# COMAR Title 34 — Department of Planning

## Subtitle 02 — State Clearinghouse

### Chapter 01 — State Clearinghouse Procedures for Intergovernmental Review of Federal and State Programs

**Authority:** 31 U.S.C. §6506 and 42 U.S.C. §3334; Presidential Executive Orders 12372 and 12416;Local Government Article, §1-804; State Finance and Procurement Article, §§2-203, 5-401, 5-402, and 5-610;Annotated Code of Maryland;Executive Order 01.01.1983.17

**Administrative History:** Effective date:

**Administrative History:** Regulations .01—.05 Procedures for Reporting Federal Assistance Applications and Awards adopted effective December 30, 1977 (4:27 Md. R. 2108)

**Administrative History:** (Chapter recodified from COMAR 16.01.01 to 16.02.01)

**Administrative History:** Chapter revised effective January 27, 1986 (13:2 Md. R. 139)

**Administrative History:** Chapter repealed effective December 14, 1987 (14:25 Md. R. 2663)

**Administrative History:** Regulations .01—.09 Procedures for the Maryland Intergovernmental Review and Coordination Process adopted effective September 26, 1983 (10:19 Md. R. 1692)

**Administrative History:** Regulation .03B and Appendix A amended effective December 5, 1983 (10:24 Md. R. 2190)

**Administrative History:** Chapter recodified from COMAR 16.02.03 Procedures for the Maryland Intergovernmental Review and Coordination Process to COMAR 16.02.01 Procedures for Intergovernmental Review of Federal and State Programs, and revised effective November 30, 1987 (14:24 Md. R. 2557)

**Administrative History:** Chapter recodified from COMAR 16.02.01 to COMAR 14.24.04 in July, 1989

**Administrative History:** Chapter recodified from COMAR 14.24.04 to COMAR 34.02.01 in 2009

**Administrative History:** Regulation .01 amended effective April 24, 2017 (44:8 Md. R. 407)

**Administrative History:** Regulation .02A amended effective April 24, 2017 (44:8 Md. R. 407)

**Administrative History:** Regulation .04A, B amended effective April 24, 2017 (44:8 Md. R. 407)

**Administrative History:** Regulation .05C amended effective April 24, 2017 (44:8 Md. R. 407)

**Administrative History:** Regulation .11 repealed effective April 24, 2017 (44:8 Md. R. 407)

**Administrative History:** Regulation .12 repealed effective April 24, 2017 (44:8 Md. R. 407)

#### Regulation .01 Purpose.

*COMAR 34.02.01.01*

This chapter describes the Maryland Intergovernmental Review and Coordination Process, the State process for collecting and transmitting the views of State, regional, and local officials in Maryland on specific applications for federal and State financial assistance, for direct federal development, and for certain planning and other activities requiring intergovernmental coordination. These procedural regulations are intended to secure the benefits of intergovernmental cooperation by providing a sure and simple means for learning about and commenting on specific federal and State applications. They are not intended and may not be construed to abridge the statutory authority of approving authorities, or to create any right or benefit enforceable at law, in equity, or otherwise by any party against the Department, other State or local agencies, or their officials.

#### Regulation .02 Programs and Activities Covered by this Chapter.

*COMAR 34.02.01.02*

A. The Department, in consultation with State, regional, and local officials, shall issue and from time to time revise lists of federal and State financial assistance programs that are covered by the notification and intergovernmental review requirements of this chapter as a result of federal or State statutes or regulations. The Department shall maintain current lists on its website of the covered federal and State financial assistance programs.

B. Except as stated in §E of this regulation, each application by a State agency for federal financial assistance is covered by the notification requirements of Regulations .04 and .08, even if the application is made under a program that is not listed in Regulation .11 of this chapter.

C. All federal plans and direct federal development activities are covered by the notification and intergovernmental review requirements of this chapter. This includes proposed activities that require federal and State review under the following laws:

  (1) The Coastal Zone Management Act;

  (2) The National Historic Preservation Act; and

  (3) The National Environmental Policy Act.

D. The following applications or activities that require State or local government review are covered by the notification and intergovernmental review requirements of this chapter:

  (1) Municipal annexation public notice and outline for extension of services and public facilities is covered by Regulations .05 and .06;

  (2) Power plant transmission line applications submitted to the Public Service Commission;

  (3) Requests to the Board of Public Works for authority to grant easements or rights-of-way over State real property, to make substantial changes in the use of State real property, or to transfer or dispose of excess or surplus State real property; and

  (4) Environmental assessment forms and environmental effects reports prepared in accordance with the Maryland Environmental Policy Act.

E. An application by a State agency for a federal instructional contract, instructional grant, research contract, or research grant is covered by Regulations .04C(3) and .08B of this chapter, but is otherwise not covered by this chapter.

