The eCon Planning Suite:Citizen Participation andConsultation ToolkitVersion: July 2014
UPDATES TO CITIZEN PARTICIPATION ANDCONSULTATION TOOLKITDate: July 22, 2014This update to the Citizen Participation and Consultation Toolkit reflects the correct links to the CitizenParticipation and Consultation requirements, to reflect the Emergency Solutions Grant Interim Rule thatbecame effective on January 4, 2012.
TABLE OF CONTENTSIntroduction . 3Objectives of this Desk Guide . 4Structure of the Desk Guide . 4Getting Started . 5Introducing the eCon Planning Suite . 5Citizen Participation and Consultation . 5Citizen Participation . 5Consultation . 7Overall Citizen Participation and Consultation Process . 7Self-Assessment and Planning Tool . 12Step 1: Identify Prior Citizen Participation and Consultation Activities. 13Step 2: Identify the Principal Goals of Activities Listed in Step 1 . 13Step Three: Identify Gaps in Past Activities . 14Step Four: Assess Current Resources Available to Perform CP Activities . 16Step 5: Establish Citizen Participation and Consultation Goals . 17Citizen Participation and Consultation Activities . 20Case Studies . 29The City of Davenport, Iowa . 29City of Charlotte and Mecklenburg County Consortium, North Carolina . 30Appendix 1: Past Participation Activities Table . 32Appendix 2: Quick-Start Guides . 33July 20142
INTRODUCTIONThe overarching goal of the Department of Housing and Urban Development’s Community Planning andDevelopment (CPD) programs covered by the Consolidated Plan is “to develop viable urban communitiesby providing decent housing and a suitable living environment and expanding economic opportunities,”principally for low- and moderate-income persons. In this effort, HUD looks to its state and localgovernment grantees to “extend and strengthen partnerships among all levels of government and theprivate sector, including for-profit and non-profit organizations, in the production of affordablehousing.” (See 24 CFR 91.1)State and local government grantees that receive annual block grants for community development,affordable housing, and homelessness must—as a condition of receiving the grant funds—engagestakeholders and the public regarding the community’s needs in these areas. Grantees report the resultsof their citizen participation and consultation efforts in their 3-5 year Consolidated Plans and AnnualAction Plans.Citizen participation and stakeholder consultation are key components of every state or community’sConsolidated Plan. A well-designed citizen participation and consultation strategy can help grantees: Incorporate local data into planning process and validate the accuracy of this dataGather input on priority needs and target areasIncrease coordination among consultation partnersLeverage Consolidated Plan activities with other public and private funding sources andprogramsExpand upon the outreach efforts of existing planning processesIncrease citizen feedback, buy-in, and support of Consolidated Plan activitiesCPD introduced the eCon Planning Suite in 2012 to support Consolidated Planning efforts by providingelectronic Plan templates, synthesized data, and a web-based, publicly accessible mapping program. TheeCon Planning Suite tools can help to effectively incorporate meaningful citizen participation andconsultation into the Consolidated Plan needs analysis and strategic decision-making process. Theseweb-based tools offer opportunities to go beyond regulatory minimums to establish best practices inconsultation and citizen participation. However, recent innovations in internet-based tools andplatforms are only a portion of the toolkit available to enhance these efforts.July 20143
OBJECTIVES OF THIS DESK GUIDEThe objectives of this manual are to help grantees: Use the eCon Planning Suite to analyze and communicate housing and community developmentneeds to stakeholders and meet the citizen participation and consultation requirements of theConsolidated Planning process. Assess their existing citizen participation and consultation efforts and identify strengths andweaknesses to improve future efforts. Enhance efforts to engage stakeholders and the public in developing strategies to addressneeds and improve and the Consolidated Plan as a whole. Learn about some “Best Practices” in citizen participation and consultation that can be achievedthrough the use of new technology such as the eCon Planning Suite and other internet-basedplatforms.STRUCTURE OF THE DESK GUIDEThis Desk Guide is divided into four sections:1. Getting Started: an overview of the citizen participation and consultation process2. Self-Assessment and Planning Tool: assess past citizen participation and consultation activitiesand create citizen participation and consultation priorities and goals3. Citizen Participation and Consultation Activities: potential methods or approaches grantees canuse to support outreach to the public and stakeholders4. Case Studies: examples of citizen participation and consultation strategies that have beensuccessful at the local levelThe appendices contain sample documents and guides to citizen participation and consultationactivities.July 20144
