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This is the second annual summary report on all grants awarded by the Department of Health and Human Services (DHHS). The purpose of the report is to provide an overview of the different grant programs administered by DHHS operating divisions.

The report has three parts: a summary of all grants awarded, a section on mandatory grant awards, and a section on discretionary grant awards. The mandatory grants include block, closed-ended, and open-ended entitlement grants. Grants awarded as cooperative agreements are included in the section on discretionary grants.

The summaries of grants information are generated from the Department’s Tracking Accountability in Government Grants System (TAGGS), which is composed of data submitted by the DHHS operating divisions’ (OPDIV) grants information systems. For various reasons, including the fact that some OPDIVs may award grants with funds appropriated for other OPDIVs, the amounts shown for each OPDIV will differ from the amounts shown in OPDIV Budget Requests.

In the health area, our Medicaid program, a jointly-funded Federal-State health insurance program, assists States in the provision of adequate medical care for low-income people, and includes the new Children’s Health Insurance Program (CHIP). Other health programs encompass biomedical research, training of biomedical research scientists and health professionals, support of health professional schools, development and delivery of health services, disease prevention and health promotion programs, and construction of research, educational and health facilities.

Our social service programs provide support to every group of Americans, including children, youth, families, and the elderly. Social service programs include temporary assistance to needy families, assistance to refugees, enforcement of child support payment orders, foster care and adoption, prevention of child abuse and neglect, Indian tribal services, and Head Start programs.

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Assistant Secretary for Management and Budget

Office of Grants and Acquisition Management

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The Department of Health and Human Services is comprised of twelve operating divisions (OPDIVs) and a Program Support Center (PSC). The OPDIVs are:

All grants awarded by the OPDIVs, the PSC, and the DHHS regional offices are included in this report. Because CDC issued ATSDR awards, the data for ATSDR awards have been included in the figures for CDC throughout this report.

This report provides grant award information under three sections: the General Summary, Mandatory Grant Awards, and Discretionary Grant Awards. Grant awards are considered to be financial assistance that provides support or stimulation to accomplish a public purpose. Awards include grants and other agreements in the form of money, or property in lieu of money, to an eligible recipient. This report does not include technical assistance, which provides services instead of money; other assistance in the form of loans, loan guarantees, interest subsidies, or insurance; direct payments of any kind to individuals; or contracts which are required to be entered into and administered under procurement laws and regulations.

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The data in this report reflect awards made during FY 1997. The data will not necessarily agree with the FY 1997 budget and accounting records (e.g., Medicaid’s accounting adjustments) for several reasons. First, in some instances the data for awarded grants reflect, in addition to current year funds, the reobligations of prior years’ funds. Second, costs of furnishing personnel in lieu of cash are included in the grants data, but are recorded as personnel service costs in accounting records. Third, grants jointly funded are included in accounting records, but are not included herein unless awards are made by DHHS programs.

The amounts set forth in this report for each OPDIV may also differ from the amounts shown in the OPDIVs’ Budget Requests ["Preliminary Budget Submission to DHHS," the "Justification of Budget Estimates to OMB," and the "Justification of Estimates for Appropriations Committees"]. Percentages used throughout the report may not add up to exactly 100 percent due to rounding.

The number of grants is a count of projects or programs receiving grant funds (projects with a zero or negative total awarded during the fiscal year are bypassed). Therefore, the number of grants is less than a count of grant actions, since some projects received supplemental awards or received grants relating to more than one grantee budget period within FY 1997.

FY 1997 TOTAL: $144,026,816,587

FY 1997 TOTAL: $125,985,320,552

Mandatory Grant Awards by Grant Type

The DHHS mandatory grant awards comprise 88 percent of the total DHHS FY 1997 grant funds, but only nine percent of the total number of grant awards made in FY 1997. Mandatory grants are those that a Federal agency is required by statute to award if the recipient, usually a State, submits an acceptable State Plan or application, and meets the eligibility and compliance requirements of the statutory and regulatory provisions of the grant program. In the past, mandatory grants were sometimes referred to as "formula grants."