#### Regulation .03 Definitions.

*COMAR 34.02.01.03*

A. In this chapter, the following terms have the meanings indicated.

B. Terms Defined.

  (1) “Applicant” means an individual or a governmental or nongovernmental entity that seeks financial assistance or approval under a program or for an activity covered by this chapter.

  (2) “Application” means a request for approval, or a request for new, renewed, continued, or amended financial assistance, under a program or for an activity covered by this chapter.

  (3) “Approving authority” means a governmental entity with statutory or other authority to approve or disapprove proposed action.

  (4) “Baltimore Region” means the combined geographic areas of the City of Baltimore and the Counties of Anne Arundel, Baltimore, Carroll, Harford, and Howard, including all incorporated municipalities located there.

  (5) “Clearinghouse” means the State Clearinghouse for Intergovernmental Assistance, a unit of the Department.

  (6) “Department” means the Department of Planning:

  (7) “Direct federal development” means:

    (a) The exercise by a federal agency of statutory or other authority to undertake or authorize others to undertake the construction, reconstruction, conversion, erection, alteration, relocation, or enlargement of, or to change or authorize others to change the use of, any building, structure, or facility;

    (b) Mining, excavation, or landfill by or under the authority of a federal agency;

    (c) Land acquisition, disposition, or disturbance in preparation for any of the above; and

    (d) Plans or environmental assessments for any of these activities.

  (8) “Financial assistance” means the exercise by a federal or State agency of statutory or other authority to award funds, loans, or insurance, or to provide technical assistance, based on an application or cooperative agreement.

  (9) “Intergovernmental” means between or among different levels of government, between or among different national or State jurisdictions, or between or among different agencies within the same level of government or within the same jurisdiction.

  (10) “State application identifier” means the number assigned by the Clearinghouse to an application.

#### Regulation .04 Notification.

*COMAR 34.02.01.04*

A. General Requirements.

  (1) Application for Financial Assistance.

    (a) If an applicant submits, substantially modifies, or amends an application for federal or State financial assistance, the applicant shall provide notice and information to the Clearinghouse at the earliest feasible time.

    (b) A prospective applicant may file a notice of intent to submit an application as a means of providing an early alert to potentially affected parties.

    (c) If earlier notification is not provided in accordance with §A(1)(b) of this regulation, the applicant shall notify the Clearinghouse immediately before submission of the application.

  (2) A federal agency proposing to adopt a plan or to engage in direct federal development shall provide notice and information to the Clearinghouse as early in the planning process as is reasonably feasible.

  (3) If a federal agency receives an application for federal financial assistance and the applicant has not notified the Clearinghouse, the federal agency shall notify the Clearinghouse, as the State single point of contact, to determine the views of State, regional, and local officials.

B. Contents of Notification; Submission.

  (1) Contents. The notifying party shall provide the Clearinghouse with at least the following information, as applicable:

    (a) Grant application summary or cover form, such as Federal Standard Application Form 424 (SF-424);

    (b) Type, purpose, scope, explanation, and justification of proposal;

    (c) Area to be served;

    (d) Budget and funding sources;

    (e) Staffing;

    (f) Location (vicinity map); and

    (g) Federal program number and title.

  (2) Submission. Notification information required by this section shall be sent by the notifying party as a .pdf document attached to an email sent to mdp.clearinghouse@maryland.gov.

C. State Application Identifier.

  (1) Whenever the Clearinghouse receives notice of an application under this regulation, the Clearinghouse shall assign a State application identifier to the application.

  (2) If a State agency requests that the Clearinghouse do so and if the Clearinghouse finds that it is in the State's best interest, the Clearinghouse may provide the requesting agency with a sufficient number of State application identifiers so that the agency may assign a State application identifier to each application.

  (3) A State agency that expects to apply for one or more federal instructional contracts, instructional grants, research contracts, or research grants shall submit a request to the Clearinghouse, and the Clearinghouse shall provide the requesting agency with a sufficient number of State application identifiers, so that the agency may assign a State application identifier to each application.

  (4) Before an applicant submits an application for federal assistance to the federal approving authority, the applicant shall place the State application identifier on the application.

D. Acknowledgement of Notification. Within 5 days after the Clearinghouse receives notification under this regulation, it shall send the notifying party an acknowledgement letter. The acknowledgement letter shall include the State application identifier, the name of a Clearinghouse contact person, and the anticipated date for conclusion of any required intergovernmental review.

#### Regulation .05 Distribution and Referral.

*COMAR 34.02.01.05*

A. General. The Clearinghouse, as the State single point of contact, will provide opportunities for consultation among affected State, regional, and local officials in connection with those federal and State financial assistance applications, those direct federal development activities, and those other applications and activities that are covered by the intergovernmental review requirements of this chapter.