GETTING STARTEDINTRODUCING THE ECON PLANNING SUITEThe eCon Planning Suite helps grantees meet citizen participation and consultation regulatoryrequirements by making community and economic development data more accessible to the grantee,its partners, and citizens.The CPD Maps component of the eCon Planning Suite presents the same data available in theConsolidated Plan template in IDIS in a publicly available mapping system. Through CPD Maps, programstaff can create maps to evaluate local conditions and to supplement their Consolidated Plan narratives.Additionally, CPD Maps can be used outside the Consolidated Plan template. Grantees can developmaps to share housing and community development conditions and needs with the public andstakeholders during the consultation and citizen participation period.CITIZEN PARTICIPATION AND CONSULTATIONThe Consolidated Plan requirements for citizen participation and consultation are set forth in Subpart Bof 24 CFR Part 91, “Consolidated Submissions for Community Planning and Development Programs.”These requirements are laid out in the following sections:Table 1. Citizen Participation and Consultation Requirements as Defined in the Code of Federal Regulations.Citizen ParticipationConsultationLocal Governments24 CFR Part 91.10524 CFR Part 91.100States24 CFR Part 91.11524 CFR Part 91.110HOME Consortia24 CFR Part 91.401CITIZEN PARTICIPATIONTable 1 cites the citizen participation regulations that grantees must follow when developing theirCitizen Participation Plan (CPP). The CPP should consist of the following broad elements: July 2014Description of the public participation process, including public hearings and publiccomment periodsEnsured opportunities for involvement of affected persons and other concerned citizens inthe planning processTransparency of the planning process and freedom of access to the draft PlanInstructions to guide the public’s submission of comments and the standards for thegrantee’s response5
Procedures for continuity of participation throughout all stages of the Plan’s developmentThe CPP sets forth the grantee’s policies and procedures for citizen participation throughout theConsolidated Planning process. The CPP must facilitate citizen participation throughout the ConsolidatedPlan’s initial development, substantial amendment process, and annual performance report. CPPregulations require grantees to actively encourage widespread citizen participation, with a specialemphasis on efforts to encourage participation from the following populations: Low- and moderate-income personsResidents of slums, blighted areas, and predominately low- and moderate-income areasNon-English speaking personsPersons with disabilitiesPublic housing residents and other low-income residents of targeted revitalization areasThe Citizen Participation Plan is a pathway for all citizens to exercise their voice and influence decisionsthat affect their communities, neighborhoods, and way of life.While allowing grantees flexibility to determine their own citizen participation process, the regulationsrequire that certain information regarding outreach be documented in the Consolidated Plan. Thisincludes a description of how the outreach is conducted, how and when meetings are held, the definedperiod for comment before final draft approval, and a description of how the grantee addresses publiccomments.The CPP must include the criteria by which grantees determine whether an amendment to theConsolidated Plan constitutes a “substantial” amendment, requiring additional public notice andcomment (91.105(c); 91.115(c)). It must also describe opportunities for the public to comment onperformance reports (91.105(d); 91.115(d)).Example of Citizen ParticipationThe Indiana Office of Community and Rural Affairs (OCRA) 2013 Consolidated Plan consultation processreached out through 8 regional “listening sessions” that engaged local elected officials from across thestate in a discussion of housing and community development needs. To gain direct agency input, OCRAmet with Regional Planning Commission members, while the Indiana Housing and CommunityDevelopment Authority met with housing groups. These meetings provided a thorough discussion ofissues, which informed the state’s draft method of distribution (MOD). After development, the stateheld video conference/webinar public hearings on the draft MOD, which can be accessed at 6 regionallocations. Leveraging local elected officials and regional organizations in this way allowed OCRA tocollect input from across the state, and the innovative use of webinars ensured that both urban andrural communities had an opportunity to provide public feedback.July 20146
