Characteristics of Federal Grant-in-Aid Programs to State and Local Governments: Grants Funded FY 1993

Advisory Commission on Intergovernmental Relations

M-I88 January 1994

Executive Summary The total number of federal grants to state and local governments increased from 557 to 593 between 1991 and 1993. Grant outlays rose to $206.4 billion in 1993 from $152 billion in 1491, an increase of 36 percent (29 percent in constant dollars). T h e largest numbers of new categorical grants were addcd in health (11); education, training, employment, and social scrviccs (7); and natural resources and environment (6). A new surface transportation block grant was created by the lntrrmodul Surface Transportation ESficiency Act of 1991. Other new block grants are for community mental health servicc and substance abusc prevention and treatment. Federal grants-in-aid to state and local governments have changed dramatically in type, numbcr, dollar amount, and other characteristics sincc 1966. Until then, all federal grants were for narrow categorical programs with specific purposes and tight federal spending requirements. In 1966, the first block grant was enacted to authorize ii broader range of spending by state and local governments. providing greater latitude for decisionmaking by states and localities. 'The number of block grants grew to 15 by 1993. General Kevenue Sharing funds that could be spent with virtually no restrictions were provided to state govcrnmcnts from 1972 to 1981and to local governmcnts from 1973 to 1986. T h e number of categorical programs grew dramatically from 422 in 1975 to 534 in 1981, dropped to 392 in 1984, and then rose slowly to 543 in 1991 and a high of 578 for 19%. 'lhcre have been significant changes in the amount of grant oullays from F Y 1975 to FY 1993. More than 70 per-

cent of the money in thc grant Tstem has bccn distrihuted through categorical programs, but block grants h:t\-e carved out a 10-15 percent portion. General Kevenue Sharing declined from 15.9 percent of total outlays in 1373 to 4.6 percent in 1986, its last year. In general, about three-fourths of all grant aid is distributed by formulas, with the rest distributed o n a discrctionaT basis by federal agencies. Medicaid, thc 1:trgcst f o r mula program, accounts for about 39 percent of all grant outlays. The purposes of federal grants also have changed SISnificantly. Measured by outlays, grants for health programs rose from 9.1 percent to 40.9 percent of t h e total, while income sccurity remained at about 27 pcrcent and then dropped to 23 percent for 1993. Education. training, employment, and social services outlays dropped from 20.1 percent to 16.9 percent of the total, and community a n d rcgional development fell from 4.5 pcrcent to 3.3 percent. Transportation outlays dropped substantially-from 3 1.6 percent t o 11.4 percent of the total. T h e grant system was simplified in the 1970s and early 1980s. giving states and localities more discretion in thc use of funds. Grant consolidation spurted in the carly 1980s, mainly through the 1981Omnibus Bu@t Rcconciliation Act, but has shown little movcmcnt sincc thcn. although it is often mentioned in connection with proposals for the federal government to de\ol\,c more responsibility to the states. T h e main avenuc of fcderal grant-in-aid expansion continues t o be the categorical grant. '171~numhcr of project grants continues to show the greatcst grov.th among the several types of categoricals, constituting in 1993 the highest percentage of all such grants since 1975.

U.S Advisory Commission on Intergovernmental Relations i i i

Acknowledgments This volume is the seventh update of ACIK’s report on the characteristics of federal grant-in-aid programs. ‘lhe first report was published in 1975. This update covers congressional action from January 1, 1991, through December 31, 1992. It provides a snapshot of the scope and principal features of federal grant programs as of Fiscal Year 1993. and comments on major trends in categorical and block grants. This report was prepared by .41bert J . Kichicr. farmer senior analyst, with the assistance of Thomas IIahn and Cheryl Fortineau of the Cornmission staff. Joan Casey edited the report. John Kincaid Executive Director Bruce D. hIcDowel1 Director, Government Policy Research

iv U.S. Advisory Commission on Intergovernmental Relations

Contents ......................................................................................... Highlights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Grant Program s i n 1993 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Grant Outlays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Categorical Grants: Major Features and Trends ...................................................... Formula-Basedvs Project Grants ..............................................................

Introduction

The Changing Functional Mix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Other Trends .................................................................................... The Federal Grant Picture and the Bush Administration .............................................. Methodology ........................................................................................ Data Included ....................................................................................... Key to Listing ....................................................................................... Federal Grants-in.Aid Funded FY 1993 .................................................................

1 1

1 2 7 1

7

2 9 14

17 19 21 24

Exhibits, Figures, and Tables Exhibit I-Categorical Grant Programs Listed in FY 1993, but Not in FY 1991 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exhibit 2-Categorical Grant Programs Listed in FY 1991, but Not in FY 1993 .............................. Figure I-Block Grants in Effect, 1966-1993 ............................................................. Figure 2-Grant Outlays, by Type. Selected Fiscal Years, 1975-1993 (current dollars) ......................... figure 3- Grant Outlays, by Type, Selected Fiscal Years, 1975-1993 (constant dollars, 1987 = 100) ............. Figure &Number of Categorical Formula-Based and Project Grants, Selected Fiscal Years, 1975-1993 . . . . . . . . . Figure 5-Federal Outlays for Grants to States and Localities, Percentage Distribution by Function, FY 1989, FY 1991, and FY 1993 .............................................................. Tuble I -Number of Categorical and Block Grant Programs, Selected Fiscal Years, 1975-1993 . . . . . . . . . . . . . . . . . Table 2-Outlays for General Purpose, Broad-Based, and Other Grants, Selected Fiscal Years, 1975-1993 . . . . . . Tuble 3-Number of Categorical Grants, by Type, Selected Fiscal Years, 1975-1993 .......................... Tuble 4-Number of Grant Programs, by Budget Subfunction and Grant Type, FY 1989, 1991, and 1993 . . . . . . . . Table 5-Number of Categorical Grant Programs, by Grant 'Ijje. Existence of Non-Federal Match, and Eligible Recipients, FY 1989, 1991, and 1993 ............................................... Tuble &Number of Grant Programs, by ' I j e and Administering Agency, FY 1989, 1991, and 1993 . . . . . . . . . . . . Table 7-Numbcr of Categorical Grant Programs by Eligible Recipients, Selected Fiscal Years, 1975-1993 . . . . . . Tuble 8-Federal Outlays for Grants to States and Localities, FY 1989, FY 1991, FY 1993 ....................

16 1

7 8 10

12 13 14 15

U.S Advisory Commission on Intergovernmental Relations v

vi

US. Advisory Comniission an Intergovernmental Relations

Introduct ion 1, 1993. It also identifies major changes in thc Imsic tures of the grants and the grant system.

