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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 organiza- spond. They should have the opportunity tions (metropolitan and nonmetropoli- to help initiate as well as react to protan), the location of the project area posals. shall be the smallest political jurisdic- (2) Access to the decision making tion in which the agency maintains its process. The applicant should provide office. If the anticipated work program citizens with access to the decision makwill generate employment relative to the ing process. Citizens should be involved grant in any political jurisdiction other where major plans, policies, priorities or than the one where the agency office is objectives, are being determined. The relocated, such jurisdiction shall be con- quirements of this section do not include sidered to be the location of a project concurrence by any person or group inarea for work performed there.

volved in the citizen involvement activi(iii) For large cities, counties and lo- ties in making final determinations. Such calities, the location of the project area determinations shall be the sole responshall be the recipient's political juris- sibility of the applicant. diction.

(3) Improving communication tech(b) Each applicant must:

niques. Effective communication pro(1) Submit in its application package duces information that is readily availa copy of Form HUD_7026.4, Assurances. able, timely, and easily understood by

(2) Indicate in the Overall Program citizens. Information should be provided Design those work activities which will sufficiently in advance of public decisions contribute to correcting the effects of to give citizens an adequate opportunity past discrimination and the manner in to review and to react to proposals. Ap which they will do so, and describe how plicants should seek to relate technical those work activities that relate to the data and other professional material to provision of opportunities, services and the affected citizens so that they underfacilities will benefit residents of the stand the impact of public programs, planning area on a nondiscriminatory available options, and alternative decibasis.

sions. (c) States providing planning and (c) Statement of citizen involvement. management assistance and services to Each applicant must include a statement substate applicants shall obtain from of citizen involvement in its progress such applicants an assurance of com- report. Such statement shall identify pliance with all equal opportunity re- specific activities undertaken to meet the quirements; and on a continuing basis, criteria in paragraph (b) of this section. as provided in $ 600.128 (f) and in

[39 FR 43384, Dec. 12, 1974) $ 600.135(f), the States shall evaluate the substate applicants' performance in

Subpart C-Procedural Requirements determining the scope of equal opportu- $ 600.85 Purpose. nity activities and programs and in fulfilling the obligations of such assurance.

This subpart sets forth the procedures

required of agencies requesting a Com137 FR 6667, Apr. 1, 1972, as amended at 39 FR 43384, Dec. 12, 1974]

prehensive Planning Assistance grant. $ 600.80 Citizen involvement.

$ 600.90 Steps for application submis

sion, negotiation and approval. (a) The citizen involvement requirement of $ 600.67 regarding the develop

The following are the basic steps in ment and subsequent modifications of a

the process of submitting application comprehensive plan may be satisfied us


(a) Notification of the appropriate ing techniques which the applicant de

HUD Area Office Director of the intentermines to be appropriate to its level

tion to submit an application for Comof government and the nature of the activity under consideration. The tech

prehensive Planning Assistance. This niques used shall satisfy the criteria set

notification procedure refers primarily forth in paragraph (b).

to agencies applying for the first time. (b) The following criteria will be

(b) Notification of the appropriate used to measure compliance with the

designated clearinghouse(s) of the intent citizen involvement requirement.

to submit an application consistent with (1) Extent of interaction and involve- OMB Circular A-95. Submission of a ment. Effective communication works copy of a draft Overall Program Design both ways. Thus, citizens in addition to to other agencies for coordination purbeing informed should be able to re- poses is required by $ 600.150.

(c) Submission, by a substate appli- area, etc., as deemed necessary by HUD. cant applying directly to HUD, of a copy This will generally only apply to agenof its overall program design (OPD) to cies applying for the first time. Supportthe Governor, or his designee, for review ing documentation need not be submitted and comment in accordance with $ 600.- with each application package except 165.

where changes have occurred and, then, (d) Submission of a preliminary ap- only the changes need be submitted. plication upon request to the appropriate (1) A brief statement of the appliHUD Area Office. This should be accom- cant's organizational characteristics, inplished well in advance of expiration of cluding policy board composition and any current grant.

representation for areawide planning (e) Holding a negotiation conference organizations as described in the HUD with HUD officials. The chief executive 6415 Issuance Series. Also included (i.e. Governor, mayor, or city or county should be the agency's staffing profile by executive) or the highest officer on the type, number and racial composition of areawide policy body shall be represented staff positions, authorized and filled, and at the negotiation conference.

by salary range for each. (f) Resubmission of the application (2) A copy of all A-95 review comwith changes as agreed upon following ments (and any other review comments) the negotiation with HUD officials.

received regarding the proposed Overall (g) Receipt of approval of applications Program Design. and notifications from HUD of the grant (3) A copy of “Assurances" (Form award.

