in any political jurisdiction Large cities, urban counties and locali- other than the one where the agency ofties may enter into agreements with fice is located, such jurisdiction shall be county or areawide planning organiza- considered to be the location of a project tions to undertake land use planning of area for work performed there.

(ii) For areawide planning organizations (metropolitan and nonmetropolitan), the location of the project area shall be the smallest political jurisdiction in which the agency maintains its office. If the anticipated work program will generate employment relative to the grant in any political jurisdiction other than the one where the agency office is located, such jurisdiction shall be considered to be the location of a project area for work performed there.

(iii) For large cities, counties and localities, the location of the project area shall be the recipient's political jurisdiction.

(b) Each applicant must:

(1) Submit in its application package a copy of Form HUD7026.4, Assurances.

(2) Indicate in the Overall Program Design those work activities which will contribute to correcting the effects of past discrimination and the manner in which they will do so, and describe how those work activities that relate to the provision of opportunities, services and facilities will benefit residents of the planning area on a nondiscriminatory basis.

(c) States providing planning and management assistance and services to substate applicants shall obtain from such applicants an assurance of compliance with all equal opportunity requirements; and on a continuing basis, as provided in $ 600.128(f) and in $ 600.135(f), the States shall evaluate the substate applicants' performance in determining the scope of equal opportunity activities and programs and in fulfilling the obligations of such assurance. 137 FR 6667, Apr. 1, 1972, as amended at 39 FR 43384, Dec. 12, 1974] $ 600.80 Citizen involvement.

(a) The citizen involvement requirement of $ 600.67 regarding the development and subsequent modifications of a comprehensive plan may be satisfied using techniques which the applicant determines to be appropriate to its level of government and the nature of the activity under consideration. The techniques used shall satisfy the criteria set forth in paragraph (b).

(b) The following criteria will be used to measure compliance with the citizen involvement requirement.

(1) Extent of interaction and involvement. Effective communication works both ways. Thus, citizens in addition to being informed should be able to re

spond. They should have the opportunity to help initiate as well as react to proposals.

(2) Access to the decision making process. The applicant should provide citizens with access to the decision making process. Citizens should be involved where major plans, policies, priorities or objectives, are being determined. The requirements of this section do not include concurrence by any person or group involved in the citizen involvement activities in making final determinations. Such determinations shall be the sole responsibility of the applicant.

(3) Improving communication techniques. Effective communication produces information that is readily available, timely, and easily understood by citizens. Information should be provided sufficiently in advance of public decisions to give citizens an adequate opportunity to review and to react to proposals. Ap. plicants should seek to relate technical data and other professional material to the affected citizens so that they understand the impact of public programs, available options, and alternative decisions.

(c) Statement of citizen involvement. Each applicant must include a statement of citizen involvement in its progress report. Such statement shall identify specific activities undertaken to meet the criteria in paragraph (b) of this section. [39 FR 43384, Dec. 12, 1974) Subpart C-Procedural Requirements $ 600.85 Purpose.

This subpart sets forth the procedures required of agencies requesting a Comprehensive Planning Assistance grant. $ 600.90 Steps for application submis

sion, negotiation and approval. The following are the basic steps in the process of submitting application proposals:

(a) Notification of the appropriate HUD Area Office Director of the intention to submit an application for Comprehensive Planning Assistance. This notification procedure refers primarily to agencies applying for the first time.

(b) Notification of the appropriate designated clearinghouse(s) of the intent to submit an application consistent with OMB Circular A-95. Submission of a copy of a draft Overall Program Design to other agencies for coordination purposes is required by $ 600.150.

[ocr errors]

(c) Submission, by a substate applicant applying directly to HUD, of a copy of its overall program design (OPD) to the Governor, or his designee, for review and comment in accordance with $ 600.


(d) Submission of a preliminary application upon request to the appropriate HUD Area Office. This should be accomplished well in advance of expiration of any current grant.

(e) Holding a negotiation conference with HUD officials. The chief executive (i.e. Governor, mayor, or city or county executive) or the highest officer on the areawide policy body shall be represented at the negotiation conference.

(f) Resubmission of the application with changes as agreed upon following the negotiation with HUD officials.

(g) Receipt of approval of applications and notifications from HUD of the grant award. [37 FR 6667, Apr. 1, 1972, as amended at 39 FR 43384, Dec. 12, 1974) $ 600.95 Applications by States.

States are required to submit a single application (Overall Program Design) which shall include sections for statewide planning and for all substate applicant categories (large city and urban county, metropolitan, nonmetropolitan and locality). States may request separate grants based upon one Overall Program Design. (39 FR 43384, Dec. 12, 1974) $ 600.100 The application package.

States, areawide planning organizations, large cities and urban counties are required to use a standard application package and to prepare a brief and concise overall program design except when applying for the first time or applying on the basis of a special planning need pursuant to $ 600.50. The application package shall include:

(a) Application for Federal Assistance Part I (Form HUD_7026.1);

(b) Overall Program Design, as required by $$ 600.105 and 600.115;

(c) Annual Work Program Summary (Form HUD-7026.2) listing all subcategories (or portions thereof) to be undertaken during the first work year;

(d) Annual Grant Budget (Form HUD–7026.3) which shall be the basis for fiscal audit of the grant;

(e) Applicants may be requested to provide more information regarding such items as legal status, geographic

area, etc., as deemed necessary by HUD. This will generally only apply to agencies applying for the first time. Supporting documentation need not be submitted with each application package except where changes have occurred and, then, only the changes need be submitted.

(1) A brief statement of the applicant's organizational characteristics, including policy board composition and representation for areawide planning organizations as described in the HUD 6415 Issuance Series. Also included should be the agency's staffing profile by type, number and racial composition of staff positions, authorized and filled, and. by salary range for each.

(2) A copy of all A-95 review comments (and any other review comments) received regarding the proposed Overall Program Design.

(3) A copy of "Assurances" (Form HUD-7026.4). (37 FR 6667, Apr. 1, 1972, as amended at 39 FR 43384, Dec. 12, 1974] $ 600.105 Overall Program Design.

The Overall Program Design (OPD) is a multi-year work program statement which focuses on specific objectives to be achieved by the applicant. The OPD shall cover a minimum of three years and must be updated annually. The OPD shall identify all major planning and management objectives to be undertaken by the applicant, including those to be assisted by other Federal agencies and provides the applicant and HUD with a base line for evaluation of performance.

(a) Format. The following program format provides for the presentation of the applicant's problems, opportunities, goals and achievable objectives. This format must be followed unless the HUD Area Office approves a different work format which yields essentially the same data.

(1) Program categories. Each program category, which represents a general planning and management activity, shall include:

(i) The title and reference number of the program category, for example, 100.0 Growth and Development or 200.0 Executive Management. (A separate program category for general administration of the grant may be included in the Overall Program Design.);

(ii) A brief description of the program category's key issues, problems and opportunities; and

« PreviousContinue »