Highlights

The number of federal grants to state and local governments increased from 557 to 593 from 1991 to 1903, continuing the upward trend of the past decade. Thirtyfive categorical grants and one block grant were added. The largest numbers of new grants wcrc added in health (1 1); education, training, employment and stxkl seniccs (7); and natural rcsources and environment (6). Grant outlays rose from $152 billion in 1901 t o S306.3 billion (estimated) in 1993, or 36 percent. In constant dollars, the increase was 29 percent. Aprincipal cause of the outlay increase was t h e federal-state Medicaid program, Lvhich went from $52.5 biilicin to $80.5 billion (estimated) in thc two years. i)r 53 percent. It accounted for ovcr one-half of the total increase in grant out lays. As part of its rnulti\~olumcreport on the intcrgovcrnmental grant system in 1975, the Advisory Commission o n Intergovernmental Kclations (ACIR) identilied. counted, and examined the characteristics of federiil catcporical grant-in-aid programs to state and local governmcnts. A though there had been earlier compilations (it' federal i i i sistancc programs, ACIR's report was the first t o i'oius cxelusively on categorical grants and, thercby. por-traq a n xcurate picture of the federal grant system. ACIK updated the report at regular intervali ( 1975, 1981, 1984, 1987, 1989, and 1991). 'I'hc latcr reports were broadened to list and describe the characteristics 01' blt)ck grants and General Revenue Sharing (G KS). 'l'his update for FY 1993 includes all the federal grant proFr;cms lundcd and available to state and locnl govcrnmcnts ;ts of Januac

fci-

Categorical grants are directed at spccific. narrouly defined activities and are distributed in one of the f n l l i n v ing w a ) ~

F o r t m i i ~1) ist rib u t cd t h roil g h a 1egis I ;it i w 1) i;r ;t d rn i11istrativcly prescribed formula. A formula g r a n t \vi!h c-rper-!cnd reimbursement means that the federn1 Fo\.errimcn! m at ch c s a I I a p 17roved cxpc n d i t u rc s with o u t I i m it . Projrct: Tlistributcd at thediscretion o f t h tor. 'I'hcsc are sometimes called discretionar? gr;ints.

FurniiiIuiProjecr: Discretion of the rtdmin ist ra t or I i i awarding project grants is constrained hy ;a formula. f o r t'xample, one limiting the amount that may he riivardcd to o r within my state. Block grants, which are used for broad fu1iCilon:tl areas, ;arc distrihutcd by statutory formula and m+' Ix uscii at t h e recipient's discretion. h o s t block grants ar-c awarded t o statc governments, b u t a few go directly to 1oc:il governments (e.g., Community Development Hlock (jr:trit 1.

General Revenue Sharing was distributed by st:ituton~ f'ormula with little or no functional restrictions o n the us:' ot' funds. 'I'hk form of funding was pro\idccl Iy the fedcral crnment to ICKII gnvcrnments from 1972 t o l c M a n d to stntc pi\,i.rnments from 1972 t o 1981. Grant Programs in 1993

' l k e numbcrs o f fundcd federal categorical :\nil block grant programs available to state and local ycl\'crr-imci:I < from I-'Y 1975 to FY 1993 arc shown in 'Iiibie I .

Table I Number of Categorical and Block Grant Programs, Selected Fiscal Years, 1975-1993 ~

Block Categorical -rota1 Source:

1075 5 422 427

1978 5 402 407

19x1

5

-i 7_4 530

19x4 12 203 404

1987 13 432 435

1989 14 478 493

1991 14 543

-i 5_7

1993 15 jTS/HIV-related programs was largely offset by discontinuance of earlier grants, so that the net overall increase in health programs was due to new grants for such areas as public housing residents, rural health. TB,Alzheimer’s disease, and emergency medical services (EMS). ‘I’he added programs in natural resources and environment, and education and social services were for a wide mixture of purposes. Notable among the grants dropped between 1991 and 1993 (Exhibit 2) wcre Construction Grants for LVaste Nhter Treatment Works (CFDA66.418) and the programs for Federal Aid Highways-PrimaIy. Secondary, and Urban Systems (CFDA 20.205). The latter were superseded by the new National Highway System grant and t h e Surface Transportation block grant created by the Intcmiodal Surface Transportation Efficiency Act of 1991.

Exhibit 1

Categorical Grant Programs Listed In FY 1993, but Not in FY 1991 FY 1993 Estimated

Budget Subfunctlon Title Number

CFDA Number

Obligations (millions)

05 1 053

Community Planning Assistance for Defense Industry Adjustments Technology Development for Environmental Restoration and Waste Management

12.611 81.104

$ 1.4

250

National Industrial Competitiveness through Energy, Environment and Economics

8 1.105

2.4

302 303 303 303 304 304 304

15.223 15.615 15.919 15.919 10.762 66.460 66.463 66.464 66.951 11.454 11.459 11.463 11.466 11.469

**

304 306 306 306 306 306

Recreation and Cultural Resource Management Cooperative Endangered Species Conservation Fund Urban Park and Recreation Recovery Program: Rehabilitation and Innovation Urban Park and Recreation Recovery Action Program: Planning Solid Waste Management Nonpoint Source Implementation (a) National Pollution Discharge Elimination System (b) Near Coastal Waters Environmental Education (EEG) Unallied Management Projects (NOAA) Climate and Air Quality Research Habitat Conservation (NOAA) Marine Instrumentation Special Projects (NOAA) Congressionally Identified Construction Projects (NOAA)

401 401 401 401 407 407 407 452

National Highway System Congestion Mitigation and Air Quality Improvement Program Transit Planning and Research Motorcycle Helmet and Safety Belt Incentive State Access to the Oil Spill Liability Trust Fund Interagency Hazardous Materials Public Sector Training and Planning Support Mechanisms for Disadvantaged Businesses Water and Waste Disposal

20.205 20.205 20.514 20.602 20.006 20.703 20.903 10.770

50 1 50 1 50 1 50 1

Commercial Drivers Education Demonstration Projects for the Integration of Vocational and Academic Learning Foreign Languages Assistance Supplementary State Grants for Facilities Equipment, and Other Program Improvement Activities State hteracy Resource Centers Literacy for Incarcerated Adults Periodicals Published Outside the U.S. (a) Rehabilitation Training: Experimental and Innovative (b) Continuing Education (c) State Vocational Rehabilitation Unit In-Service Training Special Programs for the Aging: Title 111, Part F Preventive Health Services Abandoned Infants Family Resource and Support Program State Data Collection: Uniform Alcohol and Drug Abuse Data Grants to States for Operation of Offices of Rural IIealth Residents of Public Housing Pnmary Care Program Special Projects of National Significance (HIV) Comprehensive Residential Drug Prevention and Treatment Projects for Substance-Using Women and Their Children Support for School Health Education to Prevent the Spread of Acquired Immunodeficiency Syndrome HIV Prevention Activities: Health Department Based HIV Demonstration, Research, Public and Professional Education Projects Research, Treatment and Education Programs on Lyme Disease in the U S .

84.247 84.248 84.249 84.253

3.0 10.9 10.0

84.254 84.255 84.251 84.263 84.264 84.265 93.043 93.551 93.580 93.179 93.913 93.927 93.928 93.937

12.8 9.9 1.0 0.8 4.3 5.7 17.0 13.6 4.9 6.0 2.0 8.9 6.3 10.0

93.938

28.7

93.940 93.941 93.942

144.0 39.0

50 1 501 502 506

506 506 506 550 550 550 550 550 550 550 550 550

5.6

5.8

*

3.0 3.0 50.0 16.5 2.8 2.5 i

0.05 0.1 0.9 20.0 3,493.6 997.9 27.7 12.0 1.0 8.9 0.4 25.0

*

5.4

U.S Advisory Commission on Intergovernmental Relations 3

Exhibit I (cont.)