Mandatory grants include block grants, closed-ended grants, and open-ended entitlement grants.

• Block: A type of mandatory grant where the recipients, normally States, have substantial authority over the type of activities to support, with minimal Federal administrative restrictions. The basic premise is that States should be free to target resources and design administrative mechanisms to provide services to meet the needs of their citizens.
• Closed-Ended: A type of mandatory grant where the award constitutes an upper limit on the amount of funds the Federal Government may pay for program activities. The grants for State and community programs on aging, under Title III of the Older Americans Act are closed-ended grants.
• Open-Ended Entitlement: A type of mandatory grant where there is no upper limit on the amount of funds the Federal Government will pay for allowable services and activities, where the Federal Government pays a statutorily-required share of costs without dollar limits. The principal entitlement grants of the Social Security Act are: (1) Child Support Enforcement and Establishment of Paternity, (2) Foster Care and Adoption Assistance, and (3) Medical Assistance (Medicaid).

FY 1997 TOTAL: $125,184,011,971

Mandatory Grants to State Government Recipients

The next chart details mandatory grant awards received by State Government recipients sorted by operating division and state location. Note that five DHHS operating divisions did not make mandatory grant awards to State Government recipients during FY 1997. These are the Agency for Health Care Policy and Research, the Food and Drug Administration, the Indian Health Service, the Office of the Secretary, and the National Institutes of Health.

FY 1997 TOTAL: $125,184,011,971

Mandatory Grants to State Government Recipients

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FY 1997 TOTAL: $801,308,581

Mandatory Grants by Recipient Type

 Although most mandatory grants are awarded to States, some are awarded to other types of recipients. The chart below provides information about the DHHS mandatory grant awards to five different recipient type categories in FY 1997.

The non-State government recipient category that received the most funds ($747,032,804) under mandatory grant awards is the "Government Organizations" category. This category includes local government recipients, including city and county government organizations and Indian Tribal Councils.

Mandatory grants awarded to the "Private Health and Social Services Organizations" category include grants to nursing homes, rehabilitation organizations (other than criminal), community action organizations, and other health and social services organizations.

FY 1997 TOTAL: $18,041,496,035

Discretionary Grant Awards by Grant Type

The DHHS discretionary grant awards comprise only 12 percent of the total DHHS FY 1997 grant funds, but they account for 91percent of the total number of DHHS grant awards made in FY 1997. Discretionary grants are those that permit the Federal government, according to specific authorizing legislation, to exercise judgment, or "discretion," in selecting the applicant/recipient organization, through a competitive grant process. The types of activities commonly supported by discretionary grants include demonstration, research, training, service, and construction projects or programs. Discretionary grants are sometimes referred to as "project grants."

In this report, grants awarded as a cooperative agreement are included in the charts summarizing discretionary grant awards. A cooperative agreement is an award instrument of financial assistance where "substantial involvement" is anticipated between the DHHS awarding agency and the recipient during performance of the project or activity. This means that the recipient can expect Federal programmatic collaboration or participation in managing the award.

• Cooperative Agreements – account for only 1.4 percent of the total DHHS FY 1997 grant funds, and 6.7 percent of the total number of DHHS FY 1997 grants.

FY 1997 TOTAL: $18,041,496,035

The Tracking Accountability in Government Grants System (TAGGS) uses 15 activity types to describe the nature of the grant being funded. For the purpose of this report, these 15 have been grouped into four major activity types:

• Research (53 percent of FY 1997 discretionary grant funds and 63 percent of the number of discretionary awards): These awards support traditional research projects by individual investigators, as well as broadly-based traditional research; multi disciplinary research programs; general and categorical research centers and research resources; research career programs of NIH; and general research support to grantee institutions to strengthen research activities.

• Services (40 percent of FY 1997 discretionary grant funds and 14 percent of the number of discretionary awards): Includes grant programs for the delivery of health services; treatment and rehabilitation programs; education and information programs; and programs for the detection of health problems.