B. Discretionary Informational Referrals. In addition to referrals under §A of this regulation, the Clearinghouse may distribute notice of other applications for information purposes only.

C. Specific Requirements.

  (1) The Clearinghouse shall forward notification information, together with a review request letter, to each State agency or local jurisdiction that the Clearinghouse determines will or may be affected by an application. The review request letter shall indicate the date by which the Clearinghouse must receive comments.

  (2) The Clearinghouse shall supply the Baltimore Metropolitan Council with notification information on applications that the Clearinghouse determines will or may affect the Baltimore Region or any local jurisdiction within that region. For those applications, the Baltimore Metropolitan Council shall notify and consult with affected local jurisdictions in the Baltimore Region.

  (3) Except as provided in §C(2) of this regulation, the Clearinghouse will not routinely provide regional planning or special-purpose coordinating agencies with notification information. However, the Clearinghouse will provide summary notice of applications to these entities, and it will distribute notification information to them on request.

  (4) If notification information indicates that an application has already been approved or acknowledged by a general-purpose local government or by a State agency, the Clearinghouse will not normally refer the notification information again to that entity for review. Rather, the Clearinghouse will assume that the notifying party has coordinated with that entity and received its comments and concurrence during the formulation of the application. However, the Clearinghouse will provide summary notice of the application to the general-purpose local government or State agency.

  (5) The Clearinghouse will not normally distribute detailed information concerning an application with widely dispersed effects to each affected local jurisdiction, if the notifying party gives assurances that it has adequately consulted with affected local jurisdictions during the development of the application. However, the Clearinghouse will provide summary notice of the application to affected local jurisdictions.

  (6) The Clearinghouse shall make notification information submitted to the Clearinghouse available for public review by maintaining the information in a searchable format on the Department’s website.

D. Review Period.

  (1) The Clearinghouse shall complete intergovernmental review within 60 days after it receives notification of an application. If the application is for the continuation of federal financial assistance and there is no competing applicant, the Clearinghouse will normally complete the review within 30 days.

  (2) Notwithstanding §D(1) of this regulation, the Clearinghouse will provide in its review request letter for an initial 30-day review period. If the review relates to an application with regional or interstate effects, the initial review period will be 40 days. Except when the review relates to an application for the continuation of federal financial assistance and there is no competing application, on the request of any affected party and for a valid reason, the Clearinghouse may extend the review period to 60 days.

E. Review Coordinators.

  (1) The Clearinghouse will request appropriate officials (whenever possible, elected officials) of each State agency and each general-purpose local government to designate a review coordinator.

  (2) For purposes of intergovernmental coordination, the review coordinator is the single point of contact for the State agency or local jurisdiction.

  (3) The responsibilities of the review coordinator are to:

    (a) Receive and disseminate notifications and information to appropriate subagencies or to appropriate agencies within the local jurisdiction;

    (b) Serve as a liaison among these entities and the Clearinghouse;

    (c) Ensure that appropriate elected officials are provided with an opportunity to review applications;

    (d) Coordinate reviews;

    (e) Formulate comments and recommendations that reflect the views of elected officials and the adopted plans and policies of the State agency or local jurisdiction;

    (f) Provide an early alert to the Clearinghouse if there is disagreement with or concern regarding an application;

    (g) Resolve or assist the Clearinghouse in resolving disagreements or concerns; and

    (h) Provide notification information to citizens when it is appropriate, and involve them in the review process.

F. Questions Arising During Review. If a review coordinator needs additional information about an application, the coordinator should make direct contact with the notifying party. The review coordinator should provide the Clearinghouse with copies of correspondence between the review coordinator and a notifying party. The Clearinghouse may extend the review period to accommodate the exchange of additional information.

#### Regulation .06 Review and Recommendations.

*COMAR 34.02.01.06*

A. General. At the end of and within the review period, review coordinators shall submit comments and recommendations to the Clearinghouse. The Clearinghouse, acting as the State single point of contact, will organize these comments and recommendations and will communicate the concerns of State, regional, and local officials to the approving authority or the applicant, or both, as indicated in the review request letter. The Clearinghouse will strive to formulate a single recommended course of action based on comments and recommendations received.

B. Specific Requirements.

  (1) A review coordinator need not comment on every proposal of which the review coordinator is notified. However, if the review coordinator wishes to comment, the review coordinator shall respond to the Clearinghouse by the date established in the review request letter and on the response forms provided.

  (2) The Clearinghouse shall transmit all comments that it receives to the approving authority or the applicant, or both, as indicated in the review request letter, for consideration.

  (3) The Clearinghouse shall strive to formulate a consensus recommendation in which all or most parties directly affected by an application can concur.