Categorical Grant Programs Listed in FY 1993, but Not in FY 1991 Budget Subfunction Number Title

CFDA Number

FY 1993 Estimated Obligations

(millions)

Epidemiologic Research Studies of Acquired Immunodeficiency Syndrome (AIDS) and Human Immunodeficiency Virus (HI\’) Infection in Sclcctcd Population Groups Human Inimunodeficicncy Virus (I-IIVYAccluired Immuncxkficienq Virus Syndronic (AIDS) Su rvei I lance Assistance Program for Chronic Disease Prevention and Control Support for State-Based Infant Initiative Programs Tuberculosis Demonstration, Research, Public and Professional Education NIViAIDS and Related Diseases aniong Substance d4buscrs:Community-UascLl Ou trcach and Intervention Demonstration Prngrani Capacity Expansion Program Modification of Trauma Care Component of State EMS Plan Health and Sxfety Programs for Construction Work and Mcxlel Construction Safety and IIealth Centers for Agn~vlturalResearch, Education and Disease and Injury Prcvention and Occupational Respiratory Disease and Musculoskeletal Disorders Evaluation and Rehabilitation Occupational Health and Surveillancc Healthy Start Initiative Demonstration Grants to States for Community Scholarships Denionstration Grants to States nith Respect to Alzheimer‘s Discasc Improving EMSiTrauma Care i n Rural Areas hlcdical Iieatmcnt Effectiveness Research

93.943

19.9

93.944

47.9

93.945 93.946 93.74: 93.949

3.4 2.7

1.0 10.6

93.950 93.953 93.955

86.0 4.1

93.956

3.9

93.957 93.926 93.931 93.951 93.952 93.180

11.9 8.0 0.5 4.7 0.5

44.7

Home Ownership and Opportunity for People Eveiyvhcre: Planning and Irnplcrncntation Shelter Plus Care Home Investment in Affordable Housing Housing Opportunities for Persons with AIDS Refugee Assistance: Voluntary Agency Programs

14.185 14.238 14.239 14.241 93.567

21.0 0.3 1,000.0 147.7 39.0

Fair Housing Initiatives Program (FHII’) Fair Housing Organization Initiative Americans uith Disabilities Act Technical Assistance Program

14.313 16.108

* 2.6

FIope for Onnership of Single Family Homes: Planning and Implcmcntation Homeless Veterans Reintegration Project Hazardous Materials Training Program for Implementation of the Superfund Amendment and Reauthorization Act (SARA) of 1986 Hazardous Materials Exercise Assistance State and Local Emergency Management Assistance: Other Assistance Facilities and Equipment

14.230 17.805 83.011

95.0 5.1 3.7

83.012 83.531 82.532

0.2 18.9 8.3

I .8

’ I’rograriis listed in M

1993 but not in FY 1991were mainlyprograms enacted by the Congress and funded in the two-year pcriod. In a programs had been enacted prior to FY 1991. but werc not funded until later. In some cases. the programs added reprcscntcd ii cliangc in the category of assistance shown in the Catalog of k l e r a l Lhrrestic Assistance (e.g.. from “Direct I’ayments f c r Spccificd IJse” or ”Provision of Specialized Services” to ”Project Grants”) or the tjpc of eligible recipient (e.g.. from “public or private organizations” to “state and local governments”). , the

* I.css than $0.05 million.

‘*Not separatcly identifiable. S m r c c : IZI’III tal?ulatinn based on Calulog of Federul Uo171esricRrsimtice, United Sfares Code,and federal agency contacts Fy’ 1 3 3 esti-

inatcd ohligations from Catalogof Federal Donieslic Rrsisrarice. N 1%3 estimates for the National Highwy System and the Congestion Mitigation and Air Quality Improvement Program are from Oud,qet ofllie Uuifed Stares Goveninier~t,Fiscal }‘ear 199.1, p. A-825. .-

-I l’.S. tidlisory Commission an Intergovernmental Reintions

Exhibit 2

Categorical Grant Programs Listed in FY 1991,but Not in FY 1993l Budget

CFDA

Subfunction Number Title

Number

5iinority Math-Science Leadership Development Recognition

81.0!)9

Construction Grants for Waste Water Treatment Works Tbxic Release Inventory Data Quality Capabilities Program Cooperative Fisheries Statistics

66.41s 66.705

k d c r a ! Aid IIighwdys: Primary System I k ! c r a l Aid IIighways: Secondary System Federal Aid Highways: lJrban System Pavement Marking Demonstration Rental Housing Rehabilitation

20.205 20.205

x.m 20.2115 14.230

Postsccondaiy Education Programs for Persons uith Disabilities Education for Homeless Children and Youth: Exemplary Grants Secondary Schools: h s i c Skills Demonstration Assistance hfirii-Grant Program ( A C T I O N I-lenlth Senlces Delivery to AIDS Victims: Ikmonstration Grants Research Facilities Improvement (AIDS) (7cnimunity Youth Activity Denionstration I l i u g Ahuse 'Trcntnient Waiting List Keduction HI\' Ilome and C'ommunity-Rased Health Senices Nurse Practitioner and Nurse Midwife Education and Traineeships I'rc\,cntion and Primary Health Care Senices to Persons nlth HIV Infection and/or AIDS in Community Health Facilities Subscute Carc r)cmonstration (AIDS patients) 1.-,, I I 'itics Construction Projects to Support Centers for 'Iieatment and Research on Substance Abuse

84.075 83.125 84.27 71.1)10 93.133 93.167 93.170 93.175 93.199

93.138 93.905

'ieniporury AIDS Drug Keimbursements tnlployce Assistance Programs: Drug, Alcohol Abuse

93.909 93.9'0 93.921 93.146 17.SU 1

('hild r a r e Improvement

93.039

Local Direction. ('nntrol and Warning Flicliity Survey, Engineering and 1)evelopment Statc :ind L m a l Emergency Operating Centers State and 1,ocal Warning and Communication Systems Population Protection Planning Eniergcncy F3roadcast System Guidance and Assistance Ka~!i:)lngical Ilcfense

63.5113 83.509 83.5 12 $3.513 li3.5 13 S3.5 15 83.5'7

I

r1 ~

i\l)AhlHA Science Education Partnership Award

0 I h c . r State and

'

11.4.33

Progrxns i i 5 ! e d i n FY l!Wl but not in FY 1993 were mainly programs that expircd, or that thc Congress repealed or did not i u n d For F'I' 19!13. I n I: !Cw ciisei, the progmiis dropped from the listing rcpresented a change in the ACIK classification of type of assist3nce (e.5 . froni "Forniiila Grant" to "Direct Payment for Specified Use") or eligible recipient (from "State and Local Governments" t o "Priviitc I'c r s ( w "1.

