97-220 C
Grants Work in a Congressional Office
January 24, 1997
Merete Gerli
Information Management Specialist
Congressional Reference Division
CONGRESSIONAL OFFICE USE ONLY
Grants Work in a Congressional Office
SUMMARY
Members of Congress frequently receive requests from constituents for information
and assistance in obtaining funds for projects.
The congressional office should first
determine its priorities. Congressional grants staff can be of the greatest assistance to
their constituents when they have a thorough understanding of the entire grants process:
defining the project, searching for likely funding sources, proposal writing, grant
application, review and award procedure, and postaward requirements. A congressional
office may on occasion choose to communicate with selected audiences by targeted
mailings or sponsoring seminars on federal and private assistance.
One way an office can help is in counseling on proposal writing, which includes
demonstrating the need for the proposed project, what methods to be used to accomplish
these objectives, the means by which the project will be monitored and evaluated, plans
for continuing the project beyond the period covered by the grant, and a detailed budget.
If a proposal or serious inquiry is submitted to a congressional office, an assessment of
the stated problem should be made.
Another approach would be to call the agency
contact or to recommend and/or arrange a meeting with agency offices in the district or
state. Members are usually informed of awards first, which allows them to have an
opportunity to notify recipients of grants.
Each congressional office handles grants requests in its own way, depending upon
the overall organization and workload of the office. There may be a full-time grants
specialist or several staff members under the supervision of a grants coordinator working
solely in the area of grants and projects. In some offices, all grants requests are handled
in the district or state office; in others, they are answered by the Washington staff.
An internal grants manual is a valuable tool for grants staff to develop. It can
outline office policies and procedures. An office may wish to maintain detailed, cross-
referenced files such as agency files, constituent files by county, and tracking records.
With reductions in federal programs, congressional grants specialists may wish to
suggest other funding possibilities to their constituents as alternatives and supplements to
federal grants.
A bibliography of books useful for grants staff and constituents is included.
CONTENTS
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1
Ways Grants Staff Can Assist Constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
Providing Information to Constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
Counseling on Proposal Writing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3
Following Up on Constituents’ Requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4
Announcing Grants Awards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
Organizing Office Grants Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6
Managing Grants Requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
The Office Grants Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
File Systems and Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
Agency Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
Constituent Files by County . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8
Tracking Requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8
Communicating with Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8
Basic Grants Library for a Congressional Office . . . . . . . . . . . . . . . . . . . . . . . .
9
Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
11
Types of Federal Assistance Available . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
13
Establishing and Maintaining Contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
14
Foundations and Corporate Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
15
Grants Work in a Congressional Office
Introduction
Members of Congress frequently receive requests from constituents for information
and assistance in obtaining funds for projects.
Many state and local governments,
nonprofit social service and community action organizations, private research groups,
small businesses, and individuals approach congressional offices for information on
funding, both from the federal government and from the private sector. The congressional
office is seen by constituents as a potential source of assistance in:
•
providing facts about financial and nonfinancial assistance available through
federal programs
•
clarifying the intricacies of proposal development, application, and follow-up
procedures
•
writing letters of support from the Member to the granting agency
•
resolving problems that occur when an applicant is unsuccessful in obtaining
funds or other assistance
•
suggesting other sources for grant assistance in both the private and public
sectors
Senate and House offices allocate staff and other resources to grants and projects
activities in order to assist these constituents with projects of potential benefit to their
districts, cities, or states. The grants person in the congressional office can serve con-
stituents not only as an information resource, but also as a facilitator with agencies and
foundations, and, in some cases, even as an advocate. The congressional office should
first determine the priorities of its particular office:
•
Where do grants requests fall within the operations of the office?
•
Should grants officers be located in D.C. and/or the state or district?
•
Determine the role of the grants staffer/officer: passive or active advocate?
•
Assess volume of incoming grants requests.
•
Establish criteria to determine how much attention should be given to each
grants request, e.g., number of people who will be affected, visibility of
projects, political implications, etc.
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Because of cutbacks in federal programs, today many projects are made possible
only through a combination of funding sources -- federal, state, and local government, and
foundation or corporate grants. Whatever the funding source, it is important to emphasize
that once a project has been clearly defined, constituents can improve their likelihood of
success by doing preliminary research in order to find potential funding sources whose
goals are most nearly consistent with their own.
