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C-126
The Federal
Granting System
A Guide for Local Governments
in Massachusetts
Cooperative Extension Service, University of Massachusetts, United States
Department of Agriculture and County Extension Services cooperating
This publication is the result of a joint effort between:
The Cooperative Extension Service and
Department of Food and Resource Economics
University of Massachusetts
Amherst, Massachusetts
and
The Graduate School of Administration
Suffolk University
Beacon Hill
Boston, Massachusetts
Issued by the Cooperative Extension Service, Ross S. Whaley, Director, in further-
ance of the Acts of May 8 and June 30, 1914; University of Massachusetts, United
States Department of Agriculture and County Extension Services cooperating.
Available to the public without regard to race, color or national origin. 5/78 4M
Single copies of this publication are available free of charge. Additional copies are
$1 each. Make checks payable to the Massachusetts Cooperative Extension Serv-
ice; send them to the Bulletin Center, Cottage A, Thatcher Way, University of
Massachusetts, Amherst, MA 01003.
The Federal
Granting System
A Guide for Local Governments
in Massachusetts
Dan Donahue
Don Levitan
George McDowell
Christine Newell
Dan Donahue is a law student at Suffolk University.
Don Levitan is a Professor in the Graduate School of Administration at
Suffolk University.
George McDowell is an Assistant Professor in the Dept. of Food and Resource
Economics, and Extension Economist at UMass/Amherst.
Christine Newell is Staff Editor for the Cooperative Extension Service, UMass/
Amherst.
LITERE ANTIONS NOVIS
CITY OF CAMBRIDGE
CIVICO
46
CAMBRIDGE, MASSACHUSETTS 02139
Tel. 876-6800
REGIMINE
DONATA
Executive Department
James L. Sullivan
City Manager
April, 1978
The skills required of public sector managers today are many and varied, but
none is more important than the art of grant writing. Faced with the need of
managing complex systems with limited resources, those who are familiar with
the opportunities and the procedures for expanding those resources clearly have
a decided advantage over those who do not.
The need for capacity building in the federal grant process for municipal offi-
cials, civic groups, non-profit agencies, and academic institutions has up to now
been largely unmet in Massachusetts. With the publishing of this book, the authors
have provided a clear, concise primer on the grant process which should prove
invaluable to all who are interested in improving their skills in this area.
For many years the federal grant process was considered by many to be the
sole prerogative of the professional "grantsman." Applications had to be prepared
by professionals and reviewed by professionals, and the programs were considered
to be beyond the reach of the layman. Over the years however, the programs have
evolved and expanded, become more commonplace, and less foreboding and
mysterious.
By carefully following the procedures outlined in this book, anyone who
understands the goals of his or her organization can seek out opportunities to
expand limited resources and successfully develop a proposal for funding. The
authors are to be commended on describing a complex subject in a manner which
all can understand.
James L. Sullivan
City Manager
Cambridge, Massachusetts
President-Massachusetts League of
Cities and Towns
i
WHY NOT APPLY FOR A FEDERAL GRANT?
The federal government of the United States is the single largest source of grant
assistance in the world. Chances are that if you are seeking funding for your com-
munity, civic group, or other organization, you will consider federal assistance
before any other kind. Before applying for a federal grant, however, you should
be well aware of the implication for your group or town, whether or not your
project is funded.
First, the application process itself is time and money consuming. You should
only consider applying for grants to fund projects for which there is a clearly es-
tablished need in your community. In many cases, community support before
and after the project is funded is an integral factor in the success and acceptance
of your proposal. Do not commit community resources unless you are sure they
will be available for the duration of the project.
Second, do not invest time in a grant proposal unless you can afford to have
it rejected. Whether you select a funding source which specifically meets your
needs, or tailor your project to an existing program, be sure that you are prepared
to take the time necessary to write a good proposal, and that your organization
can bear the financial brunt of failure should your program not be funded. Many
organizations and local units of government have budget categories just for grant
writing. In any case, be aware that grant writing is not a frivolous pastime, and
that a "shotgun" approach of submitting many, shoddy applications will only
waste time and discredit your organization.
Third, since the dollars which are obtained through a federal grant are public
monies collected from tax payers, there are many restrictions and restraints on
their use. The variety of rules and regulations surrounding the expenditure of fed-
eral assistance funds make many demands on the the grant recipients, and you
must be prepared at the outset to fulfill the accountability requirements. And, as
already mentioned, your town or group should be fully prepared to match federal
resources if your project is funded. Match may be "soft" (personnel, equipment,
facilities) or "hard" (cash), but be sure that everyone involved is ready and willing
to contribute if need be. You should also make provisions for the continuation of
any on-going projects once federal assistance has ended. Make sure that your or-
ganization can absorb program costs, if necessary, or be prepared to phase out the
operation and forewarn any personnel you hire of this eventuality!
In short, applying for federal funds can be tedious and time-consuming. Obtain-
ing federal funds can be equally demanding of energy and patience in dealing with
grant requirements. But it can also be highly rewarding, and an answer to some of
your community's needs. The more time and care you invest in preparing a grant
proposal, the greater your chances of success in securing funds, and, ultimately,
in implementing your project. If you are still interested, then this manual will,
we hope, help you understand some of the details and surmount some of the ob-
stacles in your pursuit of federal assistance.
iii
TABLE OF CONTENTS
Introduction
i
Why Not Apply for a Federal Grant
ii
Background Information
The Grant Process - Congressional Origins
1
Types of Grants
1
Preapplication
The Proposal-Writing Staff - Organization and Responsibilities
5
Securing Program Support
6
Need Identification
7
Development of the Idea
7
Formal Preapplication - A-95 Review
10
Application
Statement of Need
15
Objectives
16
Program Design
17
Time Is Money
18
Budget
21
Staff
23
Evaluation
24
Grant Information Resources
Primary Sources of Information on Funding in Massachusetts:
Agencies
27
Publications
29
Following the Trend of Federal Funding
30
Policy Circulars and Regulations Concerning Federal Grants
32
Documentation of Needs -
Sources of Facts and Statistics about Your Town or Area
34
Appendix
Sample Letters of Inquiry
38
Sample HEW Technical Review Form
41
Sample Notice of Intent Form
47
Supplementary Bibliography
48
Directory
52
Referral #:
A-95 in Review -
1
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Background Information
THE GRANT PROCESS - CONGRESSIONAL ORIGINS
The federal granting process begins in Congress with the passage of legislation
authorizing the creation of a grant program, and the subsequent appropriation of
funds. The process culminates in the awarding of a grant to a group, agency, or
individual by a department of the federal government, or the dissemination of
federal funds by a state agency.
The authorizing legislation creates the grant program and establishes the fund-
ing ceiling (upward limit on money to be spent) for it, but does not actually sup-
ply money. Funds must be appropriated through a separate bill, and rarely does
Congress authorize as much money to be spent as is requested in the original legis-
lation!
Once the actual funds have been secured, the federal department or agency
which will administer the grant informs prospective grantees of the availability
of program monies. If the program is new, the agency must publish proposed reg-
ulations in the Federal Register. R.F. P.'s (Requests for Proposals) are advertised
in the Commerce Business Daily, and the Catalog of Federal Domestic Assistance,
published biannually, lists and describes approximately 1100 federal grant pro-
grams. Grant information is also routinely sent to state agencies, educational
institutions, and current grantees. There are many other formal and informal chan-
nels of funding information which have recently become accessible to the public
through the passage of the Freedom of Information Act.
Unfortunately, this is a highly simplified view of the federal granting system.
A multitude of administrative procedures accompanies every step of the process,
and, at times, the intent of Congress in initiating a grant program can seem very
remote indeed. This manual is designed specifically to de-mystify the federal
grant process for the non-professional grant writer, and to help realize those orig-
inal good intentions and goals. Familiarity with the system will, we hope, banish
unwarranted intimidation and reluctance to apply for federal funds, and will
eventually encourage a more equitable distribution of federal assistance.
TYPES OF GRANTS
There are two basic types of federal grants project and formula. Project
grants are awarded on a competitive basis to fund specific activities; formula
grants are allocated according to statutory distribution guidelines for unspecified,
1
on-going activities. "Project grant" is roughly synonymous with "categorical
grant"; prior to 1966, nearly all federal assistance to state and local governments
was provided through categorical, or highly specialized, grant programs. Since
then, with the enactment of block grants, formula grants, and general revenue
sharing, there has been an increasing mix in the federal aid system. As a result of
this diversification, the distinctions between different types of grants are not
always clear; the situation is further aggravated by the fact that many new pro-
grams are comprised of (or are variations on) old programs, so that both old and
new are defined in terms of each other. This leads to some circularity of thought
and understandable confusion. It is important, however, to understand the distinc-
tions between different types of grants in order to quickly identify those which
are especially suited to your needs. The form of a grant can also provide a hint as
to what the national government's intent was in enacting it, and give you an initial
indication of how much control the granting (or "cognizant") agency will have
over administration and finances once an award is made. (For example, "open-
ended" grants assign virtually no discretionary authority to administering officials,
and are usually aimed at nationwide, rather than specifically local, problems.)
The Catalog of Federal Domestic Assistance classifies all grants (of the sixteen
different types of assistance it lists) as either "Formula" or "Project," with little
or no reference to the terms "categorical" and "block." Project grants are further
broken down in the Catalog by function, such as training, demonstration, plan-
ning, construction, etc. Do not become confused by the seemingly arbitrary refer-
ence to grants by functional description or by legislatively-designated type, i.e.,
formula, block, etc. As has already been pointed out, distinctions between types
of grants frequently overlap, so that a training grant may also be a project and a
formula grant. The most important thing to distinguish is which grant can do the
most for your community.
We will begin our discussion, then, with categorical grants, as they are the pro-
totypes of the federal granting system.
Categorical Grants still provide state and local governments with the bulk of
federal aid money. There are now approximately 400-500 funded categorical pro-
grams, which are divided into four basic types: project, formula-project, formula-
apportioned, and open-ended reimbursement grants.
Project grants (approximately 296) require specific applications for each pro-
posed project, with awards made by the administering agency on a competitive
basis. The administering officials usually have greater authority over the use of
program monies for project grants than for any other type of federal grant.
Formula-project grants are made available to states according to uniform allo-
cation formulas, and are then awarded individually in the same way as other proj-
ect grants. (There are only about thirty-six formula-project grants in all.)
2
Formula-apportioned grants (approximately 106) are distributed directly to
recipients according to formulas contained in the authorizing legislation.
Open-ended reimbursement is a cost-sharing arrangement wherein the federal
government commits itself to reimbursing a specified proportion of state-local
program costs. There is no competition and no allocational formula, as such, for
this type of assistance; moreover, management practices are usually dictated in
the Congressional legislation, leaving little or nothing to the discretion of admin-
istering officials. Aid for Dependent Children is an example of an open-ended
reimbursement program.
Block Grants are a relatively new phenomena; they usually combine several
previously categorical grants in single, more flexible programs which allow greater
spending initiative at the local level. Although the term "block grant" is used
quite loosely to refer to many different programs, it is most commonly associated
with the Partnership for Health Act (1966), the Omnibus Crime Control and Safe
Streets Act (1968), the Comprehensive Employment and Training Act (1973),
the Housing and Community Development Act (1974), and the 1974 amendments
(Title XX) to the Social Security Act of 1935. Block grants are, by definition,
formula grants and are utilized largely at the discretion of the recipients. They
may, in some cases, be subclassified as Entitlement or as Discretionary grants:
Entitlement grants guarantee metropolitan cities (population 50,000+), urban
counties (population 200,000+) and cities under 50,000 population which are
centrally located in Standard Metropolitan Statistical Areas (SMSA's) amounts
of money calculated by a formula based on local need. Entitlement funds auto-
matically take into account such factors as population, poverty, and overcrowded
housing, and distribute federal money accordingly.
Discretionary grants are "left-over" entitlement funds awarded on a competi-
tive basis to smaller communities. They correspond roughly to project grants, and
are intended, in many cases, to bridge the gaps between old categorical programs
and the new block grants. Discretionary funds are also set aside for aid in federally
recognized disasters, for innovative projects, and for the continuation of expired
categorical programs which are not eligible for block grant funds. (The latter are
called "hold harmless" grants, and continue funding to local governments for
three years in order to complete projects already under way.)
3
5
and
Preapplication
THE PROPOSAL-WRITING STAFF -
ORGANIZATION AND RESPONSIBILITIES
The development ofmanygrant proposals is a group project, and in many small
towns, is both a volunteer and a part-time undertaking. There are certain pitfalls
to avoid in any collaborative effort, particularly volunteer projects. To begin with,
it is usually advisable to establish some sort of heirarchy in the proposal writing
staff, as well as in the project's actual administrative staff. This does not preclude
group "brain-storming" sessions (often a most effective problem-solving device)
or cooperation among staff members. It does, or should, prevent hopeless stale-
mates over minor issues and time-wasting squabbling. Identify one member of
your group to be ultimately responsible for the development of the proposal, and
make sure that all other staff members are aware of and in agreement with this
designation of authority. Bear in mind, also, that the individual in charge of pro-
posal development should not necessarily be the same individual who is in charge
of the program's administrative staff once your project is funded. It is often the
case that quite different talents are required for the organization and writing of
the proposal than for the implementation of the project. It is also frequently true
that a good grant writer is not necessarily an expert in the field of the proposed
project. In fact, some distance from the intricacies of the program may be neces-
sary to clearly conceptualize and describe it to others, namely the granting agency
officials. Surely, experts should be involved in the preparation of the budget and
program design sections of the proposal, but the narrative prose statements of
need, goals, and objectives may be better composed by someone in your organi-
zation who is more a writer than an administrator.
Similarly, the proposal-writing staff leader may not always be the most likely
person to conduct negotiations with funding agency officials. It is sadly the case
that administrators usually respond more readily to individuals of similar rank in
other organizations; for this reason, the most able proposal writer might not be
the best project "salesman." If most of your staff is volunteer, it might be a good
idea to designate someone who is a full-time government employee (such as Police
Chief or Superintendent of Public Works) to be your major contact person with
the granting agency.
However you organize your staff, keep personal ego involvement at a minimum
throughout the whole granting process, and remember that different channels of
authority should at least be considered for the development, selling, and adminis-
tration of the grant program.
5
SECURING PROGRAM SUPPORT
Internal
Before you seek external support (financial and otherwise) it is important to
be assured of harmony in your organization with regard to your project. If pos-
sible, have at least one group meeting before soliciting outside support or submit-
ting your proposal. Try to anticipate difficulties which might arise from uneven
participation in the project, the diverting of personnel from normal activities, or
from financial drains on your organization, before grant monies have actually
been awarded.
Another form of support which can be crucial to your proposal is that of the
funding agency itself. Contact program officials early in the application process
to ask for their advice, criticism, and support. Familiarity with officials in the
agency can only benefit you when you submit your final application, and they
are the last word of authority on matters pertaining to your grant proposal.
External
Securing community support for your program may not only be advisable - it
is a compulsory application procedure for many grants. In any case, it is always
helpful to have the support of as large a portion of your community as you can
muster behind your grant proposal.
A good approach is to develop a preliminary abstract of your project - not
more than two or three pages - which you can leave with potentially supportive
groups or agencies after you have made personal contact with them.
In small towns, you should attempt to get endorsement from as many affected
or involved groups or individuals as possible, including local officials, units of
government, service organizations, civic groups, etc. Needless to say, support from
your target group (those who will directly benefit from your proposed project)
is highly desirable. It is a good idea to solicit opinions from private sectors as well
(businesses, clubs, professional and non-professional individuals) whether or not
you include them in your application. It will be helpful to you in conceptualizing
the indirect, as well as the direct, effects of your project on your community, and
in anticipating any issues which might arise during the application review process.
In large towns or cities you will naturally need to be a bit more selective in
soliciting support for your proposal. You might ask the funding agency itself for
names of organizations which should be involved; also contact community council
offices, chambers of commerce, and any public leaders who might be interested
in or affected by your project.
Before you approach any agency or individual, be sure you know what degree
of involvement you expect from them: letter of endorsement, consulting services,
active participation, financial support. It is easier for people to overlook a vague
promise than a firm commitment, and you are usually more likely to get what
you want when you ask directly for it.
6
NEED IDENTIFICATION
The "Statement of Need" that you eventually write for your proposal, should
be based on careful study and quantification of the problem you are addressing.
This does not mean that it should document your entire research process; rather,
it should reflect a thorough knowledge of the problem you propose to rectify,
with a judicious selection of facts to document its existence in your community.
Knowing whether or not a need actually exists may not be a problem, but
knowing how to present it clearly and forcefully can be. Facts are needed to es-
tablish the existence of the problem, and to place it in a historical and geographic
context which can be easily understood by those unfamiliar with your commun-
ity.
The best place to start looking for background information, facts, and statis-
tics about local communities is your Regional Planning Agency. There are thirteen
Regional Planning Areas in Massachusetts (see pp. 54-55 for map and directory).
R.P.A.'s produce thousands of publications on specific communities, local issues,
and problems. County governments, as a rule, publish very little, and what they
do put out is usually dated.
The U.S. Bureau of the Census, the Massachusetts Department of Commerce
and Development, and the Massachusetts Office of Local Assistance are also ex-
cellent sources of information. See "Grant Information Resources: Documenta-
tion of Needs," p. 34, for a listing of some of their publications, as well as those
of other agencies. Check local colleges, and universities and public or private re-
search firms, too - there is always the possibility that someone has just con-
ducted a survey or study in your field of interest.
After you have exhausted the existing sources of information and background
material, it may be necessary to generate data specific to your community and
particular problem. Again, your Regional Planning Agency or local County Exten-
sion Service will be glad to refer you to (or supply you with) appropriate sources
of information on data collection, analysis, and presentation. Canvass your town
or area for volunteers to assist with this kind of activity. Help is often in your
own backyard; you only have to ask for it.
DEVELOPMENT OF THE IDEA
Deciding on a strategy
Once you have organized a staff and pinpointed your needs, you are ready to
develop the idea for your project. The strategies you decide upon will be the basis
for your entire proposal - "fleshed out," they will be represented by the Need,
Objectives, Design, Staff, and Budget sections of the application.
There are two schools of thought on project or idea development: approach A
is the initial formulation of an idea followed by a search for an appropriate fund-
ing source; approach B is the adaptation of your organization's plans to existing
programs or Requests for Proposals.
7
This distinction between the two approaches is really arbitary, since most
grant programs are probably the product of some combination of the two. We
feel that it might be useful to outline the general characteristics of both methods,
however, if only to assist you in keeping a clear picture of where you are coming
from and where you are going. It can be all too easy to become so involved in de-
tails and administrative procedures that you lose sight of your original goals and
priorities.
The two approaches, then, are as follows:
Approach A
Is an outgrowth of a comprehensive planning process, based on need identi-
fication and analysis, followed by thorough research of funding sources.
Approach B
Emphasizes minimization of time and effort in many pre-application activ-
ities.
May be one of many routine responses to R.F.P.'s.
Depends on a good working knowledge of the federal granting system.
Directs efforts at justifying the need for an existing (or already prescribed)
program in a particular locality.
Using one approach or the other is largely a matter of experience, time con-
straints, and personal style. It is hoped that the background material and references
in this text will lead to enough familiarity with the federal granting system to make
approach B more accessible to local communities (and to help eliminate the need
for professional "grantsmen"), while preserving the care and thoroughness charac-
teristic of approach A.
The time you invest in formulating your idea will naturally depend on whether
it is an original concept or a bid for entry into an existing program. However you
operate, though, the following strategies and considerations should be included
in your project development:
Phase I
Meet with all those who will be involved locally in the project. At a minimum,
discuss the following questions:
1. What is the need or problem?
2. What is the desired state of affairs (long-range goals)?
3. Why is your organization tackling the problem? Or, why are you the most
qualified or appropriate ones to do the job?
4. Who else-other service agency or unit of governnent-is involved with this,
or a similar problem?
5. Why have they been successful/unsuccessful in dealing with it?
6. What can you learn from them?
7. Should this be a collaborative effort with other groups? (This question will
help you to determine the scope of the project-financial and otherwise.)
8
Phase II
Once you have determined the scope of the project and who will be involved,
discuss what you are going to do about it:
8. What are the alternative approaches to the problem?
9. What are the advantages/drawbacks to each?
10. How long will the project take? Should it be done in phases?
11. How much (hard/soft) do you expect from everyone involved, including
the granting agency?
1 12. How many people will it employ?
1
13. How many people will it benefit? (Numbers 12 and 13 may overlap.)
14. What will happen to the project at the end of the funding period? (This
consideration should be based on some preliminary idea of the future fund-
ing possibilities/requirements of the grant program(s) for which you are
applying.) Who will absorb continuing costs if it is to be an ongoing effort?
15. What will the consequences be if the project is not a success? Can any
benefit be derived if you don't achieve all of your goals, or is this an "all
or nothing" effort?
16. What will your strategy be if you don't get funded this time around?
Phase III
Write a short (one page) abstract of the proposal to work with, to submit (if
necessary) for A-95 review, and to show to granting agency officials and other pro-
spective participants at preliminary meetings. It should include a general descrip-
tion of the need you are addressing, your goals and objectives, simple outline of
program design, 1-figure budget, and an estimate of time and staff size. Include
the name and title of your Program Director, if you already have one.
Make sure that you remain flexible enough at this point to make adjustments
in your plans after initial interviews or A-95 review. The whole point of a prelim-
inary abstract is to open your idea to constructive advice and comment.
Preapplication Stage-Informal
It cannot be stressed enough that contact should be made and maintained with
potential funders as early as possible-they are, after all, the best source of advice
on how to apply for their agencies' funds! Model letters of inquiry may be found
on pp. 38-40 of the Appendix. You should also make personal contact, if at all
1 It is a good idea to incorporate the concepts of "primary and secondary benefits"
into your plans and your proposal; it lets the funding agency know that you have
considered all angles of your project. Primary benefits are those which directly
relate to the target population; secondary benefits occur indirectly as a result of
the project, and may affect the entire community or area. For example, the pri-
mary benefit of low-cost housing for the elderly is the improvement of living
conditions for senior citizens. A secondary benefit might be a higher local employ-
ment rate due to construction of the housing units. This is sometimes referred to
as the "ripple effect."
9
possible, and attempt to answer the following questions:
-Why is the funding source sponsoring a grant program?
-What are their objectives?
-Do they mesh with yours?
-Does your program meet any conditions they specify?
-Are they offering enough money?
-Is the program oversubscribed?
-What is their priority rating (Item I of Part II, Standard Form 424) based on?²
-Will the application require any approval/clearance? (Items 2, 3, 4, 5 of Part II,
Form 424.)
-Most important: What are their suggestions for you? If they are not an appro-
priate funding source for you, do they know who might be?