S ' O L I ~ I.\('I Y I< i;tbuIation based an Ca,alog of'Fc~rieru1IIomestic Arxirtance, United States Code, and federal agency contacts

U.S Advisory Commission on lntergovernmental Relations 5

Figure 1 Block Grants in Effect, 1966-1993 Year 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 92

Federal Transit Capital and Operating Assistance

1

Surface Transportation Community Ilevelopinentll~ntitleinent Community I)evelopment/States’ I’rogram Federal, State, and I m a l I’artnership for lducational Improvement Comprehensive Employment and Training Act Job Training I’artnership Act

Social Services Block Grant Community Services Ijlock Grant Partnership for Ifealth Preventive Health and Health Services Community Health Services Alcohol, Drug Abuse, and Mental Health Services Projects for Assistance in Transition from Homelessness ( P A l l i ) Prevention and Treatment of Suhstance Ahuse Community Youth Activity Primary Care IL1;lternal and Child Health Services Inw-Income Home I - n e r g Assistance Payments to States for Child Care Assistance (C3iilil Care a n d 1)evclopment Hlock Grant) Safe Streets 1.nw I. n fo rcem e n t Ass i s t;r n ce

Criminal Justice Assistance ~~

Year 66 67 68 69 NUMI%I‘KIN 1 3 ~ l ~ l ~ X T 1 1 2

I I I- I

70 71 72 73 74 75 76 77 78 79 80 X I 82 83 84 85 86 87 88 HY 90 91 92 93 2 2 2 2 3 5 5 5 5 5 5 5 5 9 1 1 1 2 1 2 1 1 1 2 1 2 1 4 1 5 1 5

Sources: Iltiitetl Stute.5 I ‘ o r k a n d I003 ‘utdoy oJ lrrlerill Ihnwxtic Assistnrice.

Table 2

Outlays for General Purpose, Broad-Based, and Other Grants Selected Fiscal Years, 1975-1 993 1975

G e neral Pu r i m e Broad-Based (Mostly Blocks) Other (Categoricals) Total

(dollar amounts in billions) 1978 1981 1984

7.0 4.6 38.2 49.8

1987

1989

1991

1993 ( a r )

6.8 13.0 77.8 97.6

2.1 13.1 93.2 108.4

2.3 11.7 106.9 122.0

2.2 16.4 133.4 i52.n

2.4 21.5 152.2 7~~6.4

(1987 = 100.0) 8.6 7.5 12.7 14.3 98.7 85.5 120.0 107.3

2.1 13.1 93.2 108.4

2.1 11.7 98.5 112.4

13.0 113.2 129.0

Current Dollars 9.6 6.8 11.5 10.0 77.9 56.8 77.9 94.7

General Purpose hmd-Rtsetl (Mostly I3locks) O[her (Categoricals) Total

Constant Dollars 14.2 15.9 9.3 19.1 77.6 94.2 101.2 129.2

General Purpose 13road-Based Categoricals 'Iota1

14.1 9.2 76.7 100.0

Percent of Total 12.3 7.2 14.7 10.6 73.0 82.2 100.0 100.0

7.0 13.3 79.7 100.0

1.9 12.1 86.0

1oo.n

l.?

1.9 17.6 137.4 liih.?

1.9

1.4

1.1

10.4 87.6 100.0

10.8

10.6 8S.3

87.8 100.0

l(JO.0

Source: Outlay data for FY 19751989 are from U S . Office of Management and Uudget. Office o f Budget Analysis, unpublished report, 1991. Outlay data for FY 1991 and FY 1993 (estimated) are from 1J.S. Office of Management and Budgct, Birr+yt of'ilie L'riiirti States Govenzment, Fiscal Yean I993 and 1994, and Catalog of Federal Doim~sticA s s i s i a ~ e 1993. , Constant dollar coinputation bascd on GDP Iniplicit Price Deflator, in Szrrvey of Cuirent Rirsirirss, July 1993. Figure 2

Grant Outlays, by Type, Selected Fiscal Years, 1975-1 993 (current dollars) 220 200 180 160 1.10 v)

=m

1"

120

icl

0 rn

-

100

0

.3

iii

80

1975

1977

Source Table 2.

1979

1981

1983

1985

Fiscal Year

1987

1989

199 1

199.

(est.

Figure 3

Grant Outlays, by Type, Selected Fiscal Years, 1975-1 993 (constant dollars, 1967 = 100) 180

60 -

40 -

20I

------

Broad-Based ->---7------.---

- -

-c

-

-

-

I

_

_

_

Table 3

Alloted Formula No. %

KO.

70

HASF11

Open- I-nd Keimbu rse in en t No. 70

NO.

7c

'rl t,r I

1975 1978

96 106

21.7 21.5

35 47

7.9 9.6

15 17

3.4 3.5

146 170

33.0 33.6

108 1 1084 1987 19so

111 80 93 117

20.8 20.4 22.3 24.5

42 27 23 21

7.9 6.9 5.5 4.4

20 18 1s 17

3.7

173 125 133 15s

32.3 31.') 31.8 32.5

19') 1 1993

119 114

21.9 19.7

22 28

4.1 4.8

18 17

3.3

159 159

29.3 27.5

8 U S . Advisoq Commission on Intergovernmental Relations

4

- - - - - - - G-e n e_r ~ I'urpcise l - _ _ _ _ _ _ -

Number of Categorical Grants, by Type Selected Fiscal Years, 1975-1 993 FORMIJIA I'roj ect Grants Subject to Formula 4llocation

-r /

4.6 4.0

3.6 2.9

Figure 4 Number of Categorical Formula-Based and Project Grants, Selected Fiscal Years, 1975-1 993 450~

I

I

400-

I

I I

350..

' I

-

200 -

150-.

-----

_----__------. - -- --_ _ _ - - - - - - _ _ *. ..-I'ormula-Based _ . .-I-.----I

~

I

'1

100-

I i

50-

i l I

0

I

i

I

,

I

I

I

Other Trends

In the FY 1991-93 period, the proportion of programs requiring state or local matching funds increased from 49.9 percent to 51.6 percent (Ihble 5).'I'his marked a reversal of the trend of decline in matching requirements from 55percent in 1985 to 49.9 percent in 1991. In thc past two years, 51 percent of the 74 added programs required matching of federal funds by the grant recipients, as against 36 IxrcenL of the 39 discontinued programs. As would be expected, changes in the breakdown o f grants by department or agency reflect the changing functional mix (Tible 6). The Public Health Senlicc, the Department of Housing and Urban Development, and the Department of Education had the greatest increases in the number of grant programsbetween FY 1991 a n d 1993.'13he Public Health Service and E d u a t i o n were also t h e leading growth centers from 1987 to 1989 and from 1989 t o 1091. As usual, most of the new programs added from FY 1991 to FY 1993 were relatively small in terms of funding.' The median (middle item) of estimated ohligalions for F Y 1993 was $5.4 million. 'I'he mean (average) was $16.4 mil-

I

I

I

I

1

I

I

l

I

lion, showing the effect of a few larger budgct prt~gr,inis. such as Home Investment in Affordable Housing. S 1 hi!lion (CFDA 14.239); Housing Opportunities for llci.cons with IZIDS, $147.7 million (CFDA 14.241): a n d Ill\' prcvention Activities-Health Dcpartmcnt I3ascd. S 11-4million (CFDA 93.940). Over the years, there has been sonic: shiI1ing ill [iic proportion of categorical grant programs ciiruitci! t o \. i ~ ~I~ I ' 1 1 . are eligible along with state and local govcr-iiiTici?t\ r n w from 49.0percent to 50.5 percent. As shtnvn in 'litl>!c -, l ' i i shift to the latter group has been the general l r c n J SIP:: 1975.

L'.S Ad\isory Commission on Intergo\erninent,tl

1iel.iticiiir 9

Table 4

Number of Grant Programs, by Budget Subfunction and Grant Type, FY 1989, 1991, and 1993 1.

