Appalachian State Research, Technical Assistance, and Demonstration Projects

Published on AidPage by IDILOGIC on Jun 24, 2005

Purpose of this program:

To expand the knowledge of the region to the fullest extent possible by means of State-sponsored research (including investigations, studies, technical assistance and demonstration projects) in order to assist the Commission in accomplishing the objectives of the Act, and implementation of the ARC strategic plan.

Possible uses and use restrictions...

To research or demonstrate the feasibility of plans and programs for concerted economic and social development. Priority will be given to technical assistance related to job creation projects. States can carry out investigations, research, studies, evaluations, and assessments of needs, potentials, or attainments of the people of the region, technical assistance, training programs, demonstrations and the construction of necessary facilities incident to such activities. All developments resulting from such research, and demonstration projects must be made freely available to the general public. Existing research by other agencies is to be utilized as much as possible. State research projects are also subject to the uses and use restrictions described under the Appalachian Regional Development program (23.001).

Who is eligible to apply...

Appalachian States, alone or in combination with other Appalachian States, local public bodies and State instrumentalities.

Eligible Applicant Categories:
Eligible Functional Categories:
Credentials/Documentation

Projects must conform to the Appalachian State Development Plan and implementing Strategy Statement and Investment Program which is submitted annually. Commission regulations require that the Appalachian State Development Plan and Strategy Statement and Investment Program must be approved and submitted annually by the Governors before December 15. Costs will be determined in accordance with OMB Circular No. A-87 for State and local governments.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

A State or local agency, willing to assume contractual and implementation responsibility for a research and demonstration project, submits an application for consideration through the Appalachian State Alternate's office. Applications must be submitted and approved by the State member of the Appalachian Regional Commission. All proposed projects must relate to the needs identified in the State Appalachian Plan and Strategy Statement and Investment Program (due prior to December 15). This program is subject to the provisions of OMB Circular No. A-110.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

Upon determination that the State approved project is eligible within a Commission approved Appalachian State Development Plan and Strategy Statement, the Federal Co-chairman determines that the project satisfies all Federal requirements.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...

Deadlines

None, except those imposed by each State and the general requirement of the Commission; that is, proposed projects shall be included in each of the State's approved project funding program which is submitted annually before December 15.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

From 36 to 60 days after the receipt of the application at the Commission.

Preapplication Coordination

The State Alternate's Office is the coordinator for the Appalachian investments. Preapplication conferences with the Appalachian Local Development District Director or the State Alternate's Office can determine within a few weeks if the project can be related to the State Appalachian Development Plan. The District Director or State Alternate's Office will provide guidance on specific problems and technical assistance in the preparation of applications. The standard application forms as furnished by ARC and required by OMB Circular No. A-102 must be used for this program. This program is excluded from coverage under E.O. 12372.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.

Appeals

None.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).

Renewals

Yes, processed in the same manner as the original application.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

States and local public bodies.

Beneficiaries
About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Project Grants

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.

How much financial aid...

Range and Average of Financial Assistance

$10,000 to $200,000; $112,500.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.

Obligations

FY 03 $811,426; FY 04 est $900,000; and FY 05 est $900,000.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification

46-0200-0-1-452.

Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

See USES AND USE RESTRICTIONS.

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

The fiscal year 2001 program included continued support for the Appalachian scholar program and implementation of the ARC strategic plan and Government Performance and Results Act. Started or completed studies included: factors associated with the changing status of distressed counties; an evaluation of ARC's public works and infrastructure projects; foundation funding in Appalachia in the 1990s; intermodal transportation plans, systems, and activities in Appalachia; an analysis of the economic base of distressed and near- distressed counties; labor force participation and underemployment rates in Appalachia; current and future impacts of the regional coal industry; an assessment of economic development opportunities arising from the completion of the ADHS corridors; and a program evaluation of ARC's education projects.

Criteria for selecting proposals...

See APPLICATION AND AWARD PROCESS.

Assistance considerations...

Length and Time Phasing of Assistance

Usually 12 months. Assistance is provided as required.

Formula and Matching Requirements

A limited amount of discretionary authority is made available to the Commission under Section 302 of the Appalachian Regional Development Act. Annually the Commission allocates this authority to the Co-Chairmen's Committee and among the Appalachian States. The authority can be used to raise the statutory limits on ARC funding in projects implementing special regional initiatives approved by the Commission. It can also be used, with the approval of the Co-Chairmen's Committee, in cases of emergency economic distress. This discretionary authority, however, cannot be used to eliminate the funding restrictions on projects in competitive and attainment counties.

Note:
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...

Reports

A member of the Commission staff is designated as project coordinator to maintain liaison with the contractor, and monitor and evaluate progress and performance under the contract.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.

Audits

As required by the Commission, in accordance with the Single Audit Act Amendments of 1996, Public Law 104-156. In accordance with the provisions of OMB Circular No. A-133 (revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt form Federal audit requirements for that year, except as noted in Circular No. A-133.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).

Records

As required by the terms of the contract.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.

Regulations...

Authorization

Appalachian Regional Development Act of 1965, Section 302, Public Law 89-4, as amended; 40 U.S.C. 14101-14704; Appalachian Regional Development Act Amendments of 2002, Public Law 107-149.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

"The Appalachian Regional Commission Code" (limited distribution); "Appalachian Regional Commission Project Guidelines" (limited distribution); "Appalachia" a journal devoted to the special problems of regional development (no charge); Research Program Prospectus (limited distribution) Annual Reports. "Section 302 (a) (2) State Research and Demonstration Programs, Formal Application Procedures" (limited distribution).

Contact information...

Web Sites
Regional Or Local Office

Refer to Additional Contact Information - FMR Help.

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

Inquiries and proposals for projects should be submitted first to the Appalachian State office designated by the Governor. (See Additional Contact Information - FMR Help). Other inquiries may be addressed to: Executive Director, Appalachian Regional Commission, 1666 Connecticut Avenue, NW., Washington, DC 20009. Telephone: (202) 884- 7700. Use the same number for FTS.

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: