97-220 L
CRS Report for Congress
Received through the CRS Web
Grants Work in a Congressional Office
Updated April 21, 2000
Merete F. Gerli
Information Management Specialist
Information Research Division
Congressional Research Service ˜ The Library of Congress
ABSTRACT
Constituents often ask Members of Congress to help them obtain funding for social service
and community projects. To help congressional offices respond, this report discusses key
resources, including the CRS Grants Information Web Page [http://lcweb.loc.gov/crs/grants/];
suggests ways to manage grants requests; and describes priorities offices might set, as well
as levels and types of involvement, in handling such requests. The report covers using the
Catalog of Federal Domestic Assistance, grant proposal writing, and print, Internet, and
other sources of federal as well as private grants information. This report will be updated
periodically.
For related information, see CRS Info Pack 50G, Grants and Foundation Support:
Information on Government and Private Funding.
Grants Work in a Congressional Office
Summary
Constituents often ask Members of Congress for help in getting funds for
projects. The office is well advised to first determine its priorities about how much
assistance to provide constituents, from referral to sources to active advocacy of
projects. Congressional grants staff are the greatest help to their constituents when
they thoroughly understand the entire grants process.
To help constituents apply for federal funds, offices can develop working
relationships with grants offices in federal departments and agencies, including their
state and regional offices. An office may sometimes choose to communicate with
a selected constituency by targeted mailings or sponsoring seminars on federal and
private assistance. Many Member Home Pages now link to grants/Internet sources
such as the Catalog of Federal Domestic Assistance so that constituents themselves
can search for grants and funding programs. The CRS Grants Web Page at
[http://lcweb.loc.gov/crs/grants/] was developed as a prototype of such a resource.
Each office handles grants requests in its own way, depending upon the overall
organization and workload. 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.
The congressional office can also help in counseling on proposal writing, which
shows the need for the proposed project, methods to accomplish these objectives, the
means of monitoring and evaluating, plans for continuing the project beyond the
period covered by the grant, and a detailed budget.
An internal grants manual is a valuable tool for grants staff to develop. It can
outline office policies and procedures. With reductions in federal programs, grants
specialists may suggest other funding sources to their constituents, such as private or
corporate foundations, as alternatives or supplements to federal grants. A list of
sources useful for grants staff is included.
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Providing Information to Constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Catalog of Federal Domestic Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Types of Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Establishing and Maintaining Federal Contacts . . . . . . . . . . . . . . . . . . . . . . 7
Organizing Office Grants Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Managing Grants Requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Office Grants Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
File Systems and Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Communicating with Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Proposal Writing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Following Up on Constituents’ Requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Announcing Grants Awards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Foundations and Corporate Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Basic Grants Resources for a Congressional Office . . . . . . . . . . . . . . . . . . . . . 15
Grants Work in a Congressional Office
Introduction
Members of Congress often get requests from constituents for information and
help 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 to find out about funding,
both from the federal government and from the private sector.
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.
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 a source of information, 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?
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! 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.
Congressional grants staff can help their constituents best when they thoroughly
understand the entire grants process:
! Defining the project
! Searching for likely funding sources
! Writing proposals
! Applying for grants
! Understanding review and award procedures
! Knowing post award requirements
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.
Providing Information to Constituents
Because the state, local, or private group needing assistance may be unaware of
available funding, or uncertain how to go about obtaining it, a congressional office
can help identify sources. CRS developed a Grants Information Web Page,
[http://lcweb.loc.gov/crs/grants/], which guides congressional staff in “How Best to
Expedite a Request” and links to key World Wide Web funding sources.
Cutbacks in federal programs means many projects are made possible only
through a combination of funding sources—federal, state, and local government, and
private 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.
Basic guidance on federal and private grants sources can be sent to constituents
in CRS Info Pack 50G, Grants and Foundation Support: Information on Government
and Private Funding. It includes excerpts from the key source of federal grants
information, the Catalog of Federal Domestic Assistance, describing Catalog
highlights, giving a “State Single Point of Contact List” for information about federal
programs, and providing guidance on “Developing and Writing Grant Proposals.”
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Also in the Info Pack is CRS Report RL20514, Grants Information on the World
Wide Web, as well as information on print resources. For private and corporate
funding, the packet lists libraries in every state that house Foundation Center
Cooperating Collections. Constituents may consult many of the published sources at
large public or university libraries, or in government depository libraries (a list is
included in the Info Pack), which serve as repositories for U.S. government
publications, and may search Internet sites from home computers or in local libraries.