The following report does not constitute a blueprint for every office involved in
grants and projects activity, nor does it present in-depth information about all aspects of
staff activity in this area. The discussion is aimed at describing some basics about the
grants process and some of the approaches and techniques used by congressional offices
in dealing with this type of constituent service.
Ways Grants Staff Can Assist Constituents
Because the state, local, or private group needing assistance may be unaware of
available funding, or uncertain of how to go about obtaining it, a congressional office can
be of help in identifying sources. The success rate in obtaining federal assistance is not
high, given the competition for federal funds. A grants staff’s effectiveness often depends
on both an understanding of the grants process and on the relations it establishes with
agency and other contacts.
Congressional grants staff can be of the greatest assistance to their constituents when
they have a thorough understanding of the entire grants process:
•
defining the project
•
searching for likely funding sources
•
proposal writing
•
grant application
•
review and award procedure
•
post award requirements
Providing Information to Constituents
Basic information on federal and private grants sources can be given to constituents
by sending them the CRS Info Pack 50G, Grants and Foundation Support: Information
for Constituents. It discusses sources of information on federal programs and private
foundations, contains explanatory excerpts from the Catalog of Federal Domestic
Assistance, a report on how to write a grant proposal, and a listing of libraries throughout
the country that house Foundation Center Cooperating Collections (for information on
private and corporate funding). Constituents may consult many of the published sources
described at large public or university libraries or depository libraries which serve as
repositories for U.S. government publications.
Congressional offices may also prepare their own information packets on programs
which are requested most frequently. Such packets could include program descriptions,
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brochures, the latest rules and regulations, changes in agency policy, application forms,
etc.
Newsletters are a good way of reaching a large number of people.
Some
congressional offices choose to send out either a special grants and projects newsletter or
include a section on grants and projects in their regular newsletter. Subjects that could
be developed are new legislation, new appropriations, and descriptions of recently
awarded grants.
A congressional office may on occasion choose to communicate with selected
audiences.
Targeted mailings can inform interested constituents of Federal Register
announcements of new programs in specific areas or changes in deadlines or regulations
for existing programs. The office may wish to inform constituents of the possible impact
of new legislative or executive actions which might revise existing programs, create new
ones, or alter funding levels.
Constituents can be informed of important dates and
deadlines, and the advantages and limitations of various programs. They can also be
made aware of community, state, or federal officials who share common concerns.
Another way of getting information to interested constituents is for a congressional
office to coordinate seminars on federal and private assistance. An office can sponsor
programs bringing together federal, state, and local officials, as well as academic and
corporate specialists, experienced volunteers, and constituents working in the same area.
Many agencies and corporations are willing to provide speakers for district seminars
arranged by congressional offices and also to provide such materials as brochures, sample
proposals, and lists of information contacts.
While well-planned, balanced programs
tailored to a particular audience can create good will, coordinating and following through
on such meetings take a great deal of staff work and time. Such programs may also result
in additional demands being made on the sponsoring office.
Counseling on Proposal Writing
Information on proposal writing is included in CRS Info Pack 50G, Grants and
Foundation Support. While most congressional offices do not actually write proposals,
they are frequently approached by inexperienced constituents seeking guidance on what
makes a good proposal. They may wish to pass on the following suggestions:
•
Allow sufficient time to prepare a thoroughly documented proposal, well
before the application deadline.
If possible, have someone outside the
organization critique the proposal prior to submission.
•
Follow the instructions given in the application form or in other material
provided by the agency or foundation. Answer questions as asked.
•
Be sure that the proposal is clear and brief. Avoid jargon. Take pains to
make the proposal interesting.
Reviewing panels have limited time to
devote to any single proposal.
Whenever possible, fit the style of the
proposal to the style of the agency or foundation being approached.
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•
When no form or instructions for submitting grant proposals are provided,
the proposal should include:
A cover letter on the applicant’s letterhead giving a brief
description of the purpose and amount of the grant proposal,
conveying the applicant’s willingness to discuss the proposal in
further detail
A half-page summary that includes identification of the applicant,
the reasons for the request, proposed objectives and means to
accomplish them, along with the total cost of the project, an
indication of funds already obtained, and the amount being requested
for this grant
An
introduction,
in
which
the
history,
credentials,
and
accomplishments of the applicant are presented briefly (supporting
documents can be included in an appendix)
A description of current conditions demonstrating the need for
the proposed project
A statement of the project’s objectives in specific, measurable
terms
A description of the methods to be used to accomplish these
objectives
A description of the means by which the project will be
monitored and evaluated
A discussion of plans for continuing the project beyond the
period covered by the grant
A detailed budget
Following Up on Constituents’ Requests
If a proposal or serious inquiry is submitted to a congressional office, an assessment
of the stated problem should be made. First, this benefits the grant seeker, since any
application for assistance will require that the problem be clearly stated and that the
proposed solution provide some remedy. Secondly, this initial assessment can provide
staff with a sense of direction: Are there other projects currently under way that address
the problem? Is there an appropriate federal program that is designed for such a project,
or is the issue better addressed through local, state, or private organizations, or through
legislation? Will the sought-after aid produce other problems for the community? What
are its chances for success?
