decisions as to where growth shall and shall not take place; and

(iv) Policies, procedures, and mechanisms necessary for coordinating local, areawide, and State land use policies with functional planning and capital investment strategies, when available, and improvements in governmental structures, systems and procedures that will facilitate the achievement of land use objectives.

(2) Each applicant's Overall Program Design shall describe the current status of land use related planning (e.g., coastal zone management, air and water quality, transportation and solid waste planning) and related implementation activities within the State or area and the relationship of the proposed program to such planning and implementation efforts.

(d) Large cities, urban counties and localities. (1) Each large city, urban county and locality in accordance with the policies established through the consultation process in § 600.120 and inIcluded in the State overall program design, shall include the following in its land use element:

(i) Long and short term policies and plans with respect to the physical development of the large city, urban county or locality, considering the social, economic and environmental impacts;

(ii) Studies, criteria, standards and implementing procedures necessary for effectively guiding and controlling major decisions as to where growth shall and shall not take place;

(iii) The pattern, intensity and timing of land use for residential, commercial, industrial and other uses; and

(iv) Policies, procedures and mechanisms necessary for coordination of land use planning with community development strategies; capital improvement programs, transportation, open space, public utilities and facilities planning; State and areawide land use plans.

(2) Each applicant's work program or overall program design shall describe the current status of land use planning and implementation activities within the applicant's planning jurisdiction and the relationship of the proposed program to past and current local and area wide planning and implementation efforts.

(e) Agreements for land use planning. Large cities, urban counties and localities may enter into agreements with county or areawide planning organizations to undertake land use planning of

(a) All planning assisted under the Comprehensive Assistance Program is subject to the provisions of:

(1) Title VI of the Civil Rights Act of 1964, which provides that no person on the grounds of race, color or national origin shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.

(2) Title VIII of the Civil Rights Act of 1968, which provides that it is the policy of the United States to provide, within constitutional limitations, fair housing throughout the United States, and requires the Secretary of HUD to administer the Department's programs and activities in a manner affirmatively to further the policies of Title VIII.

(3) The equal opportunity clause inIcluded in Part IV of the Grant Document, Terms and Conditions Governing Grants for Comprehensive Planning Assistance.

(4) Section 3 of the Housing and Urban Development Act of 1968 and the regulations and requirements issued by HUD pursuant thereto (24 CFR Part 135). For purposes of this section the Section 3 project area is defined as follows:

(i) For State agencies where work programs will be accomplished by the State, the location of the project area shall be the smallest political jurisdiction within 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.

(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 HUD-7026.4, 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. [37 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. Applicants 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 submission, 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.

(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 § 600.165.

(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

(iii) A brief statement of program category goals.

(2) Program subcategories. Each program subcategory, which represents a specific objective, shall include:

(i) The title and reference number of the program subcategory, for example, 101.0 Land Use or 201.0 Policy and Program Development;

(ii) A brief statement of the specific or measurable program objective to be achieved in addressing issues, problems and opportunities; and

(iii) A brief identification of major work elements to be conducted in the first work year of the Overall Program Design for achieving the objective. (It shall include end products and anticipated impacts of work.)

(b) Related data. The following shall be included with each Overall Program Design;

(1) A bar chart identifying a time schedule for completing subcategories over the time period covered by the Overall Program Design;

(2) A brief statement which describes how the applicant will coordinate its work elements with related activities being performed by other agencies, or other levels of government; and

(3) A brief description of how the applicant will communicate and interact with citizens through its planning process.

[39 FR 43385, Dec. 12, 1974]

Subpart D-State Procedures for Substate Planning and Management Assistance and Services

§ 600.110 Purpose.

This Subpart sets forth procedural requirements by which States submit Overall Program Designs for statewide planning, and planning and management assistance and services for substate applicants.

[39 FR 43385, Dec. 12, 1974]

§ 600.115 State Overall Program Design. State Overall Program Design must be presented in the format defined in Subpart C of this part, or in an approved substitute format. A State OPD must include the following:

(a) A statewide planning and management section that identifies statewide planning and management objectives to be achieved.

(b) A statewide planning and management services section that identifies State services to be provided to sub

state units of government and areawide planning organizations.

(c) A State monitoring and evaluation section that identifies the procedures to be followed by the State in monitoring and evaluating its subgrantees and for insuring that recipients comply with all program requirements.