Some congressional offices may want to help constituents by actually identifying
federal grants programs for particular constituent projects. The Catalog of Federal
Domestic Assistance has detailed printed indexes and is also searchable on the
Internet, either directly with the General Services Administration (GSA)
[http://www.cfda.gov/] or via other gateways, such as the Department of Health and
Human Services (HHS) Web site [http://aspe.os.dhhs.gov/cfda/intro.htm]. The GSA
Internet site offers keyword searching; both GSA and HHS sites include broad subject
and recipient indexes, as well as indexes by department, agency, and program. Both
also link to other executive branch Web sites such as the Federal Register for up-to-
date notices affecting programs, and the Office of Management and Budget for
program circulars and documents.
Other congressional offices have begun to develop grants Web pages via their
Member’s Home Page, linking to Internet grants resources such as the Catalog of
Federal Domestic Assistance, the Federal Register, CRS Reports, the Foundation
Center, and other grants Web sites discussed in this report. This allows them to refer
constituents to readily available online versions of resources with improved search
capabilities (for example, keyword searching of the Catalog) over print counterparts.
The CRS Grants Information Web Page may be copied by office systems
administrators for Member Home Pages.
Congressional offices may also want to prepare their own information packets
on programs which are requested most frequently. Such packets could include
program descriptions, 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 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.
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Another way to get information to interested constituents is for a congressional
office to coordinate seminars on federal and private assistance at state and district
locations. 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 on
the sponsoring office.
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
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 find 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 a House
Information Resources (HIR, ext. 56002) database; 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.
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, published annually with a mid-year supplement. 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. The Catalog is also available on
the Internet [http://www.cfda.gov/] and in other electronic formats. All formats
allow users to retrieve program information such as:
! Federal agency administering a program
! Legislation which authorizes the program
! Objectives and goals of program
! Types of financial and nonfinancial assistance provided
! Uses and restrictions
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! 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 and headquarters, regional, and local offices
! Related programs
! Examples of funded projects
! Formula and matching requirements, where applicable
! Requirements for post-assistance reports
Updated information on federal programs appears in the daily Federal Register
[http://www.access.gpo.gov/su_docs/aces/aces140.html]. HIR publishes and makes
available on the Web the Federal Funding Report [http://Intranet.House.gov/FFR/],
a weekly compilation of notices from the previous week’s Federal Register, dealing
with federal domestic assistance programs. HIR also furnishes information about
federal grants which have been awarded in the last four quarters. Senate offices
wishing access to HIR databases need to contact House staff in the same state
delegation and ask them to contact HIR for information.
Congressional staff may suggest that constituents seeking federal funding begin
by 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 more in serving their
constituents by 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
Research Centers and in the La Follette Congressional Reading Room.
Types of Federal Assistance
Currently, programs in the Catalog are classified into several types of financial
and nonfinancial assistance.
Grants. Grants are generally considered desirable since they are 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
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! 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 property wherein the federally-
owned facilities or property do not remain in the possession of the recipient of
the assistance
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
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! 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 Federal Contacts
Most federal agencies have a number of offices: a central office in Washington;
a series of regional and state 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.
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 98-446, Congressional Liaison Offices of Selected Federal Agencies,
and House and Senate telephone directories often list congressional liaison offices
(section “Government Agencies,” liaison telephone numbers given in parentheses).
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 their state Members of Congress and
Senators, with state and local elected 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 a rule,
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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.
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.
! D.C., 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.
District staff will be more readily able to communicate and develop
relationships with federal department and agency state and regional offices
(listed in Appendix IV of the print or Web version of the Catalog of Federal
Domestic Assistance), often the preferred contact office for federal programs.
! 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
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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. Many commercial computer software packages
are available to manage correspondence, projects, and workload. Congressional
office systems administrators should contact House Information Resources (ext.
56002) or the Senate Sergeant at Arms’ Senate Service Team (ext. 41517) for
recommendations.
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
such a manual are:
! A statement 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 which are heavily relied upon because of the
frequency of requests under their supervision, or which 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, which could also be arranged under broad subjects, or use subject
subdivisions: for example, Defense Department, district contracts; Education
Department, education pilot projects.
! Program files, which 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.
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! Project files, which 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.
! Correspondence on each grant application, and local press coverage of awards
can be added.
! 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 did not
work on.
Communicating with Staff
A weekly grants and projects report or letter 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.