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The initial review of the request should also involve an assessment of the applicant.
A formal grant proposal will require an applicant to establish credibility. Individuals
connected with a proposal might mention education, training, and professional credentials.
Credibility for an organization may be established by giving its history, goals, activities,
and primary accomplishments, as well as by letters of support.
By reviewing such
information, a congressional office may avoid the hazard of offering support for a
questionable applicant and may be in a better position to make decisions about support
when several communities or organizations are applying for the same program -- will all
be treated equally or will support be given to selected applicants.
A written request from a constituent should always be acknowledged. If the request
is a fairly common one, the office may be able to respond with a prepared packet of
materials on available programs. Another alternative would be to send a copy of the
constituent’s letter to the agency with a buck slip, asking the agency’s attention, and to
inform the constituent of your action and advise that he or she will be hearing more from
the office once the agency reports back. Another approach would be to call the agency
contact. This procedure is generally more time consuming for a congressional staffer than
a simple referral, but it is often more informative. The agency may provide facts about
budget levels, authorizations and appropriations, the amount of money available for the
program, the total amount requested in applications on file, the number of applications
received, and the number likely to be approved, agency priorities, categories of
competition or targets by region, key dates and deadlines, and information on who makes
recommendations and decisions.
If the constituent decides to submit a formal grant application for a particular
program, the congressional office may recommend and/or arrange a meeting with agency
offices in the district or state. Another way to get input from the agency early in the
process is a pre-review of the application. Many agencies provide procedural review of
proposals one or two months before the application deadline. Such a review, while not
dealing with the substance of the proposal, allows an agency to inform the applicant of
any technical problems or omissions to be corrected before the proposal is formally
submitted.
When a constituent notifies the congressional office that a proposal has been
submitted, the office can send a letter to the agency expressing the Member’s interest in
being kept informed of developments relating to the application. In addition, the letter
may also request a list of all applicants for the particular grant. This enables the office
to consider initiating letters of support from the Member to those applicants in his or her
state or district who did not approach the office prior to submission of their application.
Whether the Member chooses to support a particular applicant or extends support to all
applicants from the state or district, the office should maintain contact with all interested
parties as it is notified of progress reports from agency contacts.
Announcing Grants Awards
While there is some variation, the usual announcement procedure in cases of
allocated federal funds is for the agency making the award to notify the Senate office first
(a Senator of the President’s party may be first notified), then the House office, and
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finally the recipient. This allows Members of Congress to have an opportunity to notify
recipients of grants. Not all awards are announced publicly. In the case of block grants,
the Office of Management and Budget notifies Senate offices of the allocations among the
states. The state’s decision on how to distribute funds among local communities is,
however, not necessarily communicated to congressional offices. In these cases, a good
state agency contact may be willing to provide the office with this information.
It is a good practice to discourage constituents from pursuing requests that are
unlikely to be approved at the federal level: suggest consideration of other funding sources
early in the process. In cases where grant applications are made and turned down, the
congressional office may notify constituents of their right to know why the award was not
granted and what the appeals process is. Constituents may ask the agency for an analysis
of the strengths and weaknesses of the proposal, or may give the agency permission to
provide the congressional office with this information. Alternative programs or other
approaches may be suggested following an adverse decision. The constituent might also
decide to improve upon the initial application and start the whole process over again.
Organizing Office Grants Operations
Each congressional office handles grants requests in its own way, depending upon
such factors as the Member’s philosophy on federal support for local projects, the relation
of certain proposals to his or her legislative activity, or the Member’s particular interest
in specific locations or types of projects.
Other factors may include the degree of
economic distress in any given locality and the current level of federal assistance it
receives.
Grants activities in any congressional office depend very much upon the overall
organization and workload of the office.