CONSULTATIONIn addition to citizen participation requirements, the HUD Consolidated Plan regulations identifycategories of organizations the grantee must consult with during the Plan’s development. Entitlementgrantees must consult with public and private agencies that provide assisted housing, health services,and fair housing services for children, veterans, youth, elderly, persons with disabilities, persons livingwith HIV/AIDS, and their families. Consultation requirements for state grantees differ from those forlocal governments. State grantees must consult with agencies that provide assisted housing, healthservices, social and fair housing, and those that serve the chronically homeless and address lead-basedpaint hazards and consult with local governments in non-entitlement areas of the state. For a completelist of required consultation partners, follow links to regulations cited in Table 1, above.When preparing its homeless strategy, both state and local grantees must consult with the Continuumof Care (CoC) and other agencies that provide homeless assistance and homelessness preventionservices.CONSULTATION ACROSS MULTIPLE JURISDICTIONS24 CFR 91.100(a)(4) and (5) require that local entitlement grantees consult with the appropriateadjacent units of general local government, particularly regarding issues and solutions that extendbeyond a single jurisdiction. Consultation should include: Adjacent local governments, with regard to non-housing community development needsAgencies with metropolitan-wide planning responsibilitiesThe local public housing authority, with regard to public housing needsThe Consolidated Plan template in IDIS supports submission of a Regional Consolidated PlanAs a result of consultation among multiple jurisdictions, some grantees may find it advantageous todevelop a regional Consolidated Plan to better address the regional housing market or align strategictarget areas and goals. A regional plan option is available in the IDIS template and allows multiplegrantees to collaborate and produce one Needs Assessment, Market Analysis, and Strategic Plan for theregion. To learn more, see the Con Plan Desk Guide.24 CFR Part 91.110 requires that states conduct consultations as an integral part of the statewideplanning process. States must consult with local governments in non-entitlement areas, regarding thestatewide strategy for CDBG assistance distribution.OVERALL CITIZEN PARTICIPATION AND CONSULTATION PROCESSCitizen participation and consultation are an ongoing process. Effective public input is needed at theonset of the Consolidated Planning process and is a critical component within each phase of theplanning/implementation/feedback cycle, beginning with the identification of community needs andJuly 20147
priorities, and eventually leading to development of the final Consolidated Plan as evidenced in thepublic input flowchart and sample timeline below. While each grantee’s process may not exactly mirrorthe process outlined below, identifying points where citizen and stakeholder feedback is incorporated inthe planning process is important for an effective public participation strategy.Figure 1 presents a generalized flowchart for incorporating public input at each stage of theconsolidated plan process. Stakeholder outreach begins at the earliest stages and helps grantees identifyneeds and establish objectives for the upcoming plan period. Once these objectives have beenestablished, grantees will often prioritize further consultation based on partnerships that will help themimplement plan objectives. Grantees will continue to collect public feedback and consult with partnersfollowing the development of the draft Strategic Plan / Annual Action Plan and incorporate theknowledge gained through this process into the final Consolidated Plan / Annual Action Plan, at whichpoint the process is set to begin again.Figure 1. The Flow of Public and Citizen Actions to Create a Consolidated PlanCITIZEN PARTICIPATION TIMELINEThe grantee’s CPP must provide timelines and policies for the required public comment and noticeperiods for the Consolidated Plan/Action Plan/Performance Reporting. Based on the minimumstandards set out in the regulations, Table 2 below provides a sample timeframe to achieve the citizenparticipation requirements for the Consolidated Plan/Annual Action Plan/performance reportingJuly 20148
process including public notice, public comment period, and public hearings. Depending on grantee sizeand other schedule constraints, schedules may be shorter or longer than the example below.Table 2. Citizen Participation Sample Timeline (Timeline uses start of Program Year (PY) as reference point)TimelineActivityCon Plan BenchmarkRegulation6 months beforeNotice of Public Hearing on housing andNotice of Public Hearing on housing91.105(e)(2);start of PYcommunity development needsand community development needs 91.115 (b)(3)(ii)Public Hearing on housing and91.105(b)(3) and5 ½ months beforePublic Hearing on housing and communitycommunity development needs (if(e)(1)start of PYdevelopment needs (if not held earlier)not held earlier)91.115(b)(3)Notice of Comment Period on draft Con4 months beforeNotice of Comment Period on draft91.105(e)(2);Plan/Action Plan - at least 2 weeks prior tostart of PYCon Plan/Action Plan91.115(b)(3)(ii)start of comment periodCopies of Plan available online, at91.105(b)(2) and3 ½ months beforeDraft Con Plan/Action Plan to publicgovernment offices, etc. for 30-day(g); 91.115(b)(2)start of PYfor commentcomment periodand(f)2 ½ months beforeEnd of 30-day comment period on draftEnd of