! 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
by state and counties can be found in the Bureau of the Census annual
publications Consolidated Federal Funds Report, available on the Internet at
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[http://www.census.gov/govs/www/cffr.html], and Federal Aid to States at
[http://www.census.gov/prod/www/abs/fas.htm]. House Information
Resources (ext.56002) also provides quarterly data on recipients of grants for
House offices.
Proposal Writing
Information on proposal writing from the Catalog of Federal Domestic
Assistance is included in CRS Info Pack 50G, Grants and Foundation Support. The
Foundation Center and other organizations also publish guides to writing proposals;
the Foundation Center offers a mini “Proposal Writing Course”on its Web site,
[http://www.fdncenter.org]; and computer software templates are for sale and can be
found by searching the Internet under terms such as “grant proposal” AND
template. While most offices do not actually write proposals, they are frequently
approached by inexperienced constituents seeking guidance on what makes a good
proposal. Congressional offices 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.
! See 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.
! When no form or instructions for submitting grant proposals are provided, the
proposal should include:
1.
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.
2.
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.
3.
An introduction, in which the history, credentials, and
accomplishments of the applicant are presented briefly (supporting
documents can be included in an appendix).
4.
A description of current conditions demonstrating the need for
the proposed project.
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5.
A statement of the project’s objectives in specific, measurable
terms.
6.
A description of the methods to be used to accomplish these
objectives.
7.
A description of the means by which the project will be
monitored and evaluated.
8.
A discussion of plans for continuing the project beyond the period
covered by the grant.
9.
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?
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, an 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 is 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
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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 an 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 finally the recipient. This allows Members of Congress 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 people from making requests that are unlikely
to be approved at the federal level: suggest considerating 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 the initial application and start the process
again.
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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 supple-
ments to federal grants. 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, [http://www.fdncenter.org], with an office in Washington, D.C., (202) 331-
1400, provides each office with its yearly Foundation Directory and can advise staff
on other sources on private funding.
Small local projects should begin their search for help 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,
competition for these funds is great, and, just as is the case in searching for federal
support, grant seekers 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 for 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 needed 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 grant
seeker must take the first 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 source to turn to
for funding emergency situations or small, high-risk, innovative programs. In some
cases, foundation officials will work closely with inexperienced grant seekers 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, D.C., Cleveland, and San
Francisco, it maintains a national network of cooperating collections in each state, all
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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
grants by subject and location.
The Foundation Center publishes a number of directories and guides to private
and corporate funding sources and grantsmanship, including the Foundation
Directory (see Basic Grants Resources for a Congressional Office, p. 17); the
Foundation Grants Index, which lists by state over 86,000 grants awarded by the
largest foundations in the last year or two, useful for identifying potential funding
sources based on previously awarded grants; and the Guide to U.S. Foundations,
which lists over 40,000 small private and community foundations especially interested
in funding local projects.
These major directories, updated continuously, are available for congressional
staff use in CRS House and Senate Research Centers and the La Follette
Congressional Reading Room. The La Follette Congressional Reading Room also has
copies of other Foundation Center publications, including Foundation Fundamentals,
Guide to Proposal Writing, Guide to Grantseeking on the Web (1998).
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 mainly 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 need to find out whether their proposals match the foundation’s areas
of interest and geographic guidelines, whether the proposal is within the its budgetary
constraints, and whether it normally funds the type of project being considered.
Direct corporate giving is another potential funding source not to be overlooked.
Many corporations support local projects in areas where they have their headquarters
or plants, or sponsor projects which somehow enhance their corporate image. The
Foundation Center’s National Directory of Corporate Giving describes
approximately 3,000 corporate foundations that often make grants reflecting the
interests of their parent companies.
Basic Grants Resources for a Congressional Office
Grants Information Web Page. Congressional Research Service, CRS Home Page:
[http://lcweb.loc.gov/crs/grants/]. Updated continuously.
To help congressional staff handle constituent requests for grants, CRS has
produced a Grants Information Web Page. The section “How Best to Expedite
Requests” allows grants staff in Washington, D.C., or district/state congressional
offices to quickly pull together a timely response to constituents seeking federal grants
and nonfinancial assistance. The page links to key funding resources, including
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private foundation information, now available on the World Wide Web and serves as
a prototype that congressional offices may use to create their own Grants page linked
from a Member’s Home Page.
Congressional Office Grants Library
The following CRS Products and printed directories can be obtained free of
charge as a nucleus of a basic congressional office grants library. Additional sources
are given in CRS products.