•
Most offices divide responsibility by function, i.e., legislation is assigned
to legislative assistants and correspondents, press and newsletters are under
the purview of a press secretary, and caseworkers do casework. Offices
organized in this way may have a full-time grants specialist or several staff
members under the supervision of a grants coordinator working solely in the
area of grants and projects.
•
Some offices divide responsibilities by subject area, i.e., a specialist in
health issues is involved with legislation, correspondence, casework, grants,
projects, speeches, and press releases in that subject area.
•
DC, state, or district office?
In some offices, all grants requests are
handled in the district or state office; in others, they are answered by the
Washington staff; still others divide grants and projects activity between the
district or state office and the Washington office. Regardless of how this
responsibility is assigned, it is helpful to have at least one person in the
district or state office and one person in the Washington office familiar with
the whole process.
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•
State delegation cooperation: Since some constituents request the aid of
the entire state delegation for a grant or project, cooperation among
Members of the delegation can minimize duplication of effort and permit
more effective use of staff time. To increase the chances of a project’s
funding, Members may solicit the support of other Members either from the
same geographic region if the proposal would benefit a wide area, or from
those who hold key positions in leadership or on committees which exercise
funding and oversight of the federal program. Political considerations can
limit the amount of such cooperation. One state’s delegation has established
a State Projects Office to help its constituents learn about the grants process
and follow through on all applications until awards are made.
Managing Grants Requests
To assure continuity, particularly in cases of staff turnover and shifting
responsibilities, and to monitor the progress of the grants and projects operation, several
resources can be developed.
The Office Grants Manual
An internal grants manual is a valuable tool for grants staff to develop. It can
outline office policies and procedures. Among the items that might be included in this
volume are:
•
A written record of the Member’s policy on letters of endorsement and press
announcements, along with samples.
•
A checklist of procedures to facilitate the training of new staff.
•
Sample project worksheets, allowing space for agency contacts, status
reports, and follow-up timetables.
•
A constantly updated telephone listing of contacts in federal, state, and local
agencies, and foundations who are heavily relied upon because of the
frequency of requests under their supervision, or of those who have proven
especially helpful.
File Systems and Logs
A congressional office may wish to maintain detailed, cross-referenced files such as
agency files, constituent files by county, and tracking records.
Agency Files
•
Agency files (could also be arranged under broad subjects, or use subject
subdivisions: for example, Defense Department, district contracts; Education
Department, education pilot projects.)
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•
Program files include detailed information on the most frequently used
programs in communities in the state or district, with a fact sheet describing
each program, plus agency brochures, contacts, etc.
•
Project files may contain lists of applicants for each project. Some offices
keep records on the steps taken in support of all grant applications as
documentation.
Constituent Files by County
•
These can prove especially useful for the Member’s visits to the state or
district.
•
In addition to the correspondence on each grant application, local press
coverage of awards can be included.
•
These clippings, along with letters from grateful constituents, can serve as
a source for favorable quotations.
Tracking Requests
•
Monitor grant applications as they move through an agency’s review
process.
•
Maintain a follow-up calendar or log.
•
Track all grants awarded in the district or state -- even those your office
didn’t work on.
Communicating with Staff
A weekly grants and projects report or memorandum is one way to keep both the
Member and other staff fully informed of significant developments. This is particularly
important for offices organized by functional responsibility.
•
The report prepares the Member for the types of questions that may be
asked during visits to the state or district and provides topics to be addressed
in speeches.
•
The legislative staff will benefit from knowing about pending state or local
government actions that would have an impact on grants and projects.
Conversely, grants and projects staff should also be able to rely on the
legislative staff for information about pending bills that would alter or create
federal programs or change relevant funding levels. Sometimes, comments
from constituents can supply data on whether programs are carrying out
legislative intent and whether changes in agency regulations or legislation
are needed.
Such recommendations might then be the subject of
congressional oversight hearings or might result in recommending changes
in legislation.
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•
The press secretary should also be kept up to date on programs of interest
in the district, so that current information can be presented in newsletters
and press releases.
•
The staff may want to maintain a listing of federal grant recipients and the
amount of federal dollars received each year for their state or district.
Figures can be found in the Consolidated Federal Funds Report, published
annually by the Bureau of the Census for the Office of Management and
Budget; or on a quarterly basis by searching the House Information
Resources database Post Awards (POST).