comment period on draft91.105(b)(4);start of PYCon Plan/Action PlanCon Plan/Action Plan91.115(b)(4)Internal review of Con Plan/ActionPlan by grantee. All comments must2 ½ months before(Recommended: allow 4 weeks for internalbe addressed in the final Plan; anystart of PYreview of Plan)accepted comments areincorporated into the Action Plan.Submission deadline for Action Plan 1 ½ months beforeminimum of 45 days prior to beginning ofCon Plan/Action Plan due to HUD91.15(a)(1)start of PYPYProgram Year beginsPlan is approved by HUD91.500(a)If Plan is rejected by HUD, grantee must1 ½ months afterRevised Plan must be submitted ifsubmit revised Plan within 45 days of91.500(d)start of PYpreviously disapproved.notice of disapprovalNotice of comment period and publichearing on prior program year'sNotice of hearing and commentperformance reports 2 weeks prior toperiod on prior program year's1 ½ months after91.105(e)(2);beginning of comment period (may alsoperformance reports (may includestart of PY91.115 (b)(3)(ii)include Notice of Hearing on housing andhousing and communitycommunity development needs for thedevelopment needs)following year)Public hearing on performance reports;comment period on performance reportsPublic hearing on performance2 months after startbegins (may also include hearing onreports; comment period on91.105(e)(1)of PYhousing and community developmentperformance reports beginsneeds)2 ½ months afterMinimum 15-day comment period onMinimum 15-day comment period91.105(d)(1)start of PYperformance reports endson performance reports ends3 months after start90 days after end of PY2012-2013 CAPER/PER due to HUD91.520(a)of PYONGOING CONSULTATION AND CITIZEN PARTICIPATION24 CFR 91.100 (local government) and 91.110 (states) requires that the grantee include state and localgovernment agencies in the planning process. In particular, entitlement jurisdictions must consult withadjacent local governments (91.100(a)(5)). State grantees must consult with non-entitlement localJuly 20149
governments (91.110) as well as statewide and regional agencies involved with the target population,and state and local agencies involved with public housing, lead-based paint, and regional planning (e.g.see 91.110 and 91.115(a)(2)). The Consolidated Plan must note all agencies that have participated in theprocess during the Plan’s development.Establishing effective partnerships with stakeholders offers many benefits. Many organizations
2. Self-Assessment and Planning Tool: assess past citizen participation and consultation activities and create citizen participation and consultation priorities and goals 3. Citizen Participation and Consultation Activities: potential methods or approaches grantees can use to support outreach to the public and stakeholders 4.
Performance Report, Citizen Participation Plan as required by HUD. Objectives of the Citizen Participation Plan . The CPP includes the following objectives and describes how each will be met to ensure federal regulatory compliance. Encourage citizen participation by providing residents with adequate information concerning:
Encouraging Citizen Participation In order to facilitate citizen participation requirements and to maximize citizen interaction in the development of the Consolidated Plan, substantial amendments to the Consolidated Plan and/or the annual action plan (AAP) and the performance report (CAPER), the State will take actions necessary to
«vérifications périodiques " page 2 sur 8 r.c. reglement de la consultation sommaire article premier : objet et etendue de la consultation 3 1.1 - objet de la consultation 3 1.2 - etendue de la consultation 3 1.3 - decomposition de la consultation 3 1.4 - conditions de participation des concurrents 3 1.5 - nomenclature communautaire 3 art
of citizen participation. Together, these constitutional and legislative provisions avail various platforms for citizen participation in devolved governance. Citizen participation is one of the national values and is also one of the principles of public service as articulated in the Constitution in Articles 10 (2,a) and Article 232 (1).
however, each program will adhere to the citizen participation requirements outlined below. To meet the public participation requirements of the CDBG-DR and CDBG-MIT grants, NCORR commits to the processes described below for citizen participation, complaints, appeals, and the public notice period. 2.0 below
Sherry Arnstein – Ladder of Citizen Participation Sherry Arnstein’s ladder of citizen participation, published in 1969 in the Journal of the American Plan-ning Association, is considered one of the classic and most inluential participation theories. Arnstein rests her theory on the declaration that citizen par
Toolkit: Citizen Participation in the Legislative Process 5 Citizen Participation Opportunities 24 In-person Activities 24 Citizen Participation Offices 25 Ad-hoc Meetings or Workshops with Civil Society Organizations 25 Institutional Bodies 26 Public Outreach 26 Town Hall Meetings 27 Focus Groups 27 Committee Hearings and Witness, Specialist or Interested Person’s
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