FORMAL PREAPPLICATION
For many grant programs, this is the most crucial phase in the application pro-
cess. The state clearinghouse in Massachusetts only reads the grantee's "Notifi-
cation of Intent" (to apply) in their A-95 review procedure; similarly, the preap-
plication procedure for some discretionary grants, such as those offered through
HUD'S Community Development program, is the crucial cut-off point-those
chosen to make final application usually get funded. 3 In any case, your preappli-
cation (preliminary abstract, project summary, or whatever) should be as arresting
and innovative, while still being realistic, as possible.
A-95 Review
Office of Management and Budget Circular No. A-95 describes the procedure
for coordinating federal and federally assisted programs and projects with each
other, and with state, regional, and local plans and programs. A-95 review is man-
datory for many federal grant proposals, as well as for federal development pro-
posals and a number of other federal assistance programs. A list of the federal
programs and projects which are subject to A-95 review may be found in the
Appendix of the Catalog of Federal Domestic Assistance. Your application packet
from the funding agency will indicate whether or not your proposal will be re-
quired to undergo A-95 review; be sure to allot plenty of time for this, if necessary,
before the final application deadline.
OMB Circular No. A-95 is divided into four major parts, the first of which is
described below.
Part I. The Project Notification and Review System-PNRS
PNRS is intended to prevent conflicts between federal programs or jurisdictions,
2
Agencies rate proposals both by independent merit and by current priorities
for different problems. A "perfect" proposal may be useless if it addresses a prob-
lem considered low priority by the funding agency.
3 You will be informed well in advance when this is the case.
10
thereby helping federal administrators fulfill their obligation to efficiently spend
taxpayers' money. It also provides an opportunity for governors, mayors, county
officials, and other state and local officials, through clearinghouses (usually Re-
gional Planning Agencies), to influence federal and federally assisted programs and
projects that may affect their own plans and program. A-95 cannot insure coordi-
nation, but it is designed to create a climate for intergovernmental cooperation
in which such coordination is more likely to come about.
A-95 review consists of two phases: the Notification Phase and the Application
Phase. The diagram below gives an overview of the whole process. Both phases
are briefly described in the following text.
PROJECT NOTIFICATION AND REVIEW SYSTEM
NOTIFICATION PERIOD
TIME MAY ELAPSE
APPLICATION REVIEW PERIOD
BETWEEN PERIODS
STATE AGENCIES
2.
State
State
State
Clearinghouse
Clearinghouse
Clearinghouse
1.
3.
1.
2.
Notice
Notice
NEGOTIATION
Final
Final
3.
of
of
OF
Application
(Reviewed)
Intent
Intent
ISSUES
Application
1.
3.
1.
2.
Areawide
Areawide
Areawide
Clearinghouse
Clearinghouse
Clearinghouse
2.
LOCAL GOVERNMENTS
30 days
30 days
1. Applicant sends notification to State and areawide
1. If issues have not been resolved and/or clearinghouse
clearinghouses.
has requested application for review, applicant submits
application to clearingouse.
2. Clearinghouses review and secure views of State agencies
and local governments.
2. Clearinghouse prepares comments and submits them
to applicant.
3. Clearinghouses notify applicant
a. If there are any issues; or
3. Applicant submits application along with all clearing-
b. Send supportive comments; or
house comments to funding agency.
C. Defer comments and request completed applica-
tion for review.
Notification Phase:
A potential applicant for federal assistance first notifies both the state clearing-
house (in Massachusetts, the Office of State Planning; see the Directory, p. 54,
for address and phone number) and the appropriate areawide clearinghouse, using
a "Notice of Intent" form to describe the proposed project. Some states use federal
form 424; Massachusetts, however, has its own "Notice of Intent" form to be
used for both the state and local clearinghouses. (See map, p. 54, in the Appendix
for the location and jurisdictional areas of the Massachusetts regional planning
agencies.) The applicant must also indicate whether or not the funding agency re-
11
quires an environmental impact statement (EIS) relating to the proposed project. 4
The areawide clearinghouse then solicits comments from municipalities or agen-
cies whose plans or programs may be affected by the applicant's proposal. In the
case of an application submitted by a special purpose unit of local government,
such as a housing authority, comments will be solicited from any unit of general
local government (selectmen, councillors, etc.) having jurisdiction over the area.
Within thirty days of receiving the notification of intent, the clearinghouse
notifies the applicant if there is "no interest," meaning that the application poses
no problem to regional planning. If potential problems are recognized, they are
brought to the attention of the applicant, and the clearinghouse may arrange a
conference with the applicant to discuss questions or issues. A clearinghouse re-
sponse of "no interest" terminates the applicant's obligation to the clearinghouse,
and the applicant may then complete the final application.
If all clearinghouse questions or issues regarding the proposed project have
been resolved during the notification phase, the final grant proposal may be sub-
mitted to the federal funding agency and the clearinghouse at the same time. If,
however, the clearinghouse still has questions about the proposed activity, they
are entitled to an additional thirty days review before the application is sent to
5
the federal funding agency.
If a final application reaches the clearinghouse without a previous "Notice of
Intent," the clearinghouse is allowed sixty days to review the completed applica-
tion. As in the notification phase, opinions are solicited from municipalities and
agencies having plans or programs that could be affected by the applicant's pro-
posal. If the application generates no further comments, a statement must be at-
tached to the final application noting that A-95 review procedures were followed
and no comments were received. All comments that are received must accompany
the final application to the funding agency.
The funding agency then considers the application and attached comments,
and informs the clearinghouse of action taken thereon (using standard form 424,
when appropriate). When a project which a clearinghouse has not recommended
is funded, the action notice is accompanied by an explanation to the clearinghouse
as to why its recommendations were not followed.
4 Any federal project having an effect (beneficial or detrimental) on the environ-
ment will probably require an EIS before a funding decision may be made on it.
Appendix I of the Catalog of Federal Domestic Assistance lists most programs
requiring an EIS; if you have any doubts about your particular project, contact
the federal agency which administers the grant.
5 In Massachusetts, the state clearinghouse usually conducts a single 30 day review
based entirely on the Notice of Intent. Local clearinghouses have different policies,
and it would be wise to acquaint yourself with the practices of the clearinghouse(s)
critical to your project before drafting your Notice of Intent or final proposal.
12
The Regional Planning Agency's Role
The Regional Planning Agency (RPA) acts as a clearinghouse for comments
and recommendations on funding applications affecting any cities or towns within
its district. The clearinghouse will try to determine whether opportunities afforded
by intermunicipal cooperation have been fully explored, and whether the timing,
location, or scale of a project may affect plans and programs other agencies are
proposing or establishing. A clearinghouse cannot grant or deny funding assist-
ance-its comments are advisory only, and serve to assist the funding agency in
evaluating the project, and the applicant in developing a sound project.
The manner in which a clearinghouse conducts its reviews is discretionary,
though time constraints must be adhered to, and a conscientious effort made to
identify jurisdictions and agencies whose plans and programs might be affected
by the proposed project.
State clearinghouses serve a similar function in insuring that plans and programs
requesting federal assistance are in harmony with the state's ongoing and contem-
plated plans and projects. They are designated by the governor; in Massachusetts,
the state clearinghouse is the Office of State Planning. For more information on
A-95 Review, contact Kirk Danforth (address and phone number in the Directory,
p. 52).
Obligatory Reviews
Clearinghouses have three obligatory referrals (in addition to local chief exec-
utives' review requests). They are:
1. To state and local agencies for projects which may require environmental
impact statements.
2. To state and local civil rights agencies.
3. To Coastal Zone management agencies.
13
A
DE
mill
FAPAS
FAPAS
58883
SHARS
Application
The Preapplication stage of the grant-writing process is complete-you have
identified your needs, selected a funding source, developed your plans, and com-
pleted any necessary preapplication review procedures. Now you simply have to
convince the granting agency that your project is indispensable, your plans flaw-
less, and your organization unquestionably suited to the job!
Much of the advice we offer in the forthcoming "Application" section is aimed
at improving your writing skills in general, and your grant-writing skills in partic-
ular. Perhaps the most valuable piece of advice we have is "remember your audi-
ence." You are writing for people who, in all likelihood, are unfamiliar with you
or your project. Strive for precision and brevity, and continuously ask yourself
whether information you include is relevant. You can be sure that the proposal
reviewing staff will be grateful for the hard writing you have done to make their
reading easy.
The "Application" section is divided into six short chapters, one for each part
of the grant proposal: needs, objectives, program design, budget, staff, and eval-
uation.
STATEMENT OF NEED
Your Statement of Need is a preface to the rest of your proposal; it outlines
why you want to carry out the project you will later describe in the "Objectives"
and "Design" sections of the proposal. You can prepare the way for a logical
transition to these sections by clearly defining-through numbers, statistics,
etc.-the scope of the problem you are tackling. Be specific, avoid extraneous
detail, and, above all, be realistic. There is no point in documenting a problem for
which there is no possible solution.
For example, you might say:
"Forty-seven percent of all citizens 65 years of age or over in Hampshire
County are currently without transportation facilities to hospitals or
health clinics, either for routine, preventative care or for emergency
treatment, ,,6
rather than,
"It is deplorable that the elderly, who are frequently in need of medical
6 This "data" is entirely fabricated.
15
treatment, are usually the least mobile members of society."
The first statement outlines a problem which can be solved, i.e., through your
grant program. The second statement is a personal value judgment about the obvi-
ously ineradicable problem of physical frailty in old age.
It can sometimes be to your psychological advantage to inject a note of urgency
in your Statement of Need:
"This is our last chance to do something about this problem!"
You will have to use your common sense about this, however, as there are some
problems which will probably never get much worse or go away.
You also might include individual examples to dramatize your point, but be
sure to avoid exaggerating or preaching. Let the facts speak for themselves. If you
have done your homework well, they will. Do not include exhaustive case studies
or data analyses; if you feel that they are absolutely essential, include them in an
appendix. Remember, your proposal may be one of hundreds, or even thousands;
do not burden funding agency reviewers with more information than they need
to make an educated decision on your application. Aim for a presentation of facts
that is precise, easy to read, and logically connected to your proposed project.
Leave no doubt in the reader's mind that a serious problem exists, and that
your organization is qualified to solve it (with a little financial assistance!)
OBJECTIVES
Your objectives state what it is that you hope to achieve through your project.
They should be a logical response to your preceding Statement of Need, and should
prepare the way for a smooth transition to a discussion of your program design.
For the sake of clarity, objectives should be subdivided into long-range aims,
or goals, and short-range activities, or objectives. Goals are more theoretical than
objectives; they refer to such essentially unrealistic aims as full employment or
the elimination of juvenile delinquency. Objectives refer to the concrete measures
taken to achieve goals; they specify exactly what will be done to eradicate as much
of the problem as is feasible. Goals, then, are the transition between needs and
objectives, and objectives are the transition between goals and the program design
or methods:
Needs
Goals
Objectives
Methods
(high rate of
(elimination of
(establishment of
(recruitment of
juvenile crime)
juvenile
youth counseling
personnel, rental of
delinquency)
center)
space, etc.)
Your statement of goals should identify the target population, the benefits you
hope to bring to them, and the conditions of success of the project. Objectives
define the mechanics of achieving the goals.
Clearly defined objectives will help you to write a coherent outline of program
16
methods. Knowing exactly what you want to achieve productively limits your
options in ways to achieve it; it forces organization of effort and efficiency of de-
sign. Your objectives should be brief, specific, and quantifiable; the hallmark of a
good proposal is a clearly defined objective capable of being evaluated.
The two key elements of objectives are performance and conditions:
Performance names the activity or series of activities undertaken to achieve goals.
Example:
We will build low-income housing units in the Longview area of Middleville.
Use action words to describe the performance you expect. Stick to active,
transitive verbs (subject
verb
object) and avoid vague, passive sentences ("It
is hoped that
"
"Some feel
" "It could be argued
"). Try, also, to use
laymen's terms, and avoid such technical jargon as "inputs," "outputs," "thrust,"
etc. They are all too common in business and government writing, and you want
your proposal to stand out.
Conditions indicate the successful completion of activities; factors such as time
or numbers are frequently cited as conditions of success.
Example:
We will build twenty-five units of low-income housing in six months; at that
time approximately one half of these units should be ready for occupancy,
with central heat, plumbing, etc.
The conditions you impose should be simple, clear-cut, and quantifiable. Opinions
may differ as to what terms such as "ready for occupancy" imply, so it is up to
you to specify as unambiguously as possible what you mean.
Final note: some people (particularly fluent speakers of governmentese) refer
to objectives and goals as "process objectives" and "program objectives." Process
objectives refer to the means, and program objectives refer to the ends, or final
product. These terms are useful only inasmuch as they help you to clarify your
own goals and objectives.
PROGRAM DESIGN
The design, method, or approach section of your proposal narrative outlines
how you intend to implement your program. Needless to say, you should not
attempt to work this out on paper the night before the application deadline. If
you have thoroughly defined the problem and your solution to it, you should,
by now, have some concrete plans and strategies worked out. It remains for you
to clearly explain and justify your approach to the granting agency.
Most agency officials respond more readily to innovative ideas and to pilot pro-
grams which, if successful, can be easily replicated in other areas. If your project
offers something new, emphasize it; of particular appeal are programs which clev-
erly utilize existing resources to solve problems. Show the granting agency that
you have worked hard to devise a program which will yield the greatest possible
return for their investment. Your design should have no loopholes or mysteries in
it-you do not want to convey the impression that you expect a blank check to
17
cover all of your experiments and false starts. 7 In short, the needs and objectives
sections of the proposal focus on the target group; the design section focuses on
you. Make sure you are prepared for the close scrutiny your plans (and your
organization) will undergo.
It is best to start writing your narrative in general terms, proceeding gradually
to a more detailed breakdown of your program's major components. It is always
a good writing strategy to convey as much of your basic idea as possible in your
first paragraph, if not in your first sentence. Get to the point, and make the reader
want to read on.
Tight organization of ideas is also essential for easy reading. Make a logical
outline for your discussion, and stick to it. Decide what "theme" you are going
to organize your discussion around, and fill in your ideas where appropriate. For
example, you might describe the sequence of activities chronologically, using time
as your theme. You might also organize your approach by objectives, analyzing
how you will address each task individually. Or you can discuss activities by func-
tion, grouping the same kinds of things together-for instance, construction, re-
search, public relations, etc. Whatever you do, however, be consistent; continuity
in your writing will indicate a logical mind behind the proposal. Do not, however,
get so bogged down in the outline that you can't write the proposal! Keep your
outline short and simple, and your narrative will almost necessarily be tight and
succinct.
Use the budget forms in your application packet as a checklist of details to be
included in your narrative. For instance, staff, equipment, rentals, travel, etc.,
should all be discussed as part of your program design if they are integral to the
project.
Finally, be sure to discuss alternative approaches to the problem, and explain
why you have chosen yours. Taking the initiative in this way will prevent your
having to defend your program design at a later stage in the game, and will assure
proposal reviewers that you have chosen the most effective and appropriate solu-
tion to the problem.
TIME IS MONEY!
Time is a crucial element in any grant proposal. It is very important to make
sure that you allot enough time for all of your activities, and that you clearly
depict your anticipated schedule in the proposal narrative.
In particular, be sure to allow time for such easily overlooked activities as:
1. Any development of the project design that must wait until funding begins,
i.e., that requiring expensive consulting services or equipment.
2. Recruiting or training of new personnel,
7
Along these same lines, you should be prepared to start immediately if funded,
since most grant programs have rigid time limits; the program ends when the fund-
ing period is over, not when the project is completed.
18
3. Negotiating with any cooperating or participating agencies.
4. Periodic and final evaluations, and any conferences, data collection, analysis,
and reports they may entail.
There are many different ways to depict time in your proposal. You can stick
to a straight narrative, or combine narrative and graphic representation. The latter
approach is usually the most effective and easily understood, particularly if many
activities will take place simultaneously.
Graphic representation of time can be done in many ways, depending on the
complexity of your project. Following are some of the most common methods:
1. Straight Chronology-this is the simplest method, with single events succeeding
each other in a straight line:
A
B
C
D
etc.
This is sometimes referred to as the "milestone" method; it is usually not appro-
priate for any but the most basic projects, since it does not represent any inter-
dependence of activities.
2. Phase-time Line-This method depicts simultaneous occurrence of different
activities, but does not indicate interdependence.
PHASE TIME LINE CHART
Executive to Airport
2P.M.
3P.M.
4P.M.
5P.M.
1
2
3
4
5
6
7
8
9
10
Task Identifications
1 Executive calls housekeeper
gives secretary instructions
2 Executive completes report
3 Housekeeper packs suitcase
7 Housekeeper delivers suitcase
4 Secretarymakes reservation
8 Cabdrives to office
5 Secretary picks up tickets
9 Executive takes cab to airport
6 Secretary calls cab
10 Executive checks in for flight
19
3. Flow Chart-This method shows, to a degree, the relationship between events:
which ones occur simultaneously, which ones precede others, etc.
A
B
c
DEFGH
4. PERT-Project Evaluation and Review Technique. This system is the most
sophisticated; it fully depicts the relationships and interdependencies of your proj-
ect elements. A PERT network is composed of events and activities. An event is
the start or completion of an activity; it is not composed of time, personnel, or
other resources. An activity is a task or job utilizing personnel and resources over
time.
PERT CHART,
Executive to Airport
3
/
1/2 hour
Thour
5 min.
1 hour
1 hour
20 min.
1
2
6
7
8
5 min.
½ hour
5min.
1/2 hour
4
5
Activity Identifications
1-2 Executive calls housekeeper, gives secretary instructions
2-3 Housekeeper packs suitcase
2-4 Secretary calls cab
2-6 Executive completes report
3-6 Housekeeper drives to office with suitcase
4-5 Secretary makes reservations
4-6 Secretary picks up tickets
5-6 Cab drives to office
6-7 Executive takes cab to airport
7-8 Executive checks in for flight
20
BUDGET
The budget is perhaps the most vulnerable part of your grant proposal. It will
probably undergo the most careful scrutiny, and is the area for which you will be
held most accountable. Thus, it is essential that you take time and care in prepar-
ing your program budget. Remember that it is a working document-you are not
merely filling numbers in spaces, but committing yourself to a comprehensive
financial plan. Be realistic, and be prepared to live with it once you submit your
proposal.
Federal grant programs have very strict guidelines for budget-related items such
as cost sharing and indirect cost rates. In particular, FMC 74-4 defines the regula-
tions for determining direct and indirect cost rates for all federally supported
programs and projects. Very simply, direct costs are those which are directly relat-
ed to the project; indirect costs benefit more than one activity. (For instance, if
your project will be housed in office space presently leased by your organization,
rent may be considered an indirect cost since you are not leasing new space just
for this project.) FMC 74-4 requires that you establish a standard indirect cost
rate to be applied to every item in your project's budget. This is simply the ratio
of indirect costs to specific direct costs, such as salaries. If your direct cost for
salaries is $100,000 and your indirect cost rate is 14 percent, the total indirect
cost for salaries is $1400. The point is to be consistent; sloppiness in treating an
expense as both a direct and an indirect cost may very well result in a disallowed
claim (i.e., no money at all). It is therefore crucial that you be familiar with
FMC 74-4 guidelines before you attempt to compute your budget.
8
If your organization has an accounting department, you will surely want to
involve them in drafting the budget of your proposal. If not, you should consider
hiring an accountant or other financial consultant to advise you.
Assuming that you will have professional help in computing actual costs, keep
in mind the following general points while writing your budget:
1. Be sure to clear up any questions you have with the funding agency before
you submit the proposal.
2. Do not leave any items on the budget sheets blank; enter zero (0) if the cat-
egory does not apply, and explain why it doesn't in the budget narrative
section.
3. Make sure that all of the costs you itemize are comparable to those of other,
similar programs, or be prepared to explain why in the budget narrative.
8 HEW has published a very handy booklet called A Guide For State And Local
Government Agencies; Cost Principles And Procedures For Establishing Cost
Allocation Plans and Indirect Cost Rates For Grants And Contracts With The
Federal Government. It contains FMC 74-4, describes the process of indirect cost
determination, and lists specific allowable costs. It also contains a question and
answer section, and is generally invaluable for the neophyte grant-writer. (See
Directory, p. 53, for the address of HEW.)
21
4. Find out what the minimum/maximum support levels of the funding agency
are, and make sure you are within these limits. Remember to compute (and
fill!) any matching requirements the agency may have.
5. Don't over or underestimate in an attempt to "second-guess" proposal re-
viewers. In other words, don't assume that you can bargain up or down once
you are funded; it is better to be as realistic as possible in the first place.
6. If possible, look over comparable grant program budgets before you draft
your own; the Freedom of Information Act allows you to review all prior
fiscal year proposals.
Below are listed some hints for specific budget categories:
Personnel
Follow the standards for documentation of payrolls set forth in FMC 74-4's
allowable cost principles. For example:
Project Supervisor - 100% of time for 12 months at $1500./month.
Also, be sure to compute all fringe benefits (vacation time, insurance, unemploy-
ment compensation, etc.) in either your direct or indirect cost rate. Remember
to itemize all volunteer work hours just as you do paid time-it is your "in-kind"
contribution.
Contracts
Contracts for services, such as those for consultants or subcontracts to a third
party, require the approval of the grantor. If the proposed contract is specified
in the application, you may usually assume that approval is granted if the project
is funded. (See "Staff," next page, for more discussion of consulting services.)
Construction/Renovation
Construction is allowable only when the program legislation includes specific
construction authority. Alteration and renovation costs that do not constitute
construction are allowable, though they, too, are usually subject to agency limita-
tions.
Travel
Travel is a budget item which tends to be regarded supiciously by proposal
reviewers. Be sure to thoroughly justify all travel expenses you consider necessary
in the budget narrative. (It goes without saying that you will not pad your budget
with frivolous junkets for you and your friends.)
Equipment and Supplies
List equipment and supplies by function (office, instructional, etc.) and find
out beforehand whether you will be allowed to make major, i.e., very expensive,
purchases. Find out whether any equipment you do purchase becomes government
property, as is sometimes the case. Don't forget to itemize "little" things like
paper, typewriter ribbons, etc., which can add up tremendously. Postage and
freight can become quite considerable, too. (This may be considered a separate
item in some cases.)
22
Other
This is a catch-all for items that do not fit comfortably in other cost categories,
but have been identified as costs in your budget. Check to make sure that they
are allowable, and under what conditions.
STAFF
The staff section of the proposal is intimately related to the budget, since most
grant projects not involving construction spend roughly 80 percent of their pro-
gram funds on personnel salaries. It is therefore doubly important to make sure
that your staff plan is efficient and streamlined, while still being adequate.