HUD-7026.4). (37 FR 6667, Apr. 1, 1972, as amended at (37 FR 6667, Apr. 1, 1972, as amended at 39 FR 43384, Dec. 12, 1974)

39 FR 43384, Dec. 12, 1974) $ 600.95 Applications by States.

$ 600.105 Overall Program Design. States are required to submit a sin- The Overall Program Design (OPD) gle application (Overall Program De- is a multi-year work program statement sign) which shall include sections for which focuses on specific objectives to statewide planning and for all substate be achieved by the applicant. The OPD applicant categories (large city and ur- shall cover a minimum of three years ban county, metropolitan, nonmetropoli- and must be updated annually. The OPD tan and locality). States may request shall identify all major planning and separate grants based upon one Overall management objectives to be undertaken Program Design.

by the applicant, including those to be (39 FR 43384, Dec. 12, 1974)

assisted by other Federal agencies and $ 600.100 The application package.

provides the applicant and HUD with a

base line for evaluation of performance. States, areawide planning organiza- (a) Format. The following program tions, large cities and urban counties format provides for the presentation of are required to use a standard applica- the applicant's problems, opportunities, tion package and to prepare a brief and goals and achievable objectives. This forconcise overall program design except mat must be followed unless the HUD when applying for the first time or ap- Area Office approves a different work plying on the basis of a special planning

format which yields essentially the same need pursuant to $ 600.50. The applica

data. tion package shall include:

(1) Program categories. Each program (a) Application for Federal Assistance Part I (Form HUD–7026.1);

category, which represents a general (b) Overall Program Design, as re

planning and management activity, shall quired by $$ 600.105 and 600.115;

include: (c) Annual Work Program Summary

(i) The title and reference number of (Form HUD-7026.2) listing all subcate

the program category, for example, 100.0 gories (or portions thereof) to be under- Growth and Development or 200.0 Extaken during the first work year;

ecutive Management. (A separate pro(d) Annual Grant Budget (Form gram category for general administraHUD-7026.3) which shall be the basis tion of the grant may be included in the for fiscal audit of the grant;

Overall Program Design.); (e) Applicants may be requested to (ii) A brief description of the proprovide more information regarding gram category's key issues, problems and such items as legal status, geographic opportunities; and

(iii) A brief statement of program state units of government and areacategory goals.

wide planning organizations. (2) Program subcategories. Each pro- (c) A State monitoring and evaluation gram subcategory, which represents a section that identifies the procedures to specific objective, shall include:

be followed by the State in monitoring (i) The title and reference number of and evaluating its subgrantees and for the program subcategory, for example, insuring that recipients comply with all 101.0 Land Use or 201.0 Policy and Pro- program requirements. gram Development;

(d) A section for each category of sub(ii) A brief statement of the specific state applicant (whether such applior measurable program objective to be cants apply to the State or directly to achieved in addressing issues, problems HUD), developed in consultation with and opportunities; and

an advisory group representative of sub(iii) A brief identification of major state applicants, which shall be used by work elements to be conducted in the the State for administering assistance first work year of the Overall Program to substate applicants and as a basis for Design for achieving the objective. (It gubernatorial review and comment on shall include end products and antici- applications submitted directly to HUD pated impacts of work.)

pursuant to $ 600.165. Each section shall (b) Related data. The following shall address the following: be included with each Overall Program (1) State strategies and objectives Design;

which are responsive to identified State (1) A bar chart identifying a time and substate needs; schedule for completing subcategories (2) Identification of the responsibiliover the time period covered by the Over- ties of State, areawide planning organiall Program Design;

zation, large city, urban county and lo(2) A brief statement which describes cality for land use and housing planning how the applicant will coordinate its and implementation activities; coordinawork elements with related activities be- tion mechanisms to avoid conflicts and ing performed by other agencies, or other duplication of effort; and relationships levels of government; and

between land use and housing activities (3) A brief description of how the ap

and other related activities; plicant will communicate and interact (3) Coordination mechanisms to be with citizens through its planning

employed to foster common or related process.

planning and management programs, (39 FR 43385, Dec. 12, 1974]

data and forecasts;

(4) Coordination arrangements with Subpart DState Procedures for Substate

other local, State or Federally funded Planning and Management Assistance

planning efforts (e.g., coastal and Services

management, air and water quality, $ 600.110 Purpose.

transportation and solid waste planThis Subpart sets forth procedural

ning); requirements by which States submit

(5) Mandatory work elements, if any, Overall Program Designs for statewide

in addition to any required by this Part, planning, and planning and manage

that the State will require of substate ment assistance and services for sub

jurisdictions applying to it for comprestate applicants.

hensive planning assistance funds; and (39 FR 43385, Dec. 12, 1974)

(6) State allocation system to be used

in determining grant awards to sub8 600.115 State Overall Program Design. state applicants applying to the State.

