£~(:ILi*{E://E; ._ Rejoorf N0, 80% 12 A (R:?F>f’ Report No. 80-3 E FEDERAL ASSISTANCE PROGRAMS--WHERE TO GET INFORMATION; HOW TO APPLY by Barbara 0. Maffeii Analyst in Government Finance Economics Division ' November 28, 1977 E Updated January 2, 1980 CONGRESSONAL RESEARCH SERWCE UBRARY Of CONGRESS HJ 275 A The Congressional Research Service works exclusively for the Congress, conducting research, analyzing legislation, and providing information at the request of Committees, Mem- bers and their staffs. The Service makes such research available, without partisan bias, in many forms including studies, reports, compilations, digests, and background briefings. Upon request, the CRS assists Committees in analyzing legislative proposals and issues, and in assessing the possible effects of these proposals and their alternatives. The Service’s senior specialists and sub- ject analysts are also available for personal consultations in their respective fields of expertise. ABSTRACT This guide is designed to help those seeking Federal assistance identify and obtain it. It outlines where to find information on currently available programs and discusses general application procedures; In addition, it in- cludes a brief summary of the project notification and review system, the first step in applying for most grant-in-aid programs. CRS-V CONTENTS ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... e . . . . . . . . . . . . . .. iii INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. 1 I. WHERE TO FIND INFORMATION ON FEDERAL ASSISTANCE PROGRAMS . . . . . . . ..t 2 II. APPLICATION PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 9 A. Standard Application Forms for State and Local Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 10 B. Standard Application Forms for Other Applications . . . . . . . . . . . .. 12 C. Joint Funding: Assistance from Two or More Federal Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 12 III. PROJECT NOTIFICATION AND REVIEW SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . .. 15 IV. GLOSSARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 19 Secretarial production assistance was provided by Nancy Drexler. FEDERAL ASSISTANCE PROGRAMS--WHERE ‘TO GET INFORMATION; HOW TO APPLY INTRODUCTION To most everyone, Féderal‘assistance means money. ‘Yet; Federal aid can mean more than money. Nearly 500 Federal programs offer nonfinancial rather than financial assistance. ’Nonfinancial assistance consists of counseling, training, and technical assistance, as well as investigation of complaints and publication and distribution of information; Financial assistance con- sists of grants, loans, and contracts, as well as insurance, scholarships, loan guarantees, and subsidies. Assistance is also available in the form of sale, exchange, or donation of real and personal property, and in the use of facilities,'equipment, and goods and services.i i There is a wide variety of programs available ranging from community development grants to weather forecasting. This guide is designed to help those seeking this assistance identify and obtain it. where to find information on currently available programs is outlined in Part 1.’ Application procedures are discussed in Part II; Part III summarizes the project notification and review system, and Part IV contains a glossary of Federal assistance terms. CRS-2 I. WHERE TO FIND INFORMATION ON FEDERAL ASSISTANCE PROGRAMS Finding information on Federal assistance programs may seem difficult. However, numerous publications and services are available. if A description of some of these follows. Catalog of Federal Domestic Assistance. Any search for Federal assist- ance should begin with the Catalog of Federal Domestic Assistance. This is the most comprehensive source of information on Federal assistance programs. Published annually by the Office of Management and Budget, the Catalog is a guide to currently funded programs available to State and local governments, public agencies, organizations, institutions, and individuals. .The 1979 edi- tion includes descriptions of 1,078 programs administered by 57 Federal depart- ments, independent agencies, commissions, and councils. Each program descrip- tion includes the objectives of the program, the type of assistance provided, and the uses that can be made of the assistance. Also detailed are the eligi- bility requirements, the range of financial assistance available, the applica- tion and award process, references to regulations issued by the administering agency, and addresses of U.S. agency and department regional and local offices. The Catalog is distributed to 35,000 State and local governments and all congressional offices. Copies are generally available at larger municipal and college libraries or they may be purchased from the Superintendent of Docu- ments, U.S. Government Printing Office, Washington, D.C. 20402. ,Copies are 1/ Many Federal agencies and departments, for instance, print their own direcfories. Information on publications available can be obtained from