BLOCK GRANTS

v)

5c,

Budget Function and Subfunction

1989

1991

1993

1 2 1 1 2

1 2 1 1 2 4 1 2

2 2 1 1 2 4 1 2

Change 1989-1993

Change 1991-1993

E

401 451 501 504 506 550 551

Ground Transportation Community Developnieiit Elcrncntary, Secondary. Vocational Education Training and Employment Social Services Health Health Care Services 609 Other Income Security 754 Criminal Justice Assistance Total Block Grants

4

1 1 1 14

P

z

2.

1989

Budget Function and Subfunction

Formula Project

-

-

14

15

-

+1 -1 +1

CATEGORICAL GRANTS 1991 Total Formula Project Total

1993 Formula Project

ChanPe 1991-1993 1989-1993

Total

3

v

050 National Defense 051 Department of Dcfcnsc-Military 053 Atomic Energy L)eCensc Activities

-

-

-

-

3 1

3 1

250 General Science, Space and Technology 250 General Science, Space and Technology

-

-

-

-

-

-

-

2 7 2 1

2

-

-

7 1 2

2 7 3 2

270 270 271 273 276

Energy Energy Energy Supply Energy Conservation Encrgy Information. Policy and Rcgulation

300 301 302 303 304 306

Natural Resources and Environment Water Resources Conservation and Land Managcrncnt Recreational Hcsources Pollution Control and Abatement Other Natural Resources

350 Agriculture 351 Rum Income Stabili/ation 352 Agricultural Kcsearch and Scrvrccs

2 -

2

3

7

-

3

-

1

-

2 10 2 13 8

2 11 7 22

1

-

4

7

1 5 9 2

2

-

-

10

1 5 8 2

1 11

2 4

2 11

-

4

-

2

4 2

fl +1

+1 +2

1

1

+1

+l

2

-

2 7 3 1

-

-

2

7 1 1

2 12 5 22 17

2 13 10 29 19

-

2 11

--

-

-

-

3 18 17

2 12 8 26 19

7 2

7

2 11

2 4

1

5

7 ~-

-

+1

-1

-

f l

-

-

+2 +3

+2 +3 +7 +9

-

+1

-

__

-

-

Table 4

(cont.)

Number of Grant Programs, by Budget Subfunction and Grant Type, FY 1989, 1991, and 1993 Budget I h c t i o n and Subfunction

Formula

370 Housing Credit 371 Mortgage Credit and Deposit Insurance 376 Other Advancement of Connncrce 400 401 402 403 407

Transportation Ground Transportation Air Transportation Water Transportation Other Transportation

450 451 452 453

Community and Regional Development Community Development Area and Kegional Development Disaster Relief and Insurance

I989 Project

CATEGORICAL GKANTS 1991 Total Ik-mula Project Total

1

1

-

5

5

1

26

16 1 1

1

10 1 -

3 3

7 17

20

8

8

-

16 1 1

-

1 2 1

10

4

a

-. m

s

sJ

z.

m

r.

550 Health 550 General 551 Health Care Services 552 Health Kesearch 554 Consumer aand Occupational Health and Safcty

600 Income Security 601 General Retirement and Disability Insurance 604 Housing Assistance 605 Food and Nutrition Assistance 609 Other Income Security

11 1 3

26 1 2

+3

+3

5

7 22 8

-1

+I

-3 +2 -

84 10 16

-2 +2 +1 +1

3 3 -

5 18

8 21 8

2 3 -

19 8

57

2 82 9 15 8 2 75

27 3

57 7

5 5

11

2

-

2

2

76 9 13

25 3

22

50 6 8 3

9

5

2 47

2

69

2 3

51

53

5

8

5 6

+2

2 1

5

8

6 10 3

24

2 51

4

4 3 1

70 7

27

74 10 5

3 2 -

3 2 53

79 11 1 3

-

-

1

3

1 14 4

1

1

-

1

1

2

3

3 14

1

5

14

14

3 14

7

6

4 3

9

5

7 4

3 -

1 1

4 1

3 -

1 1

4 1

3 -

1 1

-

4

1

Change 1991-1993 1989-1993 -

1 6

15 1 1 1

1

Total

1

1

-

26 I

26 3

1 7

1993 Project

10 1 -

500 Education, Training, Employment and Social Services

500 General 501 Elementary, Secondary, and Vocational Education 502 Higher Education 503 Research and General Education Aids 504 Training and Employment 505 Other Labor Services 506 Social Services

1 6

Formula

1

7

4

-

-

-2 +8 +1 +3 -1 11

8

-

2 80

+5

+

82 13

+8 +3

+ 29

1

+I

+I

4

-1

-

-

+7 -

1 10 14

-

+5 -

+5

-

+2

4

-

-

1

-

-

9

m

9

2. a m L

L

700 Veterans Benefits and Services 703 Hospital and Medical Care for Veterans 7U5 Other Vetcrans UeriefiLs and Scrvices

c

Table 4 (cont.)

h

5

h

Number of Grant Programs, by Budget Subfunction and Grant Type, FY 1989, 1991, and 1993 Budget Function and Subfunction

Formula

1989 I’rnject

CAIBGORICAL GRANTS 1991 Total 1;ormula I’roject Total

1993 Project

1;ormula

Chanre 1991-1993 1989-1993

Ibtal

< I

3

5

2.

VL

z. 0 a

0

750 751 752 754

Administration of Justice Federal Law Enforcement Activities Federal TAigative and Judicial Activities Criminal Justice Assistance

800 804 808 999

General Government General Property and Records Management Other General Property Multiple Iiunctions Total Categorical Grants

2 13

2 18

-

7

2 1 20

2 1 27

155

323

-

-

5

-

4 1 18

+1

+2

+1

5

4 1 13

+1 -

2 -

-

1 -

1 -

-1 -

31

7

24

31

-

-1 -1 +4

543

159

419

578

+ 35

+ 100

5

3 13

3 18

-

-

2

25 384

-

-

L

E

m

02

-

0

.I

E

m

3

-

-

6 159

478

E

Ec

Source:

ACIK tahulation based on Catalog of Federal Ihrnesfic Assixtancr, Unifrd Stufes Codr, and federal agency contacts

C.

0 v1

Table 5

Number of Categorical Grant Programs, by Grant Type, Existence of Non-Federal Match, and Eligible Recipients FY 1989, 1991, and 1993 Non-Federal Match 1989 Fonnula-Rased Allotted Formula FormulaiProject Open End Kc~mbursement

Ye 5 1991

1993

1989

1991

1993

56

NO

State Onlv 1989 1991 1993

57 16 12 85

60

58

15 12 87

17 12 87

60 5 5 70

59 7 6 72

11 5 72

96 8 13 117

99 9 14 122

97 13 13 12.3

Project

160

184

211

163

200

208

63

84

Total

245

271

298

233

272

280

180

I’erccnt

51.3

40.9

51.6

48.7

50.1

484

37.6

Total

Elicihle Kecipicnts* State and Local Govern ni en t \ 1,ocal Only1989 1991 1993 1989 19YI 1993

State, heal and Other* 1989 1991 1993

6 0 0 6

6 0

9

6

5

8

0 6

3 20

9 3 18

10

12

5 0 0 5

18

37

39

12

15

16

216

248

273

45

SO

51

17

21

22

236

266

292

9.4

9.2

8.8

3.6

3.9

3.8

49.4

49

50 5

7 1 13

8 4 1 13

9(1

32

206

213

37.Y

36.8

5

6 5 1

3

Table 6

Number of Grant Programs, by Type and Administering Agency, FY 1989, 1991, and 1993 DI,OCK GRANTS Education