State Overall Program Design must be 137 FR 6667, Apr. 1, 1972, as amended at presented in the format defined in Sub- 39 FR 43385, Dec. 12, 1974) part C of this part, or in an approved

$ 600.120 Summary of substate plansubstitute format. A State OPD must

ning and management assistance proinclude the following:

cedures. (a) A statewide planning and management section that identifies statewide

The following describes procedures planning and management objectives to

which States must employ for managing be achieved.

substate planning and management (b) A statewide planning and man

assistance; agement services section that identi- (a) Intent. It is HUD's intent to give fies State services to be provided to sub- States major responsibility and discre


tion, in consultation with substate ap- ment on the State policies shall be desigplicants, for administering a program of nated by the State in consultation with planning and management assistance its advisory group. and services for substate applicants re- (e) OPD section copies. States must quired, or electing to apply, to the State provide each substate applicant eligible and for providing comments to HUD on to apply directly to HUD a copy of the substate applications submitted directly section of the State OPD applicable to to HUD. The annual grant will support it. (Substate applicants required by law a State program of planning and man- to apply to the State shall be provided agement services responsive to the key copies at the time they make inquiry for problems of substate applicants. HUD's assistance.) main concern will be with the State's (f) Consultation records. The State planning and management program and shall maintain a record of all its actions its implementation of equal opportunity, taken pursuant to the consultation reComprehensive planning (including bi- quirement and of the comments received ennial review) housing, land use, envi- from elected officials. ronmental, citizen participation and his- (g) Application submission. After the toric preservation requirements, rather HUD Office has identified bench mark than with specific activities undertaken grant figures, the State agency may subby or on behalf of individual applicants. mit an application, based upon which

(b) Consultation process. States shall lump sum amounts of assistance for subdevelop policies, strategies, administra- state categories will be negotiated with tive procedures and requirements to be HUD. employed in administering substate as- (h) Annual grant budget. The grant sistance, in carrying out State respon- amounts for substate categories will be sibilities under the review and comment included in the State annual grant and procedure and in providing overall guid- will appear as sub-totals in the annual ance to all 701 applicants within the grant budget (Form HUD 7026.3). State. These policies must be developed (i) Substate timing. Eligible substate in consultation with an advisory group applicants for which the State has rerepresentative of substate applicant sponsibility shall request comprehensive categories. The initial consultation shall planning and management assistance take place as soon as is feasible and from the State at times and in the manshould be carried out prior to the submis- ner established by the State. sion of the State's application, if prac- (j) Substate applicant. The substate ticable. Thereafter, the State shall un- applicant shall be the unit of general dertake consultations annually, prior to local government or, in the case of an the submission of its application.

areawide planning organization, the (c) Advisory group composition. The

highest policy officer (e.g. chairman or advisory group shall be composed of

president). One or more public agencies persons designated by the State and shall include significant representation

may be designated by the Chief Execufrom each of the following:

tive Officer of a unit of general local gov(i) Localities;

ernment to undertake the comprehensive (ii) Large cities and urban counties; planning and management assistance (iii) Metropolitan areawide planning

program in whole or in part. Notwithorganizations; and

standing such designations, the unit of (iv) Nonmetropolitan areawide plan

general local government shall be the ning organizations.

applicant, and, in the absence of special (d) Elected officials review. Elected circumstances in which there is a legal officials representative of the same sub- incapacity on the part of the applicant state categories shall be afforded an to accept funds for eligible activities, the opportunity for review and comment on grant agreement shall be between the the policies and strategies developed by State and the unit of general local the State in consultation with its ad- government. Such designations do not visory group. These comments shall be relieve the unit of general local governconsidered by the State prior to the in- ment of its responsibilities in assuring clusion of these policies in the applicable the administration of the program in acsections of the State Overall Program cordance with all HUD requirements and Design. The elected officials to be pro- with State requirements, if any, includvided an opportunity to review and com- ing these regulations.

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