Basic Grants Library for a Congressional Office
The following works can be obtained free of charge to create a basic congressional
office grants library. Additional sources are given in Grants and Foundation Support:
Selected Sources of Information on Government and Private Funding (CRS Report 97-
67 C), which is included in CRS Info Pack 50G.
CRS Products (congressional staff may call x7-7132 to order):
Grants and Foundation Support: Information for Congressional Offices (Info Pack
50G)
To help congressional offices respond to grants questions, CRS has compiled
a packet of material which can be sent to constituents.
The packet describes
publications, many available in local libraries, as well as Internet sources about
federal, private, and state grants; reproduces excerpts from the Catalog of Federal
Domestic Assistance describing Catalog highlights, a "State Single Point of Contact
List" for information about federal programs, and guidance on "Developing and
Writing Grant Proposals." For private funding, the Info Pack also includes addresses
and telephone numbers of Foundation Center collections in every state.
Congressional Liaison Offices of Selected Federal Agencies (CRS Report 95-413
PGM)
For congressional staff use to contact grants officers in specific federal
department and agencies, to ask for agency publication lists, and request copies of
regulations and guidelines on programs.
The Federal Money Trail: Data Sources on Federal Aid, Grants, Loans and
Procurement in States and Local Areas (CRS Report 96-709C)
Information on reports such as Federal Expenditures and Consolidated Federal
Funds (both from the Department of Commerce, Bureau of Census) that list federal
grants to states and local recipients.
Managing Projects and Grants Work
(CRS Video Program VT94-1346; CRS
Audio Brief AB50304)
Based on a CRS presentation for district offices on April 6, 1994, a staffer
responsible for handling grants requests in a congressional office shares her
experiences, outlining office management techniques, key sources and contacts.
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Where to Get Publications from Executive and Independent Agencies
(CRS Report 97-129 C)
For congressional staff seeking publications that describe executive department
and agency programs and to obtain grants brochures and specifications.
Key Books (all are available free of charge to congressional offices):
Catalog of Federal Domestic Assistance. Washington, GPO. Annual with mid-year
supplement.
Key directory of information on federal funding programs. Distributed free to
each congressional office by the General Services Administration, (202) 501-0563.
Congressional offices may wish to request copies for district and state offices as
well.
In
addition,
the
Catalog
is
available
on
the
Internet
(http://www.gsa.gov:80/fdac/), and as part of the House Information Resources
system Pre-Award (PREA) database, available in individual House offices and in
CRS facilities. The Pre-Award database provides information about Federal grant
programs available from the Catalog with updates from the Federal Register; a
Post-Award (POST) file identifies grant recipients during the latest four quarters
reported by federal agencies. House offices may call HIR, x76002, for information
and access to its systems. All House and Senate staff may search the Catalog on
the Internet and use HIR systems on computers in House and Senate Reference
Centers and the La Follette Congressional Reading Room.
Congressional Directory. Washington, GPO. Biennial.
Useful for agency contact names, phone numbers and addresses. Produced by
the Joint Committe on Printing and distributed to every congressional office.
Federal Register. Washington, GPO. Daily Monday through Friday.
Latest federal department or agency program regulations appear first in the
Federal Register. Clip and file those of possible interest to your constituents, based
on inquiries and areas of concern. For House offices, House Information Resources
publishes the Federal Funding Report, a weekly compilation of notices from the
previous week’s Federal Register dealing specifically with federal domestic
assistance programs.
Frontline Management; A Guide for Congressional District/State Offices.
Washington, Congressional Management Foundation, 1989.
Although dated (with no new edition planned), the chapter on Managing
Projects Work, which identifies grants management as comprising the bulk of such
work in district and state offices, still provides an excellent overview of managing
such requests.
The Foundation provides copies of its publications free to
congressional offices: (202) 546-0100.
Foundation Directory. New York, The Foundation Center. 2 v. and suppl. Annual.
Key directory of private funding sources, arranged by state. Part one provides
descriptions of the over 8,700 largest American foundations; part two includes
information on over 4,000 private and community foundations, geared to supporting
local organizations. Entries include factual and financial data, statements of purpose
CRS-11
and activities, types of support, limitations, application information, and names of
donors, officers and trustees. Includes a subject index, by broad topic of interest.
Distributed to each congressional office by The Foundation Center, (202) 331-1400.
The Center also publishes a number of other directories and guides to private
funding, some of which are available for use in CRS Reference Centers and the La
Follette Congressional Reading Room.
U.S. Government Manual. Washington, GPO. Annual.
Tells which programs are administered by which agencies or departments, and
gives names, addresses, and phone numbers of persons to contact for guidance.