Health and Human Services Administration for Children and Families Human Ilcvclopment Services Public IIealth Service Family Support Administration Housing and IJrban Development

Justice IAor Transports tion lotal Block Grants

1989

1991

1993

Change 1991-1993

Change 1989-1993

1

1

1

-

-

-

-

4

2 5 1 2 1 1 1 14

1 5 3 2

+4 -1

5

-

+4 -2 -

-

-3

-1

-

-

-

1 1 14

1 2 15

-

-

2

-1 -

+I

+1 +1

+1

CATECOKICAI, GRAN'IS Jl udge t Fu nctinn and Suhfunction

1989 Nuriiher Percent __ -

Agriculture 38 12 Appalxhian Rcgisnal Commission Corn iiicrw 20 112 Education 12 Energy Environmental Protection Agcncy 34 Fcdc ral En1c rge ncy Man age me n t Agency 19 Health rind Human Scrviccs* Aclministration for Children and Families Administration on Aging 12 h n i l y Support Administration 4 Hcalth Care Financing Administration 38 Human Il)evclopment Senices Public Health Senice 58 1 Social Security Administration 14 Housing and Urban 1)evelopment I ntcrior 13 17 Just icc 15 1,abn r 'li.3iisi""-tation 3(1 20 Other* * 'rot a l 478 _________

7.9 2.5 4.2 23.4 2.5

7.1 4

2.5 .8 7.9 12.1

_3

2.9 2.7 3.6 3.1 0.2 6.1 99.7

1991 Number I'ercent

'lotal Numher Percent

1993 I:orrnula Numher I'ercent

I'roiect Number Percent

Ctiiinee 1991-1993 1989-1993

__

41)

12 30 125 15 39 22

13 4 42 81 1 I5 15 17 I6 31

26 543

7.4 2.2 5.5 23 2.8 7.2 4.1

2.4 .7 7.7 14.9 .2 2.8 2.8 3.1 3 5.5 4.8 100.1

5 2.9 6.4 22.2 2.6 8.1 3.8

+I +2 -4

21

7

+ 15

-

-

5 1.7

1.2 -

2

-

.5

1.9

89 1 18 11 11

21.2

12 30 130 16 41 18

-

-

3 31 5 7 2

1.9 23 3.1 4.3 1.2

43 15

7.4 2.6

22 8

13.7 c

4

.7

2 3

2.5 3.7

2.6 3.3

4 6 4 8

5.7

18

4.5 100

7

5 12.4 4.3

159

loo

-

-

-

-

92 1 22

15.9 .2 3.8

17 15

2.0

19 33 26 578

23

21 12 27 93 11 34 16

7.6 2.1 5.2 22.5 2.8 7.1 3.1

44

-

-

14.3

-

2.5

11

15 19 419

-

4.3 26 26 20 36 45 99.8

+4

+6

-

-

+5

+ 43

13

-t10

+ 18 +4

+7 -1

+ 43

+ 15

-

- 12 -

+ 11

+ 34

-

-

+7

+8 +4 -2 +4 -t3 -3

-

-42

+2 -2 t 3 t 3 ~

+ 35

-38

+ 100

The Federal Grant Picture and t h e B u s h Administration

While grant outlays have been on a general upward trend since 1975, from FY 1989 to 1993-the Bush Years-there w;is a sharp upturn (see Trible 2). In constant dollars, outlays \\wit from $10’1.2 billion in 1975 to $166.3 billion in 1993 (estimated), an ;ivcrage rise of 9.2 percent per year. For 19S9-1993.the average yearly increase jumped to 12.1 percent. co~iipared to an average yearly increase of 1.0 percent for the five years 19S3-19S9,and 1.5 percent for 198149S9. %ble 8 shows grant outlays to states and localities by function and subfunction for F Y 19S9. FY 1991, and FY 1993 (estimated). Most prominent is Med i cai d , t he fed e r a1-st ate 13r og r a 111 fo r I‘i n anc i rig medical services for the poor. From 28.3 percent of total outlays in 19S9, hledicaid rose to 33.6 percent in 1991 and 39.1 percent i n 1993 (estimated). In 1975, Medicaid represented only 13 perccnt of total grant outlays. (This steady expansion of Medicaid outlays is an important reason for the current drive to reform the national health care system.) With Medicaid‘s ovenvhelrning impact on the total grant picture, some functions diminished in relative importance while several others more than held their own in absolute dollar figures. As shown i n Figure 5, income security expenditures rose by $15.1 billion or 47 percent; education, training. eniploynient and social services by $12 billion or 51 percent: and transportation by $7.3 billion or 29 percent. Although at lower funding levels, coriiniun i ty ;in d regional d c i lop ~ nic‘n t went up $2.S billion, 69 percent. and agriculture dropped over $200 million, about 17 percent. In terms of the structure o f the grant system, the number of categorical grants continued to grow, from 478 in 19S9 to 57s for 1993. or 21 percent. h h t of these grants wcrc narrowly drawn and sniall in dollar terms. The formula-project breakdown followed the recent trend, with formula grants grmving by 3 percent and project grants by 30 percent. A net of only one new block grant was added to the .I4existing in 1989. The slowness in consolidating catcgoricals into blocks was not for lack of interest by the administration. In his 1992 and 1993 budgets, I’resitlcnt Bush proposed consolidating and turning over to the states grant programs totaling as much as $20 billion, with the specifics to be deterrnincd by the Congress. the administration, and the governors. The administration proposed to replace these programs with a single consolidated block grant t o the states. This proposal was not enacted.

14 U.S. Advisory Commission on Intergovernmental Relations

Table 8

Federal Outlays for Grants to States and Localitles FY 1989, FY 1991, FY 1993 (dollars in millions)

National Defense Enern Natural Resources and Environment Agriculture Transportation Federal Aid Highways Other Community and Regional Development Community Developmcnt FEMA Other Education, Training, 1;niployment and Social Services Compensatory Education for the Disadvantaged School Improvement Programs Rehabilitation Serviccs and Disability Research Vocational and A d u l t Education Social Services I3lock Grant Payments to States for Foster Care and /\diip tion Ass is tance Human I h ~ l o p m c n Scllriccs t .Administration fur Children and hmilies Training and Employment Services Other Health Medicaid Other Income Security Child Nutrition Family Support Payments to States Subsidized Housing Unemployment Tiust Fund Operation of Iaw-Income Housing Home Energy .4ssistance Other Veterans’ Benefits and Senices Ad ministration of J us ti ce General Government General Revenue Sharing Federal Payment to the District of Columbia Other Total

Sourcc:

1989 Percent Amount of Total

1991 Percent Amount of Total

253 420 3,606 1,359 18,225 13,196 5,029 4,074 2,948 132 994 21,987 4,165 846 1,490 824 2,671

185 457 4,040 1,220 19,878 14,124 5,755 4,273 2,976 497 800 26,020 5,193 1,243 1,751 1,038 2,822

0.2 0.3 3.0 1.1 14.9

3.3

18.0

1,338 2,571

2,120

-

2,920 2,985 5,948 55,783 52,533 3,250 36,856 5,399 13,520 5,226 1,954 2,004 1,742 7,011 141 940 2,224

