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HomeMy WebLinkAboutFunding Municipal Projects Through Grants and Loans Oct 05 2001Funding Municipal Projects Through Grants and Loans Presented at the Texas Municipal League's Grants Workshop Austin, Texas October 5, 2001 State Grants Team Office of the Governor Fiscal Year 2002 Funding Municipal Projects Through Grants and Loans 2002 Identifying Appropriate Funding Overview This section of the manual defines categories of funding, explains the differences between private and public funding, and provides some tips on how to locate the best funding source for your project. Included is general information for locating funding and funding resources , including those available in hard copy and on the Internet. Definitions Federal Formula Grants and Block Grants Formula grants are distributed to state, tribal, territorial, or other governing entities-for redistribution to other organizations. The activities for which formula grant moneys can be used are generally very strictly defined. For example, the Special Supplemental Food Program for Women, Infants, and Children is a formula grant program under which state health departments, Indian tribes, and territorial health departments receive money from the federal government to buy food and administer programs for low-income pregnant and postpartum women, their infants and children. State health departments then redistribute this money to local public or nonprofit agencies which then administer the programs. Another type of financial assistance to governmental entities, using statutory formulas, yet giving the recipient some latitude as to how funding may be spent, is the block grant. One of the most recognizable examples of a block grant is the Community Development Block Grant/ State's Program, through which each state develops its own program and funding priorities. Discretionary Funds Unlike formula and block grants, federal or state discretionary funding is distributed to recipients on a competitive basis. Discretionary funding is the focus of this manual; it includes all programs which issue RFPs, accept applications, and award grants to those organizations receiving the highest scores on their proposals. Federal funding which is discretionary may be referred to as "cooperative agreement" funding , a "project grant,'' a "demonstration project grant,'' or "direct payments for specified use." While these discretionary funding categories may be slightly different from one another in the degree of latitude allowed on grantee expenditures, they are all competitive grant programs. As you research federal and state grants, you will have to decide which type of discretionary funding best suits the needs of your program. Exactly how you evaluate the appropriateness of a particular grant program for your program is discussed in detail on page 18 . State Grants Team Office of the Governor Page2 Funding Municipal Projects Through Grants and Loans 2002 Here is how the Catalog of Federal Assistance defines the various categories of financial and other assistance relevant to municipalities (those areas not related to our discussion have been omitted): (A) Fonnula Grants (172 Programs) Allocations of money to States or their subdivisions in accordance with distribution fonnulas prescribed by law or administrative regulation, for activities of a continuing nature not confined to a specific project. (8) Project Grants (849 Programs) The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants. (C} Direct Payments for Specified Use (132 Programs) Financial assistance from the Federal government provided directly to individuals, private finns, and other private institutions to encourage or subsidize a particular activity by conditioning the receipt of the assistance on a particular perfonnance by the recipient. This does not include solicited contracts for the procurement of goods and services for the Federal government. (D) Direct Payments with Unrestricted Use (37 Programs) Financial assistance from the Federal government provided directly to beneficiaries who satisfy Federal eligibility requirements with no restrictions being imposed on the recipient as to how the money is spent. Included are payments under retirement, pension, and compensatory programs. (E) Direct Loans (44 Programs) Financial assistance provided through the lending of Federal monies for a specific period of time, with a reasonable expectation of repayment. Such loans may or may not require the payment of interest. (H) Sale. Exchange. or Donation of Property and Goods (23 Programs) Programs which provide for the sale, exchange, or donation of Federal real property, personal property, commodities, and other goods including land, buildings, equipment, food and drugs. This does not include the loan of, use of, or access to Federal facilities or property. (I) Use of Property, Facilities. and Equipment (17 Programs) Programs which provide for the loan of, use of, or access to Federal facilities or property wherein the federally owned facilities or property do not remain in the possession of the recipient of the assistance. (J) Provision of Specialized Services (93 Programs) Programs which provide Federal personnel directly to perfonn certain tasks for the benefit of communities or individuals. These services n:iay be perfonned in conjunction with nonfederal personnel, but they involve more than consultation, advice, or counseling. (K) Advisory Services and Counseling (76 Programs) Programs which provide Federal specialists to consult, advise, or counsel communities or individuals to include conferences, workshops, or personal contacts. This may involve the use of published infonnation, but only in a secondary capacity. (L) Dissemination of Technical lnfonnation (92 Programs) Programs which provide for the publication and distribution of infonnation or data of a specialized or technical nature frequently through clearinghouses or libraries. This does not include conventional public infonnation services designed for general public consumption . State Grants Team Office of the Governor Page3 Funding Municipal Projects Through Grants and Loans 2002 Researching Funding