(d) A section for each category of substate applicant (whether such applicants apply to the State or directly to HUD), developed in consultation with an advisory group representative of substate applicants, which shall be used by the State for administering assistance to substate applicants and as a basis for gubernatorial review and comment on applications submitted directly to HUD pursuant to § 600.165. Each section shall address the following:

(1) State strategies and objectives which are responsive to identified State and substate needs;

(2) Identification of the responsibilities of State, areawide planning organization, large city, urban county and locality for land use and housing planning and implementation activities; coordination mechanisms to avoid conflicts and duplication of effort; and relationships between land use and housing activities and other related activities;

(3) Coordination mechanisms to be employed to foster common or related planning and management programs, data and forecasts;

(4) Coordination arrangements with other local, State or Federally funded planning efforts (e.g., coastal zones management, air and water quality, transportation and solid waste planning);

(5) Mandatory work elements, if any, in addition to any required by this Part, that the State will require of substate jurisdictions applying to it for comprehensive planning assistance funds; and

(6) State allocation system to be used in determining grant awards to substate applicants applying to the State. [37 FR 6667, Apr. 1, 1972, as amended at 39 FR 43385, Dec. 12, 1974]

§ 600.120 Summary of substate planning and management assistance procedures.

The following describes procedures which States must employ for managing substate planning and management assistance;

(a) Intent. It is HUD's intent to give States major responsibility and discre

tion, in consultation with substate applicants, for administering a program of planning and management assistance and services for substate applicants required, or electing to apply, to the State and for providing comments to HUD on substate applications submitted directly to HUD. The annual grant will support a State program of planning and management services responsive to the key problems of substate applicants. HUD's main concern wil be with the State's planning and management program and its implementation of equal opportunity, Comprehensive planning (including biennial review) housing, land use, environmental, citizen participation and historic preservation requirements, rather than with specific activities undertaken by or on behalf of individual applicants.

(b) Consultation process. States shall develop policies, strategies, administrative procedures and requirements to be employed in administering substate assistance, in carrying out State responsibilities under the review and comment procedure and in providing overall guidance to all 701 applicants within the State. These policies must be developed in consultation with an advisory group representative of substate applicant categories. The initial consultation shall take place as soon as is feasible and should be carried out prior to the submission of the State's application, if practicable. Thereafter, the State shall undertake consultations annually, prior to the submission of its application.

(c) Advisory group composition. The advisory group shall be composed of persons designated by the State and shall include significant representation from each of the following:

(i) Localities;

(ii) Large cities and urban counties; (iii) Metropolitan areawide planning organizations; and

(iv) Nonmetropolitan area wide planning organizations.

(d) Elected officials review. Elected officials representative of the same substate categories shall be afforded an opportunity for review and comment on the policies and strategies developed by the State in consultation with its advisory group. These comments shall be considered by the State prior to the inclusion of these policies in the applicable sections of the State Overall Program Design. The elected officials to be provided an opportunity to review and com

ment on the State policies shall be designated by the State in consultation with its advisory group.

(e) OPD section copies. States must provide each substate applicant eligible to apply directly to HUD a copy of the section of the State OPD applicable to it. (Substate applicants required by law to apply to the State shall be provided copies at the time they make inquiry for assistance.)

(f) Consultation records. The State shall maintain a record of all its actions taken pursuant to the consultation requirement and of the comments received from elected officials.

(g) Application submission. After the HUD Office has identified bench mark grant figures, the State agency may submit an application, based upon which lump sum amounts of assistance for substate categories will be negotiated with HUD.

(h) Annual grant budget. The grant amounts for substate categories will be included in the State annual grant and will appear as sub-totals in the annual grant budget (Form HUD 7026.3).

(i) Substate timing. Eligible substate applicants for which the State has responsibility shall request comprehensive planning and management assistance from the State at times and in the manner established by the State.

the

(j) Substate applicant. The substate applicant shall be the unit of general local government or, in the case of an areawide planning organization, highest policy officer (e.g. chairman or president). One or more public agencies may be designated by the Chief Executive Officer of a unit of general local government to undertake the comprehensive planning and management assistance program in whole or in part. Notwithstanding such designations, the unit of general local government shall be the applicant, and, in the absence of special circumstances in which there is a legal incapacity on the part of the applicant to accept funds for eligible activities, the grant agreement shall be between the State and the unit of general local government. Such designations do not relieve the unit of general local government of its responsibilities in assuring the administration of the program in accordance with all HUD requirements and with State requirements, if any, including these regulations.