either the public information office or appropriate regional office. Trade associations and nonprofit organizations, also, often have Federal program directories. CRS-3 also available on magnetic tape from the National Technical Information Service, Springfield, Virginia 22151. The price of the 1979 printed edition is $20.00. The Catalog is organized into five main parts--the introduction, the in- dices, program changes, program descriptions, and the appendices. The introduc- tion, which contains the contents the types of assistance available, and an ex- planation for each of the categories in the program description section, also includes three very important sections--one on how to use the Catalog, one on application procedures, and one containing suggestions for proposal writing. The introduction is followed by five indices--an agency program index, a subject index, a popular name index, a functional index, and an applicant eli- gibility index which shows the type of applicant--State, local government, in- dividual, nonprofit organization, U.S. territory, native American--that is eligible for the program. The next part, the program changes, provides a list of deleted programs, added programs, and program changes. Detailed program descriptions follow. Each one contains: -- title and popular name of the program; -- Federal agency that administers the program; -- authorizing legislation; -- program objectives; -- type of assistance available (grants, contracts, counseling, etc.); -- uses that can be made of the assistance and specific restrictions placed upon the use of assistance; -- eligibility requirements and credentials and documentation required prior to a request for assistance; -- application and award process including the deadline date for the application to be received by the Federal agency; CRS-4 -- formula and matching requirements; -- time period during which the assistance is normally available; -- reports and records that must be kept by recipient; type and frequency of audits; -- budget account identification number; -- obligations for past fiscal year, current fiscal year and esti- mated amount for coming fiscal year; -- range of financial assistance available and average amount of financial assistance available; -- program accomplishments; -- citations to regulations, guidelines and literature; * --, appropriate office to be contacted for specific information; -- closely related programs based on program objectives and use of available'assistance; -- examples of funded programs; and _— (criteria for selecting proposals. Six appendices comprise the final part of the §§ta10g- Appendix I lists those programs which require coordination with OMB Circular No. A-95 (Evalua- tion, Review, and Coordination of Federal and Federally Assisted Pr08r3mS and Projects), OMB Circular No. A-lO2 (Uniform Administrative Requirements for State and Local Governments), Federal Management Circular 74-7 (Cost Principles Appli- cable to Grants and Contracts with State and Local Governments), Department of Treasury Circular 1082 (Notification to States of Grant-In-Aid Information), OMB Circular A-111 (Jointly Funded Assistance to State and Local Governments and Nonprofit Organizations--Policies and Procudures) and OMB Circular A‘110 (Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations--Uniform Adminlstrative Requirements). Appen-A dix II contains an alphabetized listing of Acts and Executive Orders which CRS-5 mandate programs. Appendix III lists commonly used abbreviations and acro- nyms. Appendix IV supplies the addresses and phone numbers of Federal agency regional and local offices. Appendix V provides information on three types of organizations--Federal Information Centers, Federal Regional Councils and Federal Executive Boards--that can be contacted for additional information about Federal programs. In addition, it includes a brief summary of the Federal Register, the Code of Federal Regulations, the Federal Budget, and State Central Information Reception Agencies. The Federal Assistance Programs Retrieval System (FAPRS). FAPRS, a computerized means of finding assistance, contains programs from the Catalog of Federal Domestic Assistance in 20 categories and 176 subcategories. The system uses the same functional index categories and subcategories that are found in the Catalog. When making a search, users of FAPRS can specify the type of assistance wanted, thus eliminating nonfinancial assistance programs. FAPRS provides the user with a list of applicable programs. The user then must refer back to the Catalog in order to obtain the program description. Each State has an access point where a FAPRS search can be made. In addition, three companies--Dialcom, General Electric, and Service Bureau Company--are licensed to use and sell FAPRS. Agencies that have the proper computer hardware can get direct access to FAPRS at a cost of about $75 a month. For agencies that do not have a terminal, one can be rented for about $75 to $100 a month. Dialcom will provide a search