Sources What is an Appropriate Funding Source for Your Program? It is at this point in your research process that you realize the value of a well-developed program plan. Without it, you will not be able to accurately pinpoint funding sources which are appropriate for your program. Consider the following criteria to determine which funders are appropriate for your project: • Project cash requirements vs. average award of the funder • Matching requirements (cash or in-kind) • Eligibility requirements • Reporting requirements (fiscal and evaluation reports) • Is your proposal competitive Federal Funding The first step in the identification of federal funds is to access the Catalogue of Federal Domestic Assistance (CFDA), available through the Superintendent of Documents, U.S. Government Printing Office , or online at http://www.cfda.gov. The CFDA is a federal document, published every June and updated in December, which lists all federal programs providing funding or technical assistance. It's important to remember that locating a program in the CFDA indicates only that the program is a mandated federal program. Inclusion in the CFDA does not mean that the program is seeking applications now, or even that the program has an appropriation from Congress this year. Still, the CFDA is an invaluable when searching for federal programs to support your project. Conduct a keyword search at http://www.cfda.gov; this will yield many program descriptions. Read each description carefully to find those which seem appropriate for your project. After culling those programs which are possible sources of funding, research them further on the website of the agency administering the program, identify former grantees and speak to them, and contact the program officer with any clarifying questions. (If you need to research other federal documents, go to GPO Access: Online Databases Through A Federal Depository Library Gateway: www.access.gpo.gov/su_docs/aces/aaces004.html At this point you should have enough information to determine which the programs are indeed appropriate funders. Now you will need to track them to make sure you are notified when a "request for proposals" (RFP) is issued for the program(s) you've identified. You can do this several ways: State Grants Team Office of the Governor Page4 Funding Municipal Projects Through Grants and Loans 2002 • Contact the program officer and request to be added to their mailing list or e-mail listserve + Get on the mailing lists of free grant alerts offered by state or local agencies (check with your legislator, Governor's office , or the agency delivering services in your issue area). + Regularly read online grant alerts e.g., TGCI GrantSource (http://www.tgci.comD, or Texas Department of Health Funding Information Center (http://www. tdh.state. tx. us/fic/fic.htm). • Be prepared to access information from the Federal Register, once the RFP is issued. Federal Register is online at http://www.access.gpo.gov/su_docs/aceslaces140.html To get a head start on your application, ask the program officer how much the program priorities are changing from last year's priorities. In some cases they will honestly tell you that the priorities will not change or that they will change very little. In that case, get a copy of the application packet from last year or the RFP from last year's Federal Register and get a head start on developing your proposal! Following are web excerpts from the Catalog of Federal Domestic Assistance, demonstrating how to conduct research on federal funding. State Grants Team Office of the Governor Page5 Funding Munici p al Projects Through Grants and Loans . -~ ~ -... ,. C ---. ----_..... -The Catalog of Federal Oonestic Assist&11ce e.1tures Ca talog Highlights Types of Assistance Applying for Federal Assistance Toe 10% Proaram Us! All Programs Listed Numerically ~Form ula Report nilt11rnll I 111ks -llimQy -Federal Commons -FeciBtzOpps -Federal Asset Sales ~""~ .... - CW"""' of Go ... --Po/ioy O'I} Cl'ITce of Aoquisition Poloy l"lV) MQ I E!i:filY I E eedback I Aboy!The CED.I\ website I ~ ltP. Cat ,1loy of Fe1Jernl Domestic Ass1stanr.e 1CFOAJ is a government-wide compendium of Federal programs, projects , seivices, and activities which provide assistance or benefits to the American public. II contains financial and nonftnanclal assistance programs administered lly departments and establishments of!he Federa l government. • di dlU\J ( 0111 l'llt ~ Gow--n Sy.to.,.. Dvision pws) 2002 State Grants Team Office of the Governor Page6 Funding Municipal Projects Through Grants and Loans C ---------. ·-----.-. -~-.. The Catelog ot Federlll Danes& AHistencc State Grants Team Office of the Governor Home I FAQ I Privacy I Feedback I About The CFDAWeb Site '1e,..,./ Se-~ Adlltini>tr.ltion ~ olGo~ _,,,,, ()f'".,. of Acqtislion l'oolay ~ Go_nt_ lt'll>rntlon Symu O¥islM "'-'SJ F«!troJ O....tic A~ ~V stMf 2002 Page7 Funding Municipal Projects Through Grants and Loans C ---- -... ---. ·--- -.. ....-. -_.... --The Catalog at Federal Dcmestic Asalstertce Home I FAQ I Privacv I Feedback I About The CFDA Web Site ·ea r c h Hes urts Ooctments 1 to 10 at 64 matching the query• eco111111.-: dlM!lopment •. New que r.y 1. 11.302 -Economic Deyelopment Su&oort for Planning Organizations Abstmct: Home . FAQ. Privacy . Printer Friendly Version of 11 .E. 11.3J2 Economic De't'elopment_Support for Planning Organizations SEC .203 Grants for Planning and Administrative Expenses) FEDERAL. AGENCY : ECONOMIC DEVELOPMENT ADMINISTRATION , DEPARTMENT OF COMMERCE AUTHORIZATION : Public Works and Economic Development A httpl/IWffl cfda gow'staticlp11J02 htm size 10,231 bytes -f/1f:f01 5:36 :52 PM GMT ~li'~jFu ll 2 . 11.300 -Grnnts for Public Worlcs and Economic Development Abstmct: Home . FAQ . Privacy . Printer Friendly Version of 11 .30(). 11.Dl Grants for Public Works and r-l""'n•1n" nr·u.1.r 2002 State Grants Team Office of the Governor Page8 Funding Municipal Projects Through Grants and Loans 11.302 Economic Oevelopment_Support for Planning Organizations (SEC.203 Grants for Plannmg and Administrative Expenses) FEDERAL AGENCY: ECONOMIC DEVELOPMENT ADMINISTRATION , DEPARTMENT OF COMMERCE AUTHORIZATION: 2002 Public Works and Economic Development Ad of 1965, Public Law 105-393, as amended , 42 U .S .C . 