Before you design your program staff, it is a good idea to consider how it will
relate to your existing organizational staff, if you have one. Will you need to re-
cruit and/or train new personnel? If present staff members will be involved in
the new program, what effect will this have on existing operations and projects?
Many mundane, "hidden" activities (such as clerical work) are more time consum-
ing than most people realize. Make sure you are not placing an unreasonable bur-
den on existing personnel, particularly those who will not receive credit for the
completed project!
Don't introduce any new positions in the staff section of the proposal that you
haven't already generally indicated in your program design. Indicate what selection
process you will use for new personnel, and provide job descriptions and expected
qualifications for key positions. Remember, too, that you must comply with
Affirmative Action guidelines in your hiring procedures for federal programs.
Check with the funding agency on any questions you have regarding your partic-
ular project or area, or contact the Office of Federal Contract Compliance. (See
the Directory, p. 52, for address and phone number.)
You should have determined, by now, whether your project will need a general
administrator or a specialist for a director. Granting agency officials are usually
more receptive to proposals in which project directors are identified, particularly
if they are specialists. You should supply vitae of key staff members who have
already been chosen, stressing any particular qualifications they may have for
their jobs.
As has already been mentioned in "The Budget," volunteers are considered
staff members, and should be treated as such in your application. Federal agencies
assign uniform values to volunteer work hours for different types of jobs; however,
if your volunteers are normally highly paid professionals, indicate as much in
your proposal. Any volunteer work that you pledge must be performed and docu-
mented, so do not lightly promise anything you might not be able to deliver.
The use of consulting services should also be treated thoughtfully. Proposal
reviewers are highly sensitive to extraneous positions in staff plans, so be sure
that you actually do need to pay for professional consulting services before you
include them in your staff or budget sections. If you are unsure about the use of
consultants in general, the Cooperative Extension Service has published a handy
23
booklet called Selecting Consultants for Community Development (Extension
Service, USDA, Program Aid No. 1078), which you can order for .25 from the
Superintendent of Documents in Washington or your County Extension office.
EVALUATION
It is critical to the success of your application that the success of your project
be easily measured. Your evaluation plan details how you intend to do this. Many
granting agencies issue general provisions for programs requiring evaluation
processes; naturally you should follow such guidelines if they apply to your pro-
ject. In any case, there are a number of general rules to observe when designing
your evaluation plan.
Really expert evaluation requires a good grasp of statistics and of experimental
design; the evaluation is useless if it is not objective and based on quantifiable
facts. Consult your Regional Planning Agency or County Extension Service for
advice on sampling, data analysis, etc. (You might do this in conjunction with iden-
tifying your needs; see pp. 15 and 34.) Evaluation should also be an ongoing pro-
cess; it should begin with the project, and should indicate not only whether it is a
success or a failure, but also how it can be effectively modified. The evaluation pro-
cess should control quality and quantity during the process, as well as assess the
final impact of the product.
In order to design an effective evaluation plan, you must know exactly who
your target group is and what their "starting" condition is; your statement of
need should provide you with that information. Similarly, if your objectives are
specific and easily quantifiable, you should have little trouble in determining
what criteria to use in your evaluation. A time line depicting all project activities
and where you hope to be at particular dates can also help you to continuously
measure the success of your project.
Keep in mind the concepts of primary and secondary benefits discussed in the
"Idea Development" section (p. 7). You will save yourself a lot of trouble at the
end of your project if you know at the outset exactly what benefits you intend
to measure, and how you intend to measure them. Almost every activity has a
"ripple" effect - nothing is done in complete isolation. Determine at the begin-
ning how far-reaching you expect your project to be within a specific period of
time, and choose particular areas (or populations) to focus upon in your evalua-
tion. Indicate your awareness of other possible impacts, however, and explain
why you have chosen to delimit the scope of your evaluation.
Whatever type of evaluation plan you decide on, it should provide, at least, for
the following:
(1) Review of objectives throughout the project - are they being accom-
plished, and are they still relevant?
(2) Measurement instruments - statistics, graphs, etc.
(3) Data collection procedures - surveys, public records, etc.
24
(4) Data analysis procedures.
(5) Reporting procedures. The report(s) of your evaluation results should
include:
(a) Brief project description.
(b) Concise statement of objectives and procedures.
(c) Present status report of the project.
(d) Explanation of how the evaluation was conducted (what the condi-
tions were.)
(e) An explanation of your sampling error, if you computed one.
(f) Cost/effectiveness data.
(g) Summary and conclusions.
As a final note, you might consider the possibility of an outside organization
doing the evaluation for you. If you choose a reputable group (perhaps some sort
of volunteer social service agency), it can greatly add to your own credibility and
assure the granting agency that you are confident of your project and objective
in your evaluation.
25
Grant Information Resources
PRIMARY SOURCES OF INFORMATION ON FUNDING
IN MASSACHUSETTS
The addresses and phone numbers of agencies and individuals referred to in this
section may be found in the Directory, p. 52. Publications cited are free unless
otherwise specified.
Agencies:
Federal Regional Councils
The U.S. is currently dividied into ten standard administrative regions, each
with a designated headquarters city. Federal Regional Councils (one for each re-
gion) were established by the President in 1972 to coordinate federal, state, and
local planning and programs; although there is a possibility that these Councils
will be abolished in the future, they will continue to function till at least Septem-
ber, 1978.
Federal Regional Councils are composed of the principal regional officials
of the Departments of Health, Education, and Welfare; Labor; Housing and Urban
Development; Agriculture; Interior; Commerce; Transportation; Community Serv-
ices Administration (OEO); Environmental Protection Agency; Law Enforcement
Assistance Administration; and Federal Energy Administration.
The Federal Regional Council in New England maintains an F.R.C. Hotline
phone specifically to answer questions about federal domestic assistance pro-
grams. The Hotline staff is extremely friendly and helpful; if they can't answer
your question, they will find someone who can, and quickly. The F.R.C. Hotline
phone number is: (617) 223-6646.
Federal Information Center
The Federal Information Center will answer general questions about federal
agencies, and supply you with names, addresses, and phone numbers. As a rule,
however, you will waste less time going directly to the Federal Regional Council
for information about grant programs.
The Government Bookstore
The Government Bookstore in Boston is the local representative of the Super-
intendent of Documents and the Government Printing Office. You can obtain
many of the same documents, publications, and subscriptions from them that you
can from the central office in Washington.
27
Federal Depository Libraries
The Federal government has designated certain libraries in each state and terri-
tory of the U.S. to act as depositories for selected government publications. The
key word here is "selected"; none of the libraries receives all of the federal publi-
cations which are available, and distribution is quite varied among the different
depositories.
Every one of the libraries should contain major publications, such as the Cata-
log, the Budget, etc. Large municipal and university libraries usually receive a
much larger volume of publications than do the smaller ones. If you are interested
in a particular pamphlet or circular, however, it might be less frustrating and time-
consuming to order it directly from the Government Bookstore than to look for
it in a Federal Depository Library.
Following is a list of the Federal Depository Libraries in Massachusetts:
Amherst
Amherst College Library
University of Massachusetts, Goodell Library
Belmont
Belmont Memorial Library
Boston
Boston Athenaeum Library
Boston College, Bapst Library
Boston Public Library REGIONAL
Northeastern University, Dodge Library
State Library of Massachusetts
Brookline
Public Library of Brookline
Cambridge
Harvard College Library
Massachusetts Institute of Technology Libraries
Chicopee
Our Lady of the Elms College Library
Lowell
Lowell Technological Institute, Alumni Memorial Library
Lynn
Lynn Public Library
Marlborough
Marlborough Public Library
Medford
Tufts University Library
Milton
Curry College Library
New Bedford
New Bedford Free Public Library
North Dartmouth
Southeastern Massachusetts University Library
North Easton
Stonehill College, Cushing-Martin Library
Springfield
Springfield City Library
Waltham
Brandeis University, Goldfarb Library
Wellesley
Wellesley College Library
Wenham
Gordon College, Winn Library
Williamstown
Williams College Library
Worcester
American Antiquarian Society Library
University of Massachusetts, Medical Center Library
Worcester Public Library
28
Publications:
Catalog of Federal Domestic Assistance
The Catalog of Federal Domestic Assistance is published annually by the Office
of Management and Budget, and contains information on over 1000 assistance
programs. Though the Catalog does not list all federal programs, it is the single
most comprehensive resource for grant writers. Familarity with the Catalog is an
absolutely necessary prerequisite for grant-writing. It contains information on
types of programs, sponsoring agencies, eligibility requirements, application and
award procedures and deadlines, as well as on other sources of information and
contacts.
The Catalog is divided into five main sections: Introductory materials, Indexes,
Program Changes, Program Descriptions, and Appendices.
The grant programs themselves are futher indexed by sponsoring agency, appli-
cant eligibility (for private individuals and non-profit organizations, and for state
and local agencies), function, subject (a more detailed cross-referencing by func-
tion), and popular name.
The bulk of the Catalog is comprised of program descriptions, which are listed
by department and agency. The key to the listing of program descriptions is its
five digit numbering system. The first two numbers refer to the sponsoring depart-
ment or agency, the third number to the specific agency administering the pro-
gram, and the last two numbers to the specific program within the agency.
Another of the Catalog's helpful features is a listing, in Appendix I, of pro-
grams for which OMB A-95, FMC 74-4, and 74-7, TC 1082, and Environmental
Impact Statements are mandatory. (See p. 32, this publication, for a discus-
sion of Federal Circulars, and p. 10 for a more detailed discussion of A-95
review.)
The Catalog also contains, in Appendix III, a list of commonly used abbrevia-
tions and acronyms, an invaluable aid to understanding government jargon.
The Catalog may be ordered from the Superintendent of Documents in Wash-
ington; it costs $18. per subscription, which entitles you to the basic manual and
all changes issued for one year. Your County Cooperative Extension Office should
also have a copy of the Catalog, as should state and local offices, federal deposi-
tory libraries, and college or university libraries.
FAPRS
Though the Catalog is an indispensable tool for any grant writer, it is difficult
to quickly find all of the specific programs for which you might be eligible. The
United States Department of Agriculture has computerized the index of the Cata-
log to rapidly search for all of the programs which pertain to local government.
This service is called FAPRS - Federal Assistance Programs Retrieval System -
and is made available to the general public, in New England, by the Cooperative
Extension Service. Most of the 1100 programs in the Catalog are included in
FAPRS, and records of the programs are updated monthly. Further information
29
and FAPRS search requests can be obtained from your County Cooperative Ex-
tension Office, or contact George McDowell, Extension Economist, at UMass,
Amherst.
The Federal Register
The Federal Register is published daily by the Government Printing Office, and
contains information on new grant programs, federal agency regulations, changes
in existing programs, and other legal business of the executive branch. It can also
be ordered from the Government Bookstore in Boston; a one-year subscription is
$50. The Register is also available at Federal Information Centers and Federal
Depository Libraries.
Commerce Business Daily
Commerce Business Daily is a government daily newspaper which contains,
among other things, R.F.P.'s (Requests for Proposals) from federal agencies spon-
soring grant programs. It is available by subscription through the Government
Bookstore in Boston for $105/year, and may also be found in most Federal De-
pository Libraries.
Federal Aids to Local Governments
Federal Aids to Local Governments is a kind of simplified version of the Cata-
log, published by the National League of Cities. It contains none of the introduc-
tory material found in the Catalog, and indexes grant programs by Agency and
Subject only. It is, however, a useful secondary source of information once you
have narrowed your prospects down to a manageable number. There is a brief de-
scription and history of each agency preceding the program description, followed
by much of the same information found in the Catalog, but in laymen's terms. Of
particular interest are the "Grant Management" and "Problems" sections; they
point out the pitfalls, redtape, and other complications you might otherwise not
be aware of until it's too late. Federal Aids also lists case studies done on individ-
ual grant programs, as well as all other related literature. In addition, it contains
a lengthy directory of federal and regional agencies and officials after the program
descriptions.
Federal Aids is updated quarterly and biweekly, and may be ordered from the
NLC-U.S. Conference of Mayors, 1612 King Street, N.W., Washington, D.C.
20006. Check the reference section of college and university libraries for copies,
too.
FOLLOWING THE TREND OF FEDERAL FUNDING
While investigating potential sources of federal assistance, it is important to
examine not only agencies, programs and regulations, but also the current trends
in funding. Federal grant programs generally reflect the mood of the granting agen-
cies with regard to problems or new ideas; what was in vogue last year may be
passé today. However vital your grant program may seem to you, if an exorbitant
amount of federal money has already been spent on similar projects - particularly
unsuccessful ones - your chances of success may be lessened. Don't let prior
30
competition deter you if you feel your program is still necessary, but do contact
other grantees whose proposals and programs have been successful to compare
notes; personal contacts and word-of-mouth sources very often yield the most
valuable insights and information.
The following publications can also assist you in discerning patterns in federal
funding:
Federal Aid to States
Federal Aid to States is an annual publication of the Department of the Treas-
ury, containing fiscal year data on federal aid payments to State and local govern-
ments on a cash payment or comparable basis. It is tabulated by state and by
major program, and provides totals for each state for the five preceding years. It is
available on request from the Department of the Treasury.
The Report of Federal Outlays
The term "outlays" refers to all assistance payments, federal employment,
procurement, and administrative expenses. The Report of Federal Outlays docu-
ments the expenditures of all Executive Branch Agencies by state, county, and
city over 25,000 population. It consists of one volume for each state and a Na-
tional Summary volume. Each state volume shows the dollars spent by each fed-
eral agency and the purposes for which they were spent; the report also records
the impact of federal expenditures or other programs, such as loan guarantees.
Each volume contains helpful introductory information and explanations of dollar
amounts. The reports are widely available to all levels of government, including
Federal Regional Councils, state offices, and principal officials of larger units of
local government. Copies are also available in hard copy or microfiche from the
National Technical Information Service, Springfield.
The U.S. Budget, Special Analyses and Appendix
Each January, the President submits his proposed budget for the coming fiscal
year to the Congress. The Budget shows the funding levels for the prior year, cur-
rent year, and the proposal for the coming budget year. In some cases, the budget
accounts are the same as those for federal programs listed in the Catalog of Fed-
eral Domestic Assistance. More often, however, a budget account funds more than
one Catalog program and in a few cases, more than one budget account funds one
Catalog program. In spite of the lack of a one-to-one relationship between Catalog
programs and budget accounts, the Budget can give a general indication of the
proposed funding for most Catalog program accounts.
A companion document to the Budget is the Budget Special Analyses. This
contains information on federal education, manpower, health, income security,
civil rights, crime reduction programs, and a chapter entitled "Federal Aid to State
and Local Governments." Other subjects in this volume that are of potential inter-
est to state and local governments include federal civilian employment, and envi-
ronmental, credit, research and development, and statistical programs.
A second companion to the Budget is the Appendix. This is the most detailed
document on the federal budget. While not on a one-to-one basis with the Catalog
31
programs, the Appendix provides a detailed picture of all projected federal opera-
tions. Data for each account are shown for its major constituent programs, and a
short narrative description of the proposed funding is provided.
Note: It should be remembered that the budget year amounts are those pro-
posed by the President. The actual amounts to become available are not known
until the Congress completes action on the various spending bills and the President
signs them (or his veto is overridden). All three documents are available from the
Superintendent of Documents, and are also in Federal Depository Libraries.
Financial Assistance by Geographic Area
This booklet is published and updated biannually by the Department of Health,
Education, and Welfare. It gives dollar amounts for specific projects in cities and
towns throughout the country. It is available to anyone on request from the
Boston Regional Office of the Department of Health, Education, and Welfare.
POLICY CIRCULARS AND REGULATIONS
CONCERNING FEDERAL GRANTS
The federal government has an official policy on almost everything it does, and
federal grant programs are no exception to this rule. Management policies that
affect grantees (and potential grantees) stem from Congressional legislation and
may be developed in relation to individual programs, or may be designed to stream-
line assistance programs in general.
For the most part, federal regulations and policies pertain to the management
of grant programs once an award has been made, although there are a number of
policy circulars pertaining to grant application procedures. In any case, it can only
benefit grant writers to be aware of the existence of federal policies concerning
grant mangement, and to indicate in their proposals that they are prepared to act
in accordance with such policies and regulations.
Following is a brief description of the more pertinent policy circulars, and of
general sources of information on federal regulations.
Federal Policy Circulars
Matters of federal policy concerning management and coordination of assist-
ance programs are usually disseminated through Office of Management and Budget
(OMB) Circulars or Federal Management Circulars (FMC). The policies themselves
are thereafter referred to as "OMB A- (no. of specific circular)" or "FMC (no.) ,,,9
Thus, a directive might read: "OMB A-95 is mandatory for all proposed federal
9 Note: Circulars which originated as "OMB" are sometimes reissued as "FMC,"
with different numbers. (In particular, OMB A-87 has become FMC 74-4, and
OMB A-102 is now FMC 74-7.) This can be confusing if you are reading out-of-date
literature, but the circulars themselves are the same.
32
assistance programs having an environmental impact." This simply means that the
policies and procedures detailed in OMB A-95 must be followed.
Policy Circulars which directly affect grant writers are:
OMB A-95 - Evaluation, Review, and Coordination of Federal and Federally
Assisted Programs and Projects. Many federal grant programs require
that applications undergo review by state and local clearinghouses
before being submitted to the appropriate federal agency for final
review. This process is discussed in more detail in Section VII, "For-
mal Preapplication."
FMC 74-4 - Cost Principles Applicable to Grants and Contracts with State and
Local Governments. State clearinghouses in Massachusetts require
that the budget sections of proposals undergoing A-95 review adhere
to FMC 74-4 policies.
FMC 74-7 - Uniform Administrative Requirements for Grant-in-Aid to State and
Local Governments. This circular covers a much broader range of
activities than FMC 74-4, and is similarly mandatory for proposals
requiring A-95 review.
Treasury Circular 1082
TC-1082 prescribes the standard procedures which must be followed by federal
agencies for notifying state governments of grants-in-aid made to them or to units
of local government within their boundaries. Theoretically, notification of awards
(on Standard Form 424) is sent to the "State Central Information Reception
Agency" (SCIRA). In Massachusetts the SCIRA is the Office of Federal/State
Resources.
Policy Circulars pertaining to the management of grant programs after an award
has been made are:
Circular:
Concerns:
OMB A-40
Reporting of Data
OMB A-46
Use of Statistics
FMC 73-2
Auditing
FMC 74-4
Cost Principles
FMC 74-7
Administration
FMC 74-8
Relocation and Property Acquisition
Federal Regulations :
The Code of Federal Regulations
The CFR is actually a special edition of the Federal Register; it consolidates
into one source all new federal regulations, existing regulations, and changes in
33
existing regulations. The distinction between the two is that the Register publishes
all actual and proposed policy and regulation changes for comment by any inter-
ested parties, while the CFR publishes only those regulations which are in force.
The CFR is available by subscription from the Government Bookstore or the Su-
perintendent of Documents but it costs $350/year. (It is updated more or less
constantly.) It is, however, available in Federal Depository Libraries.
The U.S. Government Manual
The U.S. Government Manual is the official handbook of the federal govern-
ment. It is published annually, and includes information on all branches of the
federal government, including detailed information on federal agencies and depart-
ments. The Manual also has a special section entitled "Guide to Government In-
formation," which describes (among other things), the major publications of
interest to grant writers. The Manual can be ordered from the Superintendent of
documents in Washington, or from the Government Bookstore in Boston.
DOCUMENTATION OF NEEDS - SOURCES OF FACTS
AND STATISTICS ABOUT YOUR TOWN OR AREA
U.S. Bureau of the Census
- The U.S. Bureau of the Census, Data User Services Division, in Boston can
be a goldmine of information and statistics, as well as instruction on how to use
them. Below are listed just a few of their publications:
Environmental/Socio-Economic Data Sources $1.50
(PABA-1 supplement, published by the United States Air Force, Directorate,
Engineering and Services) but distributed by the U.S. Dept. of Commerce, Bureau
of Census. Best guide to Census information particularly for small towns. Inform-
ally written.
Reference Manual on Population and Housing Statistics from the
Census Bureau $2.00
Order from the Subscribers Services Section, Publications, of the Bureau of the
Census in Washington.
Census of Population: 1970, General Social and Economic Characteristics
(Massachusetts) $3.25
Comprehensive data for the state, its counties, and its municipalities; separate
figures for minority and rural populations. For some reason, this publication is
unavailable through either the Data User Services or the Boston Government
Bookstore, and must be ordered from the Superintendent of Documents in Wash-
ington.
Census of Population: 1970, General Population Characteristics
(Massachusetts) $1.75
More detailed breakdown of population by race, sex, age, family, marital sta-
34
tus, etc. Includes (limited) data for townships as small as population 1,000. Also
must be ordered from the Superintendent of Documents, Washington.
Census Data for Community Action $.50
How to use census data to effect local change. May be ordered through the Sub-
scriber Services Section, Bureau of the Census.
Bureau of the Census Guide to Programs and Publications $2.45
Bibliography and index by geographic area of Census publications. Order from
the Superintendent of Documents, Washington.
Reference Manual on Population and Housing Statistics from the
Census Bureau $2.00
Actually contains information on quite a bit more than population and hous-
ing. May be ordered from the Data User Services, Boston.
Publications Announcements Series
Brief descriptions of and special order forms for new Census Bureau publica-
tions. To be placed on this mailing list, write to the Public Documents Distribu-
tion Center in Philadelphia.
The User Training Branch of the Census Bureau's Data User Services Division
recently conducted a pilot workshop in Washington on "Uses and Application of
Census Bureau Data to Meet Current Legislative and Administrative Require-
ments." This service was designed specifically to facilitate the use of Census
Bureau statistics in federal grant proposals. There is a strong possibility that
workshops of this nature will be held in the Boston area in the future. For more
information (or for information on any Census Bureau publications), contact
Judith W. Cohen, Officer of the Census Bureau's Data User Services.
Massachusetts Department of Commerce and Development
Town and City Monographs
The Massachusetts Department of Commerce and Development publishes four
to five page socioeconomic profiles called "Monographs," on each municipality,
county and SMSA (Standard Metropolitan Statistical Area) in Massachusetts.
Monograph The Commonwealth of Massachusetts
A comprehensive demographic outline of the state as a whole.
U.S. Department of Labor
New England Labor and the Economy at the Year-end, 1976
Published by the U.S. Department of Labor, Bureau of Labor Statistics, New
England Regional Office. While this publication contains only general statistics
for New England, it is a brief, comprehensive, and interesting report on the econ-
omy.