for $5 plus postage. For more information on FAPRS or the location of the nearest State access point, contact Office of Management and Budget, Budget Review Division, Federal Pro- gram Information Branch, Washington, D.C. 20503. Locations of the companies that have direct access to FAPRS and the contact person are as follows: CRS—6 Dialcom, 1104 Spring Street, Silver Spring, Maryland 20910, Attn. David Smith. General Electric, Information Services, 1051 17th Street, N.W., Suite 400, Washington, D.C. 20036. Service Bureau Company, 2101 L Street, N.W., Washington, D.C. 20037, Attn. Cheryl Gardner. Federal Register. Another source of information on Federal assistance programs is the Federal Register. The Register contains all public regulations and legal notices issued by Federal departments and agencies, including guide- lines and regulations for grant programs and announcements of contract solici- tations for research and training. Divided into three main sections, the first section of the Register, "Rules and Regulations,” furnishes detailed program descriptions. Descriptions usu- ally cover such information as eligibility requirements, application procedures, what the funds can be used for, and the criteria used by the agency for awarding assistance. The second section, "Notices," contains deadlines for submitting appli- cations. The third section, “Proposed Rules,” provides explanations of changes in rules and regulations and how and when interested persons may submit comments. If you find a program for which you are eligible to receive assistance, Contact the agency or department listed in the Register for application forms. Published weekdays, the Federal Register can be found in Government docu- ment depository libraries and most larger local libraries. Subscriptions cost $5 per month or $50 per year and can be ordered from the Superintendent of Docu- ments, Government Printing Office, Washington, D.C. 20402. Monthly, quarterly, CRS-7 and annual indices are included with the subscription or they may be purchased at $8 per year by nonsubscribers. Code of Federal Regulations (CFR). Permanent rules appearing in the Fed— eral Register are published in the CFR; however, the lag time often runs up to a year. The CFR is divided into 50 titles representing broad subject areas. Each title contains specific regulatory areas and programs in chapters that generally bear the name of the issuing agency. The CFR is available in Federal bookstores as well as most major libraries. Individual titles which range in price from $2 to $8 may be purchased from the Government Printing Office. Commerce Business Daily. The Commerce Business Daily lists all poten- tial contracts Federal agencies plan to initiate, contract awards that exceed $25,000, and upcoming sales of Government surplus property. It can be ordered from the Superintended of Documents, Government Printing Office, Washington, D.C. 20402. The price is $75 per year. Grantsmanship Center News. Published six times a year by the Grantsman- ship Center, a nonprofit tax-exempt institute, the_§ew§ provides in depth articles on both public and private funding. It includes many basic articles on obtaining grants, writing proposals, and developing resources as well as information about deadlines, new grant programs, and new publications. Sub- scriptions cost $20 per year and can be ordered from the Grantsmanship Center, 1031 South Grand Avenue, Los Angeles, California 90015. Other periodicals which report on Federal programs include the Luthern Resources Commission's Newsbriefs, the National Association of Counties News, CRS-8 and the Center for Community Change's Federal Programs Monitor. Newsbriefs, at $50 per year, can be ordered from the Luthern Resource Commission, 1346 Connecticut Avenue, N.W., Washington, D. C. 20036. The Eggs, at $35 per year, can be ordered from the National Association of Counties, 1735 New York Avenue, N.W., Washington, D.C. 20006. And, the Monitor, published twice yearly, can be obtained for $10, from the Center for Community Change, 1711 Connecticut Avenue, N.W., Washington, D.C. 20009. CRS-9 II. APPLICATION PROCEDURES Procedures for submitting an application vary with program and agency. General application procedure steps are contained in the front pages of the Catalog of Federal Domestic Assistance. Usually, a letter should be sent to the Federal agency regional office describing the proposal. The letter should state why the program is needed, what the program objectives are, the methods by whcih the objectives will be accomplished, the estimated cost of the program, and how the matching requirements can be met. If the proposal is of interest, the agency will send you copies of the application forms. Agen- cies often have their own application forms which include comprehensive instruc- tions for filling them out. A guide to writing proposals appears in the front pages of the Catalog. In addition, help can be obtained from Federal agency regional offices. Questions concerning the applications or procedures