3143 . OBJECTIVES: To help States, sub-States planning units, Indian Tribes and/or local governments strengthen economic development planning capability and formulate and establish comprehensive economic development, process and strategies designed to reduce unemployment and increase incomes. TYPES OF ASSISTANCE: Project Grants. USES AND USE RESTRICTIONS: Grants are used to help the cost of economic development planning and administrative expenses of organizations that carry out the planning. ELIGIBILITY REQUIREMENTS: Applicant Eligibility: Eligible recipients are Economic Development District; Indians tribes ; States; cities other political subdivision of States; a consortium of institutions of higher education; public or private nonprofit organizations, or associations acting in cooperation with officials of a political subdivision of a State. Beneficiary Eligibility: The unemployed and low-income residents of eligible areas. Credentials/Documentation: None. Costs will be determined in accordance will OMB Circular No. A-87 for State and Local government. · APPLICATION AND AWARD PROCESS: Preapplication Coordination: Submit a letter of interest, a statement of distress , and a proposed work program not to exceed ten pages. Assistance in the preparation of a formal application may be requested from EDA Staff. The standard application form SF-424 as furnished by EDA and required by 15 CFR, Part 24, "Grants and Cooperation Agreements with State and Local Governments, must be used for this program. This program is excluded from coverage under E.O. 12372. Application Procedure: Following invitation by the Agency , submit a formal application to the appropriate EDA Regional office and a copy to the EDA Economic Development Representative for the State. Applications must be cleared by the State's Intergovernmental Review Process as authorized under Executive Order 12372. Award Procedure: The EDA Assistant Secretary approves initial grant awards to District organizations and Native Americans. EDA Regional Directors approve all other grants as well as State Grants Team Office of the Governor Page9 Funding Municipal Projects Through Grants and Loans amendments to previously approved grants. Deadlines: None. Range of ApprovaVDisapproval Time: From 45 to 60 Days. Appeals: Not applicable. 2002 Renewals: Grants are normally made for a 12-month period and may be renewable if program performance is satisfactory, the area continues to exhibit substantial economic distress, and the proposed work program is acceptable. Priority funding consideration is given to previously funded partnership grants to Economic Development Districts, Indian Tribes and other eligible area . Short term planning grants to States, sub-State planning units and local government may be funded for up to three consecutive awards. ASSISTANCE CONSIDERATIONS: Formula and Matching Requirements: This program has no statutory formula and no legal or administrative regulations prescribe factors to be used to allocate funds among eligible applicants. The Federal share may be 50 percent of the total project cost and the required local share must be obtained from nonfederal sources in the form of cash and/or in-kind contributions. An eligible applicant may request a supplementary grant in excess of 50 percent if it meets the criteria established in 13 CFR 306.3(b). The Secretary may authorize up to 100 percent funding for Indian Tribes. Length and Time Phasing of Assistance: Generally 12 months. Funds are released in two payments over the course of the grant period. POST ASSISTANCE REQUIREMENTS: Reports: Semi-annual financial reports; progress reports 5 months and 1 O months after grant start date; annual update or report of the Comprehensive Economic Development Strategy (CEDS) is due on June 30 of every year or as determined by the Regional Office. Audits: In accordance with the provisions of OMB Circular No. A-133 (Revised, June 24, 1997), recipients that are States, Local Governments, Non-profrt Organizations and Institutions of Higher Leaming shall be subject to the audit requirements contained in the Single Audit Act Amendments of 1996 (31 U .S.C . 7501-7507). Commercial organizations shall be subject to the audit requirements as stipulated in the award document. States, local governments and non- profit governments that expend $300,000 or more in a year in Federal awards shall have a single or program-specific audit conducted for that year. Records: Financial records must be maintained until 3 years after the completion of the grant project or submission of the final financial report, whichever is later, and be readily available for inspection and audit. All financial and programmatic records, supporting documents, statistical reports , and other records of grantees or sub grantees are required to be maintained by the terms of the agreement. FINANCIAL INFORMATION: Account Identification: 13-2050-0-1-452. Obligations: (Grants) FY 00 $23,899,000; FY 01 est $23 ,947,200; and FY 02 est $24,000,000 . Range and Average of Financial Assistance: $12,000 to $175,000 ; $56 ,000. PROGAM ACCOMPLISHMENTS: State Grants Team Office of the Governor Page 10 Funding Municipal Projects Through Grants and Loans 2002 In fiscal 2000, 446 grants were awarded to Economic Development Districts, Indian Tribes, States, urban areas and sub-State political subdivisions. These entities carried out a variety of planning and related efforts aimed at generating jobs and income for their areas and for unemployed/underemployed residents . REGULATIONS, GUIDELINES, AND LITERATURE: 13 CFR 306 Planning Assistance. INFORMATION CONTACTS: Regional or Local Office: Refer to Appendix IV of the Catalog for EDA Regional Office addresses. Headquarters Office: Luis F . Bueso, Director, Planning and Development Assistance Division, Economic Development Administration, Room H7317, Herbert C. Hoover Building, Washington, DC 20230. Telephone: (202) 482-3027. Fax: (202) 482-0466. Web Site Address: http://www .doc.gov/eda/ RELATED PROGRAMS: None. EXAMPLES OF FUNDED PROJECTS: Projects are for the purpose of supporting