35
Massachusetts Office of Local Assistance
The Office of Local Assistance (a subdivision of the Massachusetts Department
of Community Affairs) functions specifically to provide technical assistance and,
informational services to Massachusetts local governments. OLA staff specialists
in community planning, public administration, municipal finance, and related
fields can provide you with the following kinds of assistance: (1) policy advocacy
at the state level, (2) technical assistance on local planning and management is-
sues, and (3) liaison between state and local government. They have also published
15 case studies on different topics of interest to local communities, such as the
revitalization of central business districts and the modernization of local govern-
ment. A small booklet, Office of Local Assistance, A Guide to Programs, Per-
sonnel, and Publications, will tell you everything you need to know about their
services. See the Directory for address and phone number.
Office of State Planning
State Growth Policy Report
Available through the Office of State Planning in October or November, 1977.
Contains information on housing, industry, water quality, taxes, land use, etc.
(Warning: you may find this publication to be biased against growth for rural dis-
tricts.)
Projections for Employment
Available through the Office of State Planning; labor statistics in Massachusetts
by Regional Planning Area.
County and City Data Book - 1972
Comprehensive listing of statistics from all major censuses for counties and
cities over 25,000 population in the U.S. Available at the Boston Government
Bookstore. (A 1977 or '78 edition should be available soon.)
36
Appendix
The Appendix contains sample letters of inquiry to use at different stages of the
grant-writing process; a sample "Technical Review Form" used by the Office of
Education to "rate" grant applications; and a sample "Notification of Intent"
form, used to notify Regional Planning Agencies and the Office of State Planning
of proposed projects requiring A-95 review. In addition, the Appendix contains
a supplementary bibliography and a directory.
37
INITIAL INQUIRY
Date
Dear
,
I am interested in exploring the possibility of submitting a proposal in the
area of
.
I am in the process of developing a program that (brief description).
At this point, I would like some guidance from your office. If you believe
that this project is eligible to receive support under one of your programs, I would
appreciate your forwarding to me a formal application and any additional infor-
mation that would be of assistance.
I would also appreciate information on any additional funding sources
that might be appropriate for this type of program.
Sincerely,
Title
38
LETTER SOLICITING APPLICATION
Date
Dear
,
I am interested in developing a program in the area of
I am in the process of developing a proposal under
(name of program)
I would appreciate your forwarding to me a formal application and other
additional information that would be of assistance in applying for funds.
Sincerely,
Title
39
MODEL LETTER ACCOMPANYING ABSTRACT
Date
Dear
,
I am enclosing an abstract of a proposal that I am developing under your
program. I would appreciate your review, criticisms and
comments of the abstract before I complete the final proposal.
Also, I would appreciate your forwarding to me a formal application and
any additional information that would be of assistance in completing the proposal.
Sincerely,
Title
40
DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE
OFFICE OF EDUCATION
Application Technical Review Form
Upward Bound
(CFDA No. 13.492)
Field Reader
Telephone Number
Program Officer
Telephone Number
Project Applicant
Application Number
INSTRUCTIONS:
This form is furnished for your use in evaluating the attached proposal. Please fill
in all pages and return the entire form to us; be as thorough and explicit as pos-
sible in your responses. We are requesting your professional evaluation of the
applicant's plans; specify strengths and weaknesses. If you have any questions
concerning the proposal, please contact the Program Officer.
SUMMARY RATINGS
Maximum
Percent of
Points
Total
1. Need
70
35%
2. Project Design
60
30%
3. Resources
60
30%
4. Budget
10
5%
TOTAL
200
100%
RECOMMENDATION
Place an "X" in the box which best represents your recommendation concerning
the disposition of the attached proposal.
RECOMMENDED
PROVISIONALLY
NOT RECOMMENDED
FOR FUNDING
RECOMMENDED
FOR FUNDING
FOR FUNDING
(specify provisions or
modifications needed)
I have reviewed the application in accordance with the "Scope of Work" that has
been signed and returned to the Office of Education.
Signature of Field Reader
Date
41
These are OE's Review Criteria:
APPLICATION TECHNICAL REVIEW FORM
Program Title: USOE Discretionary Grant Program
Catalog of Federal Assistance Number 13.599
APPLICANT:
PR Number
NAME:
ADDRESS:
CITY/STATE
ZIP CODE
Technical Reviewer
Name
Phone
Program Title
Project Title
COMMENTS: Recommend Federal Support
Yes
No
Date Reviewed
Signature
42
(Optional %)
Weight
EVALUATION CRITERIA
Yes
No
Comments
Factor
ORGANIZATION - Describe the
applicant's background, facilities
and personnel expertise as it relates
to performing the proposed project.
1. Are the qualifications and
experience of applicant's
personnel adequate to carry
out the proposed project?
2. Are applicant's facilities and
other resources adequate?
3. Published Application Review
Criteria
PROGRAMMATIC - Define all
the work and related resources
required to perform the applicant's
proposed project pursuant to the
applicable regulations.
1. Is the proposed activity needed
in the area served or to be
served by the applicant?
2. Is the proposal relevant to
priority areas of concern as
reflected in provisions con-
tained in the applicable Federal
statutes and regulations?
3. Is there potential for utilizing
the results of the proposed
project in other projects or pro-
grams for similar educational
purposes?
4. Are the size, scope and duration
of the project sufficient in order
to secure productive results?
5. Are the objectives of the pro-
posed project sharply defined
and clearly stated?
6. Published Application Review
Criteria
COMMENTS:
43
(Optional %)
Weight
EVALUATION CRITERIA
Yes
No
Comments
Factor
MANAGEMENT - Identify the
applicant's organizational elements,
and describe how they function
internally, including subcontracts,
to insure the project is accomplished
within the time limits and resources
available.
1. Is the proposed plan of operation
sound? Consideration of sound-
ness should include the following
points:
Are the objects of the project
capable of being attained by the
proposed procedures and capable
of being measured?
Are provisions made for adequate
evaluation of the effectiveness of
the project and for determining
the extent to which the objectives
are accomplished?
Where appropriate, are provisions
made for satisfactory inservice
training connected with project
services? and,
Are provisions made for dissem-
inating the results of the project
and for making materials, tech-
niques, and other output resulting
therefrom available to the general
public and specifically to all those
concerned with the area of educa-
tion with which the project is
itself concerned?
2. Published Application Review
Criteria
FINANCE & ACCOUNTING - Pro-
vide adequate project cost details to
support the proposed budget in rela-
tion to the anticipated end results.
1. Is the estimated cost reasonable to
the anticipated results?
COMMENTS:
44
APPLICATION TECHNICAL REVIEW FORM - - UPWARD BOUND
4. BUDGET: THE APPROPRIATE ALLOCATION OF FEDERAL DOLLARS
TO SUPPORT THE SPECIFIC ACTIVITIES
(Maximum of 10 points - 5% of total)
A. Does the proposed budget reflect the activities to be undertaken?
Yes
No
To what extent?
(45 CFR 155.8(c)(4)(ii))
B. Are the resources allocated reasonably among the proposed project activities?
Yes
No
To what extent?
(45 CFR 155.8(c)(4)(i))
C. Are the estimated costs reasonable in relation to anticipated results?
Yes
No
Comment:
(45 CFR 100a.26(b)(5))
OE FORM 1321-3, 2/77
45
APPLICATION NUMBER
APPLICATION TECHNICAL REVIEW FORM - UPWARD BOUND
GENERAL SUMMARY STATEMENT:
STRENGTHS:
WEAKNESSES:
OE FORM 1321-3, 2/77
46
NOTICE OF INTENT FORM
To apply for federal funds for programs covered by the Office of Management
and Budget (OMB)
Circular A-95
To be filed at least 30 days prior to submission to federal agency
APPLICANT
Name
Address
Telephone Number
Name and title of person to receive correspondence
Name and title of contact person (if different)
PROJECT
Title
Location of project/impact area
Starting date and project duration
FUNDING AGENCY
Name
Federal Catalogue Program Number
Estimated date of submission to federal agency
FUNDING REQUEST
Federal
State
Local
Other
Total
PROJECT SUMMARY
Please include at a minimum: narrative description of project, budget and/or cost
estimate, and locus map (where applicable). The narrative might include a state-
ment of need, program objectives, coordination with other agencies, citizen in-
volvement, past performance (in the case of continuing programs), and environ-
mental assessment where appropriate. (Use additional sheets where necessary.)
Sent to OSP and
on
(Name of Regional Clearinghouse)
(Date)
Prepared by
(Type or Print Name)
(Signature)
NOTE
Send white copy to State Clearinghouse, Office of State Planning, Room 2101,
One Ashburton Place, Boston, MA 02108. (Phone (617) 727-4154). Send yellow
copy to Regional Clearinghouse, retain pink copy for your records.
To be filled in by State Clearinghouse SCI
47
SUPPLEMENTARY BIBLIOGRAPHY
Churchman, C. West. The Systems Approach. NY: Dell Publishing Co., 1968. In-
troductory work on systems analysis; easy to understand.
Dermer, Joseph. How to Write Successful Foundation Presentations. Public Serv-
ice Materials Center, 104 East 40th St., New York, NY 10016.
Donahue, Daniel F., and Levitan, Donald. An Introduction to the OMB Catalog.
Government Research Publications, Box 122, Newton Centre, MA 02159. How
to read, understand and use the "Wish-Book."
The Foundation Center, 100 Connecticut Ave., NW, Washington, DC 20036.
Located throughout the U.S. with over thirty "branch" libraries, other libraries,
and depositories with space devoted to foundation grantsmanship. Contact them
for the location nearest you.
The Foundation Directory. New York: Columbia University Press, 136 South
Broadway, Irvington-on-Hudson, NY 10533. Published yearly; lists foundations,
officers, fields of interest, income, and grant totals. There is also a quarterly up-
date titled Foundation Center Information Quarterly and screened computer
print-outs of specific grant awards.
The Foundation News. The Council on Foundations, PO Box 763, Old Chelsea
Station, New York, NY 10011. Bimonthly; articles of interest on foundations
and grants.
Foundation Reporter. Taft Information System, Taft Products, Suite 600, 1000
Vermont Avenue, NW, Washington, DC 20005. Guide to philanthropic organiza-
tions and their activities.
Giving USA. New York: American Association of Fund Raising Counsel, Inc.,
500 Fifth Avenue, NY 10036. Annual; assistance in applying for grants. Also
publishes a monthly bulletin reporting on selected recent grants, plus news on
grantsmanship.
The Grantsmanship Center News. The Grantsmanship Center, 7815 South Ver-
mont Ave., Los Angeles, CA 90044. Published eight times yearly; articles and
sources of both private and public funding sources.
Grisham, Roy D. Jr., and McConalughty, Paul D., editors. The Encyclopedia of
U.S. Government Benefits, 2nd ed. New York, NY: Avon Books, 1975.
Hall, Mary. Developing Skills in Proposal Writing, Continuing Education Publica-
tions, Waldo 100, Corvallis, OR 97331.
48
Hook, Lucile, and Gaver, Mary Virginia. The Research Paper: Gathering Library
Material, Organizing and Preparing the Manuscript, 4th ed. Englewood Cliffs,
NJ: Prentice-Hall, 1969.
Kotler, Philip. Marketing for Non-Profit Organizations. Prentice-Hall, New Jer-
sey, 1975.
La Case and Belanger. How to Write Effectively About Almost Anything. New
York: Scribners.
Levitan, Don, Informational Sources for Local Governmental Officials and Ad-
ministrators: Selected Periodicals and Reference Material. Council of Planning
Librarians, Monticello, IL, 1974.
Levitan, Donald, and Donahue, Daniel F. Introduction to the Commerce Busi-
ness Daily, Government Research Publications, Box 122, Newton Centre, MA
02139. A basic guide for grant writers and consultants.
Levitan, Donald, and Donahue, Daniel F. The Grantsmanship Bibliography.
Government Research Publications, Box 122, Newton, MA 02159, 1978. A com-
prehensive bibliography on grantsmanship and fund raising, both governmental
and philanthropic.
Mayer, Robert F. Preparing Instructional Objectives. Fearon Publications, c/o
Lear Siegler, Inc., 6 Davis Drive, Belmont, CA 94002.
Polk Directory, The Urban Information System. R.L. Polk and Co., Urban Statis-
tical Division, Detroit, MI. Annual listing (a city directory) of populations by
place of residence covering almost all municipalities in the U.S.
Shkurkin, Sergei, By Hook or by Crook, 6025 Rose Arbor, San Pablo, CA 94806.
Grantsmanship for alternative education; has some interesting insight for all
grantwriters.
Strunk, William, Jr., White, E.B. The Elements of Style, 2nd ed. NY: MacMil-
lan, 1972.
Telephone Directory. Telephone directories are an excellent source of informa-
tion. It is recommended that each municipality have a telephone directory for
their state capital, the directories of New York City, Washington, DC, and Chi-
cago, IL.
Urban Affairs Reporter. Commerce Clearing House, Inc., 4025 W. Peterson, Chi-
cago, IL 60046. Biweekly monitoring and analysis of federal and local matters.
Warren, Ronald L. Studying Your Community, New York: The Free Press. An
excellent resource book to aid in community analysis.
49
Weaver, Warren. U.S. Philanthropic Foundations: Their History, Structure, Man-
agement and Records. New York: Harper and Row, 1967. Good background
material for all who seek succor from philanthropy.
Weiss, Carol. Evaluating Action Programs. New York: Allyn-Bacon, 1972. Read
anything by Ms. Weiss.
Weld, Walter E. How to Chart. Norwood, MA: Codex Book Co.
Zip Code Directory. The proper Zip Code will help speed your mail. Consult your
local U.S. Post Office.
U.S. Government Publications
Coordinating Federal Assistance in the Community - Use of Selected Mechan-
isms for Planning and Coordinating Federal Programs. Community Development
Evaluations Series No. 8, 1972, U.S. Department of Housing and Urban Develop-
ment. Though prepared for the model city program, this publication is quite help-
ful for all communities.
Congressional Record. U.S. Government Printing Office, Washington, DC 20402.
Published each day that one or both houses of Congress are in session. Lists all
happenings.
Digest of Public General Bills and Selected Resolutions. Legislative Reference
Service, U.S. Library of Congress, Washington, DC. Published once during each
session of Congress.
The Federal Grant Process. U.S. Department of Housing and Urban Development,
U.S. Government Printing Office, Washington, DC. Produced for model cities;
worth reading. Community Development Evaluation Series No. 10, 1972.
A Prepared Guide to Grants and Contracts With Certain Non-Profit Organizations.
Federal Register, Part IV, April 26, 1977. U.S. Government Printing Office,
Washington, DC 20402.
Internal Revenue Service. Within recent years all private foundations have been
required to file with IRS a form 990. Two subcategories of this form are of inter-
est to grantsmanship; 990 AR and 990 PF. 990 AR contains the annual report
and is (supposedly) identical with the foundation's annual report. These reports
may be obtained at no charge by contacting the foundation. 990 PF contains the
50
Information Return for exempt organizations, and indicates how much money
has been distributed, and to whom. A copy of either form in any foundation in
the United States may be obtained for a fee by contacting: Internal Revenue Serv-
ice, U.S. Department of the Treasury, Middle-Atlantic Service Center, 11601
Roosevelt Boulevard, Philadelphia, PA 19155.
Maps: Coastal, Inland Waterways, and topographical Maps, U.S. Department of
the Interior and Coast and Geodetic Survey, U.S. Department of Commerce,
Washington, DC. Maps covering the United States, Puerto Rico, Guam, American
Samoa, and the Virgin Islands done on a quadrant basis: parallels of latitude and
meridians of longitude.
Presidential Documents, Office of Federal Register, National Archives and Re-
cords Service, General Services Administration, Washington, DC 20408. Weekly
compilation.
Social Indicators 1977. Office of Management and Budget, Executive Office of
the President, U.S. Government Printing Office, Washington, DC 20402. Selected
statistics on social conditions and trends in the United States.
Statistical Abstract of the United States. U.S. Bureau of the Census, U.S. Govern-
ment Printing Office, Washington, DC 20402. Yearly; compendium of statistics
of the U.S.
United States Government Organization Manual, U.S. Government Printing Of-
fice, Washington, DC 20402. Listing and description of federal agencies and de-
partments, including legislative and judicial branches; annual.
51
DIRECTORY
Census, U.S. Bureau of:
Subscribers Services Section, Publications
Washington, DC 20233
Data User Services
User Training Division Branch
Boston, MA 02116
Telephone (617) 223-0668
Cohen, Judith W.
Data User Officer
Data User Services
User Training Division Branch
Boston, MA 02116
Telephone (617) 223-0668
Commerce and Development, Massachusetts Department of
100 Cambridge Street
Boston, MA 02202
Telephone (617) 727-3232
Danforth, Kirk
Office of State Planning
One Ashburton Place
Boston, MA 02108
Telephone (617) 727-5066
Federal Contract Compliance, Office of
U.S. Department of Labor
J.F.K. Building
Boston, MA 02203
Telephone (617) 233-5272
Federal Information Center,
Boston, MA
Telephone (617) 223-7121
Federal Regional Council of New England
Room E-431
J.F.K. Building
Boston, MA 02203
Hotline Telephone No. (617) 223-6646
52
Federal State Resources
(State Central Information Reception Agency)
540 State House
Boston, MA 02233
Telephone (617) 727-4178
Government Bookstore, Boston, MA
Room G-25
J.F.K. Building
Boston, MA 02203
Telephone (617) 223-6071
Health, Education, and Welfare, U.S. Department of
Regional Office
J.F.K. Building
Boston, MA 02203
Telephone (617) 223-7205
Labor, U.S. Department of
Labor Statistics Bureau
J.F.K. Building
Boston, MA 02203
Telephone (617) 223-6761
Local Assistance, Massachusetts Office of
One Ashburton Place
Room 1619
Boston, MA 02108
Telephone: Local Liaison Section
(For assistance, information, and referral services to local
officials on community development problems)
(617) 727-6964
Toll Free 1-800-392-6445
McDowell, George
Extension Economist
312 Draper Hall
University of Massachusetts,
Amherst, MA 01003
Telephone (413) 545-2496
National Technical Information Service
Springfield, VA 22151
53
NLC - US Conference of Mayors
1612 King Street, N.W.
Washington, DC 20006
Public Documents Distribution Center
5801 Tabor Avenue
Philadelphia, PA 19120
State Planning, Office of
One Ashburton Place
Boston, MA 02108
Telephone (617) 727-5066
Superintendent of Documents
U.S. Government Printing Office
Washington, DC 20402
Treasury, U.S. Department of
Bureau of Government Financial Operations
Division of Government Accounts and Reports
Washington, DC 20226
4
5
10
Massachusetts Regional
Planning Districts
54
Massachusetts Regional
Planning Agencies
1. Berkshire County Regional Planning Commission
10 Fenn Street
Pittsfield, Massachusetts 01201
Karl Hekler, Director
(413) 442-1521
2. Frankling County Department of Planning
Court House
Greenfield, Massachusetts 01301
Fredrick Muehl, Planning Director
(413) 774-3167
3. Lower Pioneer Valley Regional Planning Commission
26 Central Street
West Springfield, Massachusetts 01089
K.M. Munnich, Planning Director
(413) 739-5383
4. Montachusetts Regional Planning Commission
150 Main Street
Fitchburg, Massachusetts 01420
Mohammed Khan, Planning Director
(617) 345-7376
5. Central Massachusetts Regional Planning Commission
71 Elm Street
Worcester, Massachusetts 01609
David Kellogg, Planning Director
(617) 756-7717
6. Northern Middlesex Area Commission
144 Merrimack Street
Lowell, Massachusetts 01852
Joseph P. Hannon, Director
(617) 454-8021
7. Merrimack Valley Regional Planning Commission
87 Winter Street
Haverhill, Massachusetts 01830
Richard M. Gladstone, Executive Director
(617) 374-0519
55
8. Metropolitan Area Planning Council
44 School Street
Boston, Massachusetts 02108
Carla B. Johnston, Executive Director
(617) 523-2454
9. Old Colony Planning Council
232 Main Street
Brockton, Massachusetts 02401
Daniel M. Crane, Planning Director
(617) 583-1833
10. Southeastern Regional Planning
and Economic Development Commission
7 Barnabas Road
Marion, Massachusetts 02738
William D. Toole, Executive Director
(617) 823-6338
11. Cape Code Planning and Economic Development Commission
First District Court House
Main Street
Barnstable, Massachusetts 02630
(617) 362-2511
12. Martha's Vineyard Planning
and Economic Development Commission
Box 1447
Oak Bluffs, Massachusetts 02557
Ronald Mechur, Executive Director
(617) 693-3453
13. Nantucket Planning and Economic Development Commission
Broad Street
Nantucket, Massachusetts 02554
William Klein, Executive Director
(617) 228-9625
56
YOUR COOPERATIVE EXTENSION SERVICE
The Massachusetts Cooperative Extension Service, financed through federal, state
and county sources, provides educational leadership in agriculture and natural re-
sources, home economics, 4-H and youth, and community resource development.
A basic goal of the Cooperative Extension Service is to help people identify
and solve their problems through the practical application of research findings. To
this end, information is made available through varying media such as conferences,
workshops, demonstrations, and publications; the press, radio and television.
The University of Massachusetts, a land-grant institution, conducts research in
many fields. Extension faculty and specialists at the University, working with
county and regional Extension staff, act as information resources and as cata-
lysts to assist individuals, families, and communities in making important deci-
sions.
This publication is one of many developed to serve residents of the Common-
wealth.
COOPERATIVE EXTENSION SERVICE CONTACTS
State Cooperative Extension
Dukes County
Administration:
Oak Bluffs 02557
Stockbridge Hall
Essex County
University of Massachusetts,
Essex Agricultural and
Amherst 01003
Technical Institute
Hathorne 01937
State Specialists in various arms of the
Franklin County
College of Food and Natural Resources,
Court House, Greenfield 01301
University of Massachusetts:
Hampden County
1499 Memorial Avenue
Amherst 01003
West Springfield 01089
Suburban Experiment Station
Hampshire County
Waltham 02154
33 King Street, Northampton 01060
Middlesex County
Cranberry Station
105 Everett Street, Concord 01742
East Wareham 02538
Norfolk County
Norfolk County Agricultural
County and Regional Staff:
High School
460 Main Street, Walpole 02081
Barnstable County
Plymouth County
Deeds & Probate Building,
High Street, Hanson 02341
Barnstable 02630
Suffolk County
Berkshire County
University of Massachusetts
46 Summer Street, Pittsfield 02101
Downtown Center
Bristol County
100 Arlington Street, Boston 02125
Bristol County Agricultural High School
Worcester County
135 Center Street, Segreganset 02773
36 Harvard Street, Worcester 01608
C-126R
The Federal
Granting System
A Guide for Local Governments
in Massachusetts
Cooperative Extension Service, University of Massachusetts, United States
Department of Agriculture and County Extension Services cooperating
This publication is the result of a joint effort between:
The Cooperative Extension Service and
Department of Food and Resource Economics
University of Massachusetts
Amherst, Massachusetts
and
The Graduate School of Administration
Suffolk University
Beacon Hill
Boston, Massachusetts
DUE TO AN INCREASE IN COST,
OUT OF STATE PRICE - $2.00
Issued by the Cooperative Extension Service, Ross S. Whaley, Director, in further-
ance of the Acts of May 8 and June 30, 1914; University of Massachusetts, United
States Department of Agriculture and County Extension Services cooperating.