should be directed to them. when applying for financial assistance, it is important to note the dead- line date. These programs usually have a deadline for when the application must be in for review and evaluation. Sometimes, late applications will be held for the next review period. Deadline dates can be found in the Federal Register (usually in the “Notices” section), the Catalog of Federal Domestic Assistance in Appendix VI and in the “Application and Award Process” section of the program description, and the Grantsmanship Center News. Deadline dates can also be obtained by contacting the Federal agency regional or local office. CRS-10 A. Standard Application Forms for State and Local Government Most grant-in-aid programs come under the direction of OMB Circular No. A-102. Circular No. A-102 requires that standard application forms be used by State and local governments in applying for all Federal grants except those formula grants that do not require the recipient to apply for funds on a pro- ject basis. Programs which fall under Circular No. A-102 are identified in the Catalog of Federal Domestic Assistance in Appendix I and also in the “Applica- tion and Award Process” section of the program description. Circular No. A-102 contains three standard application forms, a cover sheet, a preapplication form, and a response to the preapplication form. The cover sheet is submitted with all preapplication and application forms. The preapplication, used to establish the probability of an applicant re- ceiving a grant before considerable time and money are spent preparing a formal application, is required for all construction, land acquisition or land devel- opment projects where the request for Federal funding is over $100,000. It can also be used for other assistance requests. Programs requiring submission of a preapplication are identified in the Catalog of Federal Domestic Assistance in the “Application and Award Process” section of the program description. Federal agencies have 45 days to acknowledge and respond to preapplication forms. The response, called the notice of review action, informs the applicant of the results of the review. The applicant is told whether the proposal is eligible for assistance, or, if not eligible, why not, the date by which the formal application should be received, when funds will be available for the project, whether the proposed budget is reasonable, and whether a preapplica- tion conference is necessary. CRS-ll After receiving a favorable preapplication review, one of the three formal applications forms--Federal Assistance Application for Nonconstruction Programs, Federal Assistance Application for Construction Programs, or Application for Federal Assistance--Short Form-~should be submitted to the Federal grantor agency. The Federal Assistance Application for Nonconstruction Programs is used for all requests except for construction, land development, land acquisition or single purpose one-time requests of less than $10,000 which do not require clearinghouse review, lf an environmental impact statement, or relocation of businesses, persons, or farms. It is also used for supplemental assistance requests and proposed changes for approved grants originally submitted on this form. The Federal Assistance Application for Construction Programs is used for all construction, land acquisition and land development requests except when the Application for Federal Assistance--Short Form is used. The Application for Federal Assistance--Short Form is used for all single purpose one-time grant awards not requiring clearinghouse approval, and an environmental impact statement, or the relocation of persons, businesses, or farms. Sometimes, this form is used for larger funding requests. Instructions for completing the forms are printed on them. Help in pre- paring applications is available from the Federal agency regional office. Applicants must submit two copies of the application along with the original. Copies of the forms are available from the Federal grantor agency. Copies and questions about the circular should be addressed to: 1/ See Part III, Project Notification and Review System, page 15. CRS-12 Financial Management Branch Budget Review Division Office of Management and Budget Washington, D.C. 20503 B. Standard Application Forms for Other Applicants Institutions of higher education, hospitals and other nonprofit organiza- tions are required by OMB Circular No. A-110 to use Standard Form (SF) 424 as a face sheet when applying for Federal assistance. Under Circular No. A-110, SF 424 must be used for all programs that come under OMB Circular No. A-95. A list of these programs can be found in Appendix I of the Catalog of Federal Domestic Assistance. Instructions for completing SF 424 are printed on the back of the form. Copies and help in completing forms are available from the Federal grantor agency regional office. Copies and questions concerning the circular should be addressed to: Financial Management Branch Budget Review Division Office