staff to undertake comprehensive economic development strategies and planning by Economic Development Districts, Indian tribes, States, sub-States areas, cities and counties. CRITERIA FOR SELECTING PROPOSALS: Quality of proposed work program, level of distress, evidence that EDA funding can contribute significantly to applicant's economic development efforts. State Grants Team Office of the Governor Page 11 Funding Municipal Projects Through Grants and Loans 2002 State Funding Much of state funding is originally federal funding; when you are doing your CFDA search and you come up with "formula" funding programs, remember that while you may not be able to directly apply for that mo11ey from the federal government, it may become available to you from a state agency. State programs are established by state law and funded from money appropriated by the Texas legislature as part of the state budget. Each program is administered by a state agency or division within an agency. Availability of money is publicized in the Texas Register, weekly publication of the Office of the Secretary of State (http://www.sos.state.tx.us/). You can also find valuable information about state funding opportunities on the State Grants Team internet-based grants directory (http://www.governor.state.tx.us/Grants/index.html) and by contacting agencies that have concerns similar to your organization's, and requesting information or to be put on their mailing list. Like federal programs, state grant, loan, and donation programs may supply funding for several years, although you usually are required to reapply for continuation funding annually. They also have the benefit of being specific to regions of Texas. This means that you will be competing with a smaller group of applicants, as eligibility is usually limited to the state. Although state programs require a great deal of work and preparation, the application process is generally simpler than that for federal programs. In addition, it is often easier to solve problems that you may encounter, as assistance and information are usually available to the grantee through regional offices. In general, state awards are smaller than federal awards. Other difficulties you may encounter include the following: the timing or announcements of state fund availability may leave little time to prepare an application; the competitions for funding are usually extremely competitive; state funding can be changeable because it is subject to both state and federal appropriations and priorities. Once you have been awarded state money there is a considerable amount of administrative detail and reporting required. Most state agencies are helpful and will be happy to assist you. Each state agency is responsible for the entire "life cycle" of its program in the same manner as federal agencies . During the time you are receiving state funds, you will be in an active partnership with them. On the following pages are images of several Texas state and other agency websites which will be useful as you seek to identify appropriate state funding for your project. State Grants Team Office of the Governor Page 12 Funding Municipal Projects Through Grants and Loans 2002 ~I l:f!!Q. l Quick Link: Select an item below Business Information Communities ~:·:"k,r; :r. Te"~;:.!'-~~~$.. C.J!'itt~. c.·;;r:r~.s . <,r,.:c.'";mi D:r!ri-·.ts Criminal Justice & Law l"f:J..)~, t1•!fjt ;.>'! ~A1J::::i~: J:,:·~tii,.~~. ;,.c:e:,;;;;. :~:;;;:-:;r Travel. Tourism & Recreation .. ,.., :"l~;::=..:.;21 i.'.°.:·:,.:l!:-:·f:r . ~~;~. <..t~t: f~!'k!. :c../,;;~ "T .. :.o.!!"S , 0.J!:~k··:•; -~11".h·e~·Y.Y;; State Wide Search ~ State Grants Team Office of the Governor Employment W,,)11..:l~c~ :t~ f~.<i5S , ,kl• ltq:~;. ~~~ .;<,~ '.)3.;.;:~i::T.k.,~·~ Education 8i1;r,;Jt_~.i:: Fv-rsc:.::t'f:'!, U!!i"ct:'!"i:i~1:. !<.-:~. c ... -r,r:::1 ~~.; c.~..;:t;:~s Texmi Electronic Services H~··h3~:ti!i ~·t ~€::":":!~· <iid :::!t:~ .i.l.!:r·f !".·~£: an.j a~ i:-1di::::r.ior: (.·f ~·~·1 n:r:r. nf~:-.~ct:~:'l$. Resources for Citizens Visitors Business Government Health & Human Services '::,.y;.::;: D...-;ie1.:t :"r.,._,..4 \ .. ~ :.c...-a;h. Pi:"t:"I ;.°,"::i:r:\·~":.: Texas Information H:.s!'..r)'. f\•::t-:~!'-:: .•. ~~,·!'!::~:1 ;;:nrf:-r , f.v..::r:r s. !lkr~ Technology 'i~~i-ZDr;f;, a~ro:i ::; ;j.,;)J~111:;i:;,;., <l.JJ"J::.:wl·! J::::Jl e~:c ?!.::r:. 3t::!1:t1:1;:;., r;:~ ''.\" State Government <...la-::>..: ~·,t:-:o:es . <...12r.:n!. 8ectt ~ Ofr:·::c::i:. l'<:.·~·~r.io~. li19"t.1.:!1';ft ~4 ~ TexasOnljne Portal Page 13 Funding Municipal Projects Through Grants and Loans Se.arch I Privacy Policy T~~of Econormc DeVelopment Busittt~~~ Tourism Divi s ion promote s Texa s as a premiere travel Det'l1opmt?lf de sti nation to domestic and international markets. i-rui~i -AdVerlising L ,i;_ct,ntimf -111arkeling and Sal es Rest!arr.'h -Tourism Development ./(lb TroD'itng ! -Tra ve l Research ~cimh11?svme11i : f·'i!kJJ-.eial . b1ccT11iltt.."f ! 11>E I> £JRd T~.o.' C.'Pltflftllllifi~ 41Untl llif,1001 in .'i(Jn l1it!JttJ. C i Te\l1s A1111wl Trr,;,k & h1w:.1t111m1 Mi:..'WJ111; .Heuw 2/J(Jf l'l>ocr Us , Shm•p , Help , Pnu Room , C•reo rs • Bu siness Resources , COITITaoity RU<>Urc u · TOED Websites Stiite of Tuu Homep•ge · Sl ilte 'Mcie S"""'h • Copyrigf't!Privocy Policy , Cofll>•ct will! TOJQn s , Dep•rtment Rulu State Grants Team Office of the Governor 2002 Page 14 Funding Municipal Projects Through Grants and Loans · • : Eligibility requirements : IL _, G rtJ ' OUJJ ovt. ;:: State Grants Team Office of the Governor 2002 Page 15 Funding Municipal Projects Through Grants and Loans 2002 338 records were found . Results displayed alphabetically by organization Program: 9-1-1 Training/Public Education Organization: Advisory Commission on State Emergency Communications Purpose: To ensure that all citizens , regardless of disability, have access to 9-1-1, and to educate the public on the proper use of 9-1-1 . Uri: http://www. lbb . state. be . us/lbb/members/reports/fiscal/fsgg/FS4 77. htm Program: 9-1-1 Program Services Organization: Advisory Commission on State Emergency Communications Purpose: To provide fiscally responsible, standardized and high-quality 9-1-1 emergency communications throughout the state. Uri: b!tP./!w.w.w.:.!.