Available to the public without regard to race, color or national origin. 11/78 3M
Single copies of this publication are available free of charge. Additional copies are
$1 each. Make checks payable to the Massachusetts Cooperative Extension Serv-
ice; send them to the Bulletin Center, Cottage A, Thatcher Way, University of
Massachusetts, Amherst, MA 01003.
The Federal
Granting System
A Guide for Local Governments
in Massachusetts
Dan Donahue
Don Levitan
George McDowell
Christine Newell
Dan Donahue is a law student at Suffolk University.
Don Levitan is a Professor in the Graduate School of Administration at
Suffolk University.
George McDowell is an Assistant Professor in the Dept. of Food and Resource
Economics, and Extension Economist at UMass/Amherst.
Christine Newell is Staff Editor for the Cooperative Extension Service, UMass/
Amherst.
MOVIS
ANTIQYIS
LITERIS
MASSACHUSETTS
CERTIFICATE
CITY OF CAMBRIDGE
CIVICO
CAMBRIDGE, MASSACHUSETTS 02139
Tel. 876-6800
REGIMINE
DONATA
Executive Department
James L. Sullivan
City Manager
April, 1978
The skills required of public sector managers today are many and varied, but
none is more important than the art of grant writing. Faced with the need of
managing complex systems with limited resources, those who are familiar with
the opportunities and the procedures for expanding those resources clearly have
a decided advantage over those who do not.
The need for capacity building in the federal grant process for municipal offi-
cials, civic groups, non-profit agencies, and academic institutions has up to now
been largely unmet in Massachusetts. With the publishing of this book, the authors
have provided a clear, concise primer on the grant process which should prove
invaluable to all who are interested in improving their skills in this area.
For many years the federal grant process was considered by many to be the
sole prerogative of the professional "grantsman." Applications had to be prepared
by professionals and reviewed by professionals, and the programs were considered
to be beyond the reach of the layman. Over the years however, the programs have
evolved and expanded, become more commonplace, and less foreboding and
mysterious.
By carefully following the procedures outlined in this book, anyone who
understands the goals of his or her organization can seek out opportunities to
expand limited resources and successfully develop a proposal for funding. The
authors are to be commended on describing a complex subject in a manner which
all can understand.
James L. Sullivan
City Manager
Cambridge, Massachusetts
President-Massachusetts League of
Cities and Towns
i
WHY NOT APPLY FOR A FEDERAL GRANT?
The federal government of the United States is the single largest source of grant
assistance in the world. Chances are that if you are seeking funding for your com-
munity, civic group, or other organization, you will consider federal assistance
before any other kind. Before applying for a federal grant, however, you should
be well aware of the implication for your group or town, whether or not your
project is funded.
First, the application process itself is time and money consuming. You should
only consider applying for grants to fund projects for which there is a clearly es-
tablished need in your community. In many cases, community support before
and after the project is funded is an integral factor in the success and acceptance
of your proposal. Do not commit community resources unless you are sure they
will be available for the duration of the project.
Second, do not invest time in a grant proposal unless you can afford to have
it rejected. Whether you select a funding source which specifically meets your
needs, or tailor your project to an existing program, be sure that you are prepared
to take the time necessary to write a good proposal, and that your organization
can bear the financial brunt of failure should your program not be funded. Many
organizations and local units of government have budget categories just for grant
writing. In any case, be aware that grant writing is not a frivolous pastime, and
that a "shotgun" approach of submitting many, shoddy applications will only
waste time and discredit your organization.
Third, since the dollars which are obtained through a federal grant are public
monies collected from tax payers, there are many restrictions and restraints on
their use. The variety of rules and regulations surrounding the expenditure of fed-
eral assistance funds make many demands on the the grant recipients, and you
must be prepared at the outset to fulfill the accountability requirements. And, as
already mentioned, your town or group should be fully prepared to match federal
resources if your project is funded. Match may be "soft" (personnel, equipment,
facilities) or "hard" (cash), but be sure that everyone involved is ready and willing
to contribute if need be. You should also make provisions for the continuation of
any on-going projects once federal assistance has ended. Make sure that your or-
ganization can absorb program costs, if necessary, or be prepared to phase out the
operation and forewarn any personnel you hire of this eventuality!
In short, applying for federal funds can be tedious and time-consuming. Obtain-
ing federal funds can be equally demanding of energy and patience in dealing with
grant requirements. But it can also be highly rewarding, and an answer to some of
your community's needs. The more time and care you invest in preparing a grant
proposal, the greater your chances of success in securing funds, and, ultimately,
in implementing your project. If you are still interested, then this manual will,
we hope, help you understand some of the details and surmount some of the ob-
stacles in your pursuit of federal assistance.
iii
TABLE OF CONTENTS
Introduction
i
Why Not Apply for a Federal Grant
ii
Background Information
The Grant Process - Congressional Origins
1
Types of Grants
1
Preapplication
The Proposal-Writing Staff - Organization and Responsibilities
5
Securing Program Support
6
Need Identification
7
Development of the Idea
7
Formal Preapplication - A-95 Review
10
Application
Statement of Need
15
Objectives
16
Program Design
17
Time Is Money
18
Budget
21
Staff
23
Evaluation
24
Grant Information Resources
Primary Sources of Information on Funding in Massachusetts:
Agencies
27
Publications
29
Following the Trend of Federal Funding
30
Policy Circulars and Regulations Concerning Federal Grants
32
Documentation of Needs -
Sources of Facts and Statistics about Your Town or Area
34
Appendix
Sample Letters of Inquiry
38
Sample HEW Technical Review Form
41
Sample Notice of Intent Form
47
Supplementary Bibliography
48
Directory
52
=:
-
FAPAS
1977
FAPAS
CATALOG
OF
FEDERAL
State
$
DOMESTIC
R
of
at
Yes
ASSISTANCE
FAPAS
Examitive Office of the President
Office of Management and Budget
FAPAS
Washington, D.C. 20501
FAPAS
FAPAS
Background Information
THE GRANT PROCESS - CONGRESSIONAL ORIGINS
The federal granting process begins in Congress with the passage of legislation
authorizing the creation of a grant program, and the subsequent appropriation of
funds. The process culminates in the awarding of a grant to a group, agency, or
individual by a department of the federal government, or the dissemination of
federal funds by a state agency.
The authorizing legislation creates the grant program and establishes the fund-
ing ceiling (upward limit on money to be spent) for it, but does not actually sup-
ply money. Funds must be appropriated through a separate bill, and rarely does
Congress authorize as much money to be spent as is requested in the original legis-
lation!
Once the actual funds have been secured, the federal department or agency
which will administer the grant informs prospective grantees of the availability
of program monies. If the program is new, the agency must publish proposed reg-
ulations in the Federal Register. R.F. P.'s (Requests for Proposals) are advertised
in the Commerce Business Daily, and the Catalog of Federal Domestic Assistance,
published biannually, lists and describes approximately 1100 federal grant pro-
grams. Grant information is also routinely sent to state agencies, educational
institutions, and current grantees. There are many other formal and informal chan-
nels of funding information which have recently become accessible to the public
through the passage of the Freedom of Information Act.
Unfortunately, this is a highly simplified view of the federal granting system.
A multitude of administrative procedures accompanies every step of the process,
and, at times, the intent of Congress in initiating a grant program can seem very
remote indeed. This manual is designed specifically to de-mystify the federal
grant process for the non-professional grant writer, and to help realize those orig-
inal good intentions and goals. Familiarity with the system will, we hope, banish
unwarranted intimidation and reluctance to apply for federal funds, and will
eventually encourage a more equitable distribution of federal assistance.
TYPES OF GRANTS
There are two basic types of federal grants - project and formula. Project
grants are awarded on a competitive basis to fund specific activities; formula
grants are allocated according to statutory distribution guidelines for unspecified,
1
on-going activities. "Project grant" is roughly synonymous with "categorical
grant"; prior to 1966, nearly all federal assistance to state and local governments
was provided through categorical, or highly specialized, grant programs. Since
then, with the enactment of block grants, formula grants, and general revenue
sharing, there has been an increasing mix in the federal aid system. As a result of
this diversification, the distinctions between different types of grants are not
always clear; the situation is further aggravated by the fact that many new pro-
grams are comprised of (or are variations on) old programs, so that both old and
new are defined in terms of each other. This leads to some circularity of thought
and understandable confusion. It is important, however, to understand the distinc-
tions between different types of grants in order to quickly identify those which
are especially suited to your needs. The form of a grant can also provide a hint as
to what the national government's intent was in enacting it, and give you an initial
indication of how much control the granting (or "cognizant") agency will have
over administration and finances once an award is made. (For example, "open-
ended" grants assign virtually no discretionary authority to administering officials,
and are usually aimed at nationwide, rather than specifically local, problems.)
The Catalog of Federal Domestic Assistance classifies all grants (of the sixteen
different types of assistance it lists) as either "Formula" or "Project," with little
or no reference to the terms "categorical" and "block." Project grants are further
broken down in the Catalog by function, such as training, demonstration, plan-
ning, construction, etc. Do not become confused by the seemingly arbitrary refer-
ence to grants by functional description or by legislatively-designated type, i.e.,
formula, block, etc. As has already been pointed out, distinctions between types
of grants frequently overlap, so that a training grant may also be a project and a
formula grant. The most important thing to distinguish is which grant can do the
most for your community.
We will begin our discussion, then, with categorical grants, as they are the pro-
totypes of the federal granting system.
Categorical Grants still provide state and local governments with the bulk of
federal aid money. There are now approximately 400-500 funded categorical pro-
grams, which are divided into four basic types: project, formula-project, formula-
apportioned, and open-ended reimbursement grants.
Project grants (approximately 296) require specific applications for each pro-
posed project, with awards made by the administering agency on a competitive
basis. The administering officials usually have greater authority over the use of
program monies for project grants than for any other type of federal grant.
Formula-project grants are made available to states according to uniform allo-
cation formulas, and are then awarded individually in the same way as other proj-
ect grants. (There are only about thirty-six formula-project grants in all.)
2
Formula-apportioned grants (approximately 106) are distributed directly to
recipients according to formulas contained in the authorizing legislation.
Open-ended reimbursement is a cost-sharing arrangement wherein the federal
government commits itself to reimbursing a specified proportion of state-local
program costs. There is no competition and no allocational formula, as such, for
this type of assistance; moreover, management practices are usually dictated in
the Congressional legislation, leaving little or nothing to the discretion of admin-
istering officials. Aid for Dependent Children is an example of an open-ended
reimbursement program.
Block Grants are a relatively new phenomena; they usually combine several
previously categorical grants in single, more flexible programs which allow greater
spending initiative at the local level. Although the term "block grant" is used
quite loosely to refer to many different programs, it is most commonly associated
with the Partnership for Health Act (1966), the Omnibus Crime Control and Safe
Streets Act (1968), the Comprehensive Employment and Training Act (1973),
the Housing and Community Development Act (1974), and the 1974 amendments
(Title XX) to the Social Security Act of 1935. Block grants are, by definition,
formula grants and are utilized largely at the discretion of the recipients. They
may, in some cases, be subclassified as Entitlement or as Discretionary grants:
Entitlement grants guarantee metropolitan cities (population 50,000+), urban
counties (population 200,000+) and cities under 50,000 population which are
centrally located in Standard Metropolitan Statistical Areas (SMSA's) amounts
of money calculated by a formula based on local need. Entitlement funds auto-
matically take into account such factors as population, poverty, and overcrowded
housing, and distribute federal money accordingly.
Discretionary grants are "left-over" entitlement funds awarded on a competi-
tive basis to smaller communities. They correspond roughly to project grants, and
are intended, in many cases, to bridge the gaps between old categorical programs
and the new block grants. Discretionary funds are also set aside for aid in federally
recognized disasters, for innovative projects, and for the continuation of expired
categorical programs which are not eligible for block grant funds. (The latter are
called "hold harmless" grants, and continue funding to local governments for
three years in order to complete projects already under way.)
3
Preapplication
THE PROPOSAL-WRITING STAFF -
ORGANIZATION AND RESPONSIBILITIES
The development ofmanygrant proposals is a group project, and in many small
towns, is both a volunteer and a part-time undertaking. There are certain pitfalls
to avoid in any collaborative effort, particularly volunteer projects. To begin with,
it is usually advisable to establish some sort of heirarchy in the proposal writing
staff, as well as in the project's actual administrative staff. This does not preclude
group "brain-storming" sessions (often a most effective problem-solving device)
or cooperation among staff members. It does, or should, prevent hopeless stale-
mates over minor issues and time-wasting squabbling. Identify one member of
your group to be ultimately responsible for the development of the proposal, and
make sure that all other staff members are aware of and in agreement with this
designation of authority. Bear in mind, also, that the individual in charge of pro-
posal development should not necessarily be the same individual who is in charge
of the program's administrative staff once your project is funded. It is often the
case that quite different talents are required for the organization and writing of
the proposal than for the implementation of the project. It is also frequently true
that a good grant writer is not necessarily an expert in the field of the proposed
project. In fact, some distance from the intricacies of the program may be neces-
sary to clearly conceptualize and describe it to others, namely the granting agency
officials. Surely, experts should be involved in the preparation of the budget and
program design sections of the proposal, but the narrative prose statements of
need, goals, and objectives may be better composed by someone in your organi-
zation who is more a writer than an administrator.
Similarly, the proposal-writing staff leader may not always be the most likely
person to conduct negotiations with funding agency officials. It is sadly the case
that administrators usually respond more readily to individuals of similar rank in
other organizations; for this reason, the most able proposal writer might not be
the best project "salesman." If most of your staff is volunteer, it might be a good
idea to designate someone who is a full-time government employee (such as Police
Chief or Superintendent of Public Works) to be your major contact person with
the granting agency.
However you organize your staff, keep personal ego involvement at a minimum
throughout the whole granting process, and remember that different channels of
authority should at least be considered for the development, selling, and adminis-
tration of the grant program.
5
SECURING PROGRAM SUPPORT
Internal
Before you seek external support (financial and otherwise) it is important to
be assured of harmony in your organization with regard to your project. If pos-
sible, have at least one group meeting before soliciting outside support or submit-
ting your proposal. Try to anticipate difficulties which might arise from uneven
participation in the project, the diverting of personnel from normal activities, or
from financial drains on your organization, before grant monies have actually
been awarded.
Another form of support which can be crucial to your proposal is that of the
funding agency itself. Contact program officials early in the application process
to ask for their advice, criticism, and support. Familiarity with officials in the
agency can only benefit you when you submit your final application, and they
are the last word of authority on matters pertaining to your grant proposal.
External
Securing community support for your program may not only be advisable - it
is a compulsory application procedure for many grants. In any case, it is always
helpful to have the support of as large a portion of your community as you can
muster behind your grant proposal.
A good approach is to develop a preliminary abstract of your project - not
more than two or three pages - which you can leave with potentially supportive
groups or agencies after you have made personal contact with them.
In small towns, you should attempt to get endorsement from as many affected
or involved groups or individuals as possible, including local officials, units of
government, service organizations, civic groups, etc. Needless to say, support from
your target group (those who will directly benefit from your proposed project)
is highly desirable. It is a good idea to solicit opinions from private sectors as well
(businesses, clubs, professional and non-professional individuals) whether or not
you include them in your application. It will be helpful to you in conceptualizing
the indirect, as well as the direct, effects of your project on your community, and
in anticipating any issues which might arise during the application review process.
In large towns or cities you will naturally need to be a bit more selective in
soliciting support for your proposal. You might ask the funding agency itself for
names of organizations which should be involved; also contact community council
offices, chambers of commerce, and any public leaders who might be interested
in or affected by your project.
Before you approach any agency or individual, be sure you know what degree
of involvement you expect from them: letter of endorsement, consulting services,
active participation, financial support. It is easier for people to overlook a vague
promise than a firm commitment, and you are usually more likely to get what
you want when you ask directly for it.
6
NEED IDENTIFICATION
The "Statement of Need" that you eventually write for your proposal, should
be based on careful study and quantification of the problem you are addressing.
This does not mean that it should document your entire research process; rather,
it should reflect a thorough knowledge of the problem you propose to rectify,
with a judicious selection of facts to document its existence in your community.
Knowing whether or not a need actually exists may not be a problem, but
knowing how to present it clearly and forcefully can be. Facts are needed to es-
tablish the existence of the problem, and to place it in a historical and geographic
context which can be easily understood by those unfamiliar with your commun-
ity.
The best place to start looking for background information, facts, and statis-
tics about local communities is your Regional Planning Agency. There are thirteen
Regional Planning Areas in Massachusetts (see pp. 54-55 for map and directory).
R.P.A.'s produce thousands of publications on specific communities, local issues,
and problems. County governments, as a rule, publish very little, and what they
do put out is usually dated.
The U.S. Bureau of the Census, the Massachusetts Department of Commerce
and Development, and the Massachusetts Office of Local Assistance are also ex-
cellent sources of information. See "Grant Information Resources: Documenta-
tion of Needs," p. 34, for a listing of some of their publications, as well as those
of other agencies. Check local colleges, and universities and public or private re-
search firms, too - there is always the possibility that someone has just con-
ducted a survey or study in your field of interest.
After you have exhausted the existing sources of information and background
material, it may be necessary to generate data specific to your community and
particular problem. Again, your Regional Planning Agency or local County Exten-
sion Service will be glad to refer you to (or supply you with) appropriate sources
of information on data collection, analysis, and presentation. Canvass your town
or area for volunteers to assist with this kind of activity. Help is often in your
own backyard; you only have to ask for it.
DEVELOPMENT OF THE IDEA
Deciding on a strategy
Once you have organized a staff and pinpointed your needs, you are ready to
develop the idea for your project. The strategies you decide upon will be the basis
for your entire proposal - "fleshed out," they will be represented by the Need,
Objectives, Design, Staff, and Budget sections of the application.
There are two schools of thought on project or idea development: approach A
is the initial formulation of an idea followed by a search for an appropriate fund-
ing source; approach B is the adaptation of your organization's plans to existing
programs or Requests for Proposals.
7
This distinction between the two approaches is really arbitary, since most
grant programs are probably the product of some combination of the two. We
feel that it might be useful to outline the general characteristics of both methods,
however, if only to assist you in keeping a clear picture of where you are coming
from and where you are going. It can be all too easy to become so involved in de-
tails and administrative procedures that you lose sight of your original goals and
priorities.
The two approaches, then, are as follows:
Approach A
Is an outgrowth of a comprehensive planning process, based on need identi-
fication and analysis, followed by thorough research of funding sources.
Approach B
Emphasizes minimization of time and effort in many pre-application activ-
ities.
May be one of many routine responses to R.F.P.'s.
Depends on a good working knowledge of the federal granting system.
Directs efforts at justifying the need for an existing (or already prescribed)
program in a particular locality.
Using one approach or the other is largely a matter of experience, time con-
straints, and personal style. It is hoped that the background material and references
in this text will lead to enough familiarity with the federal granting system to make
approach B more accessible to local communities (and to help eliminate the need
for professional "grantsmen"), while preserving the care and thoroughness charac-
teristic of approach A.
The time you invest in formulating your idea will naturally depend on whether
it is an original concept or a bid for entry into an existing program. However you
operate, though, the following strategies and considerations should be included
in your project development:
Phase I
Meet with all those who will be involved locally in the project. At a minimum,
discuss the following questions:
1. What is the need or problem?
2. What is the desired state of affairs (long-range goals)?
3. Why is your organization tackling the problem? Or, why are you the most
qualified or appropriate ones to do the job?
4. Who else-other service agency or unit of governnent-is involved with this,
or a similar problem?
5. Why have they been successful/unsuccessful in dealing with it?
6. What can you learn from them?
7. Should this be a collaborative effort with other groups? (This question will
help you to determine the scope of the project-financial and otherwise.)
8
Phase II
Once you have determined the scope of the project and who will be involved,
discuss what you are going to do about it:
8. What are the alternative approaches to the problem?
9. What are the advantages/drawbacks to each?
10. How long will the project take? Should it be done in phases?
11. How much (hard/soft) do you expect from everyone involved, including
the granting agency?
1 12. How many people will it employ?
1
13. How many people will it benefit? (Numbers 12 and 13 may overlap.)
14. What will happen to the project at the end of the funding period? (This
consideration should be based on some preliminary idea of the future fund-
ing possibilities/requirements of the grant program(s) for which you are
applying.) Who will absorb continuing costs if it is to be an ongoing effort?
15. What will the consequences be if the project is not a success? Can any
benefit be derived if you don't achieve all of your goals, or is this an "all
or nothing" effort?
16. What will your strategy be if you don't get funded this time around?
Phase III
Write a short (one page) abstract of the proposal to work with, to submit (if
necessary) for A-95 review, and to show to granting agency officials and other pro-
spective participants at preliminary meetings. It should include a general descrip-
tion of the need you are addressing, your goals and objectives, simple outline of
program design, 1-figure budget, and an estimate of time and staff size. Include
the name and title of your Program Director, if you already have one.
Make sure that you remain flexible enough at this point to make adjustments
in your plans after initial interviews or A-95 review. The whole point of a prelim-
inary abstract is to open your idea to constructive advice and comment.
Preapplication Stage-Informal
It cannot be stressed enough that contact should be made and maintained with
potential funders as early as possible-they are, after all, the best source of advice
on how to apply for their agencies' funds! Model letters of inquiry may be found
on pp. 38-40 of the Appendix. You should also make personal contact, if at all
1 It is a good idea to incorporate the concepts of "primary and secondary benefits"
into your plans and your proposal; it lets the funding agency know that you have
considered all angles of your project. Primary benefits are those which directly
relate to the target population; secondary benefits occur indirectly as a result of
the project, and may affect the entire community or area. For example, the pri-
mary benefit of low-cost housing for the elderly is the improvement of living
conditions for senior citizens. A secondary benefit might be a higher local employ-
ment rate due to construction of the housing units. This is sometimes referred to
as the "ripple effect."
9
possible, and attempt to answer the following questions:
-Why is the funding source sponsoring a grant program?
-What are their objectives?
-Do they mesh with yours?
-Does your program meet any conditions they specify?
-Are they offering enough money?
-Is the program oversubscribed?