of Mangement and Budget Washington, D.C. 20503 C. Joint Funding: Assistance from Two or More Federal Agencies The joint funding program, established by the Joint Funding Simplifica- tion Act of 1974, permits Federal agencies to use a single application for related aid programs even though they are administered by more than one Fed- eral agency. Single application forms for related assistance programs were used on an experimental basis under the now defunct Integrated Grant Admini- stration program. Under the joint funding process, the applicant identifies sources of Federal assistance relevenat to a specific project from a list of programs CRS-13 identified by the various agencies. The Catalog of Federal Domestic Assistance program descriptions specify those programs that are eligible. Policies and procedures to be followed in the joint funding of related programs to State and local governments and nonprofit institutions are estab- lished in OMB Circular No. A-lll. The circular requires that State and local governments and nonprofit organizations seeking joint funding use the standard application forms contained in OMB Circular No. A-102 and OMB Circular No. A-110 with some modifications. (These modifications are discussed in the circular.) Copies and inquiries concerning Circular No. A-lll should be addressed to the appropriate Federal Regional Council or the Office of Federal Management and Budget, Intergovernmental Relations and Regional Operations, Washington, D.C. 10503. All proposals for jointly funded projects must be submitted to the appropriate Federal Regional Council. A booklet on joint funding, entitled Joint Funding Handbook: Its Purpose and How to Use It, provides a simple explanation of how the process works. It is available free from the Office of Mangement and Budget, Intergovernmental Affairs Division, 726 Jackson Place, N.W., Washington, D.C. 20503. CRS-15 III. PROJECT NOTIFICATION AND REVIEW SYSTEM Many programs are subject to the project notification and review system (PNRS). The PNRS, established under OMB Circular No. A-95, is a procedure for coordinating Federal and federally assisted programs and projects with each other and with State, regional, and local plans and programs. Under the PNRS, coordination is brought about through the review of applications for Federal assistance by State and areawide clearinghouses. 1/ The purpose of the PNRS is to identify possible conflicts or issues with the proposal before a formal application is submitted. The system allows any changes to be made in an application based upon comments by the clearinghouses. It also allows State and local officials to know what grants are being applied for and what effect these grants will have. This helps to ensure that the pro- posal does not unnecessarily duplicate or conflict with another area's proposal. If the program comes under the PNRS,_g/ the applicant will be notified by the Federal agency that State and areawide clearinghouses must be told about the proposed project. The applicant then sends a brief description of the pro- posal to the appropriate clearinghouses. The description should contain: (1) the identity of the applicant; (2) The location of the proposed program or project; 1/ State clearinghouses are usually comprehensive planning agencies de- signafed by the governor. Areawide clearinghouses are substate in scale. OMB normally designates areawide clearinghouses covering metropolitan areas while governors designate all others. 2/ Programs which require clearinghouse review can be found in the Cata- log of Federal Domestic Assistance in Appendix I and in the "Application and Award Process" section of the program description. CRS-16 (3) a brief summary of the proposal including the purpose, estimated cost, and beneficiaries; (4) the name of the program, the administering agency, and the Catalog of Federal Domestic Assistance program number (if available); and, (5) the expected date of formal filing. l/ Some clearinghouses have developed special forms called notifications of intent or NOIs. After receiving notification, clearinghouses contact jurisdictions and agencies whose interest might be affected. They are then given a chance to review and comment on the proposal. within 30 days, the clearinghouse has to let the applicant know whether the project is of interest or whether there are potential or actual problems. If there is no interest or problems, the applicant completes and submits the formal application stating that the PNRS's requirements have been fulfilled. If an interest or possible conflicts are identified, the clearinghouse has an additional 30 days to review the N01. Usually, a conference is arranged in order to explore the project in greater detail. This conference serves one of two purposes--to strengthen the application or to resolve any conflicts. If the conflicts are resolved within the 30 days, the applicant completes and submits the application stating that the proposal has gone through the PNRS. If the conflicts are not resolved, the clearinghouse advises the applicant that it will have comments to be submitted with the application. 