~.!?.,.!?.t~t~J~,.!:!§!.!.~.P.!m.~mP..~r.§1.r.~P.Q.!!§l.fi§g.~y~,qg!.f.§.4.?..7.:.btm Program: Community and Economic Development Program Organization: Alamo Area Council of Governments Purpose: To plan, coordinate and develop programs that improve the area's economic conditions, create employment opportunities, increase the standard of living and improve the physical and social environment. Uri: .O.t!P.J!.w.w.·~·(~.~9.9.9:.Q.§tJ~,.!:!§ Program: Alamo Area Air Coalition Ozone Action Day Fax Program Organization: Alamo Area Council of Governments Purpose: to alert public agencies, businesses, schools and the media of potential high ozone days so that they initiate Ozone Action Day activities to prevent high levels of ozone. Uri: http://www. a a cog. dst. be. us/naturalres%20-%20commute%20solns . htm Program: Planners Book Service Organization : American Planning Association Purpose: To provide a source for books, reports , audio and video tapes, computer software, and curricula on planning and related subjects . Uri: http://www.planning .org/bookstore/default. asp Program: APA Online Consultants Directory Organization: American Planning Association Purpose: To provide on-line access to a searchable database of planning professionals and consulting firms . Uri: http ://www. planning .orq/switchbd/directrv. htm Program: Growing Smart Project Organization : American Planning Association Purpose: To help states modernize statutes affecting planning and the management of change. Uri: http ://www. planning.orglplnginfo/GROWSMAR/gsindex. html#? Program: Clearinghouse on Rural Education and Small Schools Organization: Appalachia Educational Laboratory Purpose: To link the knowledge from research with the wisdom from practice to improve teaching and learning . U rl: b!tP./!www.,.~~.L.Qfg(_~r.i.g Program: Rural Economic Policy Program Organization: Aspen Institute Purpose: To advance rural economic development in the U.S . by helping rural decision makers better understand how local opportunities fit into the larger economy, and by working to speed the adoption of a set of public and private initiatives that will sustain rural progress. Uri: http://www.aspeninst.org!.rural/ State Grants Team Office of the Governor Page 16 Funding Municipal Projects Through Grants and Loans, 2002 Private Foundations Foundations are nonprofit organizations established to support educational, charitable, or religious activities. They are required by law to give away at least five percent of their assets each year. Their funding is generally limited to 501(c)(3) nonprofit organizations, although some do provide grants to individuals for research or scholarships and to subdivisions of government. Foundation funding generally differs from state and federal funding in the following ways: · • Research to identify appropriate foundation funding may require significantly more time to match your funding needs with their giving interests and geographic giving preferences • Foundations fund a broader range of projects than do governmental funding sources • Foundation timetables for submission vary greatly • Foundation grants generally have fewer reporting requirements than federal or state grants • Though some foundation grants can be very large, most may be small compared to federal or state grants • Foundations may be less likely to initially commit to multi-year funding than federal sources • Foundations have considerable latitude in making their funding decisions Corporate Foundations Like private foundations, corporate foundations must give away at least five percent of their assets each year and must make public their annual federal tax return. Corporate foundations generally maintain a very close relationship with their parent companies. While corporations generally award cash grants through their foundations, they may also have a corporate giving program. Unlike corporate foundations, corporate giving programs do not have a separate endowment and their activities are closely tied to current corporate profits. They are not required to disclose information about their funding activities or give away a certain amount annually. Gifts from corporate giving programs may include: donations to local fundraising effort, a donated percentage of product sales, corporate sponsorship of a special event, small general support contributions, small grants for specific projects, employee matching donations, non-monetary support in the form of donated products or equipment, and employee volunteer programs. The following are some of the differences between corporate and other funding sources: State Grants Team Office of the Governor Page 17 Funding Municip a l Projects Through Grants and Loans 2002 · • Corporations consider the interests of their shareholders, customers, and employees and their bottom line when deciding where to give support; they generally do not support controversial projects • Corporations tend to give where they are headquartered or where they have stores or plants • Corporations generally prefer to be publicly recognized for their giving; consider carefully whether you want to be aligned with a company's corporate practices and products • Corporations most often support projects providing services that benefit their employees and educational programs in fields related to their product Example Search: Grantmaker Search Results Search Criteria: Searching on Grants Database Geographic Focus = Texas OR National AND Fields of Interest = Economic development Aetna Inc. Corporate Giving Program 151 Farmington Ave., RElB Hartford, CT 06156 -3180 Telephone: (860) 273 -7580 Contact: Diana Kinosh, Corp. Public Involvement Rep. FAX: (860) 273-4764 E-mail: dkinosh@aetna.com URL: http://www.aetna.com/community/index.htm Purpose and activities: As a complement to its foundation, Aetna also makes charitable contributions to nonprofit organi zations directly. Support is given on an international basis. Fields of interest: Community development; Economic development; Education; Health care; Public affairs. Geographic focus: National; international Types of support: Employee volunteer services, General/operating