CRS Products
Congressional staff may pick up copies of CRS publications and products in the
CRS Product Distribution Centers and CRS Research Centers, or order them by
calling the CRS Product Line on ext. 77132. CRS Reports are also available on the
CRS Home Page at [http://lcweb.loc.gov/crs/crstext.html].
CRS Info Pack 50G. Grants and Foundation Support: Information on Government
and Private Funding.
To help congressional offices respond to grants questions, CRS has
compiled a packet of materials that can be sent to constituents. It describes
publications, many available in local libraries, as well as Internet sources about
federal, private, and state grants. It also 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.
CRS Report 98-446. Congressional Liaison Offices of Selected Federal Agencies.
Enables congressional staff 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.
CRS Report 98-79. Federal Funds: Tracking Their Geographic Distribution.
Information on reports that give data on federal grant amounts awarded to
states and counties, such as the Census Bureau’s Consolidated Federal Funds,
on the Web at [http://www.census.gov/govs/www/cffr.html].
Other CRS publications on grants and nonfinancial federal assistance programs
are also available via the CRS Home Page on the Intranet by searching “All CRS
Products,” [http://www.congress.gov/crsp/crspquery.html], for the word or phrase
“grants,” “grants-in-aid,” “block grant*,” “federal aid,” “funding,” and other
keywords. Some examples include:
CRS Report RS20287. Arts and Humanities: Fact Sheet on Funding
CRS Report RL30081. Child Care Subsidies: Federal Grants and Tax Benefits for
Working Families
CRS Report RS20124. Community Service Block Grants: Background and Funding
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CRS Report RS20381. Empowerment Zone/Enterprise Communities Program
CRS Report 97-646. Federal Aid to Libraries: Library Services and Technology
Act
CRS Report 97-350. Maternal and Child Health Block Grant
CRS Report 97-248. Prison Grant Programs
CRS Report 94-953. Social Services Block Grant: (Title XX of Social Security Act)
CRS Report RS20207. Welfare Reform: Competitive Grants in the Welfare-to-Work
Grant Program
Books 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.cfda.gov/] and [http://aspe.os.dhhs.gov/cfda/intro.htm] and as part
of the House Information Resources system available in individual House
offices. House offices may call HIR, ext. 76002, for information and access to
its systems. Senate offices can contact House Members in their state delegation
to have them contact HIR for information.
Federal Register. Washington, GPO. Daily Monday through Friday.
Latest federal department or agency program regulations appear first in the
Federal Register, and are also available on the World Wide Web at:
[http://www.access.gpo.gov/su_docs/aces/aces140.html]. Clip and file those of
possible interest to your constituents, based on inquiries and areas of concern.
For House offices, House Information Resources produces in print and online
the Federal Funding Report, [http://Intranet.House.gov/FFR/], a weekly
compilation of notices from the previous week’s Federal Register dealing
specifically with federal domestic assistance programs.
Foundation Directory. New York, The Foundation Center. Annual. 2 v. and suppl.
Key directory of private funding sources, arranged by state. Part one
describes over 8,700 largest American foundations; part two includes over 4,000
smaller private and community foundations geared to supporting local
organizations. Entries include factual and financial data, statements of purpose
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. Data is also available electronically via Web subscription and
CD-ROM. The Center also publishes a number of other directories and guides
to private funding, some of which are available for use in CRS Research Centers
and the La Follette Congressional Reading Room. Or search its Internet Web
site at [http://www.fdncenter.org/].
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Frontline Management; A Guide for Congressional District/State Offices.
Washington, Congressional Management Foundation, 1998.
The chapter on “Managing Strategic Projects in the District/State” identifies
grants management as the bulk of such work in district and state offices, and
provides an excellent overview of managing such requests. The Foundation
provides copies of its publications free to congressional offices: (202) 546-0100.
CMF staff is available for management seminars and presentations, and CMF
maintains an Internet Web site, [http://www.cmfweb.org].
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 office receives at least one copy.
In addition, staff should get a state government directory or search for state
government Websites on the Internet to be able to refer constituents to the correct
state agency handling the area of interest, or to collect information about key state
programs of interest to their constituents. State government departments and
agencies fund projects and manage federal block grants. There are various Web sites
which access the home pages of state governments. They include: [http://www.
ssw.umich.edu/grantsetc/stategovt.html]. Other Web sites may be found via search
engines under keywords or phrases such as: “state governments” AND grants.