3,020 5,062 36,679 34,604 2,075 32,523 4.437 11,166 6,154 1,714 773

30.1

26.7

0.1 0.4 1.8

-

-

538 1,666

671 1,553

121.977

2.8

99.9

152,017

Amount

320 448 4,243 1,126 23,518 17,145 6,373 6,872 3,811 2,041

Percent of Total

0.2 0.2 2.1 0.5 11.4

3.3

1,020 17.2

33,940 7,281 1,572 2,001 1,233 2,845

16.4

2.946

-

-

8,279 127 520 2,204

0.1 0.3 2.7 0.8 13.1

1993 ( a t . )

-

36.7

24.3

4,325 4,147 7.590 84,488 80,511 3,977 47,666 6,667 15,768 8,213 2,613 2,406

40.9

23.1

-

0.1 0.6 1.5

11,999 197 1,188 2,391

0.1 0.6 1.2

-

726 1,665 100.2

206,397

100

U.S. Office of hhnagernent and Budget, IIistorical’lhhles,Budget ofthe UnitedStates Governnienf,Fiscal Year 1992, D b l r 12-3; Budggetofht. Utiircd Stares G u ~ ~ ~ ~ I-lscal I ~ ~ )‘fur I ~ w lY9.1, I I Table ~ , 21-4; Budget of the United States Government, Fiscal Year 1994, pp 81-85.

U.S Advisory Commission on Intergovernmental Relations 15

Figure 5

Federal Outlays for Grants to States and Localities, Percentage Distribution by Function FY 1989, FY 1991, and FY 1993

100 Health Income Security Education, Training, Employment, Social Services

90

Transportation and Ill Community Regional Development

80

u

General Governinent

Other* 70

60 Y

8

' 2

50

4c

3c

2(

1(

1989

199 I Fiscal Year

1993 (est.)

* Includes National Defense, Energy, Natural Resources and Enwronnient, Agriculture, Veterans' Benefits and Services, and Administration of Justice. Source: Table 8.

16 U.S. Advisory Commission on Intergovernmental Relations

Methodology In counting grant-in-aid programs to state and local governmentsfor this report, ACIR used a slightly modified vcrsion of the definition used by the Office of Management and Budget (OMB) in its instructions to executive agencies for preparing and submitting budget estimates (Circular A-11). Following is OMB’s definition:

ty, products. or scrvices (e.g., payments from receipts of Oregon and California grant lands) o r arc tax collections by the Fcderal Government that are passed on to State or lwil Tc)vcrnm on (e.g., internal revenue collections for l’ucrto Riccl). Excluded under this dcfinition are:

. . . grants to State and local governments are defined as outlays by the Federal Government in support of State or local programs of government operations or provision of services to the public. . . .

0 Fcderal administrative expenses associated u.ith these programs;

0

grants directly to profit-making institutions. individuals, and nonprofit institutions n o t covered above (e.g., payments to Job Corps conters and trainees);

0

payments for research and dcvelopmcnt not directly related to the provision of senices t o t h c general public (e.g., basic research);

0

payments for services rcndcrcd (e.g., utility services, training programs and cxpcnscs for Federal employees, research and dcvelopmcnt f o r Federa1 purposes conducted under contracts. grants. or agreements by such agencies as the Naticml I n s ~ i tutes of Health, the National Science Found:itic)n, the Department of Encrgy, the National Aer-onautics and Space Administration, and the Ilepartment of Defense); and

0

Federal grants to cover administrative cx-penses for regional bodies and other funds not redistrilluted to the States, or their subordinate jurisciictions (e.g., the administrative cqcnses of the Appalachian Kcgional Commission).’

Grants include:

0 direct cash grants to State or local governmental units, to other public bodies established under State or local law, or to their designee;

0 payments for grants-in-kind, such as purchases of commodities distributed to State or local governmental institutions (e.g., school lunch programs);

0

payments to nongovernmental entities when such payments result in cash or in-kind services or products that are passed on to State or local governments (e.g., payments to the Corporation for Public Broadcasting or to the American Printing House for the Blind);

0

payments to regional commissions and organizations that are redistributed at the State or local level to provide public services;

0 federal payments to State and local governments for research and development that is an integral part of the State and local governments’ provision of services to the general public (e.g, research on crime control financed from law enforcement assistance grants or on mental health associated with the provision of mental rehabilitation services-see discussion below for exclusions relatcd to research and development and payments for services rendcrcd);

0

direct loan or loan guarantee subsidies to State or local governments; and

The OMB definition isused in this report \vilh t h e 101lowing exceptions: shared revenues and loan suhsidics have been excluded, and programs of aid to institutions of higher education have been included only if the ai’l c 1s csclusively to public institutions of higher education o r it’ State or local governments have a role in the Imsess. Funded programs meeting these criteria were idontified in the 1993 Cutalog of Federal Domestic. A.\.\i.r~trnc.e (OMB-GSA, June 1993), which is a “govcrnmcnt-v\.ido

U.S Advisory Commission on Intergoverninental Kelationb 17

compendium of federal programs, projects, services, and activities which provide assistance or benefits to the American public.” Programs appearing in the catalog in 1993and not in 1991were checked against their legislative authorization (or executive order) to make certain that each such new program conformed to the rule followed in this ACIK

18 U.S. Advisory Commission on Intergovernmental Relations

scries, that is, that each scparateIy counted program must have a separate legislative authorization. The source for the legislative authorization was the United States Code, 1988Edition, Supplement II,1990, and United Srutes Code. Congressional and Administrative News. 103rd Congress, 1993.

Data Included This report lists the block and categorical grant programs funded on January 1, 1993. The programs are listed by budget subfunction number and within that by the corresponding number assigned in the Catalog of Federal Doiriestic Assistance. The following information is shown for each program: 1. Budget subfunction classification and title; 2. U.S. Code or Public Law reference; 3. Grant type (method of distribution); 4. Formula data elements, where applicablc; 5. Eligible grant recipients; 6. hlaximum federal share; 7. Administering agency; and 8. Catalog of Federal Domestic Assistance number.

The following brief descriptions of these terms may help t h c reader in using the report. Budget Subfunction-These are the subfunctional catcgories and numbers that appear in the 1993 Catalog of Federal Domestic Assistance, Appendix III. For example, Budget Function 500 is Education, Training, Employment, and Social Services; Subfunction 501 is Elementary, Secondary, and Vocational Education. Grant Type-Formula grants determine each eligiblc recipient’s allotment by formula. Project grants require competitive applications. In some cases, competition for project grant funds is constrained by a formula that may, for instance, determine how much money applicants within each state may receive. l’hcsc grants are termedformulul project grants. Seventeen of the 161 formula-based grant entries are marked with an asterisk to indicate their open-end character. Formula Data Elements-These are the 13 major categorics of statistical series used in formula grants as identified

by the U.S. Gcneral Accounting Office in Grants f i m i z i l ~ i ~ ; A Catalog ofFederal Aids to States und 1-ocalitics (Washing-

ton, DC, 1987, GAO/HliD-87-28).The report is as of fiscal year 1984. ACIR has applied the G.40 classification to formula grant programs added between FY 1984 and Fl’ 1993. Federal Share-The numbers listed in this column indicate the maximum percentage of program costs to he paid by federal funds. The number 100 indicates a grant with no matching requirements. It does not mean the federal grant actually covers 100 percent of the cost of the aided pr(7gram or activity; it means the recipient is not required to match any portion of the federal grant. The “cost shared” (CS) category includes all those grants where some rccipient contribution is required, but the exact amount is n o t specified. In such cases, the match may be thc subject of negotiation, or may be sct by the appropriate agency head. Other symbols are used to indicate when a matching ratio is variable For different rccipients, changes ovcr time. or is different for different activities or types of recipients. Agency-This column indicates the responsible administering agencyfor eachgrant. Except for the Department 0 1 Health and IIuman Scrviccs, subdcpartmental units arc not indicated . CFDA Number-This is t h c number assigned the program in the 1993 Cutdog of Federal Domestic Assistcum. For esample, CFDA numbers for Budget Subfunction 501. Elcmentary, Secondary, and Vocational Education, include a new program 84.249- Foreign Languages Assistance.

cntries for type of grant, formula data elements. recipient. federal share, and administering agency.