Produced by the Federal Register at the National Archives and Records
Administration. Every congressional office receives at least one copy.
In addition, congressional staff should obtain a state government directory to be able
to refer constituents to the correct state agency handling the area of interest; or collect
information about key state programs of interest to their constituents.
Federal Assistance
There are hundreds of grants or loans for various purposes available from federal
departments and agencies.
Other federal funds not dispensed through grants, but
nevertheless much sought after, are used for defense procurement, construction of federal
installations, or infrastructure, e.g., military bases, federal office buildings, and federal
projects such as flood control and highway construction. Congressional offices can assist
state and local governments and eligible private sector organizations in becoming aware
of available funds and how to go about obtaining them.
Staff members can contact federal agencies to determine agency interest in certain
projects; relay the findings to those interested and qualified for assistance in their states
and districts; track department and agency disbursements through an House Information
Resources database (Post-Awards); and notify home state governments, organizations,
businesses, and people of what funds are available. Once a grant application is filed,
offices frequently keep in touch with agencies. Contact can be maintained by letter,
phone, or in person as the situation dictates. Concerted action on the part of the staff may
result in more federal funds being spent in a state or district thereby providing greater
benefit to the constituency.
THE CATALOG OF FEDERAL DOMESTIC ASSISTANCE
The key source to information about federal programs, projects, services, and
activities which provide assistance or benefits to the American public is the Catalog of
Federal Domestic Assistance. It contains financial and nonfinancial assistance programs
administered by departments and agencies of the federal government. Copies are sent to
each House and Senate office by the General Services Administration, and congressional
offices may wish to request copies for district and state offices as well.
Updated
information on federal programs appears in the daily Federal Register.
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The Catalog is also available on CD-ROM and in other electronic formats, on the
Internet, and online through the House Information Resources (HIR) office. House offices
may access Catalog information plus updates from the Federal Register through the HIR
database Pre-Award Grants (PREA); Senate and House staff may use computers in the
Senate Reference Center, the Rayburn Reference Center, and the La Follette Congressional
Reading Room to search this system, or to search the Catalog on the Internet.
All
formats allow users to retrieve program information such as:
•
federal agency administering a program
•
authorizing legislation
•
objectives and goals of program
•
types of financial and nonfinancial assistance provided
•
uses and restrictions
•
eligibility requirements
•
application and award process, including deadlines
•
criteria for selecting proposals
•
amount of obligations for the past, current, and future fiscal years
•
regulations, guidelines and literature relevant to a program
•
information contacts, headquarters, regional, and local offices
•
related programs
•
examples of funded projects
•
formula and matching requirements, where applicable
•
post assistance requirements
In addition, through its Post-Award (POST) database, HIR furnishes information
about federal grants which have been awarded in the last four quarters.
HIR also
publishes the Federal Funding Report, a weekly compilation of notices from the previous
week’s Federal Register, dealing with federal domestic assistance programs.
Congressional grants specialists may suggest that constituents seeking federal funding
begin by themselves consulting the Catalog of Federal Domestic Assistance and the
Federal Register at federal depository libraries or other large libraries in their area; or
conduct subject or keyword searches of the Catalog on the Internet. Descriptions of
programs identified will have to be carefully analyzed by constituents seeking assistance
to see whether they may be appropriate. At this point, a telephone call or letter to the
agency contact person can provide invaluable help. State and regional contacts for federal
departments and agencies are given in the Catalog. Agencies often prepare guidelines and
application packets for specific programs. They may also provide a list of grantees from
the previous fiscal year and indicate the amount of money still available for the coming
year.
Some congressional grants specialists go one step further in serving their constituents
by actually identifying potential funding programs either from their own files or by doing
their own Catalog searches. Congressional staff can use the printed or online Catalog and
other grants and foundation sources in CRS House and Senate Reference Centers and in
the La Follette Congressional Reading Room.
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Types of Federal Assistance Available
Currently, programs in the Catalog are classified into 15 types of assistance,
including financial and nonfinancial types of assistance.
Grants: Grants are generally considered a desirable form of financial assistance
since they represent an outright award of funds.