-What is their priority rating (Item I of Part II, Standard Form 424) based on? 2
-Will the application require any approval/clearance? (Items 2, 3, 4, 5 of Part II,
Form 424.)
-Most important: What are their suggestions for you? If they are not an appro-
priate funding source for you, do they know who might be?
FORMAL PREAPPLICATION
For many grant programs, this is the most crucial phase in the application pro-
cess. The state clearinghouse in Massachusetts only reads the grantee's "Notifi-
cation of Intent" (to apply) in their A-95 review procedure; similarly, the preap-
plication procedure for some discretionary grants, such as those offered through
HUD'S Community Development program, is the crucial cut-off point-those
chosen to make final application usually get funded. 3 In any case, your preappli-
cation (preliminary abstract, project summary, or whatever) should be as arresting
and innovative, while still being realistic, as possible.
A-95 Review
Office of Management and Budget Circular No. A-95 describes the procedure
for coordinating federal and federally assisted programs and projects with each
other, and with state, regional, and local plans and programs. A-95 review is man-
datory for many federal grant proposals, as well as for federal development pro-
posals and a number of other federal assistance programs. A list of the federal
programs and projects which are subject to A-95 review may be found in the
Appendix of the Catalog of Federal Domestic Assistance. Your application packet
from the funding agency will indicate whether or not your proposal will be re-
quired to undergo A-95 review; be sure to allot plenty of time for this, if necessary,
before the final application deadline.
OMB Circular No. A-95 is divided into four major parts, the first of which is
described below.
Part I. The Project Notification and Review System-PNRS
PNRS is intended to prevent conflicts between federal programs or jurisdictions,
2 Agencies rate proposals both by independent merit and by current priorities
for different problems. A "perfect" proposal may be useless if it addresses a prob-
lem considered low priority by the funding agency.
3 You will be informed well in advance when this is the case.
10
thereby helping federal administrators fulfill their obligation to efficiently spend
taxpayers' money. It also provides an opportunity for governors, mayors, county
officials, and other state and local officials, through clearinghouses (usually Re-
gional Planning Agencies), to influence federal and federally assisted programs and
projects that may affect their own plans and program. A-95 cannot insure coordi-
nation, but it is designed to create a climate for intergovernmental cooperation
in which such coordination is more likely to come about.
A-95 review consists of two phases: the Notification Phase and the Application
Phase. The diagram below gives an overview of the whole process. Both phases
are briefly described in the following text.
PROJECT NOTIFICATION AND REVIEW SYSTEM
NOTIFICATION PERIOD
TIME MAY ELAPSE
APPLICATION REVIEW PERIOD
BETWEEN PERIODS
STATE AGENCIES
2.
State
State
State
Clearinghouse
Clearinghouse
Clearinghouse
1.
3.
1.
2.
Notice
Notice
NEGOTIATION
Final
Final
3.
of
of
OF
Application
(Reviewed)
Intent
Intent
ISSUES
Application
1.
3.
1.
2.
Areawide
Areawide
Areawide
Clearinghouse
Clearinghouse
Clearinghouse
2.
LOCAL GOVERNMENTS
30 days
30 days
1. Applicant sends notification to State and areawide
1. If issues have not been resolved and/or clearinghouse
clearinghouses.
has requested application for review, applicant submits
application to clearingouse.
2. Clearinghouses review and secure views of State agencies
and local governments.
2. Clearinghouse prepares comments and submits them
to applicant.
3. Clearinghouses notify applicant
a. If there are any issues; or
3. Applicant submits application along with all clearing-
b. Send supportive comments; or
house comments to funding agency.
C. Defer comments and request completed applica-
tion for review.
Notification Phase:
A potential applicant for federal assistance first notifies both the state clearing-
house (in Massachusetts, the Office of State Planning; see the Directory, p. 54,
for address and phone number) and the appropriate areawide clearinghouse, using
a "Notice of Intent" form to describe the proposed project. Some states use federal
form 424; Massachusetts, however, has its own "Notice of Intent" form to be
used for both the state and local clearinghouses. (See map, p. 54, in the Appendix
for the location and jurisdictional areas of the Massachusetts regional planning
agencies.) The applicant must also indicate whether or not the funding agency re-
11
quires an environmental impact statement (EIS) relating to the proposed project. 4
The areawide clearinghouse then solicits comments from municipalities or agen-
cies whose plans or programs may be affected by the applicant's proposal. In the
case of an application submitted by a special purpose unit of local government,
such as a housing authority, comments will be solicited from any unit of general
local government (selectmen, councillors, etc.) having jurisdiction over the area.
Within thirty days of receiving the notification of intent, the clearinghouse
notifies the applicant if there is "no interest," meaning that the application poses
no problem to regional planning. If potential problems are recognized, they are
brought to the attention of the applicant, and the clearinghouse may arrange a
conference with the applicant to discuss questions or issues. A clearinghouse re-
sponse of "no interest" terminates the applicant's obligation to the clearinghouse,
and the applicant may then complete the final application.
If all clearinghouse questions or issues regarding the proposed project have
been resolved during the notification phase, the final grant proposal may be sub-
mitted to the federal funding agency and the clearinghouse at the same time. If,
however, the clearinghouse still has questions about the proposed activity, they
are entitled to an additional thirty days review before the application is sent to
the federal funding agency.
5
If a final application reaches the clearinghouse without a previous "Notice of
Intent," the clearinghouse is allowed sixty days to review the completed applica-
tion. As in the notification phase, opinions are solicited from municipalities and
agencies having plans or programs that could be affected by the applicant's pro-
posal. If the application generates no further comments, a statement must be at-
tached to the final application noting that A-95 review procedures were followed
and no comments were received. All comments that are received must accompany
the final application to the funding agency.
The funding agency then considers the application and attached comments,
and informs the clearinghouse of action taken thereon (using standard form 424,
when appropriate). When a project which a clearinghouse has not recommended
is funded, the action notice is accompanied by an explanation to the clearinghouse
as to why its recommendations were not followed.
4 Any federal project having an effect (beneficial or detrimental) on the environ-
ment will probably require an EIS before a funding decision may be made on it.
Appendix I of the Catalog of Federal Domestic Assistance lists most programs
requiring an EIS; if you have any doubts about your particular project, contact
the federal agency which administers the grant.
5 In Massachusetts, the state clearinghouse usually conducts a single 30 day review
based entirely on the Notice of Intent. Local clearinghouses have different policies,
and it would be wise to acquaint yourself with the practices of the clearinghouse(s)
critical to your project before drafting your Notice of Intent or final proposal.
12
The Regional Planning Agency's Role
The Regional Planning Agency (RPA) acts as a clearinghouse for comments
and recommendations on funding applications affecting any cities or towns within
its district. The clearinghouse will try to determine whether opportunities afforded
by intermunicipal cooperation have been fully explored, and whether the timing,
location, or scale of a project may affect plans and programs other agencies are
proposing or establishing. A clearinghouse cannot grant or deny funding assist-
ance-its comments are advisory only, and serve to assist the funding agency in
evaluating the project, and the applicant in developing a sound project.
The manner in which a clearinghouse conducts its reviews is discretionary,
though time constraints must be adhered to, and a conscientious effort made to
identify jurisdictions and agencies whose plans and programs might be affected
by the proposed project.
State clearinghouses serve a similar function in insuring that plans and programs
requesting federal assistance are in harmony with the state's ongoing and contem-
plated plans and projects. They are designated by the governor; in Massachusetts,
the state clearinghouse is the Office of State Planning. For more information on
A-95 Review, contact Kirk Danforth (address and phone number in the Directory,
p. 52).
Obligatory Reviews
Clearinghouses have three obligatory referrals (in addition to local chief exec-
utives' review requests). They are:
1. To state and local agencies for projects which may require environmental
impact statements.
2. To state and local civil rights agencies.
3. To Coastal Zone management agencies.
13
N
-
mill
58863
54883
FAPAS
Application
The Preapplication stage of the grant-writing process is complete-you have
identified your needs, selected a funding source, developed your plans, and com-
pleted any necessary preapplication review procedures. Now you simply have to
convince the granting agency that your project is indispensable, your plans flaw-
less, and your organization unquestionably suited to the job!
Much of the advice we offer in the forthcoming "Application" section is aimed
at improving your writing skills in general, and your grant-writing skills in partic-
ular. Perhaps the most valuable piece of advice we have is "remember your audi-
ence." You are writing for people who, in all likelihood, are unfamiliar with you
or your project. Strive for precision and brevity, and continuously ask yourself
whether information you include is relevant. You can be sure that the proposal
reviewing staff will be grateful for the hard writing you have done to make their
reading easy.
The "Application" section is divided into six short chapters, one for each part
of the grant proposal: needs, objectives, program design, budget, staff, and eval-
uation.
STATEMENT OF NEED
Your Statement of Need is a preface to the rest of your proposal; it outlines
why you want to carry out the project you will later describe in the "Objectives"
and "Design" sections of the proposal. You can prepare the way for a logical
transition to these sections by clearly defining-through numbers, statistics,
etc.-the scope of the problem you are tackling. Be specific, avoid extraneous
detail, and, above all, be realistic. There is no point in documenting a problem for
which there is no possible solution.
For example, you might say:
"Forty-seven percent of all citizens 65 years of age or over in Hampshire
County are currently without transportation facilities to hospitals or
health clinics, either for routine, preventative care or for emergency
treatment, "
rather than,
"It is deplorable that the elderly, who are frequently in need of medical
6 This "data" is entirely fabricated.
15
treatment, are usually the least mobile members of society."
The first statement outlines a problem which can be solved, i.e., through your
grant program. The second statement is a personal value judgment about the obvi-
ously ineradicable problem of physical frailty in old age.
It can sometimes be to your psychological advantage to inject a note of urgency
in your Statement of Need:
"This is our last chance to do something about this problem!"
You will have to use your common sense about this, however, as there are some
problems which will probably never get much worse or go away.
You also might include individual examples to dramatize your point, but be
sure to avoid exaggerating or preaching. Let the facts speak for themselves. If you
have done your homework well, they will. Do not include exhaustive case studies
or data analyses; if you feel that they are absolutely essential, include them in an
appendix. Remember, your proposal may be one of hundreds, or even thousands;
do not burden funding agency reviewers with more information than they need
to make an educated decision on your application. Aim for a presentation of facts
that is precise, easy to read, and logically connected to your proposed project.
Leave no doubt in the reader's mind that a serious problem exists, and that
your organization is qualified to solve it (with a little financial assistance!)
OBJECTIVES
Your objectives state what it is that you hope to achieve through your project.
They should be a logical response to your preceding Statement of Need, and should
prepare the way for a smooth transition to a discussion of your program design.
For the sake of clarity, objectives should be subdivided into long-range aims,
or goals, and short-range activities, or objectives. Goals are more theoretical than
objectives; they refer to such essentially unrealistic aims as full employment or
the elimination of juvenile delinquency. Objectives refer to the concrete measures
taken to achieve goals; they specify exactly what will be done to eradicate as much
of the problem as is feasible. Goals, then, are the transition between needs and
objectives, and objectives are the transition between goals and the program design
or methods:
Needs
Goals
Objectives
Methods
(high rate of
(elimination of
(establishment of
(recruitment of
juvenile crime)
juvenile
youth counseling
personnel, rental of
delinquency)
center)
space, etc.)
Your statement of goals should identify the target population, the benefits you
hope to bring to them, and the conditions of success of the project. Objectives
define the mechanics of achieving the goals.
Clearly defined objectives will help you to write a coherent outline of program
16
methods. Knowing exactly what you want to achieve productively limits your
options in ways to achieve it; it forces organization of effort and efficiency of de-
sign. Your objectives should be brief, specific, and quantifiable; the hallmark of a
good proposal is a clearly defined objective capable of being evaluated.
The two key elements of objectives are performance and conditions:
Performance names the activity or series of activities undertaken to achieve goals.
Example:
We will build low-income housing units in the Longview area of Middleville.
Use action words to describe the performance you expect. Stick to active,
transitive verbs (subject
verb
object) and avoid vague, passive sentences ("It
is hoped that
"
"Some feel
" "It could be argued
"). Try, also, to use
laymen's terms, and avoid such technical jargon as "inputs," "outputs," "thrust,"
etc. They are all too common in business and government writing, and you want
your proposal to stand out.
Conditions indicate the successful completion of activities; factors such as time
or numbers are frequently cited as conditions of success.
Example:
We will build twenty-five units of low-income housing in six months; at that
time approximately one half of these units should be ready for occupancy,
with central heat, plumbing, etc.
The conditions you impose should be simple, clear-cut, and quantifiable. Opinions
may differ as to what terms such as "ready for occupancy" imply, so it is up to
you to specify as unambiguously as possible what you mean.
Final note: some people (particularly fluent speakers of governmentese) refer
to objectives and goals as "process objectives" and "program objectives." Process
objectives refer to the means, and program objectives refer to the ends, or final
product. These terms are useful only inasmuch as they help you to clarify your
own goals and objectives.
PROGRAM DESIGN
The design, method, or approach section of your proposal narrative outlines
how you intend to implement your program. Needless to say, you should not
attempt to work this out on paper the night before the application deadline. If
you have thoroughly defined the problem and your solution to it, you should,
by now, have some concrete plans and strategies worked out. It remains for you
to clearly explain and justify your approach to the granting agency.
Most agency officials respond more readily to innovative ideas and to pilot pro-
grams which, if successful, can be easily replicated in other areas. If your project
offers something new, emphasize it; of particular appeal are programs which clev-
erly utilize existing resources to solve problems. Show the granting agency that
you have worked hard to devise a program which will yield the greatest possible
return for their investment. Your design should have no loopholes or mysteries in
it-you do not want to convey the impression that you expect a blank check to
17
cover all of your experiments and false starts. 7 In short, the needs and objectives
sections of the proposal focus on the target group; the design section focuses on
you. Make sure you are prepared for the close scrutiny your plans (and your
organization) will undergo.
It is best to start writing your narrative in general terms, proceeding gradually
to a more detailed breakdown of your program's major components. It is always
a good writing strategy to convey as much of your basic idea as possible in your
first paragraph, if not in your first sentence. Get to the point, and make the reader
want to read on.
Tight organization of ideas is also essential for easy reading. Make a logical
outline for your discussion, and stick to it. Decide what "theme" you are going
to organize your discussion around, and fill in your ideas where appropriate. For
example, you might describe the sequence of activities chronologically, using time
as your theme. You might also organize your approach by objectives, analyzing
how you will address each task individually. Or you can discuss activities by func-
tion, grouping the same kinds of things together-for instance, construction, re-
search, public relations, etc. Whatever you do, however, be consistent; continuity
in your writing will indicate a logical mind behind the proposal. Do not, however,
get so bogged down in the outline that you can't write the proposal! Keep your
outline short and simple, and your narrative will almost necessarily be tight and
succinct.
Use the budget forms in your application packet as a checklist of details to be
included in your narrative. For instance, staff, equipment, rentals, travel, etc.,
should all be discussed as part of your program design if they are integral to the
project.
Finally, be sure to discuss alternative approaches to the problem, and explain
why you have chosen yours. Taking the initiative in this way will prevent your
having to defend your program design at a later stage in the game, and will assure
proposal reviewers that you have chosen the most effective and appropriate solu-
tion to the problem.
TIME IS MONEY!
Time is a crucial element in any grant proposal. It is very important to make
sure that you allot enough time for all of your activities, and that you clearly
depict your anticipated schedule in the proposal narrative.
In particular, be sure to allow time for such easily overlooked activities as:
1. Any development of the project design that must wait until funding begins,
i.e., that requiring expensive consulting services or equipment.
2. Recruiting or training of new personnel.
7 Along these same lines, you should be prepared to start immediately if funded,
since most grant programs have rigid time limits; the program ends when the fund-
ing period is over, not when the project is completed.
18
3. Negotiating with any cooperating or participating agencies.
4. Periodic and final evaluations, and any conferences, data collection, analysis,
and reports they may entail.
There are many different ways to depict time in your proposal. You can stick
to a straight narrative, or combine narrative and graphic representation. The latter
approach is usually the most effective and easily understood, particularly if many
activities will take place simultaneously.
Graphic representation of time can be done in many ways, depending on the
complexity of your project. Following are some of the most common methods:
1. Straight Chronology-this is the simplest method, with single events succeeding
each other in a straight line:
A
B
C
D
etc.
This is sometimes referred to as the "milestone" method; it is usually not appro-
priate for any but the most basic projects, since it does not represent any inter-
dependence of activities.
2. Phase-time Line-This method depicts simultaneous occurrence of different
activities, but does not indicate interdependence.
PHASE TIME LINE CHART
Executive to Airport
2P.M.
3P.M.
4P.M.
5 P.M.
1
2
3
4
5
6
7
8
9
10
Task Identifications
1 Executive calls housekeeper
gives secretary instructions
2 Executive completes report
3 Housekeeper packs suitcase
7 Housekeeper delivers suitcase
4 Secretarymakes reservation
8 Cabdrives to office
5 Secretary picks up tickets
9 Executive takes cab to airport
6 Secretary calls cab
10 Executive checks in for flight
19
3. Flow Chart-This method shows, to a degree, the relationship between events:
which ones occur simultaneously, which ones precede others, etc.
A
B
c
D
E
F
G
H
4. PERT-Project Evaluation and Review Technique. This system is the most
sophisticated; it fully depicts the relationships and interdependencies of your proj-
ect elements. A PERT network is composed of events and activities. An event is
the start or completion of an activity; it is not composed of time, personnel, or
other resources. An activity is a task or job utilizing personnel and resources over
time.
PERT CHART,
Executive to Airport
3
/
hour
hour
1/2
5 min.
1 hour
1 hour
20 min.
1
2
6
7
8
5 min.
½ hour
5min
1/2 hour
4
5
Activity Identifications
1-2 Executive calls housekeeper, gives secretary instructions
2-3 Housekeeper packs suitcase
2-4 Secretary calls cab
2-6 Executive completes report
3-6 Housekeeper drives to office with suitcase
4-5 Secretary makes reservations
4-6 Secretary picks up tickets
5-6 Cab drives to office
6-7 Executive takes cab to airport
7-8 Executive checks in for flight
20
BUDGET
The budget is perhaps the most vulnerable part of your grant proposal. It will
probably undergo the most careful scrutiny, and is the area for which you will be
held most accountable. Thus, it is essential that you take time and care in prepar-
ing your program budget. Remember that it is a working document-you are not
merely filling numbers in spaces, but committing yourself to a comprehensive
financial plan. Be realistic, and be prepared to live with it once you submit your
proposal.
Federal grant programs have very strict guidelines for budget-related items such
as cost sharing and indirect cost rates. In particular, FMC 74-4 defines the regula-
tions for determining direct and indirect cost rates for all federally supported
programs and projects. Very simply, direct costs are those which are directly relat-
ed to the project; indirect costs benefit more than one activity. (For instance, if
your project will be housed in office space presently leased by your organization,
rent may be considered an indirect cost since you are not leasing new space just
for this project.) FMC 74-4 requires that you establish a standard indirect cost
rate to be applied to every item in your project's budget. This is simply the ratio
of indirect costs to specific direct costs, such as salaries. If your direct cost for
salaries is $100,000 and your indirect cost rate is 14 percent, the total indirect
cost for salaries is $1400. The point is to be consistent; sloppiness in treating an
expense as both a direct and an indirect cost may very well result in a disallowed
claim (i.e., no money at all). It is therefore crucial that you be familiar with
FMC 74-4 guidelines before you attempt to compute your budget.
8
If your organization has an accounting department, you will surely want to
involve them in drafting the budget of your proposal. If not, you should consider
hiring an accountant or other financial consultant to advise you.
Assuming that you will have professional help in computing actual costs, keep
in mind the following general points while writing your budget:
1. Be sure to clear up any questions you have with the funding agency before
you submit the proposal.
2. Do not leave any items on the budget sheets blank; enter zero (0) if the cat-
egory does not apply, and explain why it doesn't in the budget narrative
section.
3. Make sure that all of the costs you itemize are comparable to those of other,
similar programs, or be prepared to explain why in the budget narrative.
8
HEW has published a very handy booklet called A Guide For State And Local
Government Agencies; Cost Principles And Procedures For Establishing Cost
Allocation Plans and Indirect Cost Rates For Grants And Contracts With The
Federal Government. It contains FMC 74-4, describes the process of indirect cost
determination, and lists specific allowable costs. It also contains a question and
answer section, and is generally invaluable for the neophyte grant-writer. (See
Directory, p. 53, for the address of HEW.)
21
4. Find out what the minimum/maximum support levels of the funding agency
are, and make sure you are within these limits. Remember to compute (and
fill!) any matching requirements the agency may have.
5. Don't over or underestimate in an attempt to "second-guess" proposal re-
viewers. In other words, don't assume that you can bargain up or down once
you are funded; it is better to be as realistic as possible in the first place.
6. If possible, look over comparable grant program budgets before you draft
your own; the Freedom of Information Act allows you to review all prior
fiscal year proposals.
Below are listed some hints for specific budget categories:
Personnel
Follow the standards for documentation of payrolls set forth in FMC 74-4's
allowable cost principles. For example:
Project Supervisor - 100% of time for 12 months at $1500./month.
Also, be sure to compute all fringe benefits (vacation time, insurance, unemploy-
ment compensation, etc.) in either your direct or indirect cost rate. Remember
to itemize all volunteer work hours just as you do paid time-it is your "in-kind"
contribution.
Contracts
Contracts for services, such as those for consultants or subcontracts to a third
party, require the approval of the grantor. If the proposed contract is specified
in the application, you may usually assume that approval is granted if the project
is funded. (See "Staff," next page, for more discussion of consulting services.)
Construction/Renovation
Construction is allowable only when the program legislation includes specific
construction authority. Alteration and renovation costs that do not constitute
construction are allowable, though they, too, are usually subject to agency limita-
tions.
Travel
Travel is a budget item which tends to be regarded supiciously by proposal
reviewers. Be sure to thoroughly justify all travel expenses you consider necessary
in the budget narrative. (It goes without saying that you will not pad your budget
with frivolous junkets for you and your friends.)
Equipment and Supplies
List equipment and supplies by function (office, instructional, etc.) and find
out beforehand whether you will be allowed to make major, i.e., very expensive,
purchases. Find out whether any equipment you do purchase becomes government
property, as is sometimes the case. Don't forget to itemize "little" things like
paper, typewriter ribbons, etc., which can add up tremendously. Postage and
freight can become quite considerable, too. (This may be considered a separate
item in some cases.)
22
Other
This is a catch-all for items that do not fit comfortably in other cost categories,
but have been identified as costs in your budget. Check to make sure that they
are allowable, and under what conditions.