support, Program-related investments/loans, Sponsorships. Limitations: Applications not accepted. Giving on an international basis in areas of company operations, particularly Hartford, CT; giving also to national organizations. No support for sacramental or theological funct i ons of religious organizations. No grants to individuals, or for capital or building campaigns, endowments, debt reduction drives, political activities, scholarshi ps, or sporting events, advertising, fundraising, dinners, or similar special events. Fields of interest: Community development; Economic development; Education; Health c are; Public affairs. Jenifer Altman Foundation P.O. Bo x 1080 State Grants Team Office of the Governor Page 18 Funding Municipal Projects Through Grants and Loans Bolinas, CA 94924 Telephone: (415) 868-0821 E-mail: altman123@aol.com URL: http://www.jaf.org Purpose and activities: Support in the following areas: environmental health (in particular, medical waste concerns in the U.S), biodiversity and sustainable human development, including grants for policy-oriented issues, citizens network for sustainable development, other grassroots efforts in the U.S., international sustainable development, travel to conferences, and publications and media projects, projects in mind-body health, at-risk children and youth, and local grants in rural west Marin County, CA. The foundation also makes a sustaining grant to Commonweal. Fields of interest: Brazil; Child development, services; Children, day care; Community development; Environment; Europe; Health care; India; International economic development; Mexico. Geographic focus: National; international Types of support: Conferences/seminars, Continuing support, General/operating support, Program development, Seed money. Limitations: Giving on a national and international basis; current funding for environmental health and other environmental projects includes Mexico and India; childrens' program grants are primarily in CA, with emphasis on the San Francisco Bay Area. Fields of interest: Brazil; Child development, services; Children, day care; Community development; Environment; Europe; Health care; India; International economic development; Mexico. Application information: Application form required. Initial approach: Letter Copies of proposal: 1 Board meeting date(s): Fall and spring Deadline(s): None ·American Express Foundation c/o American Express Co. American Express Tower, World Financial Ctr. New York, NY 10285-4803 Telephone: (212) 640-5661 URL: http://home3.americanexpress.com/corp/philanthropy/ Purpose and activities: The foundation's philanthropic activities focus on three strategic themes: community service, economic independence and cultural heritage. Fields of interest: Africa; Asia; Australia; Canada; Caribbean; Community development, neighborhood development; Economic development; Europe; Historic preservation/historical societies; Japan; Latin America; Middle East. Geographic focus: National; international Types of support: Annual campaigns, Curriculum development, Emergency funds, Employee matching gifts, 2002 State Grants Team Page 19 Office of the Governor Funding Municipal Projects Through Grants and Loans Employee-related scholarships, General/operating support, Program development, Seed money. Limitations: Giving primarily in AZ, CA, DC, FL, GA, MA, MN, NC, NY, TX, and UT; and internationally in Asia/Pacific, Canada, Europe, Latin America, and Japan. No support for religious or fraternal organizations, sporting events or athletic programs, umbrella organizations with active grantmaking programs, or professional, trade, or marketing associations. No grants to individuals (except for employee-related scholarships), or for medical research, endowments, advertising in journals or yearbooks, or publication of books, magazines or articles in professional journals; no grants for endorsements or capital campaigns except on rare occasions. Fields of interest: Africa; Asia; Austral i a; Canada; Caribbean; Community development, neighborhood development; Economic development; Europe; Historic preservation/historical societies; Japan; Latin America; Middle East. Application information: Application form not required. Applicants should submit the following: 1) name, address and phone number of organization 2) contact person 3) geographic area to be served 4) detailed description of project and amount of funding requested 5) how project's results will be evaluated or measured 6) population served 7) statement of problem project will address 8) results expected from proposed grant 9) timetable for implementation and evaluation of project 10) copy of current year's organizational budget and/or project budget 11) copy of IRS Determination Letter 12) listing of board of directors, trustees, officers and other key people and their affiliations 13) copy of most recent annual report/audited financial statement/990 14) listing of additional sources and amount of support Proposal should also include history of previous support from the American Express Foundation or an American Express subsidiary. Funding decisions are made by foundation staff, local American Express employees and regional committees in the U.S. Initial approach: Letter or proposal Copies of proposal: 1 Board meeting date(s): Biannually Deadline(s): None Final notification: 3 to 4 months Copyright © 2 00 0 The Foundation Center State Grants Team Office of the Governor 2002 Page 20 Funding Municipal Proiects Through Grants and Loans 2002 Foundation Center Cooperating Collections Network in Texas Listed below are the Texas funding information libraries which are part of the Foundation Center Cooperating Collections Network. They maintain directories of Texas and national foundations (private and corporate), resource materials, and the annual reports and important financial information from many foundations. Before you visit any of these libraries for the first time, it is a good idea to make an appointment with the librarian, so that s/he can assist you with your search of funding resources. NONPROFIT RESOURCE CENTER Funding Information Library 500 N. Chestnut, Suite 1634 Abilene 79604 (915) 