•
Formula Grants, allocations of money to states or their subdivisions for
activities of a continuing nature not confined to a specific project
•
Project Grants, funding, for fixed or known periods, of specific projects or
the delivery of specific services or products, including fellowships,
scholarships, research grants, training grants, traineeships, experimental and
demonstration grants, evaluation grants, planning grants, technical assistance
grants, survey grants, construction grants, and unsolicited contractual
agreements
•
Direct Payments for Specified Use, federal financial assistance provided
directly to individuals, private firms, and other private institutions to
encourage or subsidize a particular activity
•
Direct Payments with Unrestricted Use, federal financial assistance provided
directly to beneficiaries who satisfy federal eligibility requirements with no
restrictions as to how the money is spent
Loans: Since loans must be repaid, they are often viewed by applicants as less
desirable than grants. However, with the reduction of federal funds available for
grants and the increasing level of competition for such funds, loans are often the
only form of assistance available.
•
Direct Loans, the lending of federal funds for a specific period of times,
with a reasonable expectation of repayment; may or may not require the
payment of interest
•
Guaranteed/Insured Loans, programs in which the federal government
makes an arrangement to indemnify a lender against part or all of any
defaults by those responsible for repayment of loans
Insurance:
Some federal programs provide financial assistance to assure
reimbursement for losses sustained under specified conditions. Coverage may be
provided directly by the federal government or through private carriers and may or
may not require the payment of premiums.
Goods and properties:
•
Sale, Exchange, or Donation of Property and Goods, programs which
provide for the sale, exchange, or donation of federal real property, personal
property, commodities, and other goods including land, buildings,
equipment, food, and drugs
•
Use of Property, Facilities, and Equipment, programs which provide for the
loan of, use of, or access to federal facilities or poperty wherein the
federally-owned facilities or property do not remain in the possession of the
recipient of the assistance
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Services, Information, Training, and Employment:
•
Provision of Specialized Services, programs which provide federal personnel
to directly perform certain tasks for the benefit of communities or
individuals
•
Advisory Services and Counseling, programs which provide federal
specialists to consult, advise, or counsel communities or individuals, to
include conferences, workshops, or personal contacts
•
Dissemination of Technical Information, programs which provide for the
publication and distribution of information or data of a specialized technical
nature frequently through clearinghouses or libraries
•
Training, programs which provide instructional activities conducted directly
by a federal agency for individuals not employed by the federal government
•
Investigation of Complaints, federal administrative agency activities that are
initiated in response to requests, either formal or informal, to examine or
investigate claims of violations of federal statutes, policy, or procedure
•
Federal Employment, programs which reflect the government-wide
responsibilities of the Office of Personnel Management in the recruitment
and hiring of federal civilian agency personnel
Establishing and Maintaining Contacts
Most federal agencies have a number of offices: a central office in Washington; a
series of regional offices; and, in some cases, local or area offices. Each program in the
Catalog of Federal Domestic Assistance has a section on information contacts, either
giving the name, address, and telephone number of the program officer, or referring
applicants to the regional, state, or local office of the agency. Addresses and telephone
numbers for these offices are given in appendixes of the Catalog.
In addition, the
Catalog has a "Single States Contacts List," reproduced (in excerpts from the Catalog)
in the Info Pack IP 50G, Grants and Foundation Support.
Some agencies prefer that congressional offices not deal directly with program
officers but channel their requests through congressional liaison offices. Establishing a
good relationship with the liaison staff is usually beneficial--they are normally well
informed and willing to share information with congressional grants and projects staff.
CRS Report 95-431 PGM, Congressional Liaison Offices of Selected Federal Agencies,
and House and Senate telephone directories list congressional liaison offices. The liaison
office may be willing to set up a tour of the agency for congressional staff so that they
may become more familiar with the way the agency is organized and where
responsibilities are assigned, as well as with published materials that may be available on
various programs.
State and district grants and projects staff usually work closely with federal agency
representatives in their areas, with state and local elected officials and former officials,
and with councils of government. Many federal programs are administered directly by
state agencies or other entities within the state, and many states have programs funded out
of their own appropriations which supplement or complement federal programs. Local
councils of government, where they exist, have access to federal funds for providing
technical assistance, guidance, and counseling in the grants process. Constituents are, as
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a rule, best served by being put in touch with program officers closest to them as early
as possible.
Some congressional grants and projects veterans report that a congressional office
that encourages cooperation among local organizations, foundations, units of government,
and councils of government can serve as a catalyst for applicants by improving
communications, which may in turn enhance the chances for proposal approval. When
congressional staff take the time to express appreciation for assistance provided by federal
personnel, foundation officials, and others involved in the grants process, they may
possibly improve their chances for future assistance.