3/ 1/ If an environmental impact statement is required, the applicant should indicate the nature and extent of environmental impact expected. 2/ Since conflicts over the merits of a proposal may arise between clear- inghouses, comments may be either supportive or critical. They do not consti- tute approval or disapproval of a project. CRS-17 After the review is completed, the application is submitted and should include any comments from the clearinghouses. The applicant may also attach an explanation of its own position in regard to the clearinghouse comments. Fed- eral agencies are instructed to consider all comments received when evaluating applications. Copies of Circular No. A-95 are available from the Office of Management and Budget, Washington, D.C. 20503. Questions concerning the circular Should be addressed either to the appropriate Federal Regional C0UnCi1 Or to the Office of Management and Budget. A-95: What It Is--How it Works, a booklet describing Circular No. A-95 in detail, can be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, 5-C- 20402° The price of the publication is $1.05. CRS—19 v. GEOSSARY Contract--An amount of money paid for the procurement or acquisition of goods and services or property. Contracts are usually used when offering assistance or services to the Federal Government rather than when seeking financial aid from the Federal Government. Direct payment--Financial assistance from the Federal Government provided directly to individuals, private firms, and other private institutions. This may take the form of a payment made under a retirement or pension program or a subsidy for a particular activity. Dissemination of technical information--This is the publication of information or data of a specialized technical nature usually distributed through clearing- houses or libraries. Grant-in-aid--An amount of money paid mainly to State and local governments. Excluded from this definition are shared revenues, loans or repayable advances, payments in lieu of taxes, and payments for contractual services rendered by State and local governments. Among the various types of grants are formula and discretionary. A formula grant is one in which funds are allocated or apportioned among eligible jurisdictions by prescribed factors established by statute or regulation. A discretionary grant is awarded in response to an application for a specific purpose. Unlike formula grants, assistance is not spread among eligible recipients according to a predetermined set of factors. Insurance--Financial assistance that assures reimbursement for losses sustained under specified conditions. Coverage may be provided by the Federal Government or though private carriers and may or may not involve the payment of premiums. Loan or repayable advance-—An amount of money that must be repaid to the Fed- eral Government, usually subject to an interest rate at or below market rates. Sometimes, the loan may be interest free. Loan guarantee--A loan in which the Federal Government pays if the borrower defaults. The borrower in default still has an obligation to pay the Govern- ment. Loan insurance--A loan in which the lender is insured by the Federal Government if the borrower is in default. If the borrower defaults, his obligation is paid by an insurance fund and he is relieved of his liability. Provision of specialized services~-Provision of Federal personnel to perform certain tasks for the benefit of communites or individuals. Technical assistance--Usually a formal or informal designation that represen- tatives of the Federal Government will be available to provide help. CRS-20 Training-—lnstructional assistance conducted by a Federal agency for individuals not employed by the Federal Government. Use of property, facilities, and equipment--This includes the loan, use of, or access to Federal facilities or property. Federally owned facilities or property do not remain in the possession of the recipient. WASHINGTON % UNIVERSITY ‘To " Moo CRS79—l96ESpecSheet.txt MU Libraries University of Missouri——Columbia Digitization Information for Congressional Research Service Digitization Project Local identifier CRS Capture information Date captured Scanner manufacturer Zeutschel Scanner model OS l5000 Scanning system software Omniscan v.l2.4 SR4 (1947) 64-bit Optical resolution 600 dpi Color settings 8 bit grayscale File types tiff Source information Format Book Content type Text Notes Stamped with property stamp for Washington University including deaccession stamp Some have labels on front page Some have black out markings on front page SuDoc numbers handwritten on front page Item not added to University of Missouri collection Some items have very light print Some front pages have colored backgrounds Derivatives — Access copy Compression Tiff compression: LZW Editing software Adobe Photoshop Resolution 6OO dpi Color bitonal File types tiff Notes Pages cropped, resized, and brightened Page 1