  (4) The Clearinghouse shall organize comments and recommendations in the form of a summary letter. The Clearinghouse shall provide a copy of this letter to the applicant and to each review coordinator who received notification information from the Clearinghouse.

  (5) An applicant for financial assistance shall attach the Clearinghouse letter to the application, if the Clearinghouse has not sent a copy directly to the approving authority. The applicant may also attach a statement explaining the consideration that the applicant has given to reviewers' comments and recommendations. The applicant shall send a copy of any explanatory statement to the Clearinghouse.

  (6) The Clearinghouse review letter is valid for 3 years. If a notifying party wishes to pursue a project not begun or an application not funded within 3 years, the party shall renotify the Clearinghouse, so that the Clearinghouse may conduct a new review.

  (7) The Clearinghouse shall advise the notifying party as soon as it learns of any disagreement with or concern regarding an application. The Clearinghouse and reviewing entities shall try to resolve informally any disagreements or conflicts identified during the review. Methods of informal dispute resolution may include telephone conferences, correspondence, and in-person conferences. The Clearinghouse may extend the review period to accommodate efforts to resolve disagreements.

C. Purpose and Subject Matter of Comments and Recommendations.

  (1) The purpose of the consultation process is to assure maximum consistency between the proposed action and State, regional, and local plans, policies, and programs. Reviewers should keep this purpose in mind when making their comments and recommendations.

  (2) Comments should address the extent to which the proposed action is consistent with adopted plans or policies and would contribute to the achievement of program objectives and priorities.

  (3) Comments should be made in the context of federal, State, and local statutes, regulations, and other official requirements governing a specific program or activity.

  (4) Comments should address the extent to which the proposed action may affect the social, economic, and physical environment.

  (5) Comments should specify the magnitude of the reviewer's concern.

  (6) Comments may also provide useful information relevant to the further development of the proposal.

D. Questions Raised by the Clearinghouse Review Letter. If a notifying party wants additional information about the Clearinghouse or a reviewer's comments or recommendations, the notifying party may contact the Clearinghouse or the appropriate review coordinator. The notifying party should provide the Clearinghouse with copies of correspondence between the notifying party and any review coordinator.

#### Regulation .07 Approving Authority Response to Review Comments.

*COMAR 34.02.01.07*

A. An approving authority shall respond initially to review comments through the Clearinghouse. The Clearinghouse is available to assist in resolving disagreements, although approving authorities should work directly with concerned reviewers in this regard.

B. If an approving authority indicates that it cannot accommodate review comments, the Clearinghouse shall immediately contact affected parties to determine whether they want to request a reconsideration by the approving authority. If affected parties express interest in requesting reconsideration, the Clearinghouse shall prepare the necessary correspondence.

#### Regulation .08 Notice of Awards of Federal Assistance.

*COMAR 34.02.01.08*

A. Assistance Other Than Instructional Contracts, Instructional Grants, Research Contracts, and Research Grants.

  (1) A State agency or local jurisdiction that receives federal assistance, other than an instructional contract, instructional grant, research contract, or research grant, shall file a summary notification of the award with the Clearinghouse within 30 days after the State agency or local jurisdiction receives notice of the award.

  (2) The summary notification shall include a copy of the Federal Standard Form 424 (SF 424) or other correspondence that the State agency or local jurisdiction receives from the federal agency, indicating the granting of the award.

  (3) The summary notification shall include the following information:

    (a) The name of the applicant;

    (b) The name of the federal agency that is making the award;

    (c) The federal program number and title of the program under which assistance is being provided;

    (d) The anticipated funding for the activity for which assistance is being provided (federal, applicant, or other), with specific identification of matching requirements;

    (e) The approximate dates when the assistance is expected to begin and end; and

    (f) The State application identifier assigned to the application.

B. Instructional Contracts, Instructional Grants, Research Contracts, and Research Grants.

  (1) A State agency or local jurisdiction that receives one or more federal instructional contracts, instructional grants, research contracts, or research grants shall file with the Clearinghouse a summary notification, indicating all awards made during the applicable reporting period.

  (2) Notifications shall cover the 6-month periods from July 1 through December 31 and January 1 through June 30 and shall be submitted within 30 days after the end of the period.

#### Regulation .09 Incorporation of Other Consultation or Consistency Review Requirements.

*COMAR 34.02.01.09*

The Clearinghouse, working with appropriate approving authorities, will seek to incorporate other requirements for consultation or consistency reviews with the process described in this chapter.

#### Regulation .10 Reporting and Evaluation.

*COMAR 34.02.01.10*

A. The Clearinghouse shall prepare and distribute any reports necessary to carry out this chapter.

B. In addition to making day-to-day administrative improvements and refinements to the Maryland Intergovernmental Review and Coordination Process, the Clearinghouse shall conduct a systematic evaluation of the process on a periodic basis, as directed by the Governor.