STAFF
The staff section of the proposal is intimately related to the budget, since most
grant projects not involving construction spend roughly 80 percent of their pro-
gram funds on personnel salaries. It is therefore doubly important to make sure
that your staff plan is efficient and streamlined, while still being adequate.
Before you design your program staff, it is a good idea to consider how it will
relate to your existing organizational staff, if you have one. Will you need to re-
cruit and/or train new personnel? If present staff members will be involved in
the new program, what effect will this have on existing operations and projects?
Many mundane, "hidden" activities (such as clerical work) are more time consum-
ing than most people realize. Make sure you are not placing an unreasonable bur-
den on existing personnel, particularly those who will not receive credit for the
completed project!
Don't introduce any new positions in the staff section of the proposal that you
haven't already generally indicated in your program design. Indicate what selection
process you will use for new personnel, and provide job descriptions and expected
qualifications for key positions. Remember, too, that you must comply with
Affirmative Action guidelines in your hiring procedures for federal programs.
Check with the funding agency on any questions you have regarding your partic-
ular project or area, or contact the Office of Federal Contract Compliance. (See
the Directory, p. 52, for address and phone number.)
You should have determined, by now, whether your project will need a general
administrator or a specialist for a director. Granting agency officials are usually
more receptive to proposals in which project directors are identified, particularly
if they are specialists. You should supply vitae of key staff members who have
already been chosen, stressing any particular qualifications they may have for
their jobs.
As has already been mentioned in "The Budget," volunteers are considered
staff members, and should be treated as such in your application. Federal agencies
assign uniform values to volunteer work hours for different types of jobs; however,
if your volunteers are normally highly paid professionals, indicate as much in
your proposal. Any volunteer work that you pledge must be performed and docu-
mented, so do not lightly promise anything you might not be able to deliver.
The use of consulting services should also be treated thoughtfully. Proposal
reviewers are highly sensitive to extraneous positions in staff plans, so be sure
that you actually do need to pay for professional consulting services before you
include them in your staff or budget sections. If you are unsure about the use of
consultants in general, the Cooperative Extension Service has published a handy
23
booklet called Selecting Consultants for Community Development (Extension
Service, USDA, Program Aid No. 1078), which you can order for .25 from the
Superintendent of Documents in Washington or your County Extension office.
EVALUATION
It is critical to the success of your application that the success of your project
be easily measured. Your evaluation plan details how you intend to do this. Many
granting agencies issue general provisions for programs requiring evaluation
processes; naturally you should follow such guidelines if they apply to your pro-
ject. In any case, there are a number of general rules to observe when designing
your evaluation plan.
Really expert evaluation requires a good grasp of statistics and of experimental
design; the evaluation is useless if it is not objective and based on quantifiable
facts. Consult your Regional Planning Agency or County Extension Service for
advice on sampling, data analysis, etc. (You might do this in conjunction with iden-
tifying your needs; see pp. 15 and 34.) Evaluation should also be an ongoing pro-
cess; it should begin with the project, and should indicate not only whether it is a
success or a failure, but also how it can be effectively modified. The evaluation pro-
cess should control quality and quantity during the process, as well as assess the
final impact of the product.
In order to design an effective evaluation plan, you must know exactly who
your target group is and what their "starting" condition is; your statement of
need should provide you with that information. Similarly, if your objectives are
specific and easily quantifiable, you should have little trouble in determining
what criteria to use in your evaluation. A time line depicting all project activities
and where you hope to be at particular dates can also help you to continuously
measure the success of your project.
Keep in mind the concepts of primary and secondary benefits discussed in the
"Idea Development" section (p. 7). You will save yourself a lot of trouble at the
end of your project if you know at the outset exactly what benefits you intend
to measure, and how you intend to measure them. Almost every activity has a
"ripple" effect - nothing is done in complete isolation. Determine at the begin-
ning how far-reaching you expect your project to be within a specific period of
time, and choose particular areas (or populations) to focus upon in your evalua-
tion. Indicate your awareness of other possible impacts, however, and explain
why you have chosen to delimit the scope of your evaluation.
Whatever type of evaluation plan you decide on, it should provide, at least, for
the following:
(1) Review of objectives throughout the project - are they being accom-
plished, and are they still relevant?
(2) Measurement instruments - statistics, graphs, etc.
(3) Data collection procedures - surveys, public records, etc.
24
(4) Data analysis procedures.
(5) Reporting procedures. The report(s) of your evaluation results should
include:
(a) Brief project description.
(b) Concise statement of objectives and procedures.
(c) Present status report of the project.
(d) Explanation of how the evaluation was conducted (what the condi-
tions were.)
(e) An explanation of your sampling error, if you computed one.
(f) Cost/effectiveness data.
(g) Summary and conclusions.
As a final note, you might consider the possibility of an outside organization
doing the evaluation for you. If you choose a reputable group (perhaps some sort
of volunteer social service agency), it can greatly add to your own credibility and
assure the granting agency that you are confident of your project and objective
in your evaluation.
25
Grant Information Resources
PRIMARY SOURCES OF INFORMATION ON FUNDING
IN MASSACHUSETTS
The addresses and phone numbers of agencies and individuals referred to in this
section may be found in the Directory, p. 52. Publications cited are free unless
otherwise specified.
Agencies:
Federal Regional Councils
The U.S. is currently dividied into ten standard administrative regions, each
with a designated headquarters city. Federal Regional Councils (one for each re-
gion) were established by the President in 1972 to coordinate federal, state, and
local planning and programs; although there is a possibility that these Councils
will be abolished in the future, they will continue to function till at least Septem-
ber, 1978.
Federal Regional Councils are composed of the principal regional officials
of the Departments of Health, Education, and Welfare; Labor; Housing and Urban
Development; Agriculture; Interior; Commerce; Transportation; Community Serv-
ices Administration (OEO); Environmental Protection Agency; Law Enforcement
Assistance Administration; and Federal Energy Administration.
The Federal Regional Council in New England maintains an F.R.C. Hotline
phone specifically to answer questions about federal domestic assistance pro-
grams. The Hotline staff is extremely friendly and helpful; if they can't answer
your question, they will find someone who can, and quickly. The F.R.C. Hotline
phone number is: (617) 223-6646.
Federal Information Center
The Federal Information Center will answer general questions about federal
agencies, and supply you with names, addresses, and phone numbers. As a rule,
however, you will waste less time going directly to the Federal Regional Council
for information about grant programs.
The Government Bookstore
The Government Bookstore in Boston is the local representative of the Super-
intendent of Documents and the Government Printing Office. You can obtain
many of the same documents, publications, and subscriptions from them that you
can from the central office in Washington.
27
Federal Depository Libraries
The Federal government has designated certain libraries in each state and terri-
tory of the U.S. to act as depositories for selected government publications. The
key word here is "selected"; none of the libraries receives all of the federal publi-
cations which are available, and distribution is quite varied among the different
depositories.
Every one of the libraries should contain major publications, such as the Cata-
log, the Budget, etc. Large municipal and university libraries usually receive a
much larger volume of publications than do the smaller ones. If you are interested
in a particular pamphlet or circular, however, it might be less frustrating and time-
consuming to order it directly from the Government Bookstore than to look for
it in a Federal Depository Library.
Following is a list of the Federal Depository Libraries in Massachusetts:
Amherst
Amherst College Library
University of Massachusetts, Goodell Library
Belmont
Belmont Memorial Library
Boston
Boston Athenaeum Library
Boston College, Bapst Library
Boston Public Library REGIONAL
Northeastern University, Dodge Library
State Library of Massachusetts
Brookline
Public Library of Brookline
Cambridge
Harvard College Library
Massachusetts Institute of Technology Libraries
Chicopee
Our Lady of the Elms College Library
Lowell
Lowell Technological Institute, Alumni Memorial Library
Lynn
Lynn Public Library
Marlborough
Marlborough Public Library
Medford
Tufts University Library
Milton
Curry College Library
New Bedford
New Bedford Free Public Library
North Dartmouth
Southeastern Massachusetts University Library
North Easton
Stonehill College, Cushing-Martin Library
Springfield
Springfield City Library
Waltham
Brandeis University, Goldfarb Library
Wellesley
Wellesley College Library
Wenham
Gordon College, Winn Library
Williamstown
Williams College Library
Worcester
American Antiquarian Society Library
University of Massachusetts, Medical Center Library
Worcester Public Library
28
Publications:
Catalog of Federal Domestic Assistance
The Catalog of Federal Domestic Assistance is published annually by the Office
of Management and Budget, and contains information on over 1000 assistance
programs. Though the Catalog does not list all federal programs, it is the single
most comprehensive resource for grant writers. Familarity with the Catalog is an
absolutely necessary prerequisite for grant-writing. It contains information on
types of programs, sponsoring agencies, eligibility requirements, application and
award procedures and deadlines, as well as on other sources of information and
contacts.
The Catalog is divided into five main sections: Introductory materials, Indexes,
Program Changes, Program Descriptions, and Appendices.
The grant programs themselves are futher indexed by sponsoring agency, appli-
cant eligibility (for private individuals and non-profit organizations, and for state
and local agencies), function, subject (a more detailed cross-referencing by func-
tion), and popular name.
The bulk of the Catalog is comprised of program descriptions, which are listed
by department and agency. The key to the listing of program descriptions is its
five digit numbering system. The first two numbers refer to the sponsoring depart-
ment or agency, the third number to the specific agency administering the pro-
gram, and the last two numbers to the specific program within the agency.
Another of the Catalog's helpful features is a listing, in Appendix I, of pro-
grams for which OMB A-95, FMC 74-4, and 74-7, TC 1082, and Environmental
Impact Statements are mandatory. (See p. 32, this publication, for a discus-
sion of Federal Circulars, and p. 10 for a more detailed discussion of A-95
review.)
The Catalog also contains, in Appendix III, a list of commonly used abbrevia-
tions and acronyms, an invaluable aid to understanding government jargon.
The Catalog may be ordered from the Superintendent of Documents in Wash-
ington; it costs $18. per subscription, which entitles you to the basic manual and
all changes issued for one year. Your County Cooperative Extension Office should
also have a copy of the Catalog, as should state and local offices, federal deposi-
tory libraries, and college or university libraries.
FAPRS
Though the Catalog is an indispensable tool for any grant writer, it is difficult
to quickly find all of the specific programs for which you might be eligible. The
United States Department of Agriculture has computerized the index of the Cata-
log to rapidly search for all of the programs which pertain to local government.
This service is called FAPRS - Federal Assistance Programs Retrieval System -
and is made available to the general public, in New England, by the Cooperative
Extension Service. Most of the 1100 programs in the Catalog are included in
FAPRS, and records of the programs are updated monthly. Further information
29
and FAPRS search requests can be obtained from your County Cooperative Ex-
tension Office, or contact George McDowell, Extension Economist, at UMass,
Amherst.
The Federal Register
The Federal Register is published daily by the Government Printing Office, and
contains information on new grant programs, federal agency regulations, changes
in existing programs, and other legal business of the executive branch. It can also
be ordered from the Government Bookstore in Boston; a one-year subscription is
$50. The Register is also available at Federal Information Centers and Federal
Depository Libraries.
Commerce Business Daily
Commerce Business Daily is a government daily newspaper which contains,
among other things, R.F.P.'s (Requests for Proposals) from federal agencies spon-
soring grant programs. It is available by subscription through the Government
Bookstore in Boston for $105/year, and may also be found in most Federal De-
pository Libraries.
Federal Aids to Local Governments
Federal Aids to Local Governments is a kind of simplified version of the Cata-
log, published by the National League of Cities. It contains none of the introduc-
tory material found in the Catalog, and indexes grant programs by Agency and
Subject only. It is, however, a useful secondary source of information once you
have narrowed your prospects down to a manageable number. There is a brief de-
scription and history of each agency preceding the program description, followed
by much of the same information found in the Catalog, but in laymen's terms. Of
particular interest are the "Grant Management" and "Problems" sections; they
point out the pitfalls, redtape, and other complications you might otherwise not
be aware of until it's too late. Federal Aids also lists case studies done on individ-
ual grant programs, as well as all other related literature. In addition, it contains
a lengthy directory of federal and regional agencies and officials after the program
descriptions.
Federal Aids is updated quarterly and biweekly, and may be ordered from the
NLC-U.S. Conference of Mayors, 1612 King Street, N.W., Washington, D.C.
20006. Check the reference section of college and university libraries for copies,
too.
FOLLOWING THE TREND OF FEDERAL FUNDING
While investigating potential sources of federal assistance, it is important to
examine not only agencies, programs and regulations, but also the current trends
in funding. Federal grant programs generally reflect the mood of the granting agen-
cies with regard to' problems or new ideas; what was in vogue last year may be
passé today. However vital your grant program may seem to you, if an exorbitant
amount of federal money has already been spent on similar projects - particularly
unsuccessful ones - your chances of success may be lessened. Don't let prior
30
competition deter you if you feel your program is still necessary, but do contact
other grantees whose proposals and programs have been successful to compare
notes; personal contacts and word-of-mouth sources very often yield the most
valuable insights and information.
The following publications can also assist you in discerning patterns in federal
funding:
Federal Aid to States
Federal Aid to States is an annual publication of the Department of the Treas-
ury, containing fiscal year data on federal aid payments to State and local govern-
ments on a cash payment or comparable basis. It is tabulated by state and by
major program, and provides totals for each state for the five preceding years. It is
available on request from the Department of the Treasury.
The Report of Federal Outlays
The term "outlays" refers to all assistance payments, federal employment,
procurement, and administrative expenses. The Report of Federal Outlays docu-
ments the expenditures of all Executive Branch Agencies by state, county, and
city over 25,000 population. It consists of one volume for each state and a Na-
tional Summary volume. Each state volume shows the dollars spent by each fed-
eral agency and the purposes for which they were spent; the report also records
the impact of federal expenditures or other programs, such as loan guarantees.
Each volume contains helpful introductory information and explanations of dollar
amounts. The reports are widely available to all levels of government, including
Federal Regional Councils, state offices, and principal officials of larger units of
local government. Copies are also available in hard copy or microfiche from the
National Technical Information Service, Springfield.
The U.S. Budget, Special Analyses and Appendix
Each January, the President submits his proposed budget for the coming fiscal
year to the Congress. The Budget shows the funding levels for the prior year, cur-
rent year, and the proposal for the coming budget year. In some cases, the budget
accounts are the same as those for federal programs listed in the Catalog of Fed-
eral Domestic Assistance. More often, however, a budget account funds more than
one Catalog program and in a few cases, more than one budget account funds one
Catalog program. In spite of the lack of a one-to-one relationship between Catalog
programs and budget accounts, the Budget can give a general indication of the
proposed funding for most Catalog program accounts.
A companion document to the Budget is the Budget Special Analyses. This
contains information on federal education, manpower, health, income security,
civil rights, crime reduction programs, and a chapter entitled "Federal Aid to State
and Local Governments." Other subjects in this volume that are of potential inter-
est to state and local governments include federal civilian employment, and envi-
ronmental, credit, research and development, and statistical programs.
A second companion to the Budget is the Appendix. This is the most detailed
document on the federal budget. While not on a one-to-one basis with the Catalog
31
programs, the Appendix provides a detailed picture of all projected federal opera-
tions. Data for each account are shown for its major constituent programs, and a
short narrative description of the proposed funding is provided.
Note: It should be remembered that the budget year amounts are those pro-
posed by the President. The actual amounts to become available are not known
until the Congress completes action on the various spending bills and the President
signs them (or his veto is overridden). All three documents are available from the
Superintendent of Documents, and are also in Federal Depository Libraries.
Financial Assistance by Geographic Area
This booklet is published and updated biannually by the Department of Health,
Education, and Welfare. It gives dollar amounts for specific projects in cities and
towns throughout the country. It is available to anyone on request from the
Boston Regional Office of the Department of Health, Education, and Welfare.
POLICY CIRCULARS AND REGULATIONS
CONCERNING FEDERAL GRANTS
The federal government has an official policy on almost everything it does, and
federal grant programs are no exception to this rule. Management policies that
affect grantees (and potential grantees) stem from Congressional legislation and
may be developed in relation to individual programs, or may be designed to stream-
line assistance programs in general.
For the most part, federal regulations and policies pertain to the management
of grant programs once an award has been made, although there are a number of
policy circulars pertaining to grant application procedures. In any case, it can only
benefit grant writers to be aware of the existence of federal policies concerning
grant mangement, and to indicate in their proposals that they are prepared to act
in accordance with such policies and regulations.
Following is a brief description of the more pertinent policy circulars, and of
general sources of information on federal regulations.
Federal Policy Circulars
Matters of federal policy concerning management and coordination of assist-
ance programs are usually disseminated through Office of Management and Budget
(OMB) Circulars or Federal Management Circulars (FMC). The policies themselves
are thereafter referred to as "OMB A- (no. of specific circular)" or "FMC (no.)
Thus, a directive might read: "OMB A-95 is mandatory for all proposed federal
9 Note: Circulars which originated as "OMB" are sometimes reissued as "FMC,"
with different numbers. (In particular, OMB A-87 has become FMC 74-4, and
OMB A-102 is now FMC 74-7.) This can be confusing if you are reading out-of-date
literature, but the circulars themselves are the same.
32
assistance programs having an environmental impact." This simply means that the
policies and procedures detailed in OMB A-95 must be followed.
Policy Circulars which directly affect grant writers are:
OMB A-95 - Evaluation, Review, and Coordination of Federal and Federally
Assisted Programs and Projects. Many federal grant programs require
that applications undergo review by state and local clearinghouses
before being submitted to the appropriate federal agency for final
review. This process is discussed in more detail in Section VII, "For-
mal Preapplication."
FMC 74-4 - Cost Principles Applicable to Grants and Contracts with State and
Local Governments. State clearinghouses in Massachusetts require
that the budget sections of proposals undergoing A-95 review adhere
to FMC 74-4 policies.
FMC 74-7 - Uniform Administrative Requirements for Grant-in-Aid to State and
Local Governments. This circular covers a much broader range of
activities than FMC 74-4, and is similarly mandatory for proposals
requiring A-95 review.
Treasury Circular 1082
TC-1082 prescribes the standard procedures which must be followed by federal
agencies for notifying state governments of grants-in-aid made to them or to units
of local government within their boundaries. Theoretically, notification of awards
(on Standard Form 424) is sent to the "State Central Information Reception
Agency" (SCIRA). In Massachusetts the SCIRA is the Office of Federal/State
Resources.
Policy Circulars pertaining to the management of grant programs after an award
has been made are:
Circular:
Concerns:
OMB A-40
Reporting of Data
OMB A-46
Use of Statistics
FMC 73-2
Auditing
FMC 74-4
Cost Principles
FMC 74-7
Administration
FMC 74-8
Relocation and Property Acquisition
Federal Regulations :
The Code of Federal Regulations
The CFR is actually a special edition of the Federal Register; it consolidates
into one source all new federal regulations, existing regulations, and changes in
33
existing regulations. The distinction between the two is that the Register publishes
all actual and proposed policy and regulation changes for comment by any inter-
ested parties, while the CFR publishes only those regulations which are in force.
The CFR is available by subscription from the Government Bookstore or the Su-
perintendent of Documents but it costs $350/year. (It is updated more or less
constantly.) It is, however, available in Federal Depository Libraries.
The U.S. Government Manual
The U.S. Government Manual is the official handbook of the federal govern-
ment. It is published annually, and includes information on all branches of the
federal government, including detailed information on federal agencies and depart-
ments. The Manual also has a special section entitled "Guide to Government In-
formation," which describes (among other things), the major publications of
interest to grant writers. The Manual can be ordered from the Superintendent of
documents in Washington, or from the Government Bookstore in Boston.
DOCUMENTATION OF NEEDS - SOURCES OF FACTS
AND STATISTICS ABOUT YOUR TOWN OR AREA
U.S. Bureau of the Census
- The U.S. Bureau of the Census, Data User Services Division, in Boston can
be a goldmine of information and statistics, as well as instruction on how to use
them. Below are listed just a few of their publications:
Environmental/Socio-Economic Data Sources $1.50
(PABA-1 supplement, published by the United States Air Force, Directorate,
Engineering and Services) but distributed by the U.S. Dept. of Commerce, Bureau
of Census. Best guide to Census information particularly for small towns. Inform-
ally written.
Reference Manual on Population and Housing Statistics from the
Census Bureau $2.00
Order from the Subscribers Services Section, Publications, of the Bureau of the
Census in Washington.
Census of Population: 1970, General Social and Economic Characteristics
(Massachusetts) $3.25
Comprehensive data for the state, its counties, and its municipalities; separate
figures for minority and rural populations. For some reason, this publication is
unavailable through either the Data User Services or the Boston Government
Bookstore, and must be ordered from the Superintendent of Documents in Wash-
ington.
Census of Population: 1970, General Population Characteristics
(Massachusetts) $1.75
More detailed breakdown of population by race, sex, age, family, marital sta-
34
tus, etc. Includes (limited) data for townships as small as population 1,000. Also
must be ordered from the Superintendent of Documents, Washington.
Census Data for Community Action $.50
How to use census data to effect local change. May be ordered through the Sub-
scriber Services Section, Bureau of the Census.
Bureau of the Census Guide to Programs and Publications $2.45
Bibliography and index by geographic area of Census publications. Order from
the Superintendent of Documents, Washington.
Reference Manual on Population and Housing Statistics from the
Census Bureau $2.00
Actually contains information on quite a bit more than population and hous-
ing. May be ordered from the Data User Services, Boston.
Publications Announcements Series
Brief descriptions. of and special order forms for new Census Bureau publica-
tions. To be placed on this mailing list, write to the Public Documents Distribu-
tion Center in Philadelphia.
The User Training Branch of the Census Bureau's Data User Services Division
recently conducted a pilot workshop in Washington on "Uses and Application of
Census Bureau Data to Meet Current Legislative and Administrative Require-
ments.' This service was designed specifically to facilitate the use of Census
Bureau statistics in federal grant proposals. There is a strong possibility that
workshops of this nature will be held in the Boston area in the future. For more
information (or for information on any Census Bureau publications), contact
Judith W. Cohen, Officer of the Census Bureau's Data User Services.
Massachusetts Department of Commerce and Development
Town and City Monographs
The Massachusetts Department of Commerce and Development publishes four
to five page socioeconomic profiles called "Monographs," on each municipality,
county and SMSA (Standard Metropolitan Statistical Area) in Massachusetts.
Monograph - The Commonwealth of Massachusetts
A comprehensive demographic outline of the state as a whole.
U.S. Department of Labor
New England Labor and the Economy at the Year-end, 1976
Published by the U.S. Department of Labor, Bureau of Labor Statistics, New
England Regional Office. While this publication contains only general statistics
for New England, it is a brief, comprehensive, and interesting report on the econ-
omy.