677-8166 AMARILLO AREA FOUNDATION Funding Research and Nonprofit Management Library Nonprofit Services Center 700 First National Place , Ste. 700 801 S. Fillmore Amarillo 79101 (806) 376-4521 HOGG FOUNDATION FOR MENTAL HEALTH Regional Foundation Library 3001 Lake Austin Blvd. Austin 78703 (512) 471-5041 State Grants Team Office of the Governor Page 21 Funding Municival Projects Through Grants and Loans BEAUMONT PUBLIC LIBRARY 801 Pearl Street Beaumont 77704-3827 ( 409) 838-6606 CORPUS CHRISTI PUBLIC LIBRARY Funding Information Center 805 Comanche Street Corpus Christi 78401 (361) 880-7000 DALLAS PUBLIC LIBRARY Urban Information 1515 Young St. Dallas 75201 (214) 670-1487 SOUTHWEST BORDER NONPROFIT RESOURCE CENTER 1201 W. University Drive Edinburgh 78539 (956) 384-5920 FUNDING INFORMATION CENTER OF FORT WORTH 329 S. Henderson Fort Worth 76104 (81 7) 334-0228 HOUSTON PUBLIC LIBRARY Bibliographic Information Center 500 McKinney Houston 77002 (713) 236-1313 NONPROFIT MANAGEMENT AND VOLUNTEER CENTER Laredo Public Library 1120 East Calton Road Laredo 78041 (956) 795-2400 State Grants Team Office of the Governor 2002 Page 22 Funding Municipal Projects Through Grants and Loans LONGVIEW PUBLIC LIBRARY 222 W. Cotton St. Longview 75601 (903) 23 7-1352 LUBBOCK AREA FOUNDATION, INC. 1655 Main St., Suite 209 Lubbock 79401 (806) 762-8061 NONPROFIT RESOURCE CENTER OF TEXAS 111 Soledad, Suite 200 San Antonio 78205 (210) 227-4333 WACO-McLENNAN COUNTY LIBRARY 1717 Austin Ave. Waco 76701 (254) 750-5941 NONPROFIT MANAGEMENT CENTER OF WICHITA FALLS 1105 Holliday Wichita Falls 76301 (940) 322-4961 State Grants Team Office of the Governor 2002 Page 23 Funding Municipal Projects Through Grants and Loans Executive Summary Checklist Item to be Evaluated Is no longer than one page Is responsive to the funding sources priorities and concerns Identifies the applicant organization and provides evidence of credibility States why the request is being made i.e., the problem being addressed Includes a statement on measurable program objectives Includes a statement on proposed activities Includes total project cost, amount requested from funding source and funds already secured State Grants Team Office of the Governor 2002 Comments Page 24 Funding Municipal Projects Through Grants and Loans 2002 0 rgamza 10n D eSCrl] J lOil . t" I tern to be Evaluated How, when, and why the organization was started Statement about purpose, philosophy, and goals of the agency Agency mandate Strategic planning activities and implementation Governing structure (and involvement of board in the operation of the organization), and staffing Partnerships, collaborations Fiscal information, prior grants Agency publications (annual reports, previous program evaluations, newsletters, etc.) Quality of project personnel, including qualifications, experience, and certifications of employees and qualifications and exnerience of external consultants Ability to coordinate, manage and monitor the project to achieve goals and objectives Prior project-related successes and current initiatives underway Clientele information & service area Positive feedback from clients, other agencies, exnerts, and public figures State Grants Team Office of the Governor ec s Ch kli t Comments Page 25 Funding Municipal Projects Through Grants and Loans Problem Statement Checklist Item to be Evaluated Clearly relates to the purposes and goals of the agency Is of realistic proportions, with regard to the size and experience of the applicant(s) Developed with the input of clients and stakeholders Not stated in a way that assumes the reviewer is familiar with, or has knowledge about, local situations or even the oroblem in general Is jargon-free, interesting, compelling, and responds to the funder's priorities Describes a situation outside your organization Is supported by statistical, authoritative evidence Stated in terms of the clients to benefit from the proposed project Not stated in terms of "the lack" of your solution or method State Grants Team Office of the Governor 2002 Comments Page 26 Funding Municipal Projects Through Grants and Loans Goals Checklist Item to be Evaluated Describes the general ends toward which the project will direct its efforts Issue-oriented statement(s) that provides clear direction for project Stretches and challenges the organization and the program, but is/are realistic and achievable Not quantified Not restricted by time State Grants Team Office of the Governor 2002 Comments Page 27 Funding Municipal Projects Through Grants and Loans Ob. t" 1Jec ives Item to be Evaluated Are the measurable outcomes by which the project will later be evaluated Indicate what has been accomplished at the end of the funding period Exist for each problem or need identified in the problem statement Explain what will be accomplished during a project, but not how it will be accomplished; objectives are not methods Demonstrate progress toward the stated goal(s) State Grants Team Office of the Governor Ch kli t ec s 2002 Comments Page 28 Funding Municipal Projects Through Grants and Loans State Resources Texas Department of Agriculture Stephen F. Austin State Office Building 1700 North Congress Avenue Austin, TX 78701 Phone: (512) 463-7476 http://www.agr.state.tx.us/ TDA/ Rural Development (Austin) Robert Wood 512/463-7577 Texas Comptroller of Public Accounts Lyndon B. Johnson State Office Building 111 East 17th Street Austin, TX 78701 Phone: (512) 463-4600 http://www.cpa.state.tx.us/ 2002 Texas Business Advisor: HTTP://www.window.state.tx.us./tba/tba.html Texas Department of Economic Development 1700 Congress Avenue, Suite 1146 Austin, TX 78701 512/ 936-0223 http://www.tded.state.tx.us/site-map.htm Office of Rural Affairs/ George O'Kelley 512/936-0299 Guide to Texas Business Licenses and Permits: http://www.tded.state.tx.us/guide/ Office of Small Business Assistance: http://www.tded.state.tx.us/SmallBusiness/ Financing Incentives: http://www.tded.state.tx.us/Incentives.htm Texas Economic Development Clearinghouse 1-800/888-0511 Governor's Office of Budget and Planning State Grants Team 1100 San Jacinto, 2nd Floor Austin, Texas 78701 512/463-8465 http://www.governor.state.tx.us/ Texas Department