Foundations and Corporate Grants
With reductions in federal programs, congressional grants specialists may wish to
suggest other funding possibilities to their constituents as alternatives and supplements to
federal grants. Congressional grants staff will want to get to know the kinds and levels
of private sector support that is available to their constituents. The Foundation Center,
with an office in Washington, DC, provides each congressional office with its Foundation
Directory and can advise congressional staff on a number of other sources on private
funding and contacts.
Small local projects should begin their search for assistance at the community level
from local businesses or institutions.
Support may be available in the form of cash
contributions or in-kind contributions of property, buildings, equipment, or professional
expertise.
In fact, evidence of such community-based support may lead the way to
additional outside funding.
While there are all kinds of foundation and corporate grants available throughout the
country, it should be pointed out that competition for these funds is great, and, just as is
the case in searching for federal support, grantseekers enhance their chances for success
by doing preliminary research to find grantmakers whose priorities and goals are
consistent with their own.
Grantmaking foundations are established with the express purpose of providing funds
for projects in their areas of interest, and all must comply with specific Internal Revenue
Service regulations to maintain their tax-exempt status. Every year, each is required to
give away money equal to at least 5% of the market value of its assets, and each must
make its tax records public.
There are many different kinds of foundations, with widely varying resources and
purposes. Some are national in scope; others are set up purely for the purpose of local
giving. Some are endowed by an individual or family to provide funds for specific social,
educational, or religious purposes; others are company-sponsored; still others are publicly
supported community foundations.
Because of this variety, different strategies may be required for dealing with different
foundations. There are a few foundations which publicize their funding policies, and even
initiate projects, but generally they do not. Usually, the grantseeker must take the first
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step and approach the foundation about his or her proposal.
Although it is hard to
generalize about foundations, they tend to be more flexible than federal funding agencies
and to have fewer bureaucratic requirements. Many foundations see their purpose as
providing short-term, startup funding for demonstration projects.
Frequently, such
foundations are the best primary source to turn to for funding emergency situations or
small, high-risk, innovative programs.
In some cases, foundation officials will work
closely with inexperienced grantseekers to help them develop realistic proposals.
The Foundation Center is an independent national service organization, which
provides a clearinghouse of information on private philanthropic giving. In addition to
its major reference collections in New York, Washington, DC, Cleveland, and San
Francisco, it maintains a national network of cooperating collections in each state, all open
to the public. A list of these collections is included in the Info Pack 50G, Grants and
Foundation Support. The New York and Washington collections contain a complete set
of all U.S. foundation tax returns, while many of the network members have sets of state
and regional foundation tax returns. In addition, these collections offer grant seekers a
variety of useful specialized materials and services.
For example, for a fee, the
Foundation Center offers computerized searches for information on foundation grants by
subject and location.
The Foundation Center publishes a number of directories and guides to private and
corporate funding sources and grantsmanship. Major publications include the Foundation
Directory (distributed to all congressional offices) providing essential data on over 6,700
of the largest U.S. foundations; the Foundation Grants Index, which lists over 60,000
grants awarded by over 950 largest foundations in the last year or two and is useful for
identifying potential funding sources based on previously awarded foundation grants. The
main listing of grants is arranged by state. Entries include lists of grant recipients, giving
the date, amount and brief purpose of each grant; Guide to U.S. Foundations, a directory
listing over 33,000 private and community foundations, including thousands of smaller
ones not described in other sources. These smaller foundations are especially important
as local sources of funding. These three major directories are available for congressional
staff use in CRS House and Senate Reference Centers and the La Follette Congressional
Reading Room. The Foundation Center also publishes a National Directory of Corporate
Giving.
It is generally a good idea to try to identify state or local foundations; they may have
a greater interest in local problems than do larger foundations principally concerned with
programs of national significance. Foundation Center resources are a good starting point
for identifying likely funding sources. The next step is to find out more about these
foundations by obtaining copies of their annual reports and/or guidelines. Grant seekers
will need to find out whether their projected proposals match the foundation’s areas of
interest and geographic guidelines, whether the proposal is within the foundation’s
budgetary constraints, and whether the foundation normally funds the type of project
being considered.
Direct corporate giving is another potential funding source not to be overlooked.
Many corporations provide support for local projects in areas where they have their
headquarters or plants, or sponsor projects which somehow enhance their corporate image.
Information sources on direct corporate giving are also included in the CRS Report 97-67
CRS-17
C, Grants and Foundation Support: Selected Sources of Information on Government
and Private Funding.