The key- on -page - 21 lists and explains the full range

U.S Advisory Coinniission on Intergovernmental lielatiuns 19

Key to Listing Type of Grant

F P FIP

Formula grant Project grant Project grant subject to distribution formula

Formula Data E l e m e n t s A . Population- includes series such as total population, population by age, race, density, urban, rural, farm, handicapped, immigrant, and in poverty.

B. Income- includes per capita income, median family income, aggregate personal income, and wages earned or paid.

C. Environment- includes land area, land use, environmental conditions, environmental hazardous waste data, size of water systems, volume of oil and gas production, and miles of coastline. D. Education- includesenrollment, graduates, and educational expenditures. E. Labor- includes civilian labor force, unemployment levels, and employment statistics. R Transportation - includes series, such as miles of highways and rail, aviation facilities, number of vehicles, and number of miles traveled. G. Energy- includes energy consumption, heating and cooling degree days, levels of energy conservation, fuel costs, and residential heating/cooling equipment. H. Government- includes taxation, expenditures, government employment, and salary lcvcls. I. Health- includes illness data, vital statistics, and lcvels of health-related expenditures. .I. Price Indices- includes consumer prices. K . Housing- includes number of units, condition of units, vacancy rates, and age of housing stock. L. Economic Sectors- includes business activity. manufacturing, retail trade, and agricultural statistics. hl . hliscellaneous hleasures of Program CostslActivity Levels-includes series, such as number of meals or number of pints of milk served, other income received by an agency, estimated costs to complete a project, the number of eligible recipients, and prior-year program expenditures.

Recipient 1 State governments 2 State and local governments 3 Local governments Governmental and others (e.g., public and privnte 4 nonprofit organizations) Federal Share 33-67 Dash indicates match is variable over the stated range. 80,30 Comma indicates federal percentage dcclincs over time from the first percentage to thc sccond. Slash indicatcs fcderal share is different for dif50175 ferent types of activities. Colon indicates federal share is different for dif50:75 fcrcnt types of recipients. Cost-Shared- federal share less than 1005’6, h u t cs is not specified; it may b e negotiable. Ad ministering Agency Administration on Aging (HHS) AA Administration for Children and Familics (IIHS) ACF ACT Action Department of Agriculture AGK Appalachian Regional Commission ARC COM Department of Commerce Departmcnt of Defense DOD Department of Energy I)OE Department of Justice J Department of Labor DOL Department of Transportation DOT Department of Education ED EPA Environmental Protection Agency FEblA Federal Emergcncy Management Agency Federal Mediation and Conciliation Scnice FhlCS General Senices Administration G SA Health Care Financing Adniinistration (1~111s) HCFA Department of Health and Human Senices HIIS Department of Housing and lirban rk\~clc~pl1ienionstration, and Pilot Projects 42 lJSC 9844 59. Child Wclfare Research and Demonstration 42 USC 626(aXI) 60. Native Americans Programs 42 USC 2Y9lb 6 1. Child 1)evelopnient Associate Scholarships 42 lJSC 10901 62. Runaway and Homeless Youth 42 USC 5711 63. Developmental Disabilities: nasic Support and Advocacy Grants 42 IJSC 6043 64. Developmental Disabilities: Protection and Advocacy 42 LJSC 6042 of Individual Rights 65. Developmental Disabilities: Projects of National Significance 42 USC 6081 66. Child Welfare Services: State Grants 42 I JSC 620 67. Social Services Research and L)cmonstration 42 USC 1310 42 USC 51 11 et seq 68. Adoption Opportunities 60. ’TLmpurary Child Care and Crisis Nurseries 42 USC 51 17 a-d 70. 1)rug Abuse I’revcntion and Education for Iiunaway 42 I JSC 11821-5 and Honiclcss Youth 71. Foster Care: T i t l e IV-E 42 I IS(’ 670 c t seq 72. Adoption Assistance 42 liSC 670 e t scq. 73. I>rug Abuse Prevention and Education Relating 42 IJSr 11801-5 IU Youth Gangs 74. Comprchcnsive (3iild I kvelopmcnt Centers 42 L‘SC 9871 e l seq. 75. C’hild Abusc and Neglect: State Grants 42 IiSC 5 103(h) 70. C:hilcl A b ~ i s ca n d Neglect: I)iscretionaiy Activities 42 IJSC 5103(c) 42 IJSC 10.102 77. Family Violence l’rcvcntion and Services 42 lJSC 51 I 6 78. Child Abuse and Neglcct. Statc I’r-eventicin Grants 70. I’lanning a n d I)cvclopnicnt of I)cpcndcnt (:arc Programs 42 (IS(’ OX71 ~t SCCI 80. Indcpcndent 1,iving 42 1JSC 677

550 1. 2. 3. 4.

5. 0.

7. ti.

Type

F P P FJP P P 1’ P F F/P F F P F P P P P F F P I’

f:

For mula Data Elements

F

Adininistering Agency

CITDA Number

4

100 50

ACF ACF

93.572 93.573

1 4 4 4 4 4

60 60 80 80 95 80

ACF ACF AC F ACF ACF ACF ACF ACF ACF ACF

93.580 03.600 93.600 93.600 93.608 93.612 93.614 93.623 93.630 93.630 93.631 93.645 93.647 93.652 93.656 93.657

Recipient

1

M

AAM

A A A.4n M I 3

An

13H* L3rf*

n

P

ri t i

Federal Share

1

1on

4 1 1

90 75.90 100

4 1 4

101) 75 CS

4

1no

I

4

75 75

ACF ACF ACF ACF ACF ACF

1 1 4

50-83/5(Ji75 50-7K/75/50 100

A(lF ACF ACF

93.658 93.659 93.660

4

80 100 100 l(10

A(‘F AC,’f’ A( *I.-

03,666 9.?.609 93.670 03.67 I 93.072 0.3.673 03.673

1

1

/I

n

f;

/\

F

A

1 1

100

I 1

75 5oi 100

4 2 4 4 1 2 4

ioo

ACF A(‘F A( ,’ F AC‘F

Ilealth P I’ I’ I’ I’ I’ I’ f ,-

4

1I)O

100 1I)O 100

I00 7(1’0(150 I00

1’11s 1’11s PllS 1’1 I S 1’1 I S I’I I S PI I S I’fiS

93.1 11 !)3.1 1 0 93.118 0 3 I20 03 125 0.3. 1.30

03 1.17 (/.