35
Massachusetts Office of Local Assistance
The Office of Local Assistance (a subdivision of the Massachusetts Department
of Community Affairs) functions specifically to provide technical assistance and
informational services to Massachusetts local governments. OLA staff specialists
in community planning, public administration, municipal finance, and related
fields can provide you with the following kinds of assistance: (1) policy advocacy
at the state level, (2) technical assistance on local planning and management is-
sues, and (3) liaison between state and local government. They have also published
15 case studies on different topics of interest to local communities, such as the
revitalization of central business districts and the modernization of local govern-
ment. A small booklet, Office of Local Assistance, A Guide to Programs, Per-
sonnel, and Publications, will tell you everything you need to know about their
services. See the Directory for address and phone number.
Office of State Planning
State Growth Policy Report
Available through the Office of State Planning in October or November, 1977.
Contains information on housing, industry, water quality, taxes, land use, etc.
(Warning: you may find this publication to be biased against growth for rural dis-
tricts.)
Projections for Employment
Available through the Office of State Planning; labor statistics in Massachusetts
by Regional Planning Area.
County and City Data Book - 1972
Comprehensive listing of statistics from all major censuses for counties and
cities over 25,000 population in the U.S. Available at the Boston Government
Bookstore. (A 1977 or '78 edition should be available soon.)
36
Appendix
The Appendix contains sample letters of inquiry to use at different stages of the
grant-writing process; a sample "Technical Review Form" used by the Office of
Education to "rate" grant applications; and a sample "Notification of Intent"
form, used to notify Regional Planning Agencies and the Office of State Planning
of proposed projects requiring A-95 review. In addition, the Appendix contains
a supplementary bibliography and a directory.
37
INITIAL INQUIRY
Date
Dear
,
I am interested in exploring the possibility of submitting a proposal in the
area of
I am in the process of developing a program that (brief description).
At this point, I would like some guidance from your office. If you believe
that this project is eligible to receive support under one of your programs, I would
appreciate your forwarding to me a formal application and any additional infor-
mation that would be of assistance.
I would also appreciate information on any additional funding sources
that might be appropriate for this type of program.
Sincerely,
Title
38
LETTER SOLICITING APPLICATION
Date
Dear
,
I am interested in developing a program in the area of
I am in the process of developing a proposal under
(name of program)
I would appreciate your forwarding to me a formal application and other
additional information that would be of assistance in applying for funds.
Sincerely,
Title
39
MODEL LETTER ACCOMPANYING ABSTRACT
Date
Dear
,
I am enclosing an abstract of a proposal that I am developing under your
program. I would appreciate your review, criticisms and
comments of the abstract before I complete the final proposal.
Also, I would appreciate your forwarding to me a formal application and
any additional information that would be of assistance in completing the proposal.
Sincerely,
Title
40
DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE
OFFICE OF EDUCATION
Application Technical Review Form
Upward Bound
(CFDA No. 13.492)
Field Reader
Telephone Number
Program Officer
Telephone Number
Project Applicant
Application Number
INSTRUCTIONS:
This form is furnished for your use in evaluating the attached proposal. Please fill
in all pages and return the entire form to us; be as thorough and explicit as pos-
sible in your responses. We are requesting your professional evaluation of the
applicant's plans; specify strengths and weaknesses. If you have any questions
concerning the proposal, please contact the Program Officer.
SUMMARY RATINGS
Maximum
Percent of
Points
Total
1. Need
70
35%
2. Project Design
60
30%
3. Resources
60
30%
4. Budget
10
5%
TOTAL
200
100%
RECOMMENDATION
Place an "X" in the box which best represents your recommendation concerning
the disposition of the attached proposal.
RECOMMENDED
PROVISIONALLY
NOT RECOMMENDED
FOR FUNDING
RECOMMENDED
FOR FUNDING
FOR FUNDING
(specify provisions or
modifications needed)
I have reviewed the application in accordance with the "Scope of Work" that has
been signed and returned to the Office of Education.
Signature of Field Reader
Date
41
These are OE's Review Criteria:
APPLICATION TECHNICAL REVIEW FORM
Program Title: USOE Discretionary Grant Program
Catalog of Federal Assistance Number 13.599
APPLICANT:
PR Number
NAME:
ADDRESS:
CITY/STATE
ZIP CODE
Technical Reviewer
Name
Phone
Program Title
Project Title
COMMENTS: Recommend Federal Support
Yes
No
Date Reviewed
Signature
42
(Optional %)
Weight
EVALUATION CRITERIA
Yes
No
Comments
Factor
ORGANIZATION - Describe the
applicant's background, facilities
and personnel expertise as it relates
to performing the proposed project.
1. Are the qualifications and
experience of applicant's
personnel adequate to carry
out the proposed project?
2. Are applicant's facilities and
other resources adequate?
3. Published Application Review
Criteria
PROGRAMMATIC - Define all
the work and related resources
required to perform the applicant's
proposed project pursuant to the
applicable regulations.
1. Is the proposed activity needed
in the area served or to be
served by the applicant?
2. Is the proposal relevant to
priority areas of concern as
reflected in provisions con-
tained in the applicable Federal
statutes and regulations?
3. Is there potential for utilizing
the results of the proposed
project in other projects or pro-
grams for similar educational
purposes?
4. Are the size, scope and duration
of the project sufficient in order
to secure productive results?
5. Are the objectives of the pro-
posed project sharply defined
and clearly stated?
6. Published Application Review
Criteria
COMMENTS:
43
(Optional %)
Weight
EVALUATION CRITERIA
Yes
No
Comments
Factor
MANAGEMENT - Identify the
applicant's organizational elements,
and describe how they function
internally, including subcontracts,
to insure the project is accomplished
within the time limits and resources
available.
1. Is the proposed plan of operation
sound? Consideration of sound-
ness should include the following
points:
Are the objects of the project
capable of being attained by the
proposed procedures and capable
of being measured?
Are provisions made for adequate
evaluation of the effectiveness of
the project and for determining
the extent to which the objectives
are accomplished?
Where appropriate, are provisions
made for satisfactory inservice
training connected with project
services? and,
Are provisions made for dissem-
inating the results of the project
and for making materials, tech-
niques, and other output resulting
therefrom available to-the general
public and specifically to all those
concerned with the area of educa-
tion with which the project is
itself concerned?
2. Published Application Review
Criteria
FINANCE & ACCOUNTING - Pro-
vide adequate project cost details to
support the proposed budget in rela-
tion to the anticipated end results.
1. Is the estimated cost reasonable to
the anticipated results?
COMMENTS:
44
APPLICATION TECHNICAL REVIEW FORM - UPWARD BOUND
4. BUDGET: THE APPROPRIATE ALLOCATION OF FEDERAL DOLLARS
TO SUPPORT THE SPECIFIC ACTIVITIES
(Maximum of 10 points - 5% of total)
A. Does the proposed budget reflect the activities to be undertaken?
Yes
No
To what extent?
(45 CFR 155.8(c)(4)(ii))
B. Are the resources allocated reasonably among the proposed project activities?
Yes
No
To what extent?
(45 CFR 155.8(c)(4)(i))
C. Are the estimated costs reasonable in relation to anticipated results?
Yes
No
Comment:
(45 CFR 100a.26(b)(5))
OE FORM 1321-3, 2/77
45
APPLICATION NUMBER
APPLICATION TECHNICAL REVIEW FORM - UPWARD BOUND
GENERAL SUMMARY STATEMENT:
STRENGTHS:
WEAKNESSES:
OE FORM 1321-3, 2/77
46
NOTICE OF INTENT FORM
To apply for federal funds for programs covered by the Office of Management
and Budget (OMB)
Circular A-95
To be filed at least 30 days prior to submission to federal agency
APPLICANT
Name
Address
Telephone Number
Name and title of person to receive correspondence
Name and title of contact person (if different)
PROJECT
Title
Location of project/impact area
Starting date and project duration
FUNDING AGENCY
Name
Federal Catalogue Program Number
Estimated date of submission to federal agency
FUNDING REQUEST
Federal
State
Local
Other
Total
PROJECT SUMMARY
Please include at a minimum: narrative description of project, budget and/or cost
estimate, and locus map (where applicable). The narrative might include a state-
ment of need, program objectives, coordination with other agencies, citizen in-
volvement, past performance (in the case of continuing programs), and environ-
mental assessment where appropriate. (Use additional sheets where necessary.)
Sent to OSP and
on
(Name of Regional Clearinghouse)
(Date)
Prepared by
(Type or Print Name)
(Signature)
NOTE
Send white copy to State Clearinghouse, Office of State Planning, Room 2101,
One Ashburton Place, Boston, MA 02108. (Phone (617) 727-4154). Send yellow
copy to Regional Clearinghouse, retain pink copy for your records.
To be filled in by State Clearinghouse SCI
47
SUPPLEMENTARY BIBLIOGRAPHY
Churchman, C. West. The Systems Approach. NY: Dell Publishing Co., 1968. In-
troductory work on systems analysis; easy to understand.
Dermer, Joseph. How to Write Successful Foundation Presentations. Public Serv-
ice Materials Center, 104 East 40th St., New York, NY 10016.
Donahue, Daniel F., and Levitan, Donald. An Introduction to the OMB Catalog.
Government Research Publications, Box 122, Newton Centre, MA 02159. How
to read, understand and use the "Wish-Book."
The Foundation Center, 100 Connecticut Ave., NW, Washington, DC 20036.
Located throughout the U.S. with over thirty "branch" libraries, other libraries,
and depositories with space devoted to foundation grantsmanship. Contact them
for the location nearest you.
The Foundation Directory. New York: Columbia University Press, 136 South
Broadway, Irvington-on-Hudson, NY 10533. Published yearly; lists foundations,
officers, fields of interest, income, and grant totals. There is also a quarterly up-
date titled Foundation Center Information Quarterly and screened computer
print-outs of specific grant awards.
The Foundation News. The Council on Foundations, PO Box 763, Old Chelsea
Station, New York, NY 10011. Bimonthly; articles of interest on foundations
and grants.
Foundation Reporter. Taft Information System, Taft Products, Suite 600, 1000
Vermont Avenue, NW, Washington, DC 20005. Guide to philanthropic organiza-
tions and their activities.
Giving USA. New York: American Association of Fund Raising Counsel, Inc.,
500 Fifth Avenue, NY 10036. Annual; assistance in applying for grants. Also
publishes a monthly bulletin reporting on selected recent grants, plus news on
grantsmanship.
The Grantsmanship Center News. The Grantsmanship Center, 7815 South Ver-
mont Ave., Los Angeles, CA 90044. Published eight times yearly; articles and
sources of both private and public funding sources.
Grisham, Roy D. Jr., and McConalughty, Paul D., editors. The Encyclopedia of
U.S. Government Benefits, 2nd ed. New York, NY: Avon Books, 1975.
Hall, Mary. Developing Skills in Proposal Writing; Continuing Education Publica-
tions, Waldo 100, Corvallis, OR 97331.
48
Hook, Lucile, and Gaver, Mary Virginia. The Research Paper: Gathering Library
Material, Organizing and Preparing the Manuscript, 4th ed. Englewood Cliffs,
NJ: Prentice-Hall, 1969.
Kotler, Philip. Marketing for Non-Profit Organizations. Prentice-Hall, New Jer-
sey, 1975.
La Case and Belanger. How to Write Effectively About Almost Anything. New
York: Scribners.
Levitan, Don, Informational Sources for Local Governmental Officials and Ad-
ministrators: Selected Periodicals and Reference Material, Council of Planning
Librarians, Monticello, IL, 1974.
Levitan, Donald, and Donahue, Daniel F. Introduction to the Commerce Busi-
ness Daily, Government Research Publications, Box 122, Newton Centre, MA
02139. A basic guide for grant writers and consultants.
Levitan, Donald, and Donahue, Daniel F. The Grantsmanship Bibliography.
Government Research Publications, Box 122, Newton, MA 02159, 1978. A com-
prehensive bibliography on grantsmanship and fund raising, both governmental
and philanthropic.
Mayer, Robert F. Preparing Instructional Objectives. Fearon Publications, c/o
Lear Siegler, Inc., 6 Davis Drive, Belmont, CA 94002.
Polk Directory, The Urban Information System. R.L. Polk and Co., Urban Statis-
tical Division, Detroit, MI. Annual listing (a city directory) of populations by
place of residence covering almost all municipalities in the U.S.
Shkurkin, Sergei, By Hook or by Crook, 6025 Rose Arbor, San Pablo, CA 94806.
Grantsmanship for alternative education; has some interesting insight for all
grantwriters.
Strunk, William, Jr., White, E.B. The Elements of Style, 2nd ed. NY: MacMil-
lan, 1972.
Telephone Directory. Telephone directories are an excellent source of informa-
tion. It is recommended that each municipality have a telephone directory for
their state capital, the directories of New York City, Washington, DC, and Chi-
cago, IL.
Urban Affairs Reporter. Commerce Clearing House, Inc., 4025 W. Peterson, Chi-
cago, IL 60046. Biweekly monitoring and analysis of federal and local matters.
Warren, Ronald L. Studying Your Community, New York: The Free Press. An
excellent resource book to aid in community analysis.
49
Weaver, Warren. U.S. Philanthropic Foundations: Their History, Structure, Man-
agement and Records. New York: Harper and Row, 1967. Good background
material for all who seek succor from philanthropy.
Weiss, Carol. Evaluating Action Programs. New York: Allyn-Bacon, 1972. Read
anything by Ms. Weiss.
Weld, Walter E. How to Chart. Norwood, MA: Codex Book Co.
Zip Code Directory. The proper Zip Code will help speed your mail. Consult your
local U.S. Post Office.
U.S. Government Publications
Coordinating Federal Assistance in the Community - Use of Selected Mechan-
isms for Planning and Coordinating Federal Programs. Community Development
Evaluations Series No. 8, 1972, U.S. Department of Housing and Urban Develop-
ment. Though prepared for the model city program, this publication is quite help-
ful for all communities.
Congressional Record. U.S. Government Printing Office, Washington, DC 20402.
Published each day that one or both houses of Congress are in session. Lists all
happenings.
Digest of Public General Bills and Selected Resolutions. Legislative Reference
Service, U.S. Library of Congress, Washington, DC. Published once during each
session of Congress.
The Federal Grant Process. U.S. Department of Housing and Urban Development,
U.S. Government Printing Office, Washington, DC. Produced for model cities;
worth reading. Community Development Evaluation Series No. 10, 1972.
A Prepared Guide to Grants and Contracts With Certain Non-Profit Organizations.
Federal Register, Part IV, April 26, 1977. U.S. Government Printing Office,
Washington, DC 20402.
Internal Revenue Service. Within recent years all private foundations have been
required to file with IRS a form 990. Two subcategories of this form are of inter-
est to grantsmanship; 990 AR and 990 PF. 990 AR contains the annual report
and is (supposedly) identical with the foundation's annual report. These reports
may be obtained at no charge by contacting the foundation. 990 PF contains the
50
Information Return for exempt organizations, and indicates how much money
has been distributed, and to whom. A copy of either form in any foundation in
the United States may be obtained for a fee by contacting: Internal Revenue Serv-
ice, U.S. Department of the Treasury, Middle-Atlantic Service Center, 11601
Roosevelt Boulevard, Philadelphia, PA 19155.
Maps: Coastal, Inland Waterways, and topographical Maps, U.S. Department of
the Interior and Coast and Geodetic Survey, U.S. Department of Commerce,
Washington, DC. Maps covering the United States, Puerto Rico, Guam, American
Samoa, and the Virgin Islands done on a quadrant basis: parallels of latitude and
meridians of longitude.
Presidential Documents, Office of Federal Register, National Archives and Re-
cords Service, General Services Administration, Washington, DC 20408. Weekly
compilation.
Social Indicators 1977. Office of Management and Budget, Executive Office of
the President, U.S. Government Printing Office, Washington, DC 20402. Selected
statistics on social conditions and trends in the United States.
Statistical Abstract of the United States. U.S. Bureau of the Census, U.S. Govern-
ment Printing Office, Washington, DC 20402. Yearly; compendium of statistics
of the U.S.
United States Government Organization Manual, U.S. Government Printing Of-
fice, Washington, DC 20402. Listing and description of federal agencies and de-
partments, including legislative and judicial branches; annual.
51
DIRECTORY
Census, U.S. Bureau of:
Subscribers Services Section, Publications
Washington, DC 20233
Data User Services
User Training Division Branch
Boston, MA 02116
Telephone (617) 223-0668
Cohen, Judith W.
Data User Officer
Data User Services
User Training Division Branch
Boston, MA 02116
Telephone (617) 223-0668
Commerce and Development, Massachusetts Department of
100 Cambridge Street
Boston, MA 02202
Telephone (617) 727-3232
Danforth, Kirk
Office of State Planning
One Ashburton Place
Boston, MA 02108
Telephone (617) 727-5066
Federal Contract Compliance, Office of
U.S. Department of Labor
J.F.K. Building
Boston, MA 02203
Telephone (617) 233-5272
Federal Information Center,
Boston, MA
Telephone (617) 223-7121
Federal Regional Council of New England
Room E-431
J.F.K. Building
Boston, MA 02203
Hotline Telephone No. (617) 223-6646
52
Federal State Resources
(State Central Information Reception Agency)
540 State House
Boston, MA 02233
Telephone (617) 727-4178
Government Bookstore, Boston, MA
Room G-25
J.F.K. Building
Boston, MA 02203
Telephone (617) 223-6071
Health, Education, and Welfare, U.S. Department of
Regional Office
J.F.K. Building
Boston, MA 02203
Telephone (617) 223-7205
Labor, U.S. Department of
Labor Statistics Bureau
J.F.K. Building
Boston, MA 02203
Telephone (617) 223-6761
Local Assistance, Massachusetts Office of
One Ashburton Place
Room 1619
Boston, MA 02108
Telephone: Local Liaison Section
(For assistance, information, and referral services to local
officials on community development problems)
(617) 727-6964
Toll Free 1-800-392-6445
McDowell, George
Extension Economist
312 Draper Hall
University of Massachusetts,
Amherst, MA 01003
Telephone (413) 545-2496
National Technical Information Service
Springfield, VA 22151
53
NLC - US Conference of Mayors
1612 King Street, N.W.
Washington, DC 20006
Public Documents Distribution Center
5801 Tabor Avenue
Philadelphia, PA 19120
State Planning, Office of
One Ashburton Place
Boston, MA 02108
Telephone (617) 727-5066
Superintendent of Documents
U.S. Government Printing Office
Washington, DC 20402
Treasury, U.S. Department of
Bureau of Government Financial Operations
Division of Government Accounts and Reports
Washington, DC 20226
4
8
10
Massachusetts Regional
Planning Districts
54
Massachusetts Regional
Planning Agencies
1. Berkshire County Regional Planning Commission
10 Fenn Street
Pittsfield, Massachusetts 01201
Karl Hekler, Director
(413) 442-1521
2. Frankling County Department of Planning
Court House
Greenfield, Massachusetts 01301
Fredrick Muehl, Planning Director
(413) 774-3167
3. Lower Pioneer Valley Regional Planning Commission
26 Central Street
West Springfield, Massachusetts 01089
K.M. Munnich, Planning Director
(413) 739-5383
4. Montachusetts Regional Planning Commission
150 Main Street
Fitchburg, Massachusetts 01420
Mohammed Khan, Planning Director
(617) 345-7376
5. Central Massachusetts Regional Planning Commission
71 Elm Street
Worcester, Massachusetts 01609
David Kellogg, Planning Director
(617) 756-7717
6. Northern Middlesex Area Commission
144 Merrimack Street
Lowell, Massachusetts 01852
Joseph P. Hannon, Director
(617) 454-8021
7. Merrimack Valley Regional Planning Commission
87 Winter Street
Haverhill, Massachusetts 01830
Richard M. Gladstone, Executive Director
(617) 374-0519
55
8. Metropolitan Area Planning Council
44 School Street
Boston, Massachusetts 02108
Carla B. Johnston, Executive Director
(617) 523-2454
9. Old Colony Planning Council
232 Main Street
Brockton, Massachusetts 02401
Daniel M. Crane, Planning Director
(617) 583-1833
10. Southeastern Regional Planning
and Economic Development Commission
7 Barnabas Road
Marion, Massachusetts 02738
William D. Toole, Executive Director
(617) 823-6338
11. Cape Code Planning and Economic Development Commission
First District Court House
Main Street
Barnstable, Massachusetts 02630
(617) 362-2511
12. Martha's Vineyard Planning
and Economic Development Commission
Box 1447
Oak Bluffs, Massachusetts 02557
Ronald Mechur, Executive Director
(617) 693-3453
13. Nantucket Planning and Economic Development Commission
Broad Street
Nantucket, Massachusetts 02554
William Klein, Executive Director
(617) 228-9625
56
YOUR COOPERATIVE EXTENSION SERVICE
The Massachusetts Cooperative Extension Service, financed through federal, state
and county sources, provides educational leadership in agriculture and natural re-
sources, home economics, 4-H and youth, and community resource development.
A basic goal of the Cooperative Extension Service is to help people identify
and solve their problems through the practical application of research findings. To
this end, information is made available through varying media such as conferences,
workshops, demonstrations, and publications; the press, radio and television.
The University of Massachusetts, a land-grant institution, conducts research in
many fields. Extension faculty and specialists at the University, working with
county and regional Extension staff, act as information resources and as cata-
lysts to assist individuals, families, and communities in making important deci-
sions.
This publication is one of many developed to serve residents of the Common-
wealth.
COOPERATIVE EXTENSION SERVICE CONTACTS
State Cooperative Extension
Dukes County
Administration:
Oak Bluffs 02557
Stockbridge Hall
Essex County
University of Massachusetts,
Essex Agricultural and
Amherst 01003
Technical Institute
Hathorne 01937
State Specialists in various arms of the
Franklin County
College of Food and Natural Resources,
Court House, Greenfield 01301
University of Massachusetts:
Hampden County
1499 Memorial Avenue
Amherst 01003
West Springfield 01089
Suburban Experiment Station
Hampshire County
Waltham 02154
33 King Street, Northampton 01060
Middlesex County
Cranberry Station
105 Everett Street, Concord 01742
East Wareham 02538
Norfolk County
Norfolk County Agricultural
County and Regional Staff:
High School
460 Main Street, Walpole 02081
Barnstable County
Plymouth County
Deeds & Probate Building,
High Street, Hanson 02341
Barnstable 02630
Suffolk County
Berkshire County
University of Massachusetts
46 Summer Street, Pittsfield 02101
Downtown Center
Bristol County
100 Arlington Street, Boston 02125
Bristol County Agricultural High School
Worcester County
135 Center Street, Segreganset 02773
36 Harvard Street, Worcester 01608