of Health 1100 West 49th Street Austin, TX 78756 512/ 458-7111 http://www.tdh.state.tx.us/ Funding Information Center: Darlene Murray 512/458-7684 Center for Rural Health Initiatives 211 East 7th Street, Suite 915 Austin, TX 78701512/ 479-8891 877/ TEX-CRHI Toll Free http://www .crhi .state .tx.us/ State Grants Team Office of the Governor Page 29 Funding Municipal Projects Through Grants and Loans Texas Historical Conunission 1511 Colorado Street Austin, TX 78701 512/ 463-6100 http://www.thc .s tate.tx .us/ Texas Main Street Program: 512/463-6092 Texas Department of Housing and Community Affairs 507 Sabine Austin, TX 78701 512/ 475-3800 http://www .tdhca.state .tx.us/ Local Government: 512/475-3844 or 800/544-2042 http ://www.tdhca.state .tx.us/lg.htm Community Development Block Grant: 512/475-3882 http://www.tdhca.state .tx.us/cd.htm Community Affairs Division: 512/475-3897 Housing Programs: 512/475-3757 Texas Natural Resources Conservation Commission 12100 Interstate Highway 35 North Austin, TX 78753 512/ 239-1000 http ://www.tnrcc.state .tx.us/ Texas Department of Transportation (TxDOT) Dewitt C. Greer State Highway Building 125 East 11th Street Austin, TX 78701 512/ 463-8585 http ://www.dot.state.tx.us 2002 Initial contact for Transportation Enhancement Program: TxDOT District Office Central Transportation Enhancement Program: Doug Vollette 512/416-2783 Federal Liaison: David Soileau 512/463-6081 TxDOT Community Relations: 512/463-8954 Texas Water Development Board Stephen F. Austin State Office Building, Suite 513 1700 North Congress Avenue Austin, TX 78701 512/463-7847 http://www.twdb.state.tx.us/ Texas Workforce Commission 101 East 15th Street Austin, TX 78778 512/ 463-2222 http://www.twc.state.tx.us/ Interested parties will have to go through their local boards to apply to be cont ractors for job training services. Contact: Linda Williamson {TWC liaison with the Loca l Workforce Development Boards) 512/463-2495. State Grants Team Office of the Governor Page 30 Funding Municipal Projects Through Grants and Loans Federal Resources U.S. Department of Agriculture/ Rural Development http://www.rur d e v .u sda.gov/site .html Texas Stat.e Office for USDA Rural Development: http://www .rurde v .us da.g ov/tx /index .html 101 South Main, Suite 102, Temple, Texas 76501 Voice: 254-742-9710, TDD : 254-742-9712, Fax: 254-742-9709 Texas Staff: Eugene G . Pavlat, Community Facilities/Multi-Family Housing Program Voice: 254-742-9760, Fax: 254-742-9709 , Email: epavlat@rurdev. usda . gov Scooter Brockette, Acting Single Family Housing Program Voice: 254-742-9770, Fax: 254-742-9709 J . Gary Lightsey, Rural Utilities Service Program Voice : 254-742-9789 , Fax: 254-742-9709, Email: gli ght s e @r urdev . us da. gov J. Pat Liles , Rural Business-Cooperative Service Program Director Voice : 254-742-9780, Fax: 254-742-9709 , Email: pliles@rurdev . usda . gov 2002 U.S. Department of Conunerce, Economic Development Administration http ://www .doc .gov/eda / Larry Jacob, Area Director-North Texas 512/381-8170 Sharon Frerking, Area Director-South Texas 512/38 1 -8176 Environmental Protection Agency Region VI http : I /www .epa.gov/ Main Number: 214/665-6444 So l id Waste Management: Willie Kelley 214/ 665-8529 Environmental Education: Jo Taylor, Coordinator 214/665-2204 Grants Branch (municipalit i es, water/wastewater, etc.): 214/665-7110 U.S. Department of Housing and Urban Development http://www .hud .gov / San Antonio Office, Region VI: 210/475-6800 Intergovernmental Relations: 2 02/708-0030 Special Needs Assistance Program, Community P l anning and Development : 20 2 /708-1234 Small Business Administration http ://www .sba .gov/ S BA financing programs: http ://www .sba .gov/financing/ * * * For the Smal.1. Business .Devel.opment Center in your area, 1.ook under "Smal.1. Business Administration" in the Bl.ue Pages or the Business Listings of your 1.ocal. phone directory. State Grants Team Office of the Governor Page 31 Funding Municipal Proiects Through Grants and Loans * * * Internal Revenue Service Tax Info For Business http ://www.irs.ustreas.gov/bus info/ Nonprofit and Other Non-Government Resources Texas Rural Development Council Ch e r yl Hin ck ley , Ex ecut i ve Dire c tor 512 /3 23-6515 http ://www.trdc .org/ 2002 Texas Association of Resource Conservation and Development Areas 409 / 846-081 9 http://www.rtis.com/pagegen/realtime/texasrcd/ Texas Rural Communities General Manager: San dra T enor io 512/219-0468 http://www .texasrural.org/ State Grants Team Office of the Governor Page 32 Funding Municipal Projects Through Grants and Loans 2002 Texas Certified Development Companies The SBA offers its 504 loan program through Certified Development Companies (CDCs) . CDCs are public/private sector organizations established by local development agencies to advance economic development in their communities. Through the 504 program. CDCs provide fixed asset financing to growing small businesses. Loans approved under the 504 program must create or retain jobs. Typically 50 % of the financing comes from a bank, 40 % from an SBA guaranteed debenture, and 10% from the small business owner. Ark-Tex Regional Co., Inc. Texarkana Brownsville Local Dev. Co. Brownsville Capital Cert. Dec. Corp. Lockhart Caprock Bus. Fin. Corp. Lubbock Cen-Tex Cert. Dev. Corp. Austin Concho Valley Bus. Fin. Corp. San Angelo Council Finance, Inc. Abilene Dallas Bus. Fin. Corp. Dallas East Texas Reg. Dev. Co., Inc.Kilgore Fort Worth Eco. Dev. Corp. Ft. Worth Greater East Texas CDC Tyler Houston-Galveston Area CDC Houston Lower Rio Grande Valley CDC McAllen Multi-County Small Bus. Corp. Houston North Texas Cert. Dev. Corp. Plano San Antonio Local Dev. Corp. San Antonio Southeast Texas Eco. Dev. Fin.Beaumont Texas Cert. Dev. Co., Inc. Texas Panhandle Reg. Dev. Upper Rio Grande Dev. Co. State Grants Team Office of the Governor Austin Amarillo El Paso (903) 832-8636 (956) 548-6150 (512) 398-5086 (806) 762-8721 (512) 912-9884 (915) 944-9666 (915) 672-8544 (214) 428-7332 (903) 984-8641 (817) 336-6420 (903) 561-5064 (713) 627-3200 (956) 682-3481 (713) 840-8813 (972) 516-0514 (210) 207-3932 (409) 838-6581 (512) 433-1